DEPARTMENT OF EDUCATION, TRAINING AND YOUTH AFFAIRS

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1 The Training Package Assessment Materials Project is an initiative of the Australian National Training Authority, with funding provided by the Department of Employment, Training and Youth Affairs. The project has been established to support high quality and consistent assessment within the vocational education and training system in Australia.

2 This guide was developed by David Rumsey and Associates Pty Ltd and RATIO Pty Ltd, with support from the Department of Employment, Training & Youth Affairs (DETYA), the Australian National Training Authority (ANTA) and Vocational Education and Training Assessment Services (VETASSESS). DEPARTMENT OF EDUCATION, TRAINING AND YOUTH AFFAIRS Commonwealth of Australia 2001 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced without prior written permission. However, permission is given to trainers and teachers to make copies by photocopying or other duplicating processes for use within their own training organisation or in a workplace where the training is being conducted. This permission does not extend to the making of copies for use outside the immediate training environment for which they are made, nor the making of copies for hire or resale to third parties. Requests and inquiries concerning other reproduction and rights should be directed in the first instance to the Director, Training Reform Section, Department of Education, Training and Youth Affairs, GPO Box 9880, ACT The work has been produced initially with the assistance of funding provided by the Department of Education, Training and Youth Affairs through the Australian National Training Authority. However the views expressed in this version of the work do not necessarily represent the views of the Minister for Education, Training and Youth Affairs or the Commonwealth. The Commonwealth does not give any warranty nor accept any liability in relation to the contents of this work. Project management and editorial support provided by Vocational Education and Training Assessment Services (VETASSESS). This project was managed by the Australian National Training Authority on behalf of the Department of Education, Training and Youth Affairs. Published on demand by Australian Training Products Ltd (ATP) Level 25/150 Lonsdale Street, Melbourne, VIC, Australia, 3000 Telephone: : , Facsimile: , sales@atpl.net.au Printed by Document Printing Australia, Melbourne, Australia ATP Stockcode: R ISBN: First published in July 2001 ii 2001 Department of Education, Training and Youth Affairs

3 FOREWORD This guide is one of a suite of ten guides developed in the Training Package Assessment Materials Project. The project was one of several initiatives managed by the Australian National Training Authority (ANTA) and funded by the Department of Education, Training and Youth Affairs (DETYA) to facilitate the implementation of Training Packages and in particular New Apprenticeships. The guides in this Training Package Assessment Materials Project aim to provide assessors and managers of assessment processes within the vocational education and training (VET) sector with a range of practical tools and resources for improving assessment practices in both on-and off the job situations. The ten guides are: Guide 1: Guide 2: Guide 3: Guide 4: Guide 5: Guide 6: Guide 7: Guide 8: Guide 9: Guide 10: Training Package assessment materials kit Assessing competencies in higher qualifications Recognition resource Kit to support assessor training Candidate's Kit: Guide to assessment in New Apprenticeships Assessment approaches for small workplaces Assessment using partnership arrangements Strategies for ensuring consistency in assessment Networking for assessors Quality assurance guide for assessment Department of Education, Training and Youth Affairs iii

4 Each guide is designed to cover a broad range of industries and VET pathways, with relevance to workplace assessors as well as those working in off the job and VET in Schools programs. The Training Package Assessment Materials Project was completed prior to the review and redevelopment of the Training Package for Assessment and Workplace Training. The project managers and writing teams worked closely with National Assessors and Workplace Trainers (NAWT), a division of Business Services Training, to ensure that the material contained in these guides is in line with future developments in the Training Package. Consequently the guides do not make direct reference to the units of competency in the Training Package for Assessment and Workplace Training. The project managers and the writing teams would like to thank all the individuals and organisations who generously provided advice, case study materials, assessment tools and their time to review and pilot these materials. iv 2001 Department of Education, Training and Youth Affairs

5 TABLE OF CONTENTS Foreword... iii 1. Overview of this resource... 1 The information...1 The case studies...2 The exemplar materials...2 How to use this resource What is recognition?... 5 Background of Recognition...5 Defining Recognition...6 Reasons for seeking Recognition...7 What it means to be competent...8 Types of evidence...9 Rules of evidence...9 Validity...10 Currency...10 Sufficiency...11 Authenticity What is a quality Recognition process? Introduction...13 Pathways...14 Meaning...15 Collaboration...16 Strategic consideration of evidence...16 Expertise of assessors...17 Networking with others...18 Synthesising and judging evidence...18 Recording...19 Quality management...21 Feedback and action plans...22 Equity considerations and appeal process...23 Quality Recognition and efficiency Planning the process Identifying and confirming the purpose...27 The people...28 Informing and involving the candidate...28 The role of the assessor...30 The roles of supervisors and technical experts...30 Networking of assessors...31 The process...33 Identifying, interpreting and understanding units of competency...33 Identifying types of evidence to be used...34 Processes and procedures...36 Materials needed Department of Education, Training and Youth Affairs v

