Assessment approaches for small workplaces

Transcription

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

2 Assessment approaches for small workplaces This guide was developed by Precision Consultancy 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

3 Assessment approaches for small workplaces 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. 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 iii

4 Assessment approaches for small workplaces 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

5 Assessment approaches for small workplaces TABLE OF CONTENTS Foreword... iii Introduction... 1 About small workplaces...1 About this guide...2 How to use these publications Assessing in small workplaces: A guide for owner/managers of small workplaces Assessing in small workplaces: A guide for RTO assessors Appendix A: Glossary... Appendix B: At a glance approaches to assessment in small workplaces - a guide for owners and managers... Appendix C: At a glance approaches to assessment in small workplaces - a guide for RTO assessors... v

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7 Assessment approaches for small workplaces INTRODUCTION About small workplaces A lot of Australians work in small workplaces. Whilst exact employment figures are not available, the Australian Bureau of Statistics estimates that there are over 850,000 small private sector businesses in Australia which employ nearly 3.0 million people. Small business accounts for over 80% of all businesses and 97% per cent of businesses in the private sector. They also account for over 30% of all employment and over half of all private sector business employment, including self-employment. In addition, small business contributes nearly 30% of gross domestic product and almost twenty per cent of pre tax operating profit. Whilst small businesses are a significant proportion of all small workplaces, there is increasing acceptance that small workplaces also incorporate a range of organisations that are not normally included in definitions of small business, such as semi-autonomous business units and work teams that are part of larger organisations. When these organisations are included it is clear that small workplaces form a significant component of the Australian economy and are a potential major client for the national vocational education and training (VET) system. Small workplaces require skills and knowledge to remain competitive, develop new ways of working and expand their markets. With assistance from RTOs many small workplaces could be encouraged to see the VET system as an appropriate way of acquiring these skills and knowledge. 1

8 Assessment approaches for small workplaces About this guide There are two publications contained in this guide. The first publication is designed for assessors working in Registered Training Organisations (RTOs) that offer assessment services to small workplaces and the companion publication targets managers and owners of small workplaces. 1. A guide for owners and managers of small workplaces This guide has been prepared for small business owner/operators and for managers, supervisors or coaches in small workplaces. It focuses on learning and assessment in small workplaces. This guide provides small workplaces owner/managers with information and advice on: learning in small workplaces using nationally recognised learning and assessment learning and assessment to meet business objectives working with RTOs controlling the cost of assessment importance of well trained workforce. A summary of this guide, a brochure titled 'at a glance approaches to assessment in small workplaces - a guide for owners and managers' is included as Appendix B. 2. A guide for RTO assessors This guide has been prepared for assessors who provide services to small workplaces. The purpose of this publication is to highlight ways in which RTOs can enhance the quality and relevance of assessment services provided to small workplaces. This guide provides assessors with information and advice on: the nature of small workplaces in Australia the approaches taken to learning, training and assessment in small workplaces ways of ensuring that the assessments services provided by RTOs address the business needs of small workplaces organising assessment in small workplaces. 2

9 Assessment approaches for small workplaces The guide includes a number of templates that assessors may use in planning and conducting assessments in small workplaces. A summary of this guide, a brochure titled 'at a glance approaches to assessment in small workplaces - a guide for RTO assessors' is included as Appendix C. How to use these publications It is anticipated that the publication for RTO assessors will be distributed by RTOs to staff providing services to small workplaces. Whereas the publication and summary brochure aimed at owners/managers of small workplaces may be distributed through: employer and professional associations, such as: unions Industry Training Advisory Bodies (State and national) Registered Training Organisations New Apprenticeships Centres Group Training Companies relevant government departments other relevant organisations. Both publications and summary brochures are contained on the Training Package Assessment Materials Project CD-ROM in a protected document format (PDF). These documents can be copied and printed by organisations involved in providing training and assessment services and information to RTOs and small workplaces. 3

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11 Assessment approaches for small workplaces 1. Assessing in small workplaces: A guide for owners and managers of small workplaces 5

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13 ASSESSING IN SMALL WORKPLACES: A Guide for owners and managers of small workplaces

14 This guide was developed by Precision Consultancy 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

15 Contents What is this guide about? 4 How can training and assessment help your business? 4 What is nationally recognised training and assessment? 6 What financial support is available? 8 What are the best ways of working with RTOs? 9 What does assessment involve? 11 How can we make it work? 18 What should you look for? 20 Further information 22 Attachments Tools for owner/managers of small workplaces 23 3

16 What is this guide about? This guide is for owners and managers of small workplaces. It explains: the benefits of using of the national vocational education and training (VET) system the assessment processes in New Apprenticeships, skill recognition and workplace training programs. It also includes a number of tools that you can use in planning and conducting assessments. The guide complements a similar publication directed at Registered Training Organisations (RTOs), including TAFE institutes and private training organisations, that offer assessment services to small workplaces. How can training and assessment help your business? You can use training and assessment to: develop new skills stay ahead of the competition address staff turnover and skill shortages comply with regulatory or licensing requirements deal with new technologies meet quality system requirements in the supply chain improve safety boost productivity and profitability keep customers allow for expansion increase productivity reduce employee turnover increase efficiency decrease the need for supervision. RTOs can help you plan training and assessment that reflects your business objectives. You can do this by considering the questions in the following diagram. 4

17 Relating training and assessment to business needs YOUR BUSINESS What is your product/service mix? How might this change? Who are your customers? What are their needs and priorities? What is your approach to customer service? Who are your competitors? Do you have a competitive advantage? What market trends might affect your business? Do you want to grow / develop the business? ASSESSMENT AND TRAINING Do you know what skills and knowledge your employees possess? Are there any gaps in the company s skills and knowledge? What learning opportunities can be provided to address these gaps? How can these learning needs be related to your relevant industry? How can these learning opportunities be organised? What resources are needed to support learning? How will the learning be assessed? How will the impact of learning on the business be evaluated? Assessment and training Skill requirements Your business SMALL WORKPLACES Develop an action plan Business objectives BUSINESS OBJECTIVES What are your objectives? (sales, income and expenditure, marketing, staffing, operational, social or environmental) What legislative, regulatory or industrial requirements must be met? What are your success indicators? SKILL REQUIREMENTS What skills are required to meet your business objectives? What are employees current roles/responsibilities? What skills and knowledge do your employees need in their current roles? What new roles and responsibilities will your employees need to take on? What skills and knowledge will they need for these new roles? DEVELOP AN ACTION PLAN How will I achieve these objectives? Which objectives might be met through improved financing, marketing and resourcing? Which objectives might be met through new procedures? Which objectives might be met through recruitment? Which objectives might be met through staff training and skill development? 5

18 What is nationally recognised training and assessment? What are Training Packages? Training Packages have been developed for almost every industry in Australia. They define the skills and knowledge needed for work. They identify the skills required by industry, not the way that employees should be trained. Training Packages include competency standards, assessment guidelines, and qualifications that allow for: formal and informal learning the recognition of employees current skills on-and-off-the-job learning and assessment customised training and assessment that meets business requirements. Many small workplaces use the VET system to meet their skill development needs. This may be through: New Apprenticeships (called apprenticeships and traineeships in some States and Territories) short courses in specific skill areas small business training programs off-the-job training programs workplace training programs. These programs are increasingly based on Training Packages, which provide nationally recognised qualifications. Training Packages offer both you and your employees choice over how, when and where learning and assessment will occur. Employees who already have relevant skills can be assessed without further training to see if they meet the requirements for a qualification. What is an RTO? A Registered Training Organisation (RTO) is an organisation that has been registered by a State or Territory Training Authority to provide training and assessment and to issue nationally recognised qualifications. RTOs are required to operate within a nationally agreed quality assurance framework, called the Australian Quality Training Framework (AQTF). There are public RTOs (such as TAFE institutes) and private RTOs. Some training and assessment services offered by RTOs are government funded while others are provided on a fee-for-service basis. Some enterprises have decided to become RTOs to train and assess their own employees. 6

19 How does assessment within Training Packages work? Assessment involves employees demonstrating their skills and knowledge through: completing work tasks answering questions about their work providing examples of work they have completed. A qualified assessor then decides whether the employee meets the standards required by the business and specified in the relevant Training Package. RTO assessors work with you to make sure that assessment suits your business. Your employees may be assessed on-the-job, off-the-job or in any other way which suits you and your employees. Both new and existing employees can be assessed and gain a qualification that is recognised throughout Australia. (Employees who demonstrate some competencies, but not enough to gain a full qualification, are issued with a Statement of Attainment that identifies the competencies they have achieved.) As shown in the following diagram, Training Packages enable employees to gain qualifications through learning and assessment, assessment only or a combination of the two. Each of these lead to nationally recognised qualifications. What does the assessment involve? Assessment involves collecting evidence and making judgements about whether competency has been achieved. Assessors make judgements by comparing an employees performance with the competency standards and the business requirements. Collecting evidence might involve: observing employees perform work tasks asking employees questions about their work checking the quality and quantity of the goods and services produced by employees asking supervisors to confirm that the employees regularly perform at the required standard. Learning and assessment Competency standards in Training Packages and/or Qualifications Assessment only 7

20 What financial support is available? RTOs bid for government funds to deliver training and assessment. This money may be used to subsidise training and assessment services. Financial support for new and existing employees is also available through the New Apprenticeships scheme. In some States and Territories there are incentives or exemptions regarding payroll tax and workers compensation for employers who employ apprentices and trainees. There are costs associated with participating in nationally recognised training and assessment. The RTO should be able to suggest ways of controlling these costs. For example by: incorporating assessment activities into real workplace tasks conducting assessments on a just in time basis using other employees as evidence collectors using small group assessments to reduce unit costs assessing whole work tasks rather than single units of competency allowing employees to manage the evidence collection process. Financial support through the New Apprenticeships New employees New employees can be recruited under the New Apprenticeships scheme. New Apprenticeships provide national recognition and financial support for any formal arrangement that combines structured training and ongoing employment with an eligible employer. The names and structures of these arrangements vary between States and Territories, but are usually referred to as traineeships and apprenticeships. A New Apprentice can be employed under a federal or State award, an Australian Workplace Agreement (AWA), a Certified Agreement (CA) or their State or Territory equivalents. Many trainees are employed under the federal National Training Wage Award. It provides full time, part time and school based wage rates and conditions. Further information regarding apprentice and trainee wage rates, subsidies and incentive schemes is available from: employers associations relevant federal or State workplace relations advisory services industry training advisory bodies (ITABs) New Apprenticeships Centres (NACs). Existing employees Existing employees may also join the New Apprenticeships scheme and can attract Commonwealth incentives. Current details may be obtained by calling or from the web site on 8

21 What are the best ways of working with RTOs? Choosing an RTO Select an RTO like you would select any other supplier. You can get information about RTOs from: State and national industry training advisory bodies State and Territory Training Authorities industry networks the National Training Information Service ( Establish clear, written agreements with RTOs that set out the type of service to be provided, the costs of the service and your and the RTOs responsibilities. Questions to ask the RTO Can you explain how the training and assessment will help achieve my business objectives? Do you have experience in dealing with small workplaces? Are you aware of the Training Package and how it can be adapted to suit the needs of my business? Can you deliver services when and where I need them? Do your services represent good value for money? Do you have resources to support the training and assessment I need? Can you provide references from current clients? Can you access funding to help meet the cost of training and assessment? Do you have current expertise relevant to my training needs? Are your trainers/assessors formally qualified? What experience do your assessors have in working with small workplaces? 9

22 Selecting an assessor Work with the RTO to identify the best assessor for your business. Use the following guidelines to assist you. Selecting assessors Assessors working with small workplaces need to: be qualified have recent industry experience know industry work practices have experience in small workplaces quickly identify relevant evidence recognise deficiencies in employee performance communicate effectively have a business focus work with technical experts on-site be willing to listen tailor assessment to the workplace. 10

