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Crossbow Consultancy PO Box 1057 MANDURAH WA 6210

CCrroossssbbooww CCoonnssuullttaannccyy PO Box 1057

Mandurah

Western Australia 6210

Copyright Crossbow Consultancy

This publication is copyright.

Apart from use as permitted under the Copyright Act 1968, as amended,

no part of this publication or accompanying materials may be stored in a

retrieval system, transmitted, or reproduced in any way without the prior

written permission of the author.

August 2011

Version 3

TAE40110 – Certificate IV in Training and Assessment

© Crossbow Consultancy V3/August 2011 of 70

SSeeccttiioonn AA

This workbook is divided into the following sections:

SECTION PAGE

A. Introduction and Course Information 3 - 4

B. Learner‟s Manual 5 - 70



SSeeccttiioonn AA

Introduction

Congratulations. You have elected to complete a learning program for one part of the

Certificate IV in Training and Assessment – TAE40110.

You may be studying a unit within this particular cluster, including all or any one of the

following:

o TAEASS401A – Plan assessment activities and processes (Core)

o TAEASS402A – Assess competence (Core)

o TAEASS403A – Participate in assessment validation (Core) and

o TAEASS502A – Develop assessment tools (Elective)

from the Training and Assessment Training Package (TAE10).

This Section, (Section A) is followed by the Learner‟s Manual.

To view the unit of competency check online at the website www.crossbow.net.au –

TAE40110

If you have read the „Guide to Gathering Evidence‟ you will notice that this unit is from a

series of 10 units in the Training and Education Training Package – TAE10.

If you are completing these units as part of the whole qualification, the assessments may be

integrated within other units and their assessments.

This workbook should be read in conjunction with the Portfolio of Evidence, along with the

„Directed Application‟ that usually accompanies training within the classroom. Resources

from that booklet are located at

www.crossbow.net.au/pages/train/TAE10_Resources.htm

Note that the online resources are password protected.

http://www.crossbow.net.au/

http://www.crossbow.net.au/pages/train/TAE10_Resources.htm



SSeeccttiioonn BB

Learner‟s Manual

PPllaann aanndd ddeevveelloopp aaccttiivviittiieess ttoo

aasssseessss ccoommppeetteennccee



Guide:

Take a moment to look at the Flow

Chart on the next page (Page 7).

Familiarise yourself with the flow of the

assessment process and what is often

the components of each step.

Note the three stages of the process,

and action required by the Assessor

during each of these stages.



FLOW CHART FOR A WORKPLACE ASSESSMENT

Phase Process Assessor Action



GGuuiiddee::

Please read the following pages. You

might note any answers you find on

the Short Answer Quiz in the „Directed

Application‟ booklet (given out when

attending training sessions).

Note that the Short Answer Quiz

questions are also online @ www.crossbow.net.au/pages/train/TAE10_Resources.htm You may prefer this online alternative as many are multiple

choice, true/false etc.

You can access the Internet site –

www.training.com.au for help and

information on answers. Often

www.google.com.au is equally as

helpful.


http://www.training.com.au/

http://www.google.com.au/



GGuuiiddee::

The following two pages relate to

changes that have occurred in the

workplace in recent years.

These changes have contributed to

training and education transformation.

Compare the differences and relate

any to those you are familiar with in

your own work environment.

You are likely to be required to answer

questions based on some of this

information.



THE CHANGING WORKPLACE

Old style workplace Modern workplace

Work Organisation

Large departments Small teams

Mass production of products Short run customised products

Rigid job definitions Multi-skilling, flexible work roles

Centralised management Decentralised management, led by team leaders

Low level of technology usage High usage of technology

Driven by production demands Customer responsive

Labour-intensive Knowledge-intensive

Jobs

9-5 Monday to Friday Flexible hours / days

Long-term with single employer Often short-term, high job mobility,

Permanent More casual, contract and part-time work

Union agreements Individual contracts

Consistency in job tasks over time High volatility (rate of change) in job requirements

Workplace based Working from home, telecommuting

Single skilled Multi-skilled

Implications of changes in work organisation

New demands Implied qualities

Greater flexibility Greater adaptiveness to change: the ability to learn how to

learn

More complex tasks Higher skill requirements: problem solving ability

More use of teams Interpersonal skills: team work, communication

Greater autonomy Greater responsibility: decision making

Increased focus on quality Client service attitude

Higher level technology Greater technical skill: need for continuous „lifelong‟

learning

Key source: Economic Planning and Advisory Committee Future labour market issues for Australia AGPS Canberra July 1996



CHANGES IN TRAINING AND EDUCATION

Sources:

Vocational Education, Employment and Training Advisory Committee (VEETAC) Framework for the implementation of a competency-

based vocational education and training system February 1993

Committee for Economic Development of Australia Training for a skilled workforce: Review of the National Training Reform Agenda