6 5. Implementing the process...41 Guiding and supporting candidates...41 Introduction...41 Use of workshops...42 Use of self assessment...43 Results of candidate self assessment...44 Use of interviews...45 Outcomes of candidate interviews...45 Gathering evidence...46 Historical evidence provided by candidate...47 Observation of current performance...47 Checking of current knowledge...48 Other evidence of current competence...48 Judging evidence...49 Synthesising the evidence...49 Weighing the evidence...50 Granting Recognition...51 Confirming sufficiency of evidence...51 Determining pathway options...51 Completing records...51 Providing feedback...52 Confirming outcomes...52 Discussing action plans Reviewing the process...55 Obtaining feedback and information...55 Introduction...55 Use of questionnaires...56 Use of interviews...56 Use of workshops...57 Collecting key process information...57 Evaluating the process...58 Comparison of feedback with aims and quality criteria...58 Identifying opportunities for improvement Some issues associated with Recognition...59 Resourcing...59 Risks associated with Recognition...61 Recognition across the AQF...63 Recognition in various contexts...65 Online Recognition...68 Appendix A...71 Appendix B...97 Glossary vi 2001 Department of Education, Training and Youth Affairs

7 1. OVERVIEW OF THIS RESOURCE The information This resource has been designed for Registered Training Organisations (RTOs) and assessors who are conducting Recognition processes. It has been based on good practice principles that have been used to show how different organisations conduct Recognition, across different industries, for a range of reasons and in a variety of ways. Tip The initial chapters provide important background information. The later chapters provide information and guidance for planning, implementing and reviewing the process. The appendices provide case studies and exemplar materials for Recognition processes. Tips, quotes, examples and candidates views have been used to demonstrate particular aspects of Recognition. This resource can be used by anyone involved in the area of Recognition to help improve current processes. It has been designed to help users identify good practice concepts and better ways of implementing Recognition processes Department of Education, Training and Youth Affairs 1

8 The case studies Several case studies have been included in Appendix A. These are intended to highlight the various ways in which organisations have conducted Recognition processes. They highlight different aspects of Recognition and how particular issues have been dealt with. The exemplar materials Appendix B contains a number of exemplar materials. These have been designed as a starting point for assessors who are conducting Recognition processes. They outline some of the key areas that should be covered in the development of materials to help assessors in the process. These materials include presentation materials, checklists, evidence gathering tools and candidate self assessment materials. Assessors are encouraged to customise the materials to suit their own needs and those of the candidate. How to use this resource The resource has been organised to assist assessors and RTOs in establishing and implementing a Recognition process. Chapter 2 should be read to clarify what Recognition and competence mean. It shows how Recognition is used in a variety of different ways depending on context and purpose. Chapter 3 provides an overview of the qualities of good practice Recognition processes. It includes a checklist (see Appendix B) which assessors and RTOs can use to evaluate an existing Recognition process or one that is being developed Department of Education, Training and Youth Affairs

9 Chapters 4, 5 and 6 focus on planning, implementing and reviewing Recognition processes. Throughout the resource, links are made to the case studies contained in Appendix A and to the exemplar materials in Appendix B. The aim of this resource is to provide assistance for all those involved in and responsible for developing, implementing and reviewing a Recognition process that complies with the Australian Quality Training Framework (AQTF). While the exact application will depend on the context, the process should follow the requirements of the AQTF. This includes developing assessment strategies and appropriate policies and procedures to guide assessors in their work. It should also be supported by appropriate techniques and materials designed to help assessors carry out assessment tasks. This resource has been designed with awareness that the establishment of any Recognition process involves careful consideration of candidates needs, the integrity of the assessment process and the resources needed to conduct assessments. The quality aspects of Recognition described in the guide have been identified as ways of balancing these sometimes conflicting demands Department of Education, Training and Youth Affairs 3

