Assessor TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A Participate in assessment validation skill 7 set Assessor skill set Shea Business Consulting learner guide supporting the TAE10 Training and Education Training Package stockcode: SHEA70
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 the TAE10 Training and Education Training Package. This skill set replaces a skill set of the same name from the previous TAA04 Training and Assessment Training Package. The Assessor Skill Set comprises the following three core assessment units of competency from the TAE40110 Certificate IV in Training and Assessment: TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A Participate in assessment validation. 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 AQTF 2010 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 2010 Essential Conditions and Standards for Registration (see page 180). 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). You are invited to use the Continuous Improvement Form on page 203 to identify changes that you think would improve this Guide. 2011 Shea Business Consulting 3
Copyright 2011 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 1.0, February 2011 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 159. Acknowledgement This resource was developed for Shea Business Consulting by Andrew Jones and Renika Muthaya of purple infinity. 4 2011 Shea Business Consulting
Contents Copyright... 4 Disclaimer... 4 Acknowledgement... 4 Contents... 5 Figures... 6 Checklists... 7 Symbols... 8 Acronyms... 9 Glossary... 10 1. GETTING STARTED... 15 Introduction... 16 What documents do you need?... 18 What resources do you need?... 18 What is a resource kit?... 18 Where are you heading?... 19 Where should you go if you need help?... 20 2. GATHERING EVIDENCE... 23 Introduction... 24 Presenting your evidence... 25 Creating an evidence portfolio... 25 Understanding Employability Skills... 26 3. LEARNING TOPICS... 33 Competency-based assessment... 34 Learning Topic 1: An introduction to competency-based assessment... 35 TAEASS401A Plan assessment activities and processes... 53 Learning Topic 2: Determining an assessment approach... 54 Learning Topic 3: Preparing an assessment plan... 76 Learning Topic 4: Developing assessment instruments... 83 Where to from here?... 103 TAEASS402A Assess competence... 105 Learning Topic 5: Preparing for assessment... 106 Learning Topic 6: Gathering quality evidence... 110 Learning Topic 7: Supporting candidates through the assessment process... 114 Learning Topic 8: Making assessment decisions... 119 Learning Topic 9: Recording and reporting assessment decisions... 124 Learning Topic 10: Reviewing the assessment process... 128 Where to from here?... 133 TAEASS403A Participate in assessment validation... 135 Learning Topic 11: Preparing for validation... 136 Learning Topic 12: Contributing to the validation process... 147 Learning Topic 13: Contributing to validation outcomes... 152 Where to from here?... 154 2011 Shea Business Consulting 5
4. USEFUL INFORMATION... 155 Additional resources... 156 Websites... 158 Source documents... 159 5. APPENDICES... 161 Appendix A: Evidence Portfolio... 162 Appendix B: Code of Practice for Assessors... 166 Appendix C: Assessment Plan Template... 167 Appendix D: Assessment Methods and Tools... 168 Appendix E: RTO Record of Assessment Results... 173 Appendix F: Candidate s Record of Assessment Results... 174 Appendix G: Record of Post-Assessment Interview... 175 Appendix H: Assessment Validation Summary... 176 Appendix I: Learning Activity Answers... 177 Appendix J: AQTF 2010 Mapping Advice... 180 Appendix K: Continuous Improvement Form... 203 Figures Figure 1: The broader assessment system... 36 Figure 2: The assessment cycle... 37 Figure 3: Assessment in VET... 43 Figure 4: How to read and interpret a unit of competency... 59 Figure 5: How to apply the dimensions of competency to equipment operation... 60 Figure 6: Assessment pathways in VET... 65 Figure 7: Factors to consider when establishing evidence... 76 Figure 8: How to interpret benchmarks and select assessment methods/tools... 78 Figure 9: Factors to consider when gathering quality evidence... 113 Figure 10: Factors to consider when evaluating quality evidence... 119 Figure 11: Two-step process to making an assessment decision... 121 Figure 12: Factors to consider when agreeing on evidence... 142 Figure 13: Two-step process to making an assessment decision... 143 6 2011 Shea Business Consulting
Checklists TAEASS401A Plan assessment activities and processes Legal, Organisational and Ethical Requirements Checklist... 58 Analysing a Unit Contextualisation Record... 62 Self-Assessment Checklist... 68 Evidence Table Template... 79 Resources Required for Assessment Template... 80 Sample Assessment Plan... 82 Assessment Materials for Learners from CALD Backgrounds Template... 85 Reasonable Adjustment Template... 85 Up-front Assessment Checklist... 89 Evidence Agreement Form... 92 Observation Checklist... 93 Questions to Support Observation Checklist... 94 Assessment Summary and Feedback Form... 95 Competency Mapping Tool... 97 Peer Review Checklist for Simple Assessment Instruments... 100 Trial Criteria Checklist... 101 TAEASS402A Assess competence Assessment Agreement Form... 108 Assessment Appeal Form... 109 Quality Evidence Checklist... 112 RPL Evidence Gathering Template... 115 Evidence Evaluation Checklist... 120 Evidence Portfolio Evaluation Checklist... 122 Assessment Summary and Feedback Form... 123 Assessment Record Sheet... 125 Assessment Practice Review Template... 129 Assessment Review Checklist... 130 TAEASS403A Participate in assessment validation Assessment System Policies and Procedures Checklist... 141 Assessment Validation Planning Form... 145 Assessment Validation Outcome Template... 146 Confidentiality Agreement... 148 Validation Document Checklist... 151 Peer Review Checklist for Assessment Tools... 150 Assessment Validation Outcome Form... 153 2011 Shea Business Consulting 7