Strategic Issues Forum May 1995 (From Australian Student Traineeship Foundation)

Traditional training Modern Training

General

Rigid separation of general and vocational

education

Merging of general and vocational education

Lack of industry involvement and low relevance

to industry needs

Much stronger industry involvement and leadership

Lack of flexibility in training system, mostly driven

by TAFE requirements

More responsive to enterprise needs

Little participation by schools Extensive senior school involvement

Training delivery, content and assessment

Primary emphasis on courses undertaken,

knowledge acquired

Primary emphasis on what a trainee can do (at the end of

training, i.e., industry skills)

Focused on inputs (study what the institution says) Focused on outcomes (what is required for them to achieve)

Time serving (have to attend all training. Exit/entry training

is determined by providers) Flexible entry and exit (depends on the needs of the individual and

the organization. Is based on standards derived from industry and attend

only those units required).

Achievement measured by comparison to other

trainees (norm referenced)

Achievement measures by comparison to set standards (measured against criteria, not another student – criterion referenced)

Mostly classroom-based Flexible delivery arrangements (through combinations of

classroom – off the job -, self-paced, workplace – on the job - and other

forms of learning by experience including the recognition of prior learning)

Driven by institutional standards and timetable

constraints

Completion of flexible combinations of modules to meet

individual and industry needs

Government arrangements

Autonomous state-based training systems National framework for recognising competencies and

programs

Mostly TAFE based Stronger workplace and private trainer involvement

Apprenticeships and traineeships

Apprenticeship system limited in scope:

o traditional trade-based industries

o mostly young males involved

Expansion of recognised work-based learning

arrangements:

o to service sector and other industries (tourism,

hospitality, retail, financial services, etc)

o wider involvement of adults and women

o inclusion of school students



GGuuiiddee::

The next three pages supply an

overview (or review, if you have already

completed other units) of the features and

objectives of the National Training

Reform Agenda (NTRA) and

Framework brought about by the

workplace reforms.

The current system of training within

Australia is also highlighted.



A BRIEF HISTORY

Features of the National Training Reform Agenda (NTRA)

The National Training Reform Agenda was developed as a co-operative national

response to economic and industry restructuring, including labour market imperatives

and emerging requirements arising from workplace changes and reform. It had its real

beginning with the special Ministerial Conference (MINCO) on Training in 1989.

Notes on the features of the NTRA:

Flexibility – only study what you need to, and on or off the job. RPL may account for

previous experience etc. This feature also contributes to productivity and efficiency due

to time not being lost through course attendance away from work.

Skilled Workforce/International Competitiveness – workforce is specifically trained to

what industry requires and to standards. These standards reflect its ability to compare

with international markets

Broad Education – training is being introduced into schools with programs such as VET in

Schools. Training is more readily accessible and deliverable in the workplace.

Competency Standards – see information commencing from Page 18.

Crossbow Consultancy

NATIONAL TRAINING REFORM AGENDA (NTRA)

Government Unions Employers

features:

Flexibility

Productivity

Efficiency

Skilled Workforce

Broad Education

International Competitiveness

Competency Standards


NATIONAL TRAINING REFORM AGENDA (NTRA)

Government Unions Employers

features:

Flexibility

Productivity

Efficiency

Skilled Workforce

Broad Education

International Competitiveness




Objectives of the National Training Framework (NTF)

Originally, the National Training Framework meant the system of Vocational Education and

Training –VET, and it:

applied nationally - and still does

was endorsed by ANTA Ministerial Council (MINCO) (which „died‟ in 2003) then by DEST,

but has since changed to DEEWR,

was made up initially of the Australian Standards Framework (ASF), then the Australian

Recognition Framework (ARF) and now the Australian Quality Training Framework or

AQTF, and

endorsed Training Packages.

Note that from 1 July 2011, a new Regulator entered the market. At the time of printing

this workbook, all states except Victoria and WA moved across to the Australian Skills

Quality Authority (ASQA) and they function under the VET Quality Framework (VQF), as

opposed to the AQTF. However, both Frameworks are very similar.

The NTF identified the key components of the VET system at the national level, the relationships

between those components as well as the quality assurance and recognition arrangements

that enabled individuals to gain national recognition.

Notes:

1. National approach to VET due to Registered Training Organisations (RTOs) registering in

each state. Then, they adhered to the same national standard policies and procedures.

Australian National Training Authority (now DEEWR via the National Quality Council – NQC

– now National Skills Standards Council (NSSC)) and the State Training Bodies ( via TAC in

WA, for example) were the bodies to oversee this.

2. Improved quality – national quality standards were set and all training providers had to

meet them.

3. National recognition and portability – training providers in one state are still required to

recognise the qualifications of other state‟s courses, as long as they are current and

accredited .

4. Flexibility – training may be delivered on the job, off the job, distance learning, computer

based, part time and so on. RPL is another flexible alternative.