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11 2. WHAT IS RECOGNITION? Background of Recognition Organised learning can occur in the workplace or in an educational institution. Both provide important and valued opportunities for people to learn skills, knowledge and attitudes needed for work. However, these are not the only ways in which people learn. Individuals gain skills and knowledge through a range of work, study, life and other experiences. Previous learning however achieved, can contribute greatly to a person's current competence. This has led educators to establish ways in which evidence of such learning may be examined and judged to confirm competence. The initial term to describe this process was called Recognition of Prior Learning or RPL. This term focused on previous learning and how this contributed to the person's current competence Department of Education, Training and Youth Affairs 5

12 Later processes tended to use the term Recognition of Current Competence or RCC. This emphasised the need for the person to be currently competent in the skills and knowledge gained through prior learning. The meaning of both terms is the same. In this guide, the term Recognition is used as the preferred alternative to RPL and RCC, to describe this important process. Defining Recognition Recognition is a process whereby evidence is collected and a judgement is made by an assessor or assessment team against the requirements of one or more endorsed units of competency from a relevant industry Training Package. Candidate s view When Tanya applied to enrol in a course, she was given some information on Recognition, what it involved and how she could apply. She had never realised that the things she had learnt through various jobs and interests could be counted towards her current application. This meant that Tanya would not have to relearn the things that she already knew. The judgement is made on evidence provided by candidates of the skills and knowledge that they have previously learnt through work, study, life and other experiences, and that they are currently using. This evidence may include: work records records of workplace training assessments of current skills assessments of current knowledge third party reports from current and previous supervisors, trainers, managers and customers or clients previous qualifications confirmation of relevant unpaid or volunteer experience examples of work products. In many ways, Recognition is like other forms of competency based assessment Department of Education, Training and Youth Affairs

13 Reasons for seeking Recognition Example One organisation sought Recognition for some of its employees. The organisation was restructuring and wanted to identify the skills and knowledge of the employees who could be retrained and moved into different work roles. Organisations and individuals seek Recognition for a range of reasons. Some reasons for organisations include: confirming eligibility for employees to gain a qualification or Statement of Attainment identifying training needs of employees to achieve competence in specified units of competency determine appropriate qualification for New Apprentices Candidate's view Jo sought Recognition because she felt that she had gained enough skills and knowledge in her current job role to receive a qualification. Jo was able to gather evidence for a range of workplace activities and the assessor helped her map these against the relevant units of competency, which made up the qualification she was seeking. confirming competence for an appointment to a workplace position confirming competence for a classification to a job within an industrial agreement or award identifying the current skills and knowledge of new and existing employees confirming compliance with competency requirements of a licensing or regulatory authority. Individuals may seek Recognition to: confirm competence for appointment to a workplace position confirm eligibility for a qualification or Statement of Tip Whatever the motivation, it is important that candidates are helped by assessors to clarify their reasons, to allay any fears, to correct any misconceptions or unreasonable expectations and to discuss the full range of potential opportunities and benefits achievable through Recognition. Attainment confirm eligibility for entry to a course identify credit within a course based on current competence held. In practice, Recognition may be undertaken for various combinations of these purposes. For example, a candidate may seek Recognition for a qualification and use this in applying for a new job Department of Education, Training and Youth Affairs 7

14 What it means to be competent Competence is made up of a number of concepts. Figure 1: The cornerstones of competence For a person to be regarded as competent, there must be appropriate evidence of: the ability to perform an activity (in one or more contexts) in accordance with the elements and performance criteria of the relevant units of competency Hint In many industry contexts, competence is closely identified with the achievement of safety and quality standards in the workplace and not solely with individual units of competency. It is critical to look at workplace requirements to determine what is required of the candidate. sufficient knowledge of relevant principles, procedures and legislation to understand why, what if, how and when, as defined in the evidence guide of the units of competency the ability to adapt those skills and knowledge to other contexts falling within the bounds described by the range statement of the units of competency the capacity to satisfy all the aspects of competency (task skills, task management skills, contingency management skills and job/role environment skills) the ability to apply the set of generic or enabling skills usually referred to as the key competencies Department of Education, Training and Youth Affairs

15 Competence as defined in a unit of competency is the demonstrated performance of knowledge and skills to the standards required by industry. Competence can be demonstrated in the workplace or a suitably simulated work environment. Types of evidence A range of evidence is normally used in Recognition processes. It falls into three broad groups: evidence of current competence obtained during the Recognition process itself relatively recent evidence presented by the candidate that provides a good indication of current competence historical evidence provided by the candidate showing proof of prior learning at an earlier time. The exact mix of evidence that will eventually be used will usually depend upon the context of the assessment and the background of the candidate. Rules of evidence When evidence is being assessed it is critical that the assessor ensures that it meets the established rules of evidence. Figure 2: The rules of evidence 2001 Department of Education, Training and Youth Affairs 9