Symbols The following symbols are used throughout this Guide: Important points Compliance-friendly mapping advice Useful resources Useful activities Assessment points Case studies Valuable checklists 8 2011 Shea Business Consulting
Acronyms AAC ACSF ANTA AQF AQFC AQTF AVETMISS CALD DEEWR DEST DIAC IBSA ISC LLN MCTEE NARA NCVER NISC NQC NRT NSC NSF NSOC NTF NTIS NTS NTSC OHS RCC RPL RTO STA TAFE TVET VET VETiS WELL Australian Apprenticeships Centre Australian Core Skills Framework Australian National Training Authority (function now responsibility of DEEWR) Australian Qualifications Framework Australian Qualifications Framework Council Australian Quality Training Framework Australian Vocational Education and Training Management Information and Statistical Standard Culturally and Linguistically Diverse Department of Education, Employment and Workplace Relations (formerly DEST) Department of Education, Science and Training (now DEEWR) Department of Immigration and Citizenship Innovation and Business Skills Australia Industry Skills Council Language, Literacy and Numeracy Ministerial Council for Tertiary Education and Employment National Audit and Registration Agency National Centre for Vocational Education Research National Industry Skills Committee National Quality Council (now NSC) Nationally Recognised Training National Standards Council (formerly NQC) National Skills Framework (formerly NTF) National Senior Officials Committee National Training Framework (now NSF) National Training Information Service National Training System National Training Statistics Committee Occupational Health and Safety Recognition of Current Competency Recognition of Prior Learning Registered Training Organisation State/Territory Training Authority Technical and Further Education Technical and Vocational Education and Training Vocational Education and Training Vocational Education and Training in Schools Workplace English Language and Literacy 2011 Shea Business Consulting 9
Glossary The following definitions have been sourced from the AQTF 2010 Users' Guide to the Essential Conditions and Standards for Initial Registration. Apprenticeship/traineeship a structured training arrangement for a person employed under an apprenticeship/traineeship training contract (usually involving the person receiving training and being assessed both on and off-the-job). Articulation the arrangements that facilitate the movement or progression of learners from one qualification to another, or from one education and training sector to another. 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 or by the learning outcomes of an accredited course. 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. Assessment tool a tool that 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. Authenticity one of the rules of evidence. To accept evidence as authentic, an assessor must be assured that the evidence presented for assessment is the candidate s own work. 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. Currency one of the rules of evidence. In assessment, currency relates to the age of the evidence presented by a candidate to demonstrate that they are still competent. Competency requires demonstration of current performance, so the evidence collected must be from either the present or the very recent past. Dimensions of competency dimensions are part of the broad concept of competency, which includes all aspects of work performance as represented by task skills, task management skills, contingency management skills and job/role environment skills. Fairness one of the principles of assessment. Fairness requires consideration of the individual candidate s needs and characteristics, and any reasonable adjustments that need to be applied to take account of them. It requires clear communication between the assessor and the candidate to ensure that the candidate is fully informed about, understands and is able to participate in, the assessment process, and agrees that the process is appropriate. It also includes an opportunity for the person being assessed to challenge the result of the assessment and to be reassessed if necessary. Flexibility one of the principles of assessment. To be flexible, assessment should reflect the candidate s needs; provide for recognition of competencies no matter how, where or when they have been acquired; draw on a range of methods appropriate to the context, competency and the candidate; and support continuous competency development. 10 2011 Shea Business Consulting
Learner an individual who is receiving, responding to and processing information in order to acquire and develop competence. This incorporates the processes of preparing and presenting for assessment. Learning the process followed by a learner. a) Formal learning refers to learning that takes place through a structured program of instruction and is linked to the attainment of a formal qualification or award (for example, a certificate, diploma or university degree) b) Non-formal learning refers to learning that takes place through a structured program of instruction but does not lead to the attainment of a formal qualification or award (for example, in-house professional development programs conducted by a business) c) Informal learning refers to learning that results through experience of work-related, social, family, hobby or leisure activities (for example, the acquisition of interpersonal skills developed through several years as a sales representative). Moderation the process of bringing assessment judgements and standards into alignment. It is a process that ensures the same standards are applied to all assessment results within the same unit/s of competency. It is an active process in the sense that