Assessor TAEASS401B Plan assessment activities and processes TAEASS402B Assess competence TAEASS403B Participate in assessment validation skill set skill set learner guide Shea Business Consulting supporting the TAE10 Training and Education Training Package Version 2.0 stockcode: SHEA70
Learner Guide Learner Guide to support the Assessor Skill Set Why has this Learner Guide been developed? Shea Business Consulting has developed a single Learner Guide to support the Assessor Skill Set from Version 2.0 of the TAE10 Training and Education Training Package (October 2011 release). The Assessor Skill Set comprises the following three core assessment units of competency from the TAE40110 Certificate IV in Training and Assessment: TAEASS401B Plan assessment activities and processes (which replaces TAEASS401A Plan assessment activities and processes) TAEASS402B Assess competence (which replaces TAEASS402A Assess competence) TAEASS403B Participate in assessment validation (which replaces TAEASS403A Participate in assessment validation). These units are also packaged in the Enterprise Trainer and Assessor Skill Set. They have only received minor modifications, and the mapping advice provided in Version 2.0 of the training package indicates that they are deemed equivalent to the units they replace. Strong aspects of this Learner Guide are as follows: It contains all the essential information and is fully comprehensive; it encourages the learner to see working through this Guide as a part of a much broader learning experience including interaction with a trainer, practical application in actual assessment, full understanding of the concepts, all the latest references and definitions. There are numerous references to further resources that learners can access and add to their resource kit. It is fully up-to-date; there are many references to the Standards for NVR Registered Training Organisations (SNR), the Australian Quality Training Framework (AQTF) Essential Conditions and Standards for Registration and other current references. It includes mapping advice to assist auditors determine that the learning topics and activities are consistent with the requirements of the AQTF / SNR Essential Standards for Registration (see page 178). Who is this Learner Guide for? This Learner Guide has been developed for assessors who wish to undertake assessments in accordance with the requirements of the Australian Quality Training Framework (AQTF) and/or the VET Quality Framework. You are invited to use the Continuous Improvement Form on page 201 to identify changes that you think would improve this Guide. 2012 Shea Business Consulting 3
Learner Guide Copyright 2012 Shea Business Consulting This work is copyright. Apart from any use as permitted under the Copyright Act 1968 (the Act), no part may be reproduced by any process without prior written permission from Shea Business Consulting. Requests and enquiries concerning reproduction and rights should be addressed to Shea Business Consulting, 193 Oak Street, Parkville, Victoria 3052. The Act allows a maximum of 10% of this work to be reproduced and/or communicated by any educational institution for its educational purposes provided that that educational institution (or the body that administers it) has given remuneration notices to Copyright Agency Limited (CAL) under the Act. For details of the CAL licence for educational institutions contact Copyright Agency Limited, Level 19, 157 Liverpool Street, Sydney, NSW 2000. Published by: Shea Business Consulting 193 Oak Street Parkville Victoria 3052 Telephone: +61 3 9387 5320 Email: shea@sheaconsulting.com.au Web: www.sheaconsulting.com.au First Published: February 2011 Stockcode: SHEA70 ISBN: 978-1-921810-09-1 Version 1.2, September 2012 Modifications This Learner Guide has been updated to reflect changes in Version 2.0 of the TAE10 Training and Education Training Package (October 2011 release), as well as other changes that have occurred within the vocational education and training (VET) sector over the past two years. This Guide was originally quality assured and noted by the National Quality Council (NQC), and it therefore displays the official noted tick logo. The changes made to this version (1.2) are minor in nature and reflect our commitment to continuous improvement processes. Disclaimer No patent liability is assumed with respect to the use of the information contained herein. While every precaution has been taken in the preparation of this work, the publisher and the authors assume no responsibility for errors or omissions. Neither is any liability assumed for damages resulting from the use of the information contained herein. This work has been prepared for use as part of a structured vocational education and training course and should only be used within that context. The information contained herein was correct at the time of preparation. Documents sourced during the development of this Guide are listed on page 157. 4 2012 Shea Business Consulting
Learner Guide Contents Copyright... 4 Modifications... 4 Disclaimer... 4 Contents... 5 Figures... 6 Checklists... 7 Acknowledgement... 7 Symbols... 8 Acronyms... 9 Glossary... 10 1. GETTING STARTED... 13 Introduction... 14 What documents do you need?... 16 What resources do you need?... 16 What is a resource kit?... 16 Where are you heading?... 17 Where should you go if you need help?... 18 2. GATHERING EVIDENCE... 21 Introduction... 22 Presenting your evidence... 23 Creating an evidence portfolio... 23 Understanding Employability Skills... 24 3. LEARNING TOPICS... 31 Competency-based assessment... 32 Learning Topic 1: An introduction to competency-based assessment... 33 TAEASS401B Plan assessment activities and processes... 53 Learning Topic 2: Determining an assessment approach... 54 Learning Topic 3: Preparing an assessment plan... 75 Learning Topic 4: Developing assessment instruments... 82 Where to from here?... 102 TAEASS402B Assess competence... 103 Learning Topic 5: Preparing for assessment... 104 Learning Topic 6: Gathering quality evidence... 108 Learning Topic 7: Supporting candidates through the assessment process... 112 Learning Topic 8: Making assessment decisions... 117 Learning Topic 9: Recording and reporting assessment decisions... 122 Learning Topic 10: Reviewing the assessment process... 126 Where to from here?... 131 TAEASS403B Participate in assessment validation... 133 Learning Topic 11: Preparing for validation... 134 Learning Topic 12: Contributing to the validation process... 145 Learning Topic 13: Contributing to validation outcomes... 150 Where to from here?... 152 2012 Shea Business Consulting 5