16 Validity Tip To ensure validity, it is important that you identify and interpret workplace activities in terms of the related units of competency. Does the evidence relate directly to the unit(s) of competency? The assessor needs to ensure that the evidence provided by the candidate directly covers the unit(s) of competency for which they are seeking Recognition. This may be more difficult with historical evidence than recent evidence. Therefore it is important to start with the recent evidence and to use the historical evidence to confirm and verify judgements. Additional evidence can be gathered through observation of performance or questioning to ensure that the evidence provided relates directly to the units of competency concerned. Currency Candidate s view Kylie had worked four years ago for a computer firm, installing computer programs. After a break of three years she decided to go back to work. As she had no formal qualifications, she was seeking Recognition to confirm that she still had the skills to work in the information technology (IT) industry. After looking at her evidence and the relevant IT units of competency, the assessor was not confident that Kylie s skills were current. After some discussion, they agreed that the best way for Kylie to achieve competence was to do a short refresher course in computing. Does the evidence provided indicate that the candidate is currently able to use the skills and knowledge? While historical evidence can be used to confirm competence, it is critical that appropriate evidence is available or is obtained to show that the candidate is currently able to use the skills and knowledge for which Recognition is sought. The recency of historical evidence can be an important indicator of the extent to which prior learning may have contributed to the candidate s current competence. However, prior learning achieved many years previously may not contribute much to current competence if it has not been reinforced through relevant experience or further learning opportunities. Qualifications, documentation of experience and other indicators of prior learning obtained five years prior to the Recognition process or earlier are unlikely to be adequate evidence of current competence. The assessor needs Department of Education, Training and Youth Affairs

17 evidence that the skills and knowledge have been used, reinforced and updated by more recent learning or work opportunities. Sufficiency Tip While one piece of evidence may be valuable evidence for a number of elements, it should not be the only source. Enough evidence needs to be provided to ensure not only that the candidate can do that particular task, but also that they can do it on a number of different occasions and in a range of contexts. Is the evidence provided enough to ensure that the candidate is competent in the area for which they are seeking Recognition? While there is no exact amount of evidence that needs to be collected, assessors need to ensure that the candidate has provided enough to enable them to make a confident judgement that competence has been achieved. It is important to ensure that the candidate can apply the skills and knowledge over time and transfer the skills and knowledge to a number of different contexts. It is critical that the evidence addresses the full range of skills and knowledge identified in the relevant unit of competency and the four dimensions of competency task, task management, contingency and job/role environment skills. Sufficiency of evidence is really a question of the coverage of the unit of competency rather than the number of pieces of evidence collected by the assessor. Authenticity Tip With the technology of computers getting better and better, the rate of forged documents is rising. The assessor should always check qualifications and awards by contacting the issuing organisations to authenticate the documentation. Is the evidence collected that of the candidate? The assessor needs to ensure that the evidence is actually the work of the candidate and not someone else. This can be a particular issue if assessments are carried out online. To ensure authenticity, the assessor may check records, get confirmation from supervisors or trainers, and have evidence sighted and signed by a Justice of the Peace Department of Education, Training and Youth Affairs 11

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19 3. WHAT IS A QUALITY RECOGNITION PROCESS? Introduction A quality Recognition process is one which ensures efficiency, effectiveness, flexibility, fairness and openness. To provide a quality process, the assessor needs to consider a number of key concepts at the planning, implementing and reviewing stages. These concepts underpin good practice in Recognition, and are summarised in Figure 3 on the following page. Each of these quality concepts is briefly described in the sections that follow. Suggestions are also provided on how these concepts may be incorporated into Recognition processes Department of Education, Training and Youth Affairs 13

20 Figure 3: Quality concepts or aspects of good practice Pathways Recognition processes should allow for a range of options or Tip Recognition becomes a valued and constructive process when all possible outcomes lead to action and guidance that will benefit the candidate. The process should always offer options for the candidate upon completion. pathways to be available to the candidate, depending on the outcomes of the process. For example, if the candidate is successful, pathways may include the issuing of a qualification or a Statement of Attainment, or entry into a specified course or occupation within an industry classification. However, if a gap is found in the candidate s competence, pathways may include action to address the gap, such as further training, structured work opportunities with mentoring and coaching, directed self-study with a tutor or coach, or counselling on career options that better match the competencies actually demonstrated Department of Education, Training and Youth Affairs