23 What does assessment involve? Assessment processes vary from one small workplace to another. However it usually comprises five stages. The assessment process Identify your business needs Identify the employee s learning requirements Prepare a learning and assessment plan Implement the plan Review the plan Identify your business needs The first step is to identify why you want the employee to develop new skills. Is it to: gain new skills for the business? comply with regulatory or licensing requirements? meet quality requirements? comply with industrial agreements? enhance safety? improve productivity and profitability? stay competitive? You then need to work out how developing the employee s skills will improve your business. In particular, identify: the employee s work activities the standard of performance required the skills and knowledge needed to perform these tasks. Work with the RTO to match your training requirements with the relevant Training Package. If the assessment is part of a New Apprenticeship, a representative from the New Apprenticeship Centre may assist you. At the end of this stage, you should be clear about the needs of your business, the role of the employee, the employee s work activities and how these relate to the Training Package. 11

24 Taking on a New Apprentice made me think about what I expected from the training and assessment, said John, the owner of Media Solutions. I thought it would be good to give someone a chance to get into the industry, but I hadn t thought beyond that. Sandra from the New Apprenticeship Centre asked me how a New Apprentice could contribute to my business. I realised that I do a lot that could be handled by a trainee. I could then spend more time promoting and growing the business. We wrote out a list of things that a New Apprentice could learn which would help me to run the business more smoothly. Most of these were basic technical skills but I realised that I also needed the person to have good customer service and communication skills. Sandra showed me how these related to the Entertainment Training Package. She explained that I could customise the competency standards to suit my business. The assessment could be used to identify the person s strengths and weaknesses and by combining this with the competency standards I could point out how performance might be improved. I liked this approach it felt more like coaching than assessing. Identify the employee s learning requirements Establishing the employee s current skills, special needs and learning requirements will help ensure that learning and assessment: focuses on the skills that the employee needs takes into account the employee s special needs (such as a disability, learning problem or other special characteristic). Questions you should consider include: What are the employee s main work activities? Which of these can the employee already do? In which areas does the employee need to improve? What new skills and knowledge does the employee require? Does the employee have any special needs? In most cases, the RTO assessor will assess the employee s current skills. This may be through observing the person at work, asking questions or speaking with you about the person s work performance. You can assist both the assessor and the employee by: providing accurate reports on the employee s performance ensuring that the employee has the opportunity to practice skills at work providing the assessor with access to workplace documents assisting the employee to collect work samples and other evidence. At the end of this stage you should have a clear picture of the employee s learning requirements. 12

25 Fertiliser is a small workplace that operates relatively independently from its larger overseas parent company. It manufactures and distributes fertilisers. Employees have acquired the skills related to their jobs through a combination of informal learning and on-the-job training. Recently, the overseas parent company decided that all full time employees had to hold formally recognised qualifications in safety and quality control. While most of the full time employees were skilled in these areas, only one person held formal qualifications. Rather than re-train all employees, the manager arranged for the local TAFE institute to assess their skills and provide training for those who needed further skill development. Carla, the factory manager commented that the assessment process was pretty rigorous but fair. Our employees had to produce evidence of their skills. Some had to answer questions and show the assessor what they would do in certain situations. Others had to complete written tests. At the end of the process, four people got their full qualifications and four had to do some further training and assessment. It suited them and it suited me. We didn t lose much production time and the staff didn t have to sit through training on things they already knew. Prepare a learning and assessment plan The RTO assessor will work with you and the employee to develop a learning and assessment plan. This sets out: what the employee must be able to do how the required skills and knowledge will be learned how these will be assessed. In preparing this plan you need to consider: What skills does the employee need to develop or improve? How will the employee gain these skills? Where will learning take place? Who is responsible for monitoring the employee s progress? How will I know when the employee is competent? How will the special needs of the employee be met? What further learning and employment options exist? The answers to these questions should be documented in an agreed learning and assessment plan. A sample plan is provided below and a proforma is included as Attachment 1. 13

26 Learning and assessment plan Name of employee Qualification Workplace Registered Training Organisation Hong Nguyen Certificate II in Nail Technology Toni s Hair and Beauty Saloon Local Tafe 1 Learning Activities Description Location W work R RTO Agreed evidence for assessment Received [ when received] Date Received Provide service to clients W observation report on client feedback provided to Toni report from Toni appointment book July 3rd Apply nail enhancement W observation report from Toni TBA Apply nail art RTO photographs of nail art completed test on salon health and hygiene July 15th Toni has been a beautician for over 15 years. She has a staff of four and recently decided to employ Hong as a new trainee. Toni is a great advocate of on-the-job training and believes trainees can learn a lot from good training, guidance and watching what experienced employees do. This might seem like a haphazard approach but it s not. It s the way people learn in this industry. You watch other people, they explain things to you and you have a go at doing it yourself. We try to make the trainee feel that they are just part of the team. There is some method in the madness. Hong, the assessor from the RTO and I sat down and worked out a learning and assessment plan. It sets out what she has to learn, what she has to do at work to learn these skills and what she will need to show us to prove that she has gained the skills. This plan is pretty simple but it is written down. We each have a copy. If we think there is a need to change the plan we sit down and discuss it and agree to the changes. 14

27 Implement the learning and assessment plan The RTO assessor will work with you and the employee to implement the plan. You will need to: provide formal and informal learning opportunities look for coaching opportunities collect evidence of the employee s performance (a checklist for observing work is included as Attachment 2) prepare reports on the employee s performance (a sample form for recording your comments on employee performance is included as Attachment 3) advise the RTO on the employee s performance and overall progress inform other staff about the employee s learning requirements and ask them to provide learning opportunities for the employee where possible. The employee will need to: participate in informal learning on-the-job, such as completing work tasks, watching more skilled employees perform specific tasks, talking with sales representatives or reading industry publications participate in formal learning at either the workplace or the RTO complete assessment tasks collect evidence that shows successful completion of work activities. Cappuccino is a small business that specialises in gourmet coffee and fine tea. All raw coffee is roasted fresh in-house, which is then sold to the trade wholesale and at the retail store owned by the business. Tony, the owner, is proud of the quality of the coffee and tea provided by Cappuccino. Tony has recruited and trained two trainees in the past three years. Their training is all carried out in-house and is tailored to the exacting standards that Tony expects his business to produce. I ve always preferred new employees to have little experience because it can bias the way they work and learn, he said. The traineeship program we use is an ideal way to mould someone to become part of the team and to learn to think like we think. A lot of the learning is informal, showing them how to grind the coffee, getting them to talk to suppliers and most important getting them to talk to the customers they soon tell you what makes a good coffee! While the learning is informal, we are serious about the assessment. Our trainees have to keep a record of the things they do at work and write down information on various procedures and different types of tea and coffee. Most importantly, they have to demonstrate their skills to me. I have worked out with the RTO what evidence we need to say that the trainee is competent. I meet with the assessor every so often to chat about how the trainee is going. 15

28 The RTO assessor will need to: advise you on the selection of evidence coordinate evidence gathered by you, the employee and off-the-job trainers and assessors collect and review evidence of the employee s performance make judgements about whether specific competencies have been achieved provide support to both you and the employee arrange for assessment results and qualifications to be issued advise you and the employee on learning and employment pathways. Supporting learning and assessment There are some very simple ways that you can support learning and assessment in the workplace. You can do this by: setting time aside for specific learning activities or sessions allowing employees to attend training sessions away from the workplace organising job rotations for employees to learn new skills provide learning resources and materials to employees allocating a workplace coach to support employees. knowing what type of evidence employees need to collect or to demonstrate (see sample evidence plan) providing comments or written accounts of employee work performance (see third party report forms) helping employees collect samples of their work to use in portfolios for assessment (eg memos, minutes of meetings, work products, planning schedules, photos of work completed, etc) signing off record sheets (such as log books) giving feedback to employees about their strengths and how they could improve in areas of work. Review the process Is the plan working? How might it be improved? You must review the learning and assessment arrangements with the RTO. Make sure that: the employee s learning and assessment plan is being implemented and continues to meet your needs and those of the employee you review the broader relationship with the RTO. 16

29 In doing this answer the following questions: Are my business objectives being realised? Has the employee developed new skills? How else has the employee benefited? Is the employee satisfied? Are there better ways of implementing the learning and assessment plan? Does it need to be changed? How effective has the RTO been? How can any problems be resolved? Am I getting value for money? Having evaluated the process, you need to decide whether to: continue with the learning and assessment plan modify the learning and assessment plan take on new challenges. Fine Furniture is a small company that employs four people and builds custom designed furniture. The company always employs at least one apprentice and has worked with the one RTO over the past ten years. The owner, Graeme, commented that we normally have two apprentices at any one time and we always have them enrolled at the local TAFE institute. The apprentices do their off-the-job training in a block format because it enables me to schedule their workload. I also think that they tend to learn and absorb more under the block system, as work doesn t distract them. The thing I also like is that I know their teachers and assessors. We ve built up a relationship over the years and they understand my business. They also know that I ve bought some new machinery and changed the style of furniture we produce so they ve been able to adjust the training and assessment to suit my needs. I normally go up and talk to the institute staff about my apprentices twice a year to review their progress. One of the things we ve done recently is to do a bit more of the practical assessment at my workplace. This suits me because I can be confident that they know how to use the equipment I ve got. It s like everything. You need to take time and review what you re doing if things are going to work well. 17

30 How can we make it work? Developing and refining the skills and knowledge needed in a small workplace often involves coaching employees. Coaching and mentoring involves providing employees with initial instructions, observing their performance, giving them opportunities to reflect on their skills and offering advice on how they can improve their skills. In some cases, coaching may be very informal and occur over a short period of time. In others, it may be an organised strategy for helping people to learn quite complex skills Provide further opportunities for practice Identify areas for improvement and development Discuss employees performance Invite employees to reflect on their work Provide opportunity for practice Explain the task The competency standards and assessment guidelines in Training Packages can assist with workplace coaching and mentoring. They may be used to: define the work activity identify the key steps or processes involved in the activity establish the standard of performance highlight the strengths and weaknesses in employees performance illustrate how employees performance may be improved verify that the required skills have been attained. One of the most common approaches to coaching and mentoring is when an inexperienced employee is paired with someone more experienced who explains tasks, answers questions and provides feedback on performance. The benefits of using experienced staff as workplace coaches and mentors are: they know the business and how it operates they train employees in exactly the way the business operates they gain satisfaction from passing on their skills and knowledge it builds positive attitudes to training. 18

31 Selecting workplace coaches and mentors The most competent employee doesn t always make the best coach or mentor. In selecting workplace coaches and mentors, ask the following questions. Do these people: seek to improve their own performance at work? like working with others? enjoy their jobs? share things that they have learned? listen to others? help without taking charge? have time, energy and patience to assist others? display a willingness to do extra paper work? keep up-to-date with new equipment and processes? Blossom is a family operated florist in Perth. It is run by a father and daughter team and employs six casual staff. The father is the owner/operator of the business. He is committed to providing learning opportunities for his employees to ensure that their business continues to have the reputation as one of the city s leading florists. Following a brief induction, all Blossom employees used to be trained through a buddy system which was successful but unstructured. After speaking with an RTO the owner realised that his daughter and another experienced employee should take on the coaching role to ensure that all new employees receive the same instruction and use the methods and techniques required by their workplace. It was also decided that with some part time external training the employees could gain a nationally recognised qualification. The owner s daughter is aiming to become a workplace assessor so that she can work with the TAFE trainer to assess the competencies of the employees while they are doing their normal job. The owner realises how important it is to combine informal and structured learning to make sure that his employees have the current knowledge and skills the business needs. 19