Learner Guide 4. USEFUL INFORMATION... 153 Additional resources... 154 Websites... 156 Source documents... 157 5. APPENDICES... 159 Appendix A: Evidence Portfolio... 160 Appendix B: Code of Practice for Assessors... 164 Appendix C: Assessment Plan Template... 165 Appendix D: Assessment Methods and Instruments... 166 Appendix E: RTO Record of Assessment Results... 171 Appendix F: Candidate s Record of Assessment Results... 172 Appendix G: Record of Post-Assessment Interview... 173 Appendix H: Assessment Validation Summary... 174 Appendix I: Learning Activity Answers... 175 Appendix J: SNR / AQTF Mapping Advice... 178 Appendix K: Continuous Improvement Form... 201 Figures Figure 1: The broader assessment system...34 Figure 2: The assessment cycle...35 Figure 3: Assessment in VET...41 Figure 4: A systematic approach to OHS risk management...49 Figure 5: How to read and interpret a unit of competency...59 Figure 6: How to apply the dimensions of competency to equipment operation...60 Figure 7: Assessment pathways in VET...64 Figure 8: Factors to consider when establishing evidence...75 Figure 9: How to interpret benchmarks and select assessment methods/instruments...77 Figure 10: Factors to consider when gathering quality evidence...111 Figure 11: Factors to consider when evaluating quality evidence...117 Figure 12: Two-step process to making an assessment decision...119 Figure 13: Factors to consider when agreeing on evidence...140 Figure 14: Two-step process to making an assessment decision...141 6 2012 Shea Business Consulting
Learner Guide Checklists TAEASS401B Plan assessment activities and processes Legal, Organisational and Ethical Requirements Checklist... 58 Analysing a Unit Contextualisation Record... 62 Self-Assessment Checklist... 67 Evidence Table Template... 78 Resources Required for Assessment Template... 79 Sample Assessment Plan... 81 Assessment Materials for Learners from CALD Backgrounds Template... 84 Reasonable Adjustment Template... 84 Up-front Assessment Checklist... 88 Evidence Agreement Form... 91 Observation Checklist... 92 Questions to Support Observation Checklist... 93 Assessment Summary and Feedback Form... 94 Competency Mapping Tool... 96 Peer Review Checklist for Simple Assessment Instruments... 99 Trial Criteria Checklist... 100 TAEASS402B Assess competence Assessment Agreement Form... 106 Assessment Appeal Form... 107 Quality Evidence Checklist... 110 RPL Evidence Gathering Template... 113 Evidence Evaluation Checklist... 118 Evidence Portfolio Evaluation Checklist... 120 Assessment Summary and Feedback Form... 121 Assessment Record Sheet... 123 Assessment Practice Review Template... 127 Assessment Review Checklist... 128 TAEASS403B Participate in assessment validation Assessment System Policies and Procedures Checklist... 139 Assessment Validation Planning Form... 143 Assessment Validation Outcome Template... 144 Confidentiality Agreement... 146 Peer Review Checklist for Assessment Instruments... 148 Validation Document Checklist... 149 Assessment Validation Outcome Form... 151 Acknowledgement This resource was developed for Shea Business Consulting by Andrew Jones and Renika Muthaya of purple infinity. 2012 Shea Business Consulting 7
Learner Guide Symbols The following symbols are used throughout this Guide: Important points Compliance-friendly mapping advice (Please note that the SNR symbol is used interchangeably throughout this resource to refer to the AQTF and SNR, as both sets of standards continue to be used within the national VET system) Useful resources Useful activities Assessment points Case studies Valuable checklists 8 2012 Shea Business Consulting
Learner Guide Acronyms AAC ACSF AQF AQTF ASQA AVETMISS CALD DEEWR DIAC DIISRTE FLAG IBSA ISC LLN MCTEE NARA NATESE NCVER NQC NRT NSF NSOC NSSC NTS NVEAC NVR OHS RCC RPL RTO SCOTESE SNR STA TAFE TGA VET WELL Australian Apprenticeships Centre Australian Core Skills Framework Australian Qualifications Framework Australian Quality Training Framework Australian Skills Quality Authority Australian Vocational Education and Training Management Information and Statistical Standard Culturally and Linguistically Diverse Department of Education, Employment and Workplace Relations (vocational education and training function now responsibility of DIISRTE) Department of Immigration and Citizenship Department of Industry, Innovation, Science, Research and Tertiary Education Flexible Learning Advisory Group Innovation and Business Skills Australia Industry Skills Council Language, Literacy and Numeracy Ministerial Council for Tertiary Education and Employment (now SCOTESE) National Audit and Registration Agency (function now responsibility of ASQA) National Advisory for Tertiary Education, Skills and Employment National Centre for Vocational Education Research National Quality Council (now NSSC) Nationally Recognised Training National Skills Framework National Senior Officials Committee National Skills Standards Council (formerly NQC) National Training System National VET Equity Advisory Council National VET Regulator Occupational Health and Safety Recognition of Current Competency Recognition of Prior Learning Registered Training Organisation Standing Council on Tertiary Education, Skills and Employment (formerly MCTEE) Standards for NVR Registered Training Organisations State/Territory Training Authority Technical and Further Education Training.gov.au Vocational Education and Training Workplace English Language and Literacy 2012 Shea Business Consulting 9