21 Figure 4: Examples of pathway options Meaning Tip Assessors need to identify appropriate informationsharing activities. These may include workshops, individual interviews, explanatory pamphlets, notices, and and web site information. An important feature of a quality Recognition process is a deliberate strategy to ensure that candidates, assessors, supervisors, expert advisers and others involved are suitably informed about the processes being used. This includes identifying the relevant units of competency in the Training Package and how they relate to the candidate s workplace and work activities. In short, the process and its outcomes must have meaning. Information-sharing activities need to be two-way and interactive. Opportunities need to be put in place for Candidate s view When Con was seeking Recognition, he discussed the process with the assessor. They identified his work activities and how these related to the relevant units of competency in the Training Package. This really helped Con understand the process and what he could bring together as evidence of his competence, because he could see how it related to his work. assessors and others involved to develop a good understanding of the purpose and aims of the process, as well as the circumstances, needs and concerns of the candidate. Providing a clear and meaningful picture of competence will help candidates understand what is required and what evidence they will need to gather to confirm competence Department of Education, Training and Youth Affairs 15

22 Collaboration Tip Collaborative opportunities may involve: group discussions with candidates meetings with supervisors getting feedback from technical experts discussing the process with other assessors. A quality Recognition process is one in which candidates, assessors, expert advisers, supervisors and others involved can discuss and seek information on the process being used. Collaboration helps to ensure that everyone involved understands their roles, responsibilities and requirements. Collaboration between assessors and candidates can help to improve the efficiency of the Recognition process, enable a better understanding of the process and related units of competency, and allay any unnecessary concerns and fears that may be held by the candidate. Strategic consideration of evidence Example Assessing against the unit of competency, Obtain information resources from remote sources for clients in the Museums, Library and Information Services Training Package, the assessor knew that following the standard procedure for sourcing information was critical. She realised that the piece of evidence submitted by the candidate which showed that he could process an inter library loan was a critical. It confirmed that the candidate followed the correct procedures and was able to complete the required task. A key factor in the achievement of an efficient Recognition process is a strategic approach to the collection, consideration and judgement of evidence. A strategic approach is one in which key evidence is identified that gives an immediate indication of competence. Other evidence can then be collected to fill gaps or confirm less critical areas. This strategic approach can help to identify the specific areas that need critical evidence, such as safety and quality. It is the process of identifying the various types of evidence and prioritising the sequence in which they are considered. Expert assessors focus on critical evidence first, then systematically work through other forms of evidence that may be less critical, as an indicator of current competence Department of Education, Training and Youth Affairs

23 This is evident in old qualifications, references or examples of work that were achieved so many years previously that the assessor cannot confidently regard them as indicators of current competence. During the Recognition process, there is often a point at which the assessor needs to seek more recent evidence of current competence. This may be achieved through direct observation, questioning and third party reports of recent performance. Even in this gathering of more recent evidence, the assessor should adopt a priority order to focus on the more critical aspects of performance and knowledge. Expertise of assessors The use of experienced and qualified assessors is a key feature of a quality Recognition process. The requirement to use qualified assessors in conducting assessments for the purposes of national recognition, that is specified in both the AQTF and all Training Packages, may be met in a number of ways, including: an individual with technical expertise and the relevant assessment competencies an assessment team including people with technical expertise and the relevant assessment competencies who work collaboratively a technical expert who collects evidence, which is then considered by a qualified assessor who coordinates the evidence collection and makes the assessment decision Department of Education, Training and Youth Affairs 17

24 The most efficient Recognition processes generally involve individual qualified assessors or assessment teams which include qualified assessors and technical experts with extensive recent experience in the competency areas being assessed. In these situations, the assessors can work strategically to judge quickly if candidates have the required skills and knowledge to be deemed competent. The key to efficient and accurate judgements is the ability of assessors to home in on critical aspects of competence and recognise obvious deficiencies within the available evidence. Networking with others Tip Refer to Guide 9: Networking for assessors in the Training Package Assessment Materials Project. Networking with others, particularly other assessors, is a critical factor in good practice Recognition processes. Networking helps to: maintain consistency in the way Recognition is implemented through helping to develop a shared understanding of the units of competency in the relevant Training Package and the evidence requirements maintain the professional development of assessors foster a shared understanding of Recognition and the processes involved maintain greater confidence in the judgements made. Synthesising and judging evidence A good practice Recognition process encourages the consideration and judgement of evidence in a holistic way. It promotes consideration of evidence as a whole and its synthesis in terms of the overall requirements for a number of units of competency Department of Education, Training and Youth Affairs