32 What should you look for? Many small workplaces have established successful learning and assessment arrangements. The following tips are drawn from the experiences of some of these workplaces. Identifying the business outcome Be clear about your reasons for engaging in learning and assessment. Most successful arrangements are set up to achieve specific business objectives like developing new skills, complying with licensing requirements, enhancing safety or improving productivity and profitability. Reasons and benefits must be communicated to all employees and the RTO. Make sure that you undertake regular reviews to check that learning and assessments are delivering the outcomes you require. Focusing on work Focus assessment activities on real workplace tasks. Work with the RTO to identify the tasks that employees undertake at work, match these with the relevant competency standards and develop simple ways to record how effectively they are performed. This will ensure that assessment activities are directly relevant to the employee s work and are cost-effective for the business. Being an informed consumer To obtain the best possible service from your RTO, you need to have a working knowledge of the system. You should be aware of: the Training Packages that are relevant to your business the services provided by NACs, Group Training Companies and RTOs key sources of advice on training and assessment services ways of accessing funding to support workplace training and assessment, including New Apprenticeships Selecting the right RTO You need to choose an RTO that suits your business. Ask questions to ensure that the RTO: has a reputation for delivering effective training and assessment services has staff with up-to-date knowledge of small workplaces, experience and expertise in relevant skill development and current knowledge of your industry sector has appropriate equipment and facilities to deliver the services you need is willing to develop a personal, ongoing relationship with your business can customise training and assessment services to meet your needs 20

33 has previously worked with other small workplaces. Document the type of assessment service to be provided by the RTO. A written agreement will ensure that both you and the RTO are clear about your respective responsibilities. Choosing the right assessor Work with the RTO to identify the most appropriate assessor for your organisation. The assessor must have experience and current knowledge in competency assessment, assessing in small workplaces and work practices in your industry sector. Using competency standards and assessment in coaching Assessment provides employees with information on current performance and ongoing skill development requirements. View assessment as part of a coaching strategy that makes employees aware of the work activities they need to perform, the standard of performance you expect and how they can get assistance from other people in the workplace. You can use competency standards from the relevant Training Package to clarify work activities and performance standards and to identify areas of strength and weakness in employee performance. Joining a network Networks have been established by business and training organisations to promote workplace training and assessment. Some of these networks hold formal meetings, while others provide information services such as newsletters, web sites and information services. Participating in networking activities will enable you to keep up with new developments in assessment, hear about different assessment practices, develop new coaching and assessment strategies and find out about the issues facing other small workplaces. Gaining financial support There are costs associated with assessments in the workplace. These include salary costs for employees, fees for external assessors, material and equipment costs and loss of productive time. When planning assessment activities, work with the RTO to find ways to limit the cost of assessment, for example: incorporate assessment activities into real workplace tasks conduct assessments on a just in time basis use other employees to collect evidence use small group assessments to reduce unit costs assess whole work tasks rather than single units of competency allow employees to manage the evidence collection process encourage employees to base their portfolio of evidence on actual work activities. 21

34 Further information Further information, help or advice may be obtained from the following organisations. To find out about RTOs (in your area or that provide services to your industry) Visit the web To find out about New Apprenticeships Find a New Apprenticeships Centre tel: Visit the web To find out about State or Territory Training Authorities Contact Tel: Visit the web (click on VET info button) To find out about Industry Training Advisory Bodies Visit the web To find out about conditions of employment and training wages Contact your State or Territory workplace relations advisory service or the relevant union Visit the web To get general industry advice Contact your employer and/or professional association 22

35 Attachments Sample assessment tools 1. Learning and assessment plan 2. Observing work 3. Making comments 23

36 Learning and assessment plan Name of employee Qualification Workplace 1 Registered Training Organisation Learning Activities Description Location W work R RTO Agreed evidence for assessment Received [ when received] Date Received Notes Agreement Evidence to be submitted by: Interview date: I agree to the learning plan: Employee (name) (signature) Supervisor (name) (signature) Assessor (name) (signature) 24

37 Observing work Employee name Assessor name Unit of competency 2 Training Package Workplace Date of assessment Time of assessment Instructions MATERIALS AND EQUIPMENT The assessor will provide all equipment and materials required. OBSERVATION While undertaking the work activity, did the employee: The employee s demonstration was: Satisfactory Not satisfactory Did the employee answer the following questions? Yes No Satisfactory response Yes No The employees underpinning knowledge and understanding was: Satisfactory Not satisfactory Feedback to candidate: Employee signature: Date: Assessor signature: Date: 25

38 Name of employee Unit(s) Making comments 3 Registered Training Organisation or workplace Name of supervisor As part of the assessment for the unit(s) of competency listed above, we are seeking evidence to support a judgement about the employees competence. As part of the process of gathering evidence of competence, we are seeking reports from the supervisor and other people who work closely with the candidate. We would like you to complete this report. We value your contribution and ask that you answer the questions honestly. Does the candidate consistently meet your company s performance standards for: Yes No Signed by the supervisor: Date: Please provide some comments to support your responses: 26

39 Assessment approaches for small workplaces 2. Assessing in small workplaces: A guide for RTO assessors 33

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41 ASSESSING IN SMALL WORKPLACES: A guide for RTO assessors

42 This guide was developed by Precision Consultancy 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

43 Contents About this guide 4 About small workplaces 4 Develop a business culture 8 Understand the customer s business needs 9 Focus on business outcomes 10 Focus on work 12 Adopt a strategic approach to evidence 13 Choose the right assessors and evidence collectors 14 Use coaching to develop and assess competence 16 Control the cost of assessment 18 Market ethically 20 Bringing it all together 22 Sample assessment tools 29 3

44 About this guide This guide is for assessors who provide assessment services to small workplaces. It provides information on: the nature of small workplaces in Australia the approaches taken to learning, training and assessment in small workplaces ways of ensuring that the assessment services provided by Registered Training Organisations (RTOs) meet the business needs of small workplaces organising assessment in small workplaces. It complements a similar publication that is directed at owners and managers of small workplaces. About small workplaces What are small workplaces? Small workplaces form a significant component of the Australian economy and are a potential major client for the national vocational education and training (VET) system. The Australian Bureau of Statistics estimates that there are over 850,000 small private sector businesses in Australia, which employ nearly three million people. Small business accounts for over 80% of all businesses and 97% of businesses in the private sector. It also accounts for over 30% of all employment and over half of all private sector business employment, including self-employment. The term small workplace incorporates a broader range of organisations than those covered by traditional definitions of small business. For example, many small work teams or business units, which are part of larger organisations, have characteristics that are similar to small businesses. Printing is a business unit of a regional university that provides printing services. The unit operates on a commercial basis, competes with other printing businesses in the area and has a three-year business plan. Brenda, the manager of Printing, says, we operate this place like any other small business. I make most of the day to day decisions and report to the Vice Chancellor against the business plan. We employ four staff and each person has a learning and assessment plan. These are reviewed annually. I use the learning and assessment plan to keep our skills at the cutting edge. 4

45 Many different small workplaces Traditionally, small workplaces have been categorised by size, type of operation and industry sector. A more contemporary approach is to distinguish between small workplaces on the basis of their skill structure and supply patterns. Providers of specialised skills such as small automotive, engineering or software development businesses. In these organisations all employees have high level technical skills which are normally gained through formal, certified learning and informal learning through working in the industry. Specialist skills 'Electronics' manufactures high value electronic components. To maintain productivity and quality in its manufacturing operations the company owner believes it is imperative to 'look after the staff'. Staff are multiskilled and have formal qualifications. The company encourages them to undertake additional formal study and to participate in a range of informal learning activities, such as attending industry conferences and subscribing to key journals. The company conducts regular performance reviews of staff against its own enterprise competency standards, which are reviewed annually and benchmarked against a best practice company. Providers of technical processes, such as circuit-board design and assembly, photographic laboratories or chemists, are characterised by a structure in which operators or administrative staff support professional or technical personnel. Providers of flexible services, such as personal trainers, domestic care services and home maintenance services, are characterised by flexible and responsive service, high commitment and strong customer focus. Flexible and casual workforce 'Delicious' is a family run business, which owns and operates a restaurant. Family members work in the business, in both management and staff capacities. Casual staff members learn waiting/catering skills on-the-job with a family member as mentor. The family tends to employ students as casual staff and consequently staff turnover is too high to justify formal training. The family manager of the business and the chef have undertaken a formal training session off-site to learn about the standards required in the preparation and handling of food in order to pass their annual health/workplace inspection. The only time the employees' skills are assessed is when casual staff seek an increase in pay. 5

46 Organisations with minimal skills requirements such as assembly companies that generally use informal, in-house staff training. Professional service providers such as dental, medical, financial or legal practices, with a highly stratified workplace, limited career options and mandatory industry-recognised credentials. Professional service Teeth, a general dental practice, has a high degree of multiskilling in the workplace. All dental nurses have received formal training so they can perform reception duties, schedule appointments and process accounts. The senior dentist is the owner/manager and possesses managerial and human resource expertise. All staff attend a one-day infection control course, and dentists undertake regular professional development courses. Annual performance assessments are conducted for each staff member. These are used to identify gaps in staff expertise and to plan a training schedule for each staff member for the following year. Dental nurses who acquire new skills are encouraged to have these recognised through a Recognition process that the practice has established with a local RTO. Organisations with a flexible and casual workforce such as a service station or construction contractor, usually with core staff and a larger number of casual employees. Organisations with an unstable workforce such as fast food outlets, usually with a sustained, high level of staff turnover and limited in-house training. Learning in small workplaces Employers and employees in small workplaces gain skills and knowledge in a variety of ways. Employees learn from Employers learn from Supplier-run seminars and discussions with product representatives Working in other job areas Doing innovative projects Participating in review meetings Watching someone more experienced and asking questions Knowledge introduced by new staff New approaches learnt from previous business allies Loss of employees with core technical knowledge Learning as the organisation passes through different stages of development, including restructuring, takeovers or management changes 6

47 Small workplaces and recognised training and assessment RTOs must be able to demonstrate the benefits of formal training and assessment to small workplaces. These include: employees with improved skills and knowledge contribute to business growth and success higher staff retention rates compliance with legislative and regulatory requirements improved business opportunities through meeting quality system and supply chain requirements competitive advantage by employing staff with nationally recognised qualifications. Small workplace owners, managers and employees make relatively little use of recognised training and assessment. To change their views and patterns of usage, RTOs must adopt new approaches to training and assessment. The key changes that RTOs need to make are highlighted in the following diagram: Improving training and assessment in small workplaces Develop a business culture Understand the customer s business needs Focus on business outcomes Focus on work Adopt a strategic approach to evidence Choose the right assessors and evidence collectors Use coaching to develop and assess competence Control the cost of assessment Market ethically 7

48 Develop a business culture Training and assessment need to be seen as business enablers. RTOs must develop a business culture if they are to successfully meet the needs of small workplaces. This involves recognising that business requirements are the priority for small workplaces and that training and assessment solutions must directly improve both business and staff performance. It also means that RTOs must adopt a business approach. This involves knowing the customers and being able to respond to their needs with the right product, accurately described, reasonably priced and attractively presented. Rather than selling training and skills development, RTOs should focus on selling training and assessment as business tools which produce bottom line business outcomes. Assessor Skills, a private RTO, tailors assessor training programs for small and medium sized workplaces. I provide individually tailored assessor training programs using the Training Package for Assessment and Workplace Training, said Diane, the owner. Recently I trained two assessors for a small company that was implementing a skills based pay structure based on the standards in the Hospitality Training Package and wanted to assess its own employees. A partnership arrangement with a local RTO involved the company conducting the assessments under the RTOs quality assurance arrangements. But the company didn t have any trained assessors and hadn t been able to organise a time for staff members to attend a regular assessor training program. So I put together a training program that comprised two half-day training sessions delivered in the workplace, a self-paced guide with mentor support and a site visit. Two staff members then conducted an assessment supervised by me and another assessment in which they observed each other. We delivered the program at a time that suited the staff members and the company and focused on key issues that the assessors were likely to face when assessing their fellow employees. RTOs must be able to offer workplace centred, demand driven training and assessment solutions that: directly address the needs of the business fit in with workplace timeframes, including flexibility for shift or part time workers reflect the way in which people in small workplaces learn support employees and managers in administering their own learning produce clear business outcomes offer the benefits of national recognition. 8