Learner Guide Introduction This Learner Guide supports the Assessor Skill Set from the TAE10 Training and Education Training Package, which has been specifically developed for individuals who wish to obtain the relevant competencies necessary to undertake assessments in accordance with the Australian Quality Training Framework (AQTF) and/or the VET Quality Framework. Skill sets are defined as single units of competency, or combinations of units of competency from an endorsed Training Package, which link to a licence or regulatory requirement or a defined industry need. The Assessor Skill Set meets the industry requirements for assessors. This Assessor Skill Set comprises the following three units of competency: TAEASS401B Plan assessment activities and processes TAEASS402B Assess competence TAEASS403B Participate in assessment validation. TAEASS401B Plan assessment activities and processes This unit describes the skills and knowledge required to plan and organise the assessment process, including recognition of prior learning (RPL), in a competency-based assessment system. It also includes the development of simple assessment instruments. TAEASS402B Assess competence This unit describes the skills and knowledge required to assess the competence of a candidate by following an assessment plan. TAEASS403B Participate in assessment validation This unit describes the skills and knowledge required to participate in an assessment validation process, which involves working in collaboration with other assessors to compare and evaluate assessment processes and outcomes in relation to the same unit/s of competency. These three assessment units of competency are core units from the TAE40110 Certificate IV in Training and Assessment, so when you successfully complete this skill set you will receive credit towards this important qualification. This Guide has been arranged in a series of Learning Topics that allow you to work through one or all of the units of competency: Learning Topic 1 is common to each unit and covers the basic concepts that you must understand before working through the units themselves Learning Topics 2-4 relate to the unit TAEASS401B Plan assessment activities and processes Learning Topics 5-10 relate to the unit TAEASS402B Assess competence Learning Topics 11-13 relate to the unit TAEASS403B Participate in assessment validation. 14 2012 Shea Business Consulting
Learner Guide Learning Topics By working through Learning Topic 1 in this Guide, you will explore the broad competency-based assessment system that underpins vocational education and training (VET). By working through Learning Topics 2 to 4 in this Guide, you will learn how to plan and organise the assessment process, which will involve: determining an assessment approach preparing assessment plans developing assessment instruments. By working through Learning Topics 5 to 10 in this Guide, you will learn how to assess the competence of a candidate by following an assessment plan, which will involve: preparing for assessment gathering quality evidence supporting candidates through the assessment process making assessment decisions recording and reporting your assessment decisions reviewing the assessment process. By working through Learning Topics 11 to 13 in this Guide, you will learn how to participate in an assessment validation process, which will involve: preparing for validation contributing to the validation process contributing to validation outcomes. To match the industry outcomes required by the Assessor Skill Set, this Guide has been divided into the following 13 Learning Topics (all of which contain background information and activities that relate to the three assessment units of competency). Industry Outcomes Competency-based assessment TAEASS401B Plan assessment activities and processes TAEASS402B Assess competence TAEASS403B Participate in assessment validation Learning Topics 1. An introduction to competency-based assessment 2. Determining an assessment approach 3. Preparing assessment plans 4. Developing assessment instruments 5. Preparing for assessment 6. Gathering quality evidence 7. Supporting candidates through the assessment process 8. Making assessment decisions 9. Recording and reporting assessment decisions 10. Reviewing the assessment process 11. Preparing for validation 12. Contributing to the validation process 13. Contributing to validation outcomes 2012 Shea Business Consulting 15
Learner Guide What documents do you need? To successfully work through this Guide, you will need access to the following documents: Introduction to the Learner Guides, which has been specifically designed to complement the suite of TAE10 Training and Education Learner Guides Copies of TAEASS401B Plan assessment activities and processes, TAEASS402B Assess competence and TAEASS403B Participate in assessment validation, the actual units of competency you are seeking to demonstrate competence in A copy of the TAE10 Training and Education Training Package Assessment Guidelines. If you have not yet purchased a copy of Introduction to the Learner Guides, see page 154 for details. Copies of the units of competency and the Assessment Guidelines can be accessed from the training.gov.au (TGA) website at http://training.gov.au What resources do you need? Your Registered Training Organisation (RTO) should help you with access to the following: a facilitator (to help you work through the Guide) an assessor (to assess you against the units of competency) training products (such as Training Packages and accredited course documentation) relevant assessment documentation (including assessment plans, assessment benchmarks, assessment instruments and RPL policies and procedures) assessment reports and records assessment validation documentation (including units of competency and assessment instruments). You will need access to an assessment environment where you can plan and organise assessment, assess the competence of candidates, participate in assessment validation and apply the skills you are developing. What is a resource kit? As you work through this Guide, it is a good idea to compile an electronic and/or paper-based resource kit to use for your work and assist with your learning. This kit may include: information that you print or bookmark from websites resources you download from websites newspaper articles about your industry specific policies or procedures from your workplace. What you decide to put in this kit is up to you. Over time it will become a very useful source of information, containing information about current work practice and ideas within your industry. 16 2012 Shea Business Consulting