adjustments to assessor judgements are made to overcome differences in the difficulty of the tool and/or the severity of judgements. Packaging requirements the process of grouping competencies in a Training Package into meaningful combinations which represent whole jobs or key functions in the workplace. Principles of assessment to ensure quality outcomes, assessment should be fair, flexible, valid, and reliable. (See also: Fairness, Flexibility, Reliability and Validity). Qualification formal certification, issued by a relevant approved body, in recognition that a person has achieved learning outcomes or competencies relevant to identified individual, professional, industry or community needs. Reasonable adjustment adjustments that can be made to the way in which evidence of candidate performance can be collected. Whilst reasonable adjustments can be made in terms of the way in which evidence of performance is gathered, the evidence criteria for making competent/not yet competent decisions (and/or awarding grades) should not be altered in any way. That is, the standards expected should be the same irrespective of the group and/or individual being assessed; otherwise comparability of standards will be compromised. Recognition of prior learning (RPL) an assessment process that assesses an individual s non-formal and informal learning to determine the extent to which that individual has achieved the required learning outcomes, competency outcomes, or standards for entry to, and/or partial or total completion of, a qualification. Registered Training Organisation (RTO) a training organisation registered by a state or territory registering body in accordance with the AQTF Essential Conditions and Standards for Continuing Registration within a defined scope of registration. Reliability one of the principles of assessment. There are five types of reliability: internal consistency; parallel forms; split-half; inter-rater; and, intra rater. In general, reliability is an estimate of how accurate or precise the task is as a measurement instrument. Reliability is concerned with how much error is included in the evidence. Rules of evidence these are closely related to the principles of assessment and provide guidance on the collection of evidence to ensure that it is valid, sufficient, authentic and current. 2011 Shea Business Consulting 11
Statement of Attainment issued by a registered training organisation when an individual has completed one or more units of competency/modules from nationally recognised qualification(s) or course(s). Sufficiency one of the rules of evidence. Sufficiency relates to the quality and quantity of evidence assessed. It requires collection of enough appropriate evidence to ensure that all aspects of competency have been satisfied and that competency can be demonstrated repeatedly. Supplementary sources of evidence may be necessary. The specific evidence requirements of each unit of competency provide advice on sufficiency. Training the process used by an RTO to facilitate learning. Training and assessment strategy a framework that guides the learning requirements and the teaching, training and assessment arrangements of a VET qualification. It is the document that outlines the macro-level requirements of the learning and assessment process, usually at the qualification level. Training Package a nationally endorsed, integrated set of competency standards, assessment guidelines and AQF qualifications for a specific industry, industry sector or enterprise. Training plan a documented program of training and assessment required for an apprenticeship/traineeship training contract. It is developed by an RTO in consultation with the parties to the contract as the basis for training and assessing a person undertaking an apprenticeship or traineeship. Training program a program (also known as a learning program) developed by an RTO that meets the training and assessment requirements of a qualification from a Training Package, one or more designated units of competency, or an accredited course. The training program may specify such matters as essential and elective units, the sequence and timing of training and assessments, and the resources required. It may form part of a training and assessment strategy. 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. Validation a quality review process. It involves checking that the assessment tool 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. It includes reviewing and making recommendations for future improvements to the assessment tool, process and/or outcomes. Validity one of the rules of evidence and one of the principles of assessment. There are five major types of validity: face, content, criterion (i.e. predictive and concurrent), construct and consequential. Vocational competency broad industry knowledge and experience, usually combined with a relevant industry qualification. A person who has vocational competency will be familiar with the content of the vocation and will have relevant current experience in the industry. Vocational competencies must be considered on an industry-by-industry basis and with reference to the guidance provided in the Assessment Guidelines of the relevant Training Package. 12 2011 Shea Business Consulting
In the National Quality Council (NQC) report titled VET Products for the 21 ST Century Final Report (June 2009), a recommendation was made to revise the definition of competency as follows: Competency is 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. You can download a copy of the VET Products for the 21 ST Century report from the NQC website at www.nqc.tvetaustralia.com.au/nqc_publications In June 2010, the Ministerial Council for Tertiary Education and Employment (MCTEE) agreed to establish a National Standards Council (NSC) which will replace the NQC. At the time printing, this new Council was not operational, so the NQC has been referenced throughout this resource. 2011 Shea Business Consulting 13