49 Understand the customer s business needs Successful RTOs build strong, ongoing relationships with small workplaces. These RTOs: listen to small workplace owners and managers appreciate the issues confronting small workplaces understand the relevant industry sector are aware of the needs of the particular small workplace tailor training and assessment services to meet the real needs of the small workplace. Small workplaces are diverse environments with unique problems that require individually tailored solutions. RTOs need to gather information on: the nature of the small workplace the market in which it operates the challenges confronting the organisation the skills held within the organisation the approach the organisation takes to learning and assessment. It never ceases to amaze me that RTOs turn up to sell me assessment services, without even bothering to find out what my business does, what skills my staff have and what the real needs of my business are. This information is most easily obtained by talking to the manager or owner of the small workplace. A structured interview schedule (see attachment 1) may be used to collect this information. Other views may be gathered through: face to face interviews or discussions with key personnel in the organisation, including managers, employees and union representatives reading reports, news items, articles and other printed information on the organisation using formal questionnaires conducting telephone interviews with key personnel conducting focus groups with staff from the organisation reviewing broader industry information, surveys and reports consulting with industry experts on market trends in the sector in which the organisation operates consulting with relevant industry groups and associations. Successful RTOs spend time understanding the small workplace. This enables them to build a relationship with the organisation, establish its needs and implement effective training and assessment solutions. 9

50 Focus on business outcomes Business commitment to assessment is reduced if business results are not evident. Most small workplaces engage in training and assessment to achieve business objectives. These objectives may be to: develop new skills stay ahead of the competition address staff turnover and skill shortages comply with regulatory or licensing requirements deal with new technologies meet quality system requirements in the supply chain improve safety bolster productivity and profitability keep their customers. Imports is a small import/export company that distributes products throughout Australia from several countries in Asia. Growth in business meant that the company expanded from three to six staff. With more staff completing import documentation, errors were made and key consignments of stock were delayed. George, the company owner, decided that all staff needed training in import/export documentation. He approached the local TAFE Institute and Rod from the Institute s Transport and Logistics area organised a training program. You could see George s problem straight away. He used to do all the paperwork and then his business got bigger. More people became involved in completing the documentation, they weren t always clear about what to do and mistakes were made. We organised a program based on the unit of competency Complete import/export documentation from the Transport and Distribution Training Package and tailored it to George s business. The staff were trained at the work site using examples based on actual cases from the business. We then assessed their skills by having them complete the documentation for five actual cases. George can now feel confident that his staff understand the procedures. Successful RTOs appreciate the need to focus on immediate business needs. They understand the realities of small workplaces and ensure that improving the bottom line is the prime concern of training and assessment. RTOs that ignore these realities are less successful in involving small workplaces in training and assessment. 10

51 In the short term, focusing on business needs is necessary to win the confidence of small workplaces and to show that training and assessment can produce bottom line results. We started working with Rural Training Solutions on an ad hoc basis says Mary, the proprietor of Aquaculture. A problem would arise, such as needing one of the farm hands to get basic welding skills, learn how to drive a tractor or do basic water quality tests so we d call in Training Solutions and they d do the training on-the-job. I guess we learnt that training could deliver solutions for our business. After a few experiences like this, one of the assessors from Rural Training Solutions suggested that what we really needed was an entry level training program for all our new staff. He said that he could help us work out the skills we needed and set up a program. Now all our new staff are employed through the New Apprenticeships scheme and do a program based on the Seafood Industry Training Package that focuses on the general farm, water quality and customer service skills we need. I never thought we were big enough to have a training strategy but size is not the issue. It s really a matter of working out what skills you need to do business better. I now know that it s better to have skilled people than trying to find a trainer to teach my staff after I discover that something has gone wrong. Successful RTOs work with small workplaces over time to help them move from focusing training and assessment on short term business imperatives to human resource development. They are able to do this because they can show a clear connection between business needs and training solutions. They present training and assessment as business tools rather than as an end in themselves. 11

52 Focus on work Training and assessment activities conducted in small workplaces should focus on real work tasks. Many work activities are not adequately described in a single unit of competency. More often than not, real work activities draw on competencies from a number of units of competency all at once. An employee in a small workplace is responsible for processing and despatching orders. This one work activity incorporates four units of competency from the Certificate II in Transport and Distribution (Warehousing) in the Transport and Distribution Training Package: Use product knowledge to complete work operations Pick and process orders Package goods Despatch stock. Rather than treat each of these units separately, the RTO assessor decided to organise the employee s assessment around the work activity process an order. In assessing this one work activity, the assessor looked for evidence of the employee s product knowledge, ability to pick and process an order, and skills in packaging and despatching stock. In this case the assessor collected the required evidence through a combination of direct observation, questioning of the employee and an interview with the employee s supervisor. Assessment should be planned according to how work is organised, not by the way Training Packages are written. Therefore gathering evidence can apply to part of a unit, a whole unit, a cluster of units or an entire qualification. It all depends on the workplace, the way in which skills and knowledge are gained and the needs of small workplace owners, managers and employees. By focusing on work assessors are able to: ensure that assessment activities are directly relevant to the employee s work minimise the impact of assessment on the workplace reduce the cost of assessment. 12

53 Adopt a strategic approach to evidence Assessment in small workplaces must be time and cost effective. This can be achieved by adopting a strategic approach to the collection and evaluation of evidence, which involves assessors in identifying: the relevant aspect of work being assessed, such as: - safety - quality - customer service - problem solving - key technical skills - knowledge of key processes or procedures - awareness of critical legislative or regulatory requirements critical evidence that gives an immediate indication of competence (other evidence can then be collected to fill gaps or confirm less critical areas). A strategic approach to gathering and evaluating evidence means concentrating on the evidence that gives the assessor an immediate indication of competence. Jewel, a specialist jewellery shop in central Perth, has an established reputation as a provider of high quality fashion jewellery and outstanding customer service. Jill, the proprietor, has employed a retail trainee under the New Apprenticeships scheme. Early in the program, the RTO assessor visited the store to assess the trainee s current skills. She observed that the new trainee had worked in other jewellers on a casual basis and I was certain that she would already have some of the skills in the Retail New Apprenticeships program. As customer service is a critical skill in Jill s business, I was keen to see how the trainee interacted with different customers. I didn t want to distract the trainee or take up too much of Jill s time, so I decided to watch the trainee serve a customer and then ask Jill some questions. I thought this would give me a good indication of the trainee s current skills which I could verify by reading the two references she had given me and by speaking to her last employer. As it turned out she dealt with the customer very effectively and Jill was able to verify that she had high-level customer service skills. This provided me with enough evidence to decide that she was competent and could be given credit for the unit of competency on customer service. It also meant that the assessment could be conducted efficiently with minimal inconvenience to the business. Assessors gather recent evidence of competence through: direct observation (see attachment 5) demonstrations questioning reports on recent performance from the owner or manager (see attachment 4) evaluating portfolios containing recent work samples and workplace documentation (see attachment 6). 13

54 Choose the right assessors and evidence collectors The use of experienced and qualified assessors is a key feature of any quality assessment process. The requirement to use qualified assessors (outlined in both the Australian Quality Training Framework and all Training Packages) may be met by selecting: a person 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. The most efficient assessment processes use individual qualified assessors or teams that include qualified assessors and technical experts with extensive recent experience in the areas being assessed. This way, assessors can work quickly to judge if employees have the required skills and knowledge. The key to efficient and accurate judgements is to employ assessors who can: home in on critical aspects of competence recognise obvious deficiencies within the available evidence. Selecting assessors Assessors working with small workplaces need to: be qualified have recent industry experience know industry work practices have experience in small workplaces quickly identify relevant evidence recognise deficiencies in employee performance communicate effectively with small workplace owners, managers and employees have a business focus work with technical experts on-site be willing to listen tailor assessment solutions to the workplace. 14

55 In addition to these skills, assessors working in small workplaces must also have up-to-date knowledge of small workplaces and work practices in the relevant industry. This combination of small business, assessment and technical skills is critical in: building effective relationships between assessors and small workplaces conducting assessments in a timely and cost effective manner. Qualified assessors are not always available to collect assessment evidence. It is not uncommon for small workplace owners, managers and experienced staff to act as evidence collectors. These people collect evidence on employees performance and pass it on to the RTO assessor who makes the assessment decision. They are often technical experts who have detailed knowledge and practical experience in small workplaces as well as the technical skills being assessed. Selecting evidence collectors In deciding whether small workplace owners, managers or employees would make suitable evidence collectors, consider the following. like working with others? have recent industry experience and relevant industry skills? know industry work practices? keep up-to-date with new equipment and processes? know about the industry Training Package? have the confidence of others in the small workplace? communicate effectively with others? enjoy their jobs? listen to others? have time, energy and patience to assist others? display a willingness to do extra paper work? RTOs rely on the quality of information collected by workplace staff. The quality of information gathered in the workplace can be improved by providing evidence collectors with: clear procedures for collecting evidence mentoring and ongoing professional support simple and effective tools for recording evidence training in the use of the assessment tools basic information on the assessment process. 15

56 Use coaching to develop and assess competence In most small workplaces, skills and knowledge are developed at work. Employees often learn and refine their skills through being coached by small workplace owners or more experienced employees. This usually involves: providing employees with initial instructions observing their performance giving them opportunities to reflect on their skills offering advice on how they can improve their skills. In some cases, coaching may be very informal and occur over a short period of time. In others, it may be an organised strategy for helping people to learn quite complex skills. Provide further opportunities for practice Identify areas for improvement and development Discuss employees performance Invite employees to reflect on their work Provide opportunity for practice Explain the task Assessors should be aware of the ways in which the competency standards, assessment guidelines and qualifications in Training Packages can support workplace coaching. They may be used to: define the work activity identify the key steps or processes involved in the activity establish the standard of performance highlight the strengths and weaknesses in employees performance illustrate how employees performance may be improved verify that the required skills have been attained. Small workplace owners and managers often make very effective coaches. They know the work and the required standard of performance. They can provide employees with clear information on how to perform the task and, more importantly, offer feedback on how effectively the task was performed. 16

57 Using competency standards and assessment in this way contributes to the development of a coaching culture and helps to remove the fear of failure that is often associated with formal assessment. This is particularly relevant in small workplaces where the emphasis is on developing and applying skills. A coach may be anyone in the workplace. One of the most common approaches is to use experienced employees in a buddy role. This is where an inexperienced employee is paired with a more experienced employee. The idea is that the experienced employee supports the skill development of the less experienced employee by: explaining tasks answering questions providing feedback on performance suggesting areas for improvement. The key factor is that the buddy is both accessible and able to assist the less experienced employee when needed. The benefits of using experienced staff as coaches are that they: know the business and how it operates train employees in exactly the way the business operates gain satisfaction from passing on their skills and knowledge promote training in the workplace. Selecting workplace coaches Good coaches have special skills. To identify potential coaches, ask the following questions: Do these people: seek to improve their own performance at work? like working with others? enjoy their jobs? share things that they have learned? isten to others? help without taking charge? have time, energy and patience to assist others? display a willingness to do extra paper work? keep up-to-date with new equipment and processes? 17

58 Control the cost of assessment When planning assessment processes in small workplaces, assessors should list the things that may contribute to excessive cost or time, then determine what measures they can take to minimise each one. The cost of services is a major issue for all small workplaces. As with any other service, owners and managers of small workplaces will want to control the cost of training and assessment and ensure that they receive value for money. Assessors need to be aware of the costs for both RTOs and small workplaces in conducting assessments and the ways in which these costs can be controlled. COST OF ASSESSMENT RTO Small workplace Assessor salaries Management of student records Materials and equipment Travel Audit and compliance costs Assessment system and tool design and maintenance Ongoing professional development for assessors Salary costs for employees Fees for external assessors Materials and equipment Loss of productive time Meetings with RTO and staff Administrative costs Some of the things that lead to excessive costs include: a non-strategic approach to the collection of evidence (in some cases an excessive collection of evidence) non-involvement of employees assessors with an inadequate degree of technical expertise in the area concerned who compensate for their lack of expertise by over-assessment a lack of appropriate assessment materials limited or no networking between assessors, resulting in little understanding of problems, issues and solutions poor quality processes that are cumbersome or which do not adequately meet the requirements of employees or the small workplace. 18