Learner Guide The resource kit is for your own professional development and is different to the evidence portfolio that you will keep for assessment purposes (although some resources may be included in both). Where are you heading? When you reach the end of Learning Topic 4 in this Guide, you will need to provide evidence that you have planned and organised an assessment process on at least two occasions, and on each occasion you will need to have: documented an assessment plan covered a range of assessment events catered for a number of candidates used different competency standards or accredited curricula conducted an RPL assessment contextualised competency standards and selected assessment tools (where required) incorporated reasonable adjustment strategies developed simple assessment instruments incorporated organisational arrangements. When you reach the end of Learning Topic 10 in this Guide, you will need to provide evidence that you have followed relevant assessment plans to assess the competence of a number of candidates against different assessment benchmarks, and as part of this process you will need to show how you: assessed at least one candidate for recognition of prior learning (RPL) considered reasonable adjustment and the reasons for decisions in at least one assessment applied different assessment methods and instruments involving a range of assessment activities and events used two-way communication and feedback exercised judgement when making assessment decisions recorded and reported assessment outcomes completed assessment records and reports reviewed the assessment process. When you reach the end of Learning Topic 13 in this Guide, you will need to provide evidence that you have actively participated in (and contributed to) a minimum of two validation sessions, where you: used different validation approaches and activities on each occasion explained the purpose of validation and the legal/ethical responsibilities of assessors collated documentation relating to the validation process in a logical manner communicated and liaised with relevant people during the validation sessions provided feedback and interpreted documentation during the validation sessions recorded your contribution to validation findings. 2012 Shea Business Consulting 17
An introduction to competency-based assessment Learner Guide Competency-based assessment This section includes 13 Learning Topics that contain background information and activities that relate to the three units of competency that make up the Assessor Skill Set; namely: TAEASS401B Plan assessment activities and processes TAEASS402B Assess competence TAEASS403B Participate in assessment validation. You will need to speak to your facilitator to determine which topics you need to complete. Some of the activities may be contextualised to suit your needs, and all the activities can be used as evidence for assessment. The 13 Learning Topics have been organised into four distinct areas of learning: An introduction to competency-based assessment (Learning Topic 1) TAEASS401B Plan assessment activities and processes (Learning Topics 2 to 4) TAEASS402B Assess competence (Learning Topics 5 to 10) TAEASS403B Participate in assessment validation (Learning Topics 11 to 13). Industry Outcomes Competency-based assessment TAEASS401B Plan assessment activities and processes TAEASS402B Assess competence TAEASS403B Participate in assessment validation Learning Topics 1. An introduction to competency-based assessment 2. Determining an assessment approach 3. Preparing assessment plans 4. Developing assessment instruments 5. Preparing for assessment 6. Gathering quality evidence 7. Supporting candidates through the assessment process 8. Making assessment decisions 9. Recording and reporting assessment decisions 10. Reviewing the assessment process 11. Preparing for validation 12. Contributing to the validation process 13. Contributing to validation outcomes 32 2012 Shea Business Consulting
An introduction to competency-based assessment Learner Guide Learning Topic 1: An introduction to competency-based assessment Before you start, there a few things that you must understand about competency-based assessment, and these include: 1. Critical definitions 2. The big picture 3. The assessment cycle 4. Competency-based assessment 5. Principles of assessment 6. Rules of evidence 7. Assessment in VET 8. The ethical and legal requirements of assessors. Because of the logic of the sequence, we recommend that you complete this Learning Topic before moving on. 1. Critical definitions Assessment 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 by the relevant endorsed industry/enterprise competency standards of a Training Package. Assessment tool specifies the context and conditions for an assessment, the tasks to be administered to the candidate, the evidence to be gathered from the candidate and the evidence criteria used to judge the quality of performance (i.e. the assessment decision making rules). It also includes the administration, recording and reporting requirements. Competency the consistent application of knowledge and skill to the standard of performance required in the workplace. It embodies the ability to transfer and apply skills and knowledge to new situations and environments. Training Package a nationally endorsed, integrated set of competency standards, assessment guidelines and AQF qualifications for a specific industry, industry sector or enterprise. Unit of competency the specification of industry knowledge and skill and the application of that knowledge and skill to the standard of performance expected in the workplace. Assessment guidelines the endorsed component of a Training Package that underpins assessment and sets out the industry s approach to valid, reliable, flexible and fair assessment. Validation... a quality review process that involves checking that an assessment instrument has produced valid, reliable, sufficient, current and authentic evidence to enable reasonable judgements to be made as to whether the requirements of the relevant aspects of the Training Package or accredited course have been met. 2012 Shea Business Consulting 33