25 Tip It is a good idea to use individual assessors and assessment teams with recent expertise in the areas being assessed. Assessors and assessment teams should adopt a holistic and strategic approach to the collection and judgement of evidence against the requirements of the units of competency in the relevant Training Package. For example, evidence of 'working safely' and possessing knowledge of possible safety hazards and strategies for minimising them' will usually be reflected across a whole set of workplace activities and prior learning experiences. Assessors and assessment teams will have little difficulty in reviewing and synthesising the available evidence, to assess whether the evidence confirms competence or reveals gaps requiring further training or structured work experience and guidance. If there are doubts the assessor will then need to gather additional evidence. This can be achieved by further observation of current performance, strategic questioning, examining further examples of candidates work or obtaining further third party reports from those who may have had recent opportunity to assess the candidates performance in the competency areas under consideration. Recording Tip Recording is not something only carried out after the Recognition activities are completed. Recording of relevant information should be planned and integrated into the whole process. The issue of what records to keep and how long they should be kept is a key question that must be addressed when a Recognition process is being developed and implemented. RTOs must keep appropriate records for: registration and auditing requirements of State or AQTF requirements The RTO must document and implement procedures to assure the integrity, accuracy and currency of records that include but are not limited to: retention, archiving and retrieval of student results for a period of 30 years and transfer consistent with State or Territory Registering Body requirements. Territory Registering Bodies providing statistical information to AVETMISS keeping records of their own candidates outcomes providing copies of outcomes for candidates in the case of lost qualifications or Statements of Attainment. According to the Australian Quality Training Framework Standards for Registered Training Organisations, retention, archiving and retrieval of student results should be maintained for a period of 30 years. The relevant State or 2001 Department of Education, Training and Youth Affairs 19

26 Territory Registering Body should be contacted to obtain additional information and confirm the most current procedures. The assessor should keep sufficient information to confirm what decisions were made and the basis for those decisions. This is particularly important in areas identified as being especially critical, such as safety, customer service and environmental protection. Records that are usually kept include: the outcome of the Recognition process samples of evidence submitted by the candidate in line with the requirements of the relevant State or Territory Registering Body the reasons why a judgement has been made that a candidate does not meet all requirements for the relevant units of competency any action plan that was discussed and agreed with the candidate, to enable any gaps in competency to be addressed and filled details of any appeals that might be lodged and the results of such appeals. Suitable materials and guidance should be available for candidates and assessors to help them keep sufficient records. An example of a record keeping proforma can be found in Appendix B. Further information on record keeping can be found in Chapter Department of Education, Training and Youth Affairs

27 Quality management Tip Quality management is an essential part of the overall process. Everyone involved must be briefed on quality measures, encouraged to work towards the achievement of quality objectives and actively involved in review activities. Quality management is a crucial part of all good practice Recognition processes. Quality management is a shared activity, with everyone taking part in the planning and implementation of the process. It includes: setting quality criteria for the Recognition process during the planning and design stage, and briefing all involved on quality objectives and how to achieve them developing suitable techniques and processes to collect information about the Recognition process obtaining feedback from key participants both during and after the Recognition process thinking about the implications of the feedback relating to the implementation of the Recognition process identifying ways of improving the Recognition process preparing a suitable action plan to enable the identified improvements to be included in future Recognition activities. Figure 5: The quality management cycle 2001 Department of Education, Training and Youth Affairs 21

28 A quality management checklist is included in Appendix B. This is designed to help assessors identify and focus on the key areas of a Recognition process. Feedback and action plans Candidate s view When Maria was putting together her evidence, she was unsure if some of the evidence she was gathering was really necessary. She met with her assessor and they discussed what she had already put together and how it related to the units of competency. By doing this, Maria could easily see that some of her evidence was unnecessary. It also provided her with a better idea of what else she would need to provide. Feedback is a critical component of all good Recognition processes. This should be a two-way process between the candidate and the assessor. It should be provided to the candidate at appropriate times throughout the process and should include opportunities for the candidate to ask questions or clarify issues. Providing feedback during the implementation stage is essential for guiding candidates through the process. They should be given feedback on the evidence they have gathered, how it relates to the units of competency and any obvious gaps. During the review stage, the assessor should give feedback on the decision and the reasons for it, options that are available to fill any identified gaps in competence and appeal options, if necessary. At the time of providing feedback to candidates on the outcomes of the process, the assessor should: provide details of the reasons for the decision discuss the options available to candidates and the benefits of these options help candidates to develop a suitable action plan to fill any identified gaps in competence. All feedback and assistance given to candidates should provide a positive and constructive outcome that benefits candidates and allows them to systematically take up vocational options according to their ambitions and talents Department of Education, Training and Youth Affairs