59 When planning assessment activities, assessors should identify the things that contribute to excessive costs and attempt to control them by implementing measures such as: incorporating assessment activities into real workplace tasks conducting assessments on a just in time basis using workplace staff as evidence collectors carefully planning the evidence collection process so that an emphasis is placed on the progressive collection of workplace evidence that is directly related to the relevant competency standards using small group assessments to reduce unit costs assessing whole work tasks rather than single units of competency empowering employees so that they can manage the evidence collection process using a strategic approach to the sorting, consideration and judgement of evidence networking and sharing assessment tools and information with other assessors determining the least-cost location for conducting assessment activities ensuring that employees have access to an efficient Recognition process so that existing skills are acknowledged. One RTO identifies the factors that influence the cost of assessment and how these might be controlled (see attachment 2). WORKFORCE QUALIFICATION TRAINING PACKAGE Grants Engineering Certificate II in Engineering Metals and Engineering Training Package Potential source of increased cost Assessment tool design Assessment tool design Reason New program area for which RTO does not have existing assessment tools RTO assessor fees and travel will be high Strategy for controlling cost agreed by RTO and workplace Customise assessment tools produced by national ITAB to suit needs of business Training one experienced employee at workplace to collect evidence using set assessment tools Assessor salaries Assessors not aware of workplace policies and procedures may need additional time to become familiar with workplace Pair assessor with an experienced employee who can advise on workplace procedures 19

60 Market ethically Business outcomes are the ultimate product of training and assessment and are central to effective marketing. As with marketing any product or service, the key to successfully promoting training and assessment to small workplaces is to have the right product, described accurately, reasonably priced and presented as an attractive proposition. This requires RTOs to: demonstrate the link between business needs, training and assessment solutions, and business outcomes have a thorough understanding of the business and industry use staff with experience and expertise in small business, the industry sector and training and assessment set clear and defensible pricing structures for training and assessment products and services. There are a number of techniques that are particularly effective in promoting training and assessment to small workplaces, especially when used in combination. These are: use a personal approach: small workplaces respond more positively to personal contact than to indirect approaches like letters, fliers and advertising target advertising: use clearly targeted advertising that identifies the nature and benefits of training and assessment to small workplaces use training and business intermediaries: organisations such as industry training advisory bodies, professional associations and industry organisations have databases and working relationships with small workplaces that can be used to promote training and assessment use other intermediaries: service clubs, shopping centres, local councils and regional development organisations have good local knowledge and can add credibility to the marketing activities of RTOs connect with local economic and social needs: establishing the connection between training and assessment services and local needs, such as youth unemployment or regional development, can stimulate interest in training and assessment use local identities: use high-profile local business people to promote the benefits of training and assessment use levers : the introduction of government regulations (such as food safety, plumbing, electrical, forklift and aged care accreditation which require business to develop skills and implement new standards) is a powerful lever for promoting participation in training and assessment horse s mouth: use previous participants in training to promote the benefits to other small workplaces. 20

61 When marketing training and assessment to small workplaces in specific ethnic communities, RTOs need to: develop an appreciation of the community s culture and politics deal with small business owners and managers in their first language use recruiters who are well known and respected in their communities obtain the visible support and advice of local community leaders work through cultural clubs and community organisations. Taking the risk out of buying training While a good deal of the selling is dependent upon describing the right product correctly (ie training as a business tool to achieve business outcomes), much of the success depends on how the proposition is presented. There are a number of salesmanship techniques that can advance the cause, but the real competitive edge lies in the marketing proposition. What is the proposition? Remember that businesses are bombarded daily with miracle approaches, all promising to improve their bottom line. The training fraternity is selling a product they think the customer needs, yet a product which they have tremendous difficulty in describing. The benefits of the product are vague and often intangible, and the terminology almost impenetrable. So what do you do? What do merchandisers do when they have a product which promises dramatic results but the process (ie how it works) is difficult to describe? Merchandisers certainly don t try to educate the buyer as part of their marketing. Instead, they reassure the customer by taking the risk out of buying by relating price and payment to outcomes. This is the case with most mail-order marketing and similar areas where the customer is not familiar with the product. Small businesses are often willing to pay for training after they have experienced or sampled the benefits. While promoting training and assessment solutions is a key activity for RTOs, many small workplaces complain that RTOs oversell their training and assessment services and underdeliver on outcomes. This can have a negative impact on the relationship between the RTO and the small workplace. It can also contribute to a broader dissatisfaction with the national VET system. So it is critical that RTOs: provide small workplaces with accurate information on their training and assessment services clearly establish the nature of the services to be delivered monitor the quality, relevance and timeliness of the assessment services provided to small workplaces establish clear procedures for dealing with customer complaints and concerns. 21

62 Bringing it all together When planning and conducting assessments in small workplaces, the assessor must consider the: needs of the workplace and the employee requirements of the relevant Training Package capacity of both the workplace and the RTO to provide the appropriate learning and assessment opportunities for the employee. The assessment process usually comprises five key stages. Identifying the workplace s requirements Establishing the employees current skills and learning requirements Establishing a learning and assessment plan Implementing the learning and assessment plan Reviewing the process 1. Identifying the workplace s requirements Review the information gathered on the small workplace, and meet the workplace supervisor and the employee to clarify their requirements. Understand the requirements of the small workplace Discuss the organisation s business objectives and the employee s role in the business with the workplace supervisor. Clarify the employee s work activities and the expected standard of performance. This may involve reviewing job descriptions, standard operating procedures and other documentation, if these exist. Questions to consider include: What are the organisation s business objectives? What role does the employee play in the business? What are the key work activities associated with this role? What standard of performance is expected? What skills and knowledge are required to perform these work activities? 22

63 Match the workplace and the employee s requirements with the relevant Training Package. The assessor, the workplace supervisor and the employee should do this together. (In the case of New Apprenticeships, this may have already have been negotiated with the New Apprenticeships Centre.) Questions to consider include: Which Training Package, qualification and combination of competency standards best describe the work activities to be performed by the employee? How can the customisation provisions in the Training Package be applied to make the qualification more relevant to the workplace? Should some units of competency be imported from other Training Packages to make the qualification more relevant to the workplace? How do the main work activities involved in the employee s job relate to the units of competency in the relevant qualification? The key outcome of this stage should be a clear and concise overview of: the business objectives of the small workplace the role of the employee in the small workplace the work activities that the employee is expected to perform how these relate to the relevant units of competency. I ve had numerous approaches from TAFE Colleges and private training companies over the years, says John, the owner of a seafood retail business. They all wanted to assess the skills of my staff and offer them qualifications. Every time I asked them why and how it would benefit me, they couldn t answer the question. Laurie had an entirely different approach. He came in and talked to me about my business and asked me about what I wanted to achieve. He d been in small business himself and seemed to understand. We talked about the new food handling regulations and the standards my staff had to meet. I liked his approach. Straightforward, knew what I needed and he explained to me how the training and assessment could be done in my shop. He told me about the Seafood Industry Training Package and showed me how it related to the work my people do. 2. Establishing the employee s current skills and learning requirements Meet the employee and discuss the job, current skills, learning requirements and special needs. Questions to consider include: Which work activities does the employee already perform? In which skill areas does the employee need to improve? What new skills and knowledge does the employee need to gain? What generic work skills does the employee need? Does the employee have any special needs? 23

64 Identify the employee s current skills (with the employee and the owner/manager) and: identify work activities that the employee can already perform clarify the required standard of performance gather recent evidence from the workplace and other sources which verify the employee s claim of competence, which may include: - observing the employee performing specific work activities - review of work documents and work samples - review of documentation including training certificates, references and performance appraisals. The key outcome of this stage should be a clear statement of the employee s learning requirements. Photo & Electronics is a one-stop shop for imaging and photographics that employs six people. Well-trained and flexible employees are critical to the ongoing success of the business. The company uses training based on the National Retail Training Package to meet the challenge. The company finds the best employee for a position when it becomes available and subsequently offers the chance to enrol in a Retail Traineeship. Karen, the manager, believes that making traineeships available shows that we are committed to developing our staff members skills and their acceptance demonstrates an interest in developing careers. All our training is done on-the-job, and we take it very seriously. Before we start training we find out what skills the person already has. This saves time and means that people don t get bored re-learning things they already know. Michelle, the assessor we use, has a checklist of all the competencies that we need for the job and she knows what level of performance we re looking for. She meets the new employees, asks them questions about what they ve done in the past, gets them to demonstrate some techniques and often rings their previous employers. She works out what they know and then the new employees, Michelle and myself sit down and work out learning and assessment plans. This normally takes about two or three hours but it s worth doing. We know what each new person can do and in which areas they need to learn new skills. 3. Establishing a learning and assessment plan Evaluate capacity Review the capacity of both the small workplace and the RTO to meet the employee s learning requirements. Consider: opportunities for formal and informal learning access to appropriately qualified and experienced staff the availability of appropriate materials, equipment and facilities. 24

65 Document the learning and assessment plan Work with the employee and the workplace supervisor to devise a learning and assessment plan after identifying: the appropriate qualification the employee s learning requirements the capacity of the workplace and the RTO to meet the employee s learning requirements. This should set out how the employee will achieve the outcomes specified in the Training Package. It should include clear and concise information on the: work activities that the employee must perform to gain the qualification way in which the employee will gain the required skills and knowledge evidence required to demonstrate competence. Questions that should be addressed at this stage are: What work activities must the employee be able to perform? How will the employee s learning be organised? Where will any formal learning be provided? Who will be responsible for monitoring the employee s learning? What evidence will be needed to show that the employee has the required skills and knowledge? How will any special needs of the employee be met? What learning and employment options can the employee pursue after completing the qualification? Toni has been a beautician for over 15 years. Her busy shop, with a staff of four, provides a wide range of beauty and hair services. She employed Hong as a new trainee five months ago. Toni is a great advocate of on-the-job training and believes trainees can learn effectively at work through good training, guidance and watching what seniors do. This might seem a haphazard approach but it s not. It s the way people learn in this industry. You watch other people, they explain things to you and you have a go at doing it yourself. We try to make the trainee feel part of the team. There is some method in the madness, however. Hong, the assessor from the RTO and I sat down and worked out a learning and assessment plan. It sets out what the trainee has to learn, what she has to do at work to learn these skills and what she will need to show us to prove that she has gained the skills. This plan is pretty simple but it is written down. If we think there is a need to change the plan we sit down and discuss it and agree to the changes. 25

66 The key outcome of this stage should be an agreed learning and assessment plan. A sample plan is provided on the next page, with a proforma included as Attachment 3. Learning and assessment plan Name of employee Qualification Workplace Registered Training Organisation Hong Nguyen Certificate II in Nail Technology Toni s Hair and Beauty Saloon Local Tafe 1 Learning Activities Description Location W work R RTO Agreed evidence for assessment Received [ when received] Date Received Provide service to clients W observation report on client feedback provided to Toni report from Toni appointment book July 3rd Apply nail enhancement W observation report from Toni TBA Apply nail art RTO photographs of nail art completed test on salon health and hygiene July 15th 4. Implementing the learning and assessment plan Implementing the learning and assessment plan requires the active involvement of the employee, the workplace and the RTO over a sustained period of time. The employee will usually: participate in informal learning on-the-job (this may involve completing work tasks, watching more skilled workers perform specific tasks, talking with sales representatives or reading industry publications) participate in formal learning at either the workplace, the RTO or some other off-the-job location complete structured assessment tasks (this may involve demonstrating particular skills, answering questions, producing reports or compiling a journal) gather current workplace evidence which shows that work activities have been successfully completed (this may involve compiling a portfolio that includes work samples, work records or photographs of work completed). 26