An introduction to competency-based assessment Learner Guide Competency-Based Assessment Checklist Before moving to the next section, you should be able to tick all of the following: Can you describe the following aspects of competency-based assessment: o The main features of competency-based assessment o The principles of assessment and how they guide the assessment process o The rules of evidence and how they guide evidence collection o The ethical and legal requirements of assessors o The standards and codes of practice that impact assessment o The OHS responsibilities associated with assessing competence. 52 2012 Shea Business Consulting
TAEASS401B Plan assessment activities and processes Learner Guide TAEASS401B Plan assessment activities and processes This section includes 3 Learning Topics that support TAEASS401B Plan assessment activities and processes, one of three assessment units that make up the Assessor Skill Set. This unit of competency describes the performance outcomes, skills and knowledge required to plan and organise the assessment process, including recognition of prior learning (RPL), in a competencybased assessment system. It also includes the development of simple assessment instruments. The development of assessment strategies is not addressed in this Guide. If you are required to develop assessment strategies, you will need to consider the following units: TAEDES501A Design and develop learning strategies TAEASS505A Lead and co ordinate assessment systems and services. However, if you have an existing assessment strategy which documents the overall framework for assessment, then this unit is suitable for you. The following Learning Topics are covered in this section: Determining an assessment approach Preparing assessment plans Developing assessment instruments. Industry Outcomes Competency-based assessment TAEASS401B Plan assessment activities and processes TAEASS402B Assess competence TAEASS403B Participate in assessment validation Learning Topics 1. An introduction to competency-based assessment 2. Determining an assessment approach 3. Preparing assessment plans 4. Developing assessment instruments 5. Preparing for assessment 6. Gathering quality evidence 7. Supporting candidates through the assessment process 8. Making assessment decisions 9. Recording and reporting assessment decisions 10. Reviewing the assessment process 11. Preparing for validation 12. Contributing to the validation process 13. Contributing to validation outcomes 2012 Shea Business Consulting 53
TAEASS401B Plan assessment activities and processes Learner Guide Accessing the assessment strategy While you need to ensure your assessments are conducted in accordance with a clearly defined assessment strategy, you are not required to develop an assessment strategy. The development of assessment strategies is addressed in the following TAE10 units of competency: TAEDES501A Design and develop learning strategies TAEASS505A Lead and co ordinate assessment systems and services. To comply with the AQTF / SNR Essential Standards for Registration, RTOs must develop assessment strategies (or roadmaps) to guide the assessment of the Training Package qualifications and accredited courses they provide. Each strategy must be clearly defined and informed by effective consultation with industry. An assessment strategy can be a single consolidated document or a range of documents, and it must show how the requirements of a Training Package qualification or accredited course will be addressed. An assessment strategy should include: the benchmarks for assessment the evidence requirements how recognition of prior learning (RPL) will be provided how the needs of candidates will be met (including reasonable adjustment in assessment) support staff or resources that may be required to meet the needs of candidates advice to assessors about how the assessment will be conducted the assessment materials to be used the assessment methods to be used (and how these relate to the assessment instruments) characteristics of the workplace/client group that need to be accommodated in assessment facilities and equipment that need to be accessed (and usage agreements for these) simulated assessment environments that may need to be used the competency requirements of assessors who will undertake the assessment. Now is a good time to access your RTO s assessment strategies, as you will need these to guide the preparation of your assessment plans. 74 2012 Shea Business Consulting
TAEASS401B Plan assessment activities and processes Learner Guide Learning Topic 3: Preparing an assessment plan Having determined your assessment approach, you now need to prepare an assessment plan, and this will involve: 1. Determining the evidence needed to demonstrate competency 2. Selecting the assessment methods 3. Documenting the assessment plan. This Learning Topic covers Element 2 of TAEASS401B Plan assessment activities and processes (Prepare the assessment plan). 1. Determining the evidence needed to demonstrate competency When preparing an assessment plan, you must read and interpret the assessment benchmarks to determine the evidence that needs to be gathered to demonstrate competency against each benchmark. The evidence that you identify must meet the rules of evidence (see page 39). In competency-based assessment, evidence is the information, materials and products that support a candidate s claim to demonstrate competence against an assessment benchmark. While there are three main types of evidence, there are many evidence gathering methods (also known as assessment methods), and any combination of these can be used. Assessors and candidates will gather evidence from a range of sources, and it should always be linked to a candidate s current or future work role. The following diagram shows the different factors that need to be considered when determining the evidence needed to demonstrate competency. dimensions of competency rules of evidence assessment benchmarks Establishing Evidence specific assessment guidelines Figure 8: Factors to consider when establishing evidence 2012 Shea Business Consulting 75