Notes 14 2011 Shea Business Consulting
1. Getting Started 2011 Shea Business Consulting 15
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). 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. The Assessor Skill Set comprises the following three units of competency: TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A Participate in assessment validation. TAEASS401A 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. TAEASS402A Assess competence This unit describes the skills and knowledge required to assess the competence of a candidate by following an assessment plan. TAEASS403A 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 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 TAEASS401A Plan assessment activities and processes Learning Topics 5-10 relate to the unit TAEASS402A Assess competence Learning Topics 11-13 relate to the unit TAEASS403A Participate in assessment validation. 16 2011 Shea Business Consulting
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 TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A 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 2011 Shea Business Consulting 17
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 TAEASS401A Plan assessment activities and processes, TAEASS402A Assess competence and TAEASS403A 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 156 for details. Copies of the three TAE10 units of competency and the TAE10 Assessment Guidelines can be accessed from the National Training Information Service (NTIS) at www.ntis.gov.au What resources do you need? Your Registered Training Organisation 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 tools and RPL policies and procedures) assessment reports and records assessment validation documentation (including units of competency and assessment tools). 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. 18 2011 Shea Business Consulting
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 tools 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. 2011 Shea Business Consulting 19
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: TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A 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) TAEASS401A Plan assessment activities and processes (Learning Topics 2 to 4) TAEASS402A Assess competence (Learning Topics 5 to 10) TAEASS403A Participate in assessment validation (Learning Topics 11 to 13). Industry Outcomes Competency-based assessment TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A 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 34 2011 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 a tool that 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. 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 tool 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. Source: AQTF 2010 Users' Guide to the Essential Conditions and Standards for Initial Registration 2011 Shea Business Consulting 35
Notes 52 2011 Shea Business Consulting
TAEASS401A Plan assessment activities and processes Learner Guide TAEASS401A Plan assessment activities and processes This section includes 3 Learning Topics that support TAEASS401A 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 core units TAADES501B Design and develop learning strategies and TAAASS501B Lead and co ordinate assessment systems and services from the TAA50104 Diploma of Training and Assessment. 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 TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A 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 2011 Shea Business Consulting 53
TAEASS401A 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 TAEASS401A 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 to be gathered to demonstrate competency against each benchmark. The evidence that you identify must meet the rules of evidence (see page 41). 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 7: Factors to consider when establishing evidence 76 2011 Shea Business Consulting
TAEASS401A Plan assessment activities and processes Learner Guide The following table distinguishes the three main types of evidence and the different methods used to gather evidence. Evidence Type Direct Indirect Supplementary Evidence Gathering (Assessment) Methods observation of work activities under real/simulated work conditions review of work products and workplace projects review of third party reports from a range of sources, including: - testimonials and reports from employers and/or supervisors - evidence of training - authenticated prior achievements - interviews with employers, supervisors and/or peers - competency record books - performance appraisals - references - work reports review of answers to oral, written and computer managed questions, including: - closed/open-ended questions - selected response questions (where candidate chooses answer) - constructed response questions (where candidate provides answer) - oral presentations - interview questions - self assessments - verbal questioning - questionnaires - oral or written examinations (applicable at higher AQF levels) review of documentation detailing past and current achievements, including: - evidence portfolios (collections of work samples by the candidate) - journals or log books - information about life experience - Recognition of current competency (RCC) documentation - recognition of prior learning (RPL) documentation - training records (including previous qualifications and awards) - work history (e.g. job descriptions, resume, curriculum vitae) - work records (e.g. completed job sheets) review of photographs, CDs, DVDs and audiovisual records review of projects, assignments, presentations and activity sheets review of simulation exercises, case studies and role plays 2. Selecting the assessment methods Having decided on the evidence required to demonstrate competency against each assessment benchmark, you will need to select suitable assessment methods to support the collection of your defined evidence in accordance with the principles of assessment (see page 39). You will also need to ensure that the assessment methods you select take into account the context in which the assessment will take place (see page 54). 2011 Shea Business Consulting 77