29 Equity considerations and appeal process Candidate s view When Kaya applied for Recognition, she had an initial interview with the assessor. At this point the assessor explained the process that was involved, what Kaya had to do and what would happen after the assessor had received and judged the evidence. If Kaya was found to be not yet competent, the reasons would be clearly explained to her. If Kaya disagreed with the outcome, she would be able to appeal the decision and the process, and her evidence would be re-examined by another assessor. An important principle of all assessment processes, including Recognition, is that of fairness. A critical question that should be asked by everyone carrying out Recognition is: Are all candidates being treated in the same way? The assessor needs to ensure that some candidates are not being disadvantaged because of possible bias in the process or because of some personal aspect, for example, their inability to speak English, a physical or mental impairment or the fact that they obtained their qualifications in another country. This can be achieved through awareness of possible ways in which bias and disadvantage can occur in a Recognition process and by having strategies for dealing with these fairness issues as they arise. A number of steps can be taken to ensure fair processes, including: building the principles of fairness and equity into procedures when planning the processes and developing the techniques and materials to be used ensuring that material describing the Recognition process clearly outlines the principles of equity and fairness ensuring that everyone involved in the Recognition process is made aware of the principles and the action they can take to make sure they are properly applied the inclusion of fairness and equity among the key qualities to be checked and reviewed within the quality management system for the Recognition process organising support and assistance to candidates who may require reasonable adjustment of the Recognition process building a suitable appeal procedure into the process that is itself fair and equitable 2001 Department of Education, Training and Youth Affairs 23

30 making sure that all candidates are aware of the fairness and equity principles that are incorporated in the Recognition process ensuring that candidates know what they can do if they feel they have been unfairly or inequitably treated during the Recognition process ensuring that the Recognition process is consistent with the advice on reasonable adjustment provided in the assessment guidelines section of the relevant Training Package. Quality Recognition and efficiency There are a number of ways of streamlining Recognition processes that do not compromise the industry competency standards or the process. These measures, which are illustrated in Figure 6, include: Figure 6: Measures that can improve efficiency Department of Education, Training and Youth Affairs

31 Example At one RTO, considerable effort has been made to enhance assessor expertise, the development of assessor networks and the involvement of candidates through the use of interactive workshops, briefings and self assessment. This has been supported by high quality resources, including charts, worksheets and presentation materials. This has produced a Recognition process that is both more efficient and user friendly. appropriately preparing and briefing assessors. Assessors who are well prepared can carry out an efficient process that does not waste time trying to clarify or obtain additional information using the benefits of scale relevant to the context of the Recognition process. That is, there may be greater efficiencies when large numbers of candidates are seeking Recognition in similar areas. This can sometimes be achieved in Recognition projects with enterprises or by working in partnership with other RTOs being flexible in the timing and flow of the Recognition process. This involves using a process that is flexible and able to meet the needs of all those involved using appropriate aids and carefully designed materials. These will assist assessors in the process and help to clarify any important areas using appropriate risk management strategies. This involves balancing the quantity of the evidence required or the rigour of processes used, depending on the amount of risk involved Department of Education, Training and Youth Affairs 25

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33 4. PLANNING THE PROCESS Identifying and confirming the purpose Candidate s view Josh was seeking Recognition for a technical area that he wanted to move into. He had done some work in this area and felt that he had picked up enough of the skills and knowledge needed. After meeting the assessor and having his first interview, Josh realised that he didn t have nearly enough experience in the area. However, the assessor noted that Josh had many other skills, particularly supervisory skills, and suggested that perhaps he should seek Recognition for a number of units of competency in a management area. An important first activity for an assessor carrying out Recognition is to identify and define the purposes and aims of the Recognition process. These will vary, depending on the context, background and ambitions of the candidates and the risks involved. This stage usually involves working closely with assessors, candidates and where relevant, supervisors, trainers and workplace managers. Most often, individual interviews and workshops with candidates, supervisors and/or trainers are used to discuss the purpose of the process. Frequently, the purpose is not clear straight away and it is necessary to tease out the aims of the process and the opportunities it can provide. The purpose often shapes the way the Recognition process is subsequently developed and implemented Department of Education, Training and Youth Affairs 27