TAEASS401B Plan assessment activities and processes Learner Guide The following checklist provides some questions that you may wish to use to see if your draft assessment instruments meet the principles of assessment and rules of evidence. When trialling assessment instruments, it is a good idea to consider assessment activities collectively rather than individually. Assessment Benchmark Trial Criteria Checklist Principles of Assessment Rules of Evidence Validity Do the assessment activities address all parts of the benchmark? Reliability Do the activities consistently measure what they are supposed to? Do the instructions provided to candidates ensure consistent application of the activities? Can the activities be used by different assessors in different situations and with different candidates to achieve consistent results? Flexibility Do the activities meet the needs of the candidate and the organisation? Fairness Do the activities meet the needs and characteristics of the candidate? Are the activities free of bias and can they be adapted to prevent barriers for individuals with special needs? Validity Does the evidence address all parts of the benchmark? Currency Is the evidence current? Sufficiency Is there enough evidence to address all parts of the benchmark? Authenticity Is the collected evidence the candidate s own work? Draft Instrument meets Trial Criteria Yes No You should now contact your facilitator to discuss how you can be observed planning and organising the assessment process on at least two occasions. As part of this assessment point, you will need to document an assessment plan, so ask your facilitator if they can give you an assessment plan template or proforma. Alternatively, you can use/adapt the Assessment Plan Template that has been provided at Appendix C (see page 165). 100 2012 Shea Business Consulting
TAEASS401B Plan assessment activities and processes Learner Guide Planning Assessment Checklist Having reached the end of the Learning Topics relating to TAEASS401B Plan assessment activities and processes, you should be able to tick all of the following: Can you describe the following components of the broader assessment system? o The different purposes of assessment and different assessment contexts o The interpretation of assessment benchmarks o The contextualisation of assessment benchmarks o The purpose, features and different types of evidence o The different types of assessment methods o The purpose, relevance and different types of assessment instruments Can you determine an assessment approach? Can you prepare an assessment plan? Can you develop simple assessment instruments? Have you planned and organised two assessment processes where you: o documented an assessment plan? o covered a range of assessment events? o catered for a number of candidates? o used different competency standards or accredited curricula? o conducted an RPL assessment? o contextualised units of competency and selected assessment tools? o incorporated reasonable adjustment strategies? o developed simple assessment instruments? o incorporated organisational arrangements? 2012 Shea Business Consulting 101
TAEASS401B Plan assessment activities and processes Learner Guide Where to from here? Having assembled an evidence portfolio by working through this Guide and applying your skills, you will now need to arrange for a qualified assessor from your RTO to evaluate your competence in TAEASS401B Plan assessment activities and processes. If you are deemed competent, you will be issued with a Statement of Attainment that formally recognises your ability to plan and organise the assessment process. By continuing to the next section of this Learner Guide, you will discover how to assess the competence of a candidate. 102 2012 Shea Business Consulting
TAEASS402B Assess competence TAEASS402B Assess competence This section includes 6 Learning Topics that support TAEASS402B Assess competence, one of three assessment units that make up the Assessor Skill Set. This unit of competency describes the performance outcomes, skills and knowledge required to assess the competence of a candidate by following an assessment plan. The development of assessment plans is not addressed in this unit. They are addressed in the previous unit TAEASS401B Plan assessment activities and processes (see page 75). The following Learning Topics are covered in this section: Preparing for assessment Gathering quality evidence Supporting candidates through the assessment process Making assessment decisions Recording and reporting your assessment decisions Reviewing the assessment process. Substantial components of Learning Topics 5, 6 and 7 have been addressed already in Learning Topics 2, 3 and 4. To avoid unnecessary duplication, the content has not been repeated. To refresh your memory, you will simply be directed to re-visit and re-read particular sections of Topics 2, 3 and 4. Industry Outcomes Competency-based assessment TAEASS401B Plan assessment activities and processes TAEASS402B Assess competence TAEASS403B Participate in assessment validation Learning Topics 1. An introduction to competency-based assessment 2. Determining an assessment approach 3. Preparing assessment plans 4. Developing assessment instruments 5. Preparing for assessment 6. Gathering quality evidence 7. Supporting candidates through the assessment process 8. Making assessment decisions 9. Recording and reporting assessment decisions 10. Reviewing the assessment process 11. Preparing for validation 12. Contributing to the validation process 13. Contributing to validation outcomes 2012 Shea Business Consulting 103