67 This workplace supervisor will usually: provide both formal and informal learning opportunities for the employee collect evidence of the employee s performance (a simple evidence collection tool that may be used by the workplace supervisor for observing employee performance is included as Attachment 4) prepare reports on the employee s performance (a sample form for recording workplace supervisor comments on employee performance in set work activities is included as Attachment 5) advise the RTO on the employee s performance and overall progress inform other staff about the employee s learning requirements and seek their involvement in providing learning opportunities for the employee. The assessor will usually: advise the workplace supervisor on the selection of appropriate evidence and evidence gathering techniques coordinate evidence gathered by the employee, the workplace supervisor and off-the-job trainers and assessors directly collect evidence of the employee s performance review evidence of the employee s performance and make judgements about whether the employee has achieved specific competencies support the employee and the workplace supervisor arrange the finalisation of results and issuing of the appropriate Statement of Attainment or qualification advise the employee on learning and employment pathways. Cappuccino is a small business that specialises in gourmet coffee and fine tea. All raw coffee is roasted fresh in-house, which is then sold to the trade wholesale and at the retail store owned by the business. After twenty years in the industry, owner Tony is proud of the quality of the coffee and tea provided by Cappuccino. Tony has recruited and trained two trainees in the past three years. Their training is all carried out in-house and is tailored to the exacting standards that Tony expects. I ve always preferred new employees to have little experience because it can bias the way they work and learn, he says. The New Apprenticeships program we now use is an ideal way for people to become part of the team and to learn to think like we think. A lot of the learning is informal. Like showing them how to grind the coffee, getting them to talk to suppliers and most importantly getting them to talk to the customers they soon tell you what makes a good coffee! "While the learning is informal, we are pretty serious about the assessment. Our trainees have to keep a record of the things they do at work and write down information on various procedures and different types of tea and coffee. Most importantly, they have to demonstrate their skills to me. The RTO worked with me to identify what evidence we need to say that the trainee is competent. I meet with the assessor every so often to chat about how the trainee is going and if any other help is needed. 27

68 5. Reviewing the process Learning and assessment arrangements established between small workplaces and RTOs should be reviewed regularly. It is critical for assessors to: review individual learning and assessment plans to make sure that they are effectively implemented and continue to meet the needs of both the workplace and the employee review the broader relationship between the RTO and the small workplace to make sure that the RTO stays informed of the small workplace s requirements. Fine Furniture is a small company that employs four people and builds custom designed furniture. The company always employs at least one apprentice and has worked with the one RTO over the past ten years. We normally have two apprentices at any one time and we always have them enrolled at the local TAFE Institute, said Graeme, the owner. The apprentices do their off-the-job training in a block format because it means I can schedule their workload. I also think that they tend to learn and absorb more under the block system, as work doesn t distract them. The thing I also like is that I know their teachers and assessors. We ve built up a relationship over the years and they understand my business. They also know that I ve bought some new machinery and I ve changed the style of furniture we produce so they ve been able to adjust the training and assessment to suit my needs. I normally go up and talk to the TAFE staff about my apprentices twice a year and we review their progress. One of the things we ve done recently is organising a bit more of the practical assessment at my workplace. This suits me because I can be confident that the apprentices know how to use the equipment I ve got. It s like everything you need to take time and review what you re doing if things are going to work well. 28

69 Attachments - Sample assessment tools 1. Small workplace profile 2. Planner for controlling assessment costs 3. Learning and assessment plan 4. Making comments 5. Observing work 6. Evaluation of portfolios NOTE: These assessment tools are provided as samples. RTOs and assessors should ensure that these tools comply with the requirements of the relevant State and Territory Registering Body. 29

70 Small workplace profile Name of business Name and position of key contact Address 1 Contact details BACKGROUND What is the key role of this business? What are the key objectives of this business? What are the main activities of the business? Who is the key decision maker in the business? What is the basis of competition in this industry? What changes have taken place in this business? What changes have taken place in this industry? What are the current and future trends in this business and industry? What is the industrial relations situation for this business and industry? BUSINESS LEARNING How did the business acquire its current skills and knowledge? How does the business acquire new skills, knowledge and ways of working? From which activities have employees learnt the most? STRUCTURED TRAINING Do people in this business access structured training? How valuable has the business found structured training? What training infrastructure exists in the business? How supportive is the company? Do they have training plans/skill matrices? notes: notes: notes: 30

71 BUSINESS SKILLS How many people are employed in this business? What are their characteristics in terms of employment basis, duration of employment and skill level? Are there any categories of employees for which it is difficult to obtain the right skills, knowledge and attitudes? What is the skill hierarchy in the business? Is there any cross-skilling in the business? How does the business attempt to maintain the skills and knowledge that give it a competitive edge? What knowledge and skills contribute most to the success of the business? Which staff have these skills and knowledge? What are the current and future skill needs of the business? notes: ASSESSMENT Does the business assess the skills and knowledge of its employees? If so, what is the purpose of the assessment? If so, how is the assessment organised? If so, does the assessment lead to national recognition? Are the outcomes of nationally recognised training, ie: qualifications or statements of assessment, important in this business? notes: 31

72 Workforce Qualification Training Package Potential source of increased cost Planner for controlling assessment costs Reason Strategy for controlling cost agreed by RTO and workplace 2 32

73 Learning and assessment plan Name of employee Qualification Workplace 3 Registered Training Organisation Learning Activities Description Location W work R RTO Agreed evidence for assessment Received [ when received] Date Received Notes Agreement Evidence to be submitted by: Interview date: I agree to the learning plan: Employee (name) (signature) Supervisor (name) (signature) Assessor (name) (signature) 33

74 Name of employee Unit(s) Making comments 4 Registered Training Organisation or workplace Name of supervisor As part of the assessment for the unit(s) of competency listed above, we are seeking evidence to support a judgement about the employees competence. As part of the process of gathering evidence of competence, we are seeking reports from the supervisor and other people who work closely with the candidate. We would like you to complete this report. We value your contribution and ask that you answer the questions honestly. Does the candidate consistently meet your company s performance standards for: Yes No Signed by the supervisor: Date: Please provide some comments to support your responses: 34

75 Observing work Employee name Assessor name Unit of competency 5 Training Package Workplace Date of assessment Time of assessment Instructions MATERIALS AND EQUIPMENT The assessor will provide all equipment and materials required. OBSERVATION While undertaking the work activity, did the employee: The employee s demonstration was: Satisfactory Not satisfactory Did the employee answer the following questions? Yes No Satisfactory response Yes No The employees underpinning knowledge and understanding was: Satisfactory Not satisfactory Feedback to candidate: Employee signature: Date: Assessor signature: Date: 35

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77 Assessment approaches for small workplaces APPENDIX A: GLOSSARY This glossary was compiled for use in the Training Package Assessment Materials Project. Where definitions have been sourced from particular documentation they have been noted. Other definitions in this glossary were developed for use in this Project. Accreditation Accreditation means the process of formal recognition of a course by the State or Territory course accrediting body in line with the AQTF Standards for State and Territory Registering/Course Accrediting Bodies. From AQTF Standards for RTOs Accredited course Accredited course means a structured sequence of vocational education and training that leads to an Australian Qualifications Framework qualification or Statement of Attainment. From AQTF Standards for RTOs Appeal process A process whereby the person being assessed, or other interested party, such as an employer, may dispute the outcome of an assessment and seek reassessment. From Training Package for Assessment and Workplace Training Assessment Assessment means the process of collecting evidence and making judgements on whether competency has been achieved to confirm that an individual can perform to the standard expected in the workplace as expressed in the relevant endorsed industry/enterprise competency standards or the learning outcomes of an accredited course. From AQTF Standards for RTOs Assessment context The environment in which the assessment will be carried out. This will include physical and operational factors, the assessment system within which assessment is carried out, opportunities for gathering evidence in a number of situations, the purpose of the assessment, who carries out the assessment and the period of time during which it takes place. From Training Package for Assessment and Workplace Training

78 Assessment approaches for small workplaces Assessment guidelines Assessment guidelines are an endorsed component of a Training Package which underpins assessment and which sets out the industry approach to valid, reliable, flexible and fair assessment. Assessment guidelines include the assessment system overview, assessor requirements, designing assessment resources, conducting assessment and sources of information on assessment. From AQTF Standards for RTOs Assessment judgement Assessment judgement involves the assessor evaluating whether the evidence gathered is current, valid, authentic and sufficient to make the assessment decision. The assessment judgement will involve the assessor in using professional judgement in evaluating the evidence available. Assessment materials Assessment materials are any resources that assist in any part of the assessment process. They may include information for the candidate or assessor, assessment tools or resources for the quality assurance arrangements of the assessment system. Assessment method Assessment method means the particular technique used to gather different types of evidence. This may include methods or techniques such as questioning, observation, third party reports, interviews, simulations and portfolios. Also see Evidence gathering technique. Assessment plan An assessment plan is a document developed by an assessor that includes the elements and units of competency to be assessed, when the assessment will occur, how the assessment will occur, the assessment methods to be used and the criteria for the assessment decision. Also see Evidence plan. From Training Package for Assessment and Workplace Training Assessment process The assessment process is the agreed series of steps that the candidate undertakes within the enrolment, assessment, recording and reporting cycle. The process must best suit the needs of all stakeholders and be both efficient and cost-effective. The agreed assessment process is often expressed as a flow chart. Assessment strategy Assessment strategy means the approach to assessment and evidence gathering used by the assessor or Registered Training Organisation. It encompasses the assessment process, methods and assessment tools. Assessment system An assessment system is a controlled and ordered process designed to ensure that assessment decisions made in relation to many individuals, by many assessors, in many situations are consistent, fair, valid and reliable. From Training Package for Assessment and Workplace Training Assessment tool An assessment tool contains both the instrument and the instructions for gathering and interpreting evidence:

79 Assessment approaches for small workplaces instrument(s) the specific questions or activity developed from the selected assessment method(s) to be used for the assessment. (A profile of acceptable performance and the decision making rules for the assessor may also be included.) procedures the information/instructions given to the candidate and/or the assessor regarding conditions under which the assessment should be conducted and recorded. Also see Evidence gathering tool. Audit Audit means a systematic, independent and documented process for obtaining evidence to determine whether the activities and related outcomes of a training organisation comply with the AQTF Standards for Registered Training Organisations. Auspicing See Collaborative assessment arrangements and Partnerships. From AQTF Standards for RTOs Australian Qualifications Framework (AQF) Australian Qualifications Framework (AQF) means the policy framework that defines all qualifications recognised nationally in post-compulsory education and training within Australia. The AQF comprises titles and guidelines, which define each qualification, together with principles and protocols covering articulation and issuance of qualifications and Statements of Attainment. From AQTF Standards for RTOs Australian Quality Training Framework (AQTF) Australian Quality Training Framework (AQTF) means the nationally agreed recognition arrangements for the vocational education and training sector. From AQTF Standards for RTOs Candidate A candidate is any person presenting for assessment. The candidate may be: a learner undertaking training in an institutional setting a learner/worker undertaking training in a workplace a learner/worker wanting their skills recognised or any combination of the above. Competency The specification of knowledge and skill and the application of that knowledge and skill to the standards of performance required in the workplace. From Training Package for Assessment and Workplace Training