34 The people Informing and involving the candidate Example One organisation uses a web site to provide information and advice to candidates. It helps to identify the relevant qualifications and units of competency, and offers guidance on the process and what is needed. Recognition is a process by which candidates seek confirmation of the skills and knowledge they have acquired through earlier work, life and other learning experiences. To achieve this, the candidate must provide evidence that this prior learning took place and that they still possess current competence in the relevant area for which they are seeking Recognition. Therefore candidates have a great deal of responsibility to gather suitable evidence to prove what they have achieved. The assessor may guide them as to what kinds of evidence Candidate s view Frances sought Recognition to identify her skills and knowledge. She had not worked for many years and wanted to undertake some casual work. She didn t think that she would receive Recognition for more than one or two units of competency. Talking to the assessor was a great way for Frances to realise that she had many more skills than she thought. She had been doing the books and marketing for her husband s business and had been very involved in the School Council at her children s school, doing various administration tasks. She didn t realise that all of these things could be recognised and might contribute towards a qualification in Business they might need to provide, but candidates have the flexibility to decide on the kinds of evidence they can put together to confirm their competence. Candidates need to be aware that the more recent the prior learning, the more value such evidence has as an indication of current competence. Encouraging candidates to think about what they do and what types of things they can use to confirm competence can help them to come up with suitable evidence. This may not work for all candidates, as some will need more guidance and information on the kinds of things that they can use. It is important that the assessor finds out how much candidates understand about their job role, the evidence that they can provide and how that evidence relates to the units of competency in the relevant Training Package. In many instances where candidates are seeking Recognition, they will need to provide a collection or portfolio of evidence. This is used to confirm that the skills and knowledge of candidates match specific units of competency Department of Education, Training and Youth Affairs

35 Evidence for a portfolio can take many forms, and will usually include such things as: examples of work photographs, videos, letters and reports relevant credentials such as awards, certificates and qualifications employer references letters from clients or members of work teams. An example of the information the assessor may provide to help candidates prepare a portfolio can be found in Appendix B. Assessor quote It is the responsibility of the candidate to provide a clear and easy-to-follow portfolio. I am not there to do it for them. If a candidate hands in a portfolio which is not clearly set out, I send it back until it is presented in a clear and easy to follow format. When candidates are putting together a portfolio, it is a good idea to encourage them to label and reference each piece of evidence. This will help the assessor identify what each piece of evidence is being used for and where it relates to the unit(s) of competency. This will also ensure that the assessor does not spend endless amounts of time trying to work out where each piece of evidence fits. Evidence can also be sorted in terms of its recency and the extent to which it points to current competence. This will Hint It is important that candidates do not have false expectations that just because they have had prior learning experiences at some time in the past they possess current competence. help the assessor take a strategic approach to considering and judging the evidence. It also allows a rapid decision to be made as to what additional evidence of current competence might be needed. Competence is a little like the level of water in a leaky bucket. If its level is not replenished through ongoing experience and/or periods of further learning, the level of competence diminishes Department of Education, Training and Youth Affairs 29

36 The role of the assessor Tip The assessor should ask candidates about the evidence they have provided and how it confirms current competence in the relevant area. This will give an indication of the candidate's understanding of the units of competency and how they relate to the evidence provided. Tip Many candidates tend to underrate their prior learning and achievements. It is important therefore that assessors help candidates unpack and reflect on their achievements and the way they may have contributed to their current skills and knowledge. The assessor has a number of roles in the Recognition process. One is to provide guidance and support to candidates. Another is to consider and judge the evidence and to ensure that it confirms competence against the relevant unit or units of competency. In some contexts, the assessor will be part of a team and will play a role in planning and developing the process in conjunction with workplace and/or institutional personnel. In other contexts, the assessor will be acting alone or with others in implementing an existing process. In such cases, planning involves adapting the process to fit in with the candidate's background, ambitions and needs. Working with candidates and others is a key part of the assessor's role in good practice Recognition processes. For an efficient and effective process, it is important that the assessor should have sufficient expertise and understanding of: the competency areas being assessed the way those competencies are used in workplace contexts the principles, rules and procedures for fair, efficient and effective assessment of competence. The roles of supervisors and technical experts Supervisors can assist assessors in developing and implementing the Recognition process by helping them to identify and clarify workplace activities that demonstrate the units of competency in question. These activities can then be used in the collection of evidence to corroborate other evidence of current competence Department of Education, Training and Youth Affairs

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