TAEASS402B Assess competence Learning Topic 7: Supporting candidates through the assessment process Having determined how and where you will gather quality evidence, you now need to support candidates through the assessment process, and this will involve: 1. Helping candidates gather their own evidence for RPL 2. Using appropriate communication and interpersonal skills 3. Making decisions on reasonable adjustments 4. Accessing specialist support 5. Identifying potential barriers to evaluating quality evidence. This Learning Topic covers Element 3 of TAEASS402B Assess competence (Support the candidate). 1. Helping candidates gather their own evidence for RPL In order to assess the competence of a candidate, you need to understand how to gather quality evidence. You also need to understand how to help candidates gather their own evidence. If you have determined that an RPL process is more suited to a particular candidate, you will need to: explain the steps of the RPL process explain the assessment benchmarks (and the type of evidence required by the benchmarks) explain the rules of evidence that must be met by the RPL process explain the assessment methods and instruments (and how they will be used) provide up-front assessment and self-assessment opportunities against the benchmarks help candidates identify and gather evidence help candidates compile an evidence portfolio (such as the one provided on page 160). Western Australia s Department of Training and Workforce Development has developed numerous RPL Assessment Tool Kits for a range of qualifications in skill shortage areas. You can access the tool kits from West-One Services website at www.westone.wa.gov.au/rpl These free publications would make excellent additions to your resource kit. Previous learning topics In Learning Topic 2 you discovered how to support a candidate gather evidence for an RPL process. If you need to refresh your memory, it would be well worth reading the following sections: Recognition of prior learning (RPL) processes (see page 64) Up-front assessment (see page 65) Self-assessments (see page 66). 112 2012 Shea Business Consulting
TAEASS402B Assess competence Learner Guide Use the following RPL Evidence Gathering Form to list the evidence that a candidate could gather to support the recognition of their prior learning. RPL Evidence Gathering Form Version 1.0 (September 2012) Candidate Assessor Assessment Benchmark Evidence Direct evidence Indirect evidence Supplementary evidence Comments and verification Elements Employability Skills Communication Teamwork Problem Solving Initiative and Learning Planning and Organising Self-management Learning Technology Observation (workplace or simulation) Review of products and processes Review of third party reports and testimonials Analysis of responses to questioning (oral and written) Review of evidence portfolios Required skills Required knowledge Analysis of responses to knowledge tests Analysis of responses to knowledge tests Analysis of responses to knowledge tests Action/further training: RPL Outcome Competent Not Yet Competent Candidate s signature:... Date:... Assessor s signature:... Date:... 2012 Shea Business Consulting 113
TAEASS402B Assess competence Learner Guide Conducting Assessment Checklist Having reached the end of Learning Topics relating to TAEASS402B Assess competence, you should be able to tick all of the following: Can you describe the following components of the broader assessment system? o The range of assessment purposes and contexts (including RPL) o The different types and forms of evidence o The range of assessment methods and instruments (and their suitability for gathering different types and forms of evidence) o The potential barriers relating to assessment methods and instruments o Cultural sensitivity and equity considerations in assessment Can you prepare for an assessment? Can you gather quality evidence? Can you support candidates through an assessment process? Can you make assessment decisions? Can you record and report your assessment decisions? Can you review an assessment process? Have you followed relevant assessment plans to assess the competence of a number of candidates against different assessment benchmarks, where you: o assessed at least one candidate for RPL? o considered reasonable adjustment in at least one assessment? o covered an entire assessment benchmark on each occasion? o applied different assessment methods and instruments across a range of activities and events? o used two-way communication and feedback? o exercised judgement when making assessment decisions? o recorded and reported the assessment outcomes? o completed assessment records and reports? o reviewed the assessment process? 130 2012 Shea Business Consulting
Where to from here? Having assembled an evidence portfolio by working through this Guide and applying your skills, you will now need to arrange for a qualified assessor from your RTO to evaluate your competence in TAEASS402B Assess competence. If you are deemed competent, you will be issued with a Statement of Attainment that formally recognises your ability to assess the competence of candidates. By continuing to the next section of this Learner Guide, you will discover how to participate in an assessment validation process. 2012 Shea Business Consulting 131
TAEASS402B Assess competence Learner Guide Notes 132 2012 Shea Business Consulting
TAEASS403B Participate in assessment validation Learner Guide TAEASS403B Participate in assessment validation This section includes 3 Learning Topics that support TAEASS403B Participate in assessment validation, one of three assessment units that make up the Assessor Skill Set. This unit of competency describes the performance outcomes, skills and knowledge required to participate in an assessment validation process, which involves working in collaboration with other assessors to compare and evaluate assessment processes and outcomes in relation to the same unit/s of competency. This unit does not address the skills needed to lead the validation process. If you are required to lead assessment validations, you will need to consider the elective unit TAEASS505A Lead and coordinate assessment systems and services from the TAE70111 Vocational Graduate Certificate in Adult Language, Literacy and Numeracy Practice. The following Learning Topics are covered in this section: Preparing for validation Contributing to the validation process Contributing to validation outcomes. Substantial components of Learning Topics 11 and 12 have been addressed already in Learning Topics 2, 3 and 8. To avoid unnecessary duplication, the content has not been repeated. To refresh your memory, you will simply be directed to re-visit and re-read particular sections of Topics 2, 3 and 8. Industry Outcomes Competency-based assessment TAEASS401B Plan assessment activities and processes TAEASS402B Assess competence TAEASS403B Participate in assessment validation Learning Topics 1. An introduction to competency-based assessment 2. Determining an assessment approach 3. Preparing assessment plans 4. Developing assessment instruments 5. Preparing for assessment 6. Gathering quality evidence 7. Supporting candidates through the assessment process 8. Making assessment decisions 9. Recording and reporting assessment decisions 10. Reviewing the assessment process 11. Preparing for validation 12. Contributing to the validation process 13. Contributing to validation outcomes 2012 Shea Business Consulting 133