TAEASS401A Plan assessment activities and processes Learner Guide Planning Assessment Checklist Having reached the end of Learning Topics relating to TAEASS401A 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 tools 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 tools? o incorporated organisational arrangements? 102 2011 Shea Business Consulting
TAEASS401A 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 TAEASS401A 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. 2011 Shea Business Consulting 103
TAEASS401A Plan assessment activities and processes Learner Guide Notes 104 2011 Shea Business Consulting
TAEASS402A Assess competence TAEASS402A Assess competence This section includes 6 Learning Topics that support TAEASS402A 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 TAEASS401A Plan assessment activities and processes (see page 76). 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 TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A 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 2011 Shea Business Consulting 105
TAEASS402A 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 TAEASS402A 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 tools (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 162). By registering and logging into the Resource Generator website at www.resourcegenerator.gov.au, you can search for and download a copy of Guide 3: Recognition Resource (one of ten guides developed as part of a Training Package Assessment Materials Project). This free publication would make an excellent addition 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 66) Self-assessments (see page 67). 114 2011 Shea Business Consulting
TAEASS402A 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 (February 2011) 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:... 2011 Shea Business Consulting 115
TAEASS402A Assess competence Learner Guide Conducting Assessment Checklist Having reached the end of Learning Topics relating to TAEASS402A 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/tools and their suitability for gathering evidence o The potential barriers relating to assessment tools and methods 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 tools across a range of activities/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? 132 2011 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 TAEASS402A 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. 2011 Shea Business Consulting 133
TAEASS402A Assess competence Learner Guide Notes 134 2011 Shea Business Consulting
TAEASS403A Participate in assessment validation Learner Guide TAEASS403A Participate in assessment validation This section includes 3 Learning Topics that support TAEASS403A 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 core unit TAAASS501B Lead and coordinate assessment systems and services from the TAA50104 Diploma of Training and Assessment. 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 TAEASS401A Plan assessment activities and processes TAEASS402A Assess competence TAEASS403A 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 2011 Shea Business Consulting 135
TAEASS403A Participate in assessment validation Learner Guide RTOs must keep records of their assessment validation activities in order to comply with the AQTF 2010 Essential Conditions and Standards for Initial or Continuing 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 (February 2011) 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. 146 2011 Shea Business Consulting
TAEASS403A 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 TAEASS403A 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 tools, you may consider asking the following questions: Validation Approach Field testing, trialling and piloting Validation Activity Analysing and reviewing assessment tools Validation Questions - Who is the tool designed for? - Can the tool be adjusted to suit people who can t read well or who have a temporary/permanent disability? - How does the evidence collected with the tool meet the requirements of the unit of competency? - Does the tool provide information to candidates? - Does the tool include a guide for required responses when questioning a candidate s underpinning knowledge? - How was the tool developed? Was there any industry input? - Have any assessment appeals arisen from the use of the tool? - Have there been any situations where the tool was impractical? - Have employers or candidates provided feedback on the tool? - Have the dimensions of competency been integrated into the tool? - Have Employability Skills been integrated into the tool? 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. 2011 Shea Business Consulting 147
TAEASS403A Participate in assessment validation Learner Guide Validating Assessment Checklist Having reached the end of Learning Topics relating to TAEASS403A 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 (i.e. the validation of assessment practices, methods, tools, collected evidence and assessment decisions) 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 TAEASS403A 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 TAEASS401A Plan assessment activities and processes, TAEASS402A Assess competence and TAEASS403A 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. 154 2011 Shea Business Consulting
4. Useful Information 2011 Shea Business Consulting 155