80 Assessment approaches for small workplaces Competency standard Competency standards define the competencies required for effective performance in the workplace. Standards are expressed in outcome terms and have a standard format comprising unit title, unit descriptor, elements, performance criteria, range statement and evidence guide. Also see Unit(s) of competency. Client From Training Package for Assessment and Workplace Training Client means learner, enterprise or organisation, which uses or purchases the services provided by the Registered Training Organisation. From AQTF Standards for RTOs Clustering The process of grouping competencies into combinations which have meaning and purpose related to work functions and needs in an industry or enterprise. Adapted from Training Package for Assessment and Workplace Training Collaborative assessment arrangements Formal collaborative assessment arrangements are the written agreements that are undertaken between a Registered Training Organisation (RTO) and other organisations or RTOs. These arrangements enable the partners to share for mutual benefit their resources, effort, time, cost, responsibility and expertise. These arrangements are regulated by the AQTF Standards for Registered Training Organisations. See also Partnerships and Auspicing. Informal collaborative arrangements refer to assessors and candidates working together, in partnership, in the assessment process. Customisation Customisation is the addition of specific industry or enterprise information to endorsed national competency standards to reflect the work of a particular industry or workplace or to improve the standards relevance to industry. Delivery and assessment strategies Delivery and assessment strategies means delivery and assessment strategies for each qualification, or part thereof, within the Registered Training Organisation s scope of registration. From AQTF Standards for RTOs Dimensions of competency The concept of competency includes all aspects of work performance and not only narrow task skills. The four dimensions of competency are: task skills task management skills contingency management skills job/role environment skills. From Training Package Developers Handbook

81 Assessment approaches for small workplaces Element An element is the basic building block of the unit of competency. Elements describe the tasks that make up the broader function or job, described by the unit. From Training Package for Assessment and Workplace Training Endorsement Endorsement means the formal process of recognition of Training Packages undertaken by the National Training Quality Council. From AQTF Standards for RTOs Evaluation Evaluation includes all the activities related to the registration of a training organisation to determine whether it meets, or continues to meet, all the requirements of the AQTF Standards for Registered Training Organisations necessary for registration. Evaluation may include review of past performance, review of complaints and other feedback, risk assessment, examination of documentation, conduct of audit, consideration of audit reports and other relevant activities in relation to the organisation. From AQTF Standards for RTOs Evidence and quality evidence Evidence is information gathered which, when matched against the performance criteria, provides proof of competency. Evidence can take many forms and be gathered from a number of sources. Assessors often categorise evidence in different ways, for example: direct, indirect and supplementary sources of evidence evidence collected by the candidate or evidence collected by the assessor historical and recent evidence collected by the candidate and current evidence collected by the assessor. Quality evidence is valid, authentic, sufficient and current evidence that enables the assessor to make the assessment judgement. Evidence gathering techniques Evidence gathering technique means the particular technique or method used to gather different types of evidence. This may include methods or techniques such as questioning, observation, third party reports, interviews, simulations and portfolios. Also see Assessment method. Evidence gathering tool An evidence gathering tool contains both the instrument and the instructions for gathering and interpreting evidence in an assessment process: instrument(s) the specific questions or activity developed from the selected assessment method(s) to be used for the assessment (a profile of acceptable performance and the decision making rules for the assessor may also be included)

82 Assessment approaches for small workplaces procedures the information/instructions given to the candidate and/or the assessor regarding conditions under which the assessment should be conducted and recorded. Also see Assessment tool. Evidence guide The evidence guide is part of a unit of competency. Its purpose is to guide assessment of the unit of competency in the workplace and/or a training environment. The evidence guide specifies the context of assessment, the critical aspects of evidence and the required or underpinning knowledge and skills. The evidence guide relates directly to the performance criteria and range statement defined in the unit of competency. From Training Package for Assessment and Workplace Training Evidence plan An evidence plan is a document developed by an assessor, often in collaboration with the candidate and the supervisor or technical expert. It includes the units of competency to be assessed, details of the type of evidence to be collected, information regarding who is to collect the evidence and the time period for doing so. Also see Assessment plan. Flexible learning and assessment Flexible learning and assessment means an approach to vocational education and training which allows for the adoption of a range of learning strategies in a variety of learning environments to cater for differences in learning styles, learning interests and needs, and variations in learning opportunities (including online). From AQTF Standards for RTOs Holistic/integrated assessment An approach to assessment that covers the clustering of multiple units/elements from relevant competency standards. This approach focuses on the assessment of a whole of job role or function that draws on a number of units of competency. This assessment approach also integrates the assessment of the application of knowledge, technical skills, problem solving and demonstration of attitudes and ethics. Adapted from Training Package for Assessment and Workplace Training Industry Training Advisory Bodies (ITABs) National and State/Territory bodies comprising representation from the industry parties responsible for the development, review and implementation of competency standards in given industries. From Training Package for Assessment and Workplace Training Internal audit Internal audit means audits conducted by or on behalf of the organisation itself for internal purposes. From AQTF Standards for RTOs

83 Assessment approaches for small workplaces Key competency Employment related general competencies that are essential for effective participation in the workplace. From Training Package for Assessment and Workplace Training Moderation Moderation is a process which involves assessors in discussing and reaching agreement about assessment processes and outcomes in a particular industry or industry sector. This enables assessors to develop a shared understanding of the requirements of specific Training Packages, including the relevant competency standards and assessment guidelines, the nature of evidence, how evidence is collected and the basis on which assessment decisions are made. Mutual recognition Mutual recognition applies nationally and means: 1. The acceptance and application of the decisions of a registering body that has registered a training organisation, or a course accrediting body that has accredited a course, by another registering body or course accrediting body, without there being any further requirement for a process beyond the initial process, including: a. the recognition and application by the registering body of each State or Territory of the decisions of the registering body of other States and Territories in relation to the registration of, imposition of sanctions on, including the cancellation of registration of training organisations; and b. the recognition and application by the course accrediting body of each State or Territory of the decisions of the course accrediting body of other States and Territories in relation to the accreditation of courses where no relevant Training Package exists; 2. The recognition by State and Territory registering bodies of the decisions of the National Training Quality Council in endorsing Training Packages. 3. The recognition and acceptance by a Registered Training Organisation of Australian Qualifications Framework qualifications and Statements of Attainment issued by other Registered Training Organisations, enabling individuals to receive national recognition of their achievements. From AQTF Standards for RTOs Nationally recognised training Nationally recognised training means training and assessment, delivered by a Registered Training Organisation, which meets the requirements specified in national industry/enterprise Training Packages or accredited courses where no relevant Training Package exists. From AQTF Standards for RTOs Nationally Recognised Training (NRT) logo Nationally Recognised Training logo means the logo used to signify that training and assessment products and services meet the requirements agreed under the National Training Framework. From AQTF Standards for RTOs

84 Assessment approaches for small workplaces National Training Framework National Training Framework means the system of vocational education and training that: applies nationally is endorsed by the ANTA Ministerial Council is made up of the Australian Quality Training Framework and endorsed Training Packages. From AQTF Standards for RTOs National Training Information Service (NTIS) National Training Information Service (NTIS) means the National Register for recording information about Registered Training Organisations (RTOs), Training Packages and accredited courses. Information held on the NTIS is searchable and publicly accessible via the Internet. The NTIS contains comprehensive information on endorsed Training Packages which have been approved by Ministers and includes full details of competency standards; a listing of National Training Quality Council noted support materials with contact source; details of Australian Qualifications Framework (AQF) accredited courses/qualifications; and contact details and scope of registration of all RTOs. From AQTF Standards for RTOs National Training Quality Council (NTQC) National Training Quality Council (NTQC) means the body established by the ANTA Ministerial Council as a Committee of the ANTA Board. In relation to quality assurance arrangements in the vocational education and training system the NTQC has a role in: providing advice on the operation of, and any necessary change to, the Australian Quality Training Framework (AQTF); providing information and advice to State and Territory recognition authorities on the implementation of the AQTF; and providing to the ANTA Board, for incorporation in the Board s reports to the ANTA Ministerial Council (including the Annual National Report), information and advice on the operation of the AQTF in each State and Territory, including by providing such independent advice on State/Territory registration, audit and related processes and related Commonwealth processes as deemed necessary by the NTQC. From AQTF Standards for RTOs New Apprenticeships New Apprenticeships means structured training arrangements, usually involving onand off-the-job training, for a person employed under an apprenticeship/traineeship training contract. From AQTF Standards for RTOs

85 Assessment approaches for small workplaces Non-compliance Non-compliance means failure to comply with one or more of the AQTF Standards for Registered Training Organisations. From AQTF Standards for RTOs Partnerships Formal partnership assessment arrangements are the written agreements that are undertaken between a Registered Training Organisation (RTO) and other organisations or RTOs. These arrangements enable the partners to share for mutual benefit their resources, effort, time, cost, responsibility and expertise. These arrangements are regulated by the AQTF Standards for Registered Training Organisations. See also Collaborative assessment arrangements and Auspicing. Informal partnership arrangements refer to assessors and candidates working together in the assessment process. Performance criteria Evaluative statements which specify what is to be assessed and the required level of performance. The performance criteria specify the activities, skills, knowledge and understanding that provide evidence of competent performance for each element. From Training Package for Assessment and Workplace Training Period of registration Period of registration means the period for which a Registered Training Organisation is registered. The period of registration is five years (unless cancelled or suspended). From AQTF Standards for RTOs Qualification Qualification means, in the vocational education and training sector, the formal certification, issued by a Registered Training Organisation under the Australian Qualifications Framework (AQF), that a person has achieved all the requirements for a qualification as specified in an endorsed national Training Package or in an accredited course. From AQTF Standards for RTOs Quality Quality means the ability of a set of inherent characteristics of a product, system or process to fulfil requirements of customers and other interested parties. From AS/NZS ISO 9000: 2000 in the AQTF Standards for RTOs Range statement Part of a competency standard, which sets out a range of contexts in which performance can take place. The range helps the assessor to identify the specific industry or enterprise application of the unit of competency. From Training Package for Assessment and Workplace Training

86 Assessment approaches for small workplaces Reasonable adjustment The nature and range of adjustment to an assessment tool or assessment method which will ensure valid and reliable assessment decisions but also meet the characteristics of the person(s) being assessed. Adapted from Training Package for Assessment and Workplace Training Reassessment An assessment activity initiated as a result of an appeal against the outcome of a previous assessment. From Training Package for Assessment and Workplace Training Recognition process Recognition process is a term that covers Recognition of Prior Learning, Recognition of Current Competency and Skills Recognition. All terms refer to recognition of competencies currently held, regardless of how, when or where the learning occurred. Under the Australian Quality Training Framework, competencies may be attained in a number of ways. This includes through any combination of formal or informal training and education, work experience or general life experience. In order to grant recognition of prior learning/current competency the assessor must be confident that the candidate is currently competent against the endorsed industry or enterprise competency standards or outcomes specified in Australian Qualification Framework (AQF) accredited courses. The evidence may take a variety of forms and could include certification, references from past employers, testimonials from clients and work samples. The assessor must ensure that the evidence is authentic, valid, reliable, current and sufficient. Recognition of Current Competency See Recognition process. Recognition of Prior Learning See Recognition process. From AQTF Standards for RTOs Records of assessment The information of assessment outcomes that is retained by the organisation responsible for issuing the nationally recognised Statement of Attainment or qualification. From Training Package for Assessment and Workplace Training Registration Registration means the process of formal approval and recognition of a training organisation, by a State or Territory registering body, in accordance with the AQTF Standards for Registered Training Organisations and the AQTF Standards for Registering/Course Accrediting Bodies. From AQTF Standards for RTOs