TAEASS403B Participate in assessment validation Learner Guide RTOs must keep records of their assessment validation activities in order to comply with the AQTF / SNR Essential Standards for Registration. Use the following Assessment Validation Outcome Template to record the outcomes of your assessment validation activities (and the recommendations arising from these activities). Assessment Validation Outcome Template Version 1.0 (September 2012) Validation Approach Outcome of Validation Activities Recommendations to Improve the Quality of Assessment Regardless of the context and approach, validation is undertaken to improve the quality of the assessment process. It is important to remember that you are not trying to make everyone assess in exactly the same way. You are trying to ensure that the assessment process used by your organisation: fully addresses the relevant assessment benchmarks is conducted in accordance with the principles of assessment and the rules of evidence. 144 2012 Shea Business Consulting
TAEASS403B Participate in assessment validation Learner Guide Learning Topic 12: Contributing to the validation process Having prepared for participation, you now need to contribute to the validation process, and this will involve: 1. Actively participating in validation sessions and activities 2. Applying the principles of assessment and rules of evidence 3. Checking documents for accuracy and version control. This Learning Topic covers Element 2 of TAEASS403B Participate in assessment validation (Contribute to validation process). 1. Actively participating in validation sessions and activities It would be a pointless exercise attending a validation session if you turned up and didn t say a word. You must actively participate in validation activities, and this means communicating openly and clearly about your assessment experiences. Validation is a great opportunity to learn from other assessors, so it is important to ask meaningful questions. For example, if the validation approach involves field testing, trialling and piloting and the agreed validation activity involves analysing and reviewing assessment instruments, you may wish to ask the following questions: Validation Approach Field testing, trialling and piloting Validation Activity Analysing and reviewing assessment instruments Validation Questions - Who is the instrument designed for? - Can the instrument be adjusted to suit people who can t read well or who have a temporary/permanent disability? - How does the evidence collected with the instrument meet the requirements of the unit of competency? - Does the instrument provide information to candidates? - Does the instrument include a guide for required responses when questioning a candidate s underpinning knowledge? - How was the instrument developed? Was there any industry input? - Have any assessment appeals arisen from the use of the instrument? - Have there been any situations where the instrument was impractical? - Have employers or candidates provided feedback on the instrument? - Are the dimensions of competency integrated within the instrument? - Are Employability Skills integrated within the instrument? Questions allow assessors to learn from one another, and they also allow assessors to reflect on their own practice without feeling they are being criticised. Validation must be a positive exercise for all involved, and this requires an environment of openness and trust. 2012 Shea Business Consulting 145
TAEASS403B Participate in assessment validation Learner Guide Validating Assessment Checklist Having reached the end of Learning Topics relating to TAEASS403B Participate in assessment validation, you should be able to tick all of the following: Can you describe the following components of the broader assessment system? o The interpretation of competency standards (to determine the evidence needed to demonstrate competence) o The various reasons (purposes) for carrying out validation o The different approaches to validation o The critical aspects of validation (including the validation of assessment processes, methods and products) Can you prepare for validation? Can you contribute to the validation process? Can you contribute to validation outcomes? Have you actively participated in a minimum of two validation sessions, where you: o used different validation approaches and activities? o collated documentation relating to the validation process in a logical manner? o communicated and liaised with relevant people? o provided feedback and interpreted documentation? o recorded your contribution to the validation findings? Where to from here? Having assembled an evidence portfolio by working through this Guide and applying your skills, you now need to arrange for a qualified assessor from your RTO to evaluate your competence in TAEASS403B Participate in assessment validation. If you are deemed competent, you will be issued with a Statement of Attainment that formally recognises your ability to participate in assessment validation. If you are deemed competent in all of the units of competency that make up the Assessor Skill Set (namely TAEASS401B Plan assessment activities and processes, TAEASS402B Assess competence and TAEASS403B Participate in assessment validation), you will be issued with a Statement of Attainment that formally recognises that you have met the industry requirements for an assessor and that you are able to assess according to AQTF requirements. 152 2012 Shea Business Consulting
Learner Guide 4. Useful Information 2012 Shea Business Consulting 153