87 Assessment approaches for small workplaces Registered Training Organisation (RTO) Registered Training Organisation (RTO) means a training organisation registered in accordance with the Australian Quality Training Framework, within a defined scope of registration. From AQTF Standards for RTOs Registering body State or Territory registering body means the body responsible under the State or Territory vocational education and training legislation and decision making framework for all decisions relating to the administration of the registration of training organisations. From AQTF Standards for RTOs Renewal of registration Renewal of registration means the subsequent registration of a Registered Training Organisation following an evaluation, conducted prior to the expiry of a registration period, of a Registered Training Organisation against the requirements of the AQTF Standards for Registered Training Organisations. From AQTF Standards for RTOs Reporting assessment outcomes The different ways in which the outcomes of assessment processes are reported to the person being assessed, employers and other appropriate personnel or stakeholders. Assessment outcomes may be reported in a variety of ways including graded, non-graded, statistical or descriptive reporting systems. From Training Package for Assessment and Workplace Training Risk management Risk management means the systematic application of management policies, procedures and practices to the tasks of identifying, analysing, evaluating, treating and monitoring risk. From AQTF Standards for RTOs Sanctions Sanctions means any action imposed for non-compliance with the AQTF Standards for Registered Training Organisations, including: a. the imposition of specific conditions on registration (which can cover any aspect of registration including the Registered Training Organisation s scope, location or type of delivery and assessment activities); b. amendment of registration (including a reduction in the scope of registration); c. suspension of registration; and d. cancellation of registration. From AQTF Standards for RTOs

88 Assessment approaches for small workplaces Scope of registration Scope of registration means the defined scope for which a training organisation is registered that identifies the particular services and products that can be provided. A Registered Training Organisation may be registered to provide either: a. training delivery and assessment services and products and issue Australian Qualifications Framework (AQF) qualifications and Statements of Attainment; or b. assessment services and products and issue AQF qualifications and Statements of Attainment. The scope of registration is further defined by AQF qualifications and/or endorsed units of competency. From AQTF Standards for RTOs Self-assessment Self-assessment is a process that allows candidates being assessed to collect and provide evidence on their own performances against the competency standards. Selfassessment is often used as a pre-assessment tool to help the candidate and assessor to determine what evidence is available and where the gaps may be. Simulation Simulation is a form of evidence gathering that involves the candidate in completing or dealing with a task, activity or problem in an off-the-job situation that replicates the workplace context. Simulations vary from recreating realistic workplace situations such as in the use of flight simulators, through the creation of role plays based on workplace scenarios to the reconstruction of a business situation on a spreadsheet. In developing simulations, the emphasis is not so much on reproducing the external circumstance but on creating situations in which candidates are able to demonstrate: a. technical skills b. underpinning knowledge c. generic skills such as decision making and problem solving d. workplace practices such as effective communication. Skills Recognition See Recognition process. Statement of Attainment Statement of Attainment means a record of recognised learning which, although falling short of an Australian Qualifications Framework (AQF) qualification, may contribute towards a qualification outcome, either as attainment of competencies within a Training Package, partial completion of a course leading to a qualification or completion of a nationally accredited short course which may accumulate towards a qualification through Recognition processes. From AQTF Standards for RTOs

89 Assessment approaches for small workplaces Strategic industry audit Strategic industry audit means the compliance audit of Registered Training Organisations operating in a specific industry or industry sector targeted on the basis of identified risks relating to that industry or sector. From AQTF Standards for RTOs Training contract An agreement outlining the training and assessment which forms part of a New Apprenticeship training contract and is registered with the relevant State or Territory Training Authority. Training Package Training Package means an integrated set of nationally endorsed competency standards, assessment guidelines and Australian Qualifications Framework qualifications for a specific industry, industry sector or enterprise. From AQTF Standards for RTOs Training plan Training plan means a program of training and assessment which is required under an apprenticeship/traineeship training contract and is registered with the relevant State or Territory Training/Recognition Authority. From AQTF Standards for RTOs Unit of competency Unit of competency means the specification of knowledge and skill and the application of that knowledge and skill to the standard of performance expected in the workplace. From AQTF Standards for RTOs Validation Validation involves reviewing, comparing and evaluating assessment processes, tools and evidence contributing to judgements made by a range of assessors against the same standards. Validation strategies may be internal processes with stakeholder involvement or external validations with other providers and/or stakeholders.

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91 Assessment approaches for small workplaces APPENDIX B: AT A GLANCE APPROACHES TO ASSESSMENT IN SMALL WORKPLACES - A GUIDE FOR OWNERS AND MANAGERS

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93 Choosing the right assessor Work with the RTO to identify the most appropriate assessor for your organisation. The assessor must have experience and current knowledge in: competency assessment assessing in small workplaces work practices in your industry sector. Joining a network Participating in networking activities will enable you to keep up with new developments in assessment, hear about different assessment practices, develop new coaching and assessment strategies and find out about the issues facing other small workplaces. Further information To find out about: RTOs visit the web at New Apprenticeships tel: (to find a New Apprenticeship Centre) or visit the web State or Territory Training Authorities tel: or visit the web or (click on VET info button) Industry Training Advisory Bodies visit the web at a glance approaches to assessment in small workplaces a guide for owners and managers How can training and assessment help your business? Training and assessment are business enablers. You should use them to help you realise your business objectives. You need to: establish your specific business objectives determine whether training and assessment can help you achieve these. Nationally recognised training and assessment can help you to: develop new skills in the business contribute to the community stay competitive comply with regulatory or licensing requirements, and industrial agreements meet the quality system requirements in the supply chain enhance safety improve productivity and profitability keep customers allow for expansion. How training and assessment can help your business Your business Assessment and training SMALL WORKPLACES Business objectives For more detailed information and advice refer to the full version of Guide 6: Assessment approaches for small workplaces: Guide for owners and managers from the Training Package Assessment Materials Project Skill requirements Develop an action plan

94 What is nationally recognised training and assessment? Many small workplaces use the VET system to meet their skill development needs through: New Apprenticeships (called apprenticeships and traineeships in some States and Territories) short courses in specific skill areas small business training programs off-the-job and workplace training programs. Increasingly, these programs are based on Training Packages, which identify the outcomes required by industry. Training provided by RTOs allows you to choose flexible options for your training needs. Gaining financial support There are costs associated with assessments in the workplace. These include salary costs for employees, fees for external assessors, material and equipment costs and loss of productive time. The RTO should work with you to find ways to limit the cost of assessment. What is an RTO? Registered Training Organisations (RTO) provide training and assessment and issue nationally recognised qualifications. There are public RTOs (such as TAFE institutes) and private RTOs. Assessment process Identify your business needs How does assessment within Training Packages work? Assessment involves employees demonstrating their skills and knowledge through: completing work tasks answering questions about their work providing examples of work they have completed. A qualified assessor decides whether the employee meets the standards. Identify the employee s learning requirements Prepare a learning and assessment plan Implement the plan Review the plan What should you look for? Successful learning and assessment involves: Identifying the business outcome Successful learning and assessment arrangements achieve specific business objectives such as: developing new skills complying with licensing requirements enhancing safety improving productivity and profitability. You should explain the reasons and benefits to all employees and undertake regular reviews to check that learning and assessment is delivering the outcomes you require. Focusing on work RTOs focus assessment activities on real workplace tasks and match these with the relevant competency standards. This ensures that assessment activities are directly relevant to the employee s work and are costeffective. Being an informed consumer You need to be aware of: where to get advice on training and assessment services the services provided by New Apprenticeships Centres (NAC), Group Training Companies (GTC) and RTOs funding that you may be able to access, including New Apprenticeships. Selecting the right RTO You need to choose an RTO that: suits your business has a reputation for delivering effective training and assessment services has staff with experience, expertise and current knowledge of your industry sector has the equipment and facilities to deliver the services you need is willing to develop a personal, ongoing relationship with your business can customise training and assessment services to meet your needs has previously worked with other small workplaces. Ask for a written agreement. This will ensure that both you and the RTO are clear about your roles and responsibilities.

95 Assessment approaches for small workplaces APPENDIX C: AT A GLANCE APPROACHES TO ASSESSMENT IN SMALL WORKPLACES - A GUIDE FOR RTO ASSESSORS

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97 Market ethically The key to successfully promoting training and assessment to small workplaces is to have the right product, described accurately, reasonably priced and presented as an attractive proposition. RTOs must: provide small workplaces with accurate information on their training and assessment services clearly describe the services to be delivered monitor the quality, relevance and timeliness of the assessment services provided to small workplaces have clear procedures for dealing with customer complaints and concerns. Bringing it all together When planning and conducting assessments in small workplaces, assessors must always consider: the needs of the workplace and the employee the requirements of the relevant Training Package the capacity of both the workplace and the RTO to provide the appropriate learning and assessment opportunities for the employee. at a glance approaches to assessment in small workplaces a guide for RTO assessors About small workplaces Small workplaces form a significant component of the Australian economy and are potential major clients of the vocational education and training (VET) system. Employers and employees in small workplaces acquire skills and knowledge in a variety of ways. While much learning is informal, this does not mean that learning has not occurred or that employees and employers have not acquired critical skills. Registered Training Organisations (RTOs) must be able to demonstrate to small workplaces the benefits of formal training and assessment. This will require RTOs to adopt new ways of providing training and assessment solutions. Improving training and assessment in small workplaces The assessment process then follows the key stages outlined below. Identifying the workplace s requirements Develop a business culture Understand the customer s business needs Focus on business outcomes Establishing the employees current skills and learning requirements Establishing a learning and assessment plan Implementing the learning and assessment plan Focus on work Adopt a strategic approach to evidence Choose the right assessors and evidence collectors Reviewing the process By developing a business culture, adopting new ways of providing training and assessment solutions, becoming aware of all the issues relevant to small workplaces, and following the key stages in the assessment process, RTOs will be able to initiate partnerships that will be of mutual long-term benefit. Use coaching to develop and assess competence Control the cost of assessment Market ethically For more detailed information and advice refer to the full version of Guide 6: Assessment approaches for small workplaces: Guide for RTO assessors from the Training Package Assessment Materials Project. Develop a business culture RTOs must be able to offer workplace centered, demand driven training and assessment solutions that: address the needs of business fit in with workplace timeframes, including flexibility for shift or part time workers reflect the way in which people in small workplaces learn support employees and managers in administering their own learning produce clear business outcomes offer the benefits of national recognition.

98 Understand the customer s business needs Choose the right assessors and evidence collectors Successful RTOs spend time understanding the small Efficient assessment processes use individual qualified workplace. These RTOs understand: assessors or assessment teams that include qualified the nature of the small workplace the market in which it operates the challenges confronting the organisation the skills held within the organisation the approach the organisation takes to learning and assessment. assessors and technical experts with extensive recent experience in the areas being assessed. When qualified assessors are not available to collect assessment evidence, RTOs rely on information collected by workplace staff. These people need: clear procedures for collecting evidence Focus on business outcomes mentoring and ongoing professional support simple and effective tools for recording evidence Successful RTOs focus on the immediate business needs of the small workplace. training in the use of the assessment tools basic information on the assessment process. This is necessary to win the confidence of small workplaces and to show that training and assessment can produce bottom line results. Successful RTOs work with small workplaces to help them move from focusing training and assessment on short term business imperatives to human resource development. Adopt a strategic approach to evidence Assessment must be time and cost effective. A strategic approach to evidence involves identifying: Use coaching to develop and assess competence In most workplaces, employees gain skills and knowledge by being coached by others. A coach may be anyone in the workplace. The benefits of using experienced staff as coaches are that they: know the business and how it operates train employees in exactly the way the business operates Focus on work Training and assessment activities must focus on real work tasks. Many work activities draw on competencies from a number of units of competency all at once. By focusing on work rather than the way in which units of competency are written assessors are able to: ensure that assessment activities are directly relevant to the employee s work minimise the impact of assessment on the workplace reduce the cost of assessment. the relevant aspect of work being assessed, for example safety, quality, customer service, problem solving, key technical skills, knowledge of key processes critical evidence that gives an immediate indication of competence. Expert assessors focus on critical evidence first, then systematically work through other forms of evidence in order to determine competence. Assessors should be aware of the ways in which the competency standards, assessment guidelines and qualifications in Training Packages can support workplace coaching. gain satisfaction from passing on their skills and knowledge promote training in the workplace. Control the cost of assessment The cost of services is a major issue for small workplaces. Owners and managers of small workplaces will want to control the cost of training and assessment and ensure that they receive value for money. Assessors need to be aware of the costs of assessment for both RTOs and small workplaces and the ways in which these costs can be controlled.