5. Responsiveness – there are now many training providers who can provide flexibility in

training. This means that RTOs can specialise to assist their own industries and hence be

more responsive to their requirements and circumstances.

Australian National Training Authority

National TrainingNational Training

FrameworkFramework

A more coherent and integrated national

approach to VET

Improved quality of all VET products and

services

National recognition & portability

Increased flexibility in delivery

Greater responsiveness to client needs

ObjectivesObjectives

Australian National Training Authority

National TrainingNational Training

FrameworkFramework

A more coherent and integrated national

approach to VET

Improved quality of all VET products and

services

National recognition & portability

Increased flexibility in delivery

Greater responsiveness to client needs

ObjectivesObjectives



SIMPLIFIED TRAINING PROCESS

Notes:

Within industry – a person is assessed against competency standards for that industry. This

identifies any gaps in their current level of competency.

When a skills gap is evident the training need is established and they may select the

learning process that suits their needs plus those of the company, ie, flexible delivery, on

the job, off the job, and so on.

User Choice indicates the trainee can choose to receive the training from any registered

training provider. They are not restricted to larger institutions as in previous years.

The trainee is assessed after the training through the workplace assessment process. If

they are successful they are awarded the appropriate qualification. (See page 23 on the

AQF.)

If they have to move to another location or interstate, the training is recorded on a

„passport’ or competency log and they continue studying in the new location. Upon

successful completion, the new training provider will issue the appropriate certificate.


Competency

Standards

Selected Learning

Process

Assessment

Process

AQF

Flexible Delivery

Skills Passport

User Choice


Competency

Standards

Selected Learning

Process

Assessment

Process

AQF

Flexible Delivery

Skills Passport

User Choice



GGuuiiddee::

You will now be concentrating on

the planning process to ensure

assessments you conduct in the

workplace conform to the principles

of assessment.

You must understand the content of

Training Packages and the structure

of the units of competency.

Take another look at the Flow Chart

on Page 7. In particular, note the

Assessor‟s actions in the third

column.



GGuuiiddee::

The next page provides an

overview of the structure of current

industry Training Packages.

Read the following 8 pages for

details of competency based

training and assessment, Training

Packages and the components of

Competency Standards.

You may also be directed to

questions from the online Short

Answer Quiz.



TRAINING PACKAGES

Notes:

Endorsed Components

• Competency Standards – see the following pages

• Qualifications – see AQF information (Page 23)

• Assessment Guidelines – if you do not have access to these industry Training Packages,

access the website – www.training.gov.au - click the „Training Package‟ link and select

an industry area you are interested in. First - check the „Assessment Guidelines‟ – in

particular check to see what competencies Assessors require to assess competencies in

the industry you have chosen.

• Note: Sometimes, there are particular Assessor qualifications required by industries,

described within the Assessment Guidelines. These must be adhered to, depending on

the unit/s you are dealing with. Sometimes you may need to read more than one Training

Package for the Assessor qualifications, particularly if there are imported units from

another Training Package.

Support Materials

Note: Support Materials are usually referred to as “Non-Endorsed” components within other publications.

Support materials may be used to support the training of competency standards as long as it can be

demonstrated how they meet the requirements of the endorsed components via a ‘mapping’ process.

The correct name is ‘Non-Endorsed” but Crossbow has elected to refer to them as ‘Support’ Materials. It is

felt the term ‘non-endorsed’ could lead the reader to believe that they are unimportant and hence ignore

them, when they are an integral aspect of training and assessing of Training Packages competencies.

They are also subject to audit when provided within the RTO.

http://www.training.gov.au/



COMPETENCY AND COMPETENCY STANDARDS

“Competency” Defined

Competency embraces the specification of knowledge, skills and behaviour and the

consistent application of that knowledge, skills and behaviour within an occupation or industry

level, to the standard of performance required by industry. These standards of performance

are detailed in the current Training Packages, and can be located at www.training.gov.au .

Competency Based Training (CBT)

Competency based training is industry driven - ie, it is not a training course designed by a

training institution, stipulating the content, time required to complete the course, and when,

where and how it is to be assessed. It is where:

training encompasses what industry and the workplace requires

assessment takes place when the trainee is ready

competency is based on evidence provided by the trainee that they can do the

required tasks - not based on percentage marks and a list of ranked trainees.

Evidence will take a number of different forms and can be flexible and work-based,

not just classroom

Therefore, competency based training is training that develops relevant knowledge, skills and

behaviour (often including attitude) that can be readily applied to carrying out tasks and jobs

within the workplace, to industry requirements.

Often competency based training is used to “fill the gaps”. When a job is analysed and its

components identified, and then a worker‟s skills are audited, a training need may be

identified. If the worker does not have all the skills required to complete that job they would

only need to train in those areas they are not yet competent in.

Job requires: Worker’s skills:

COMPETENCY BASED TRAINING

A „traditional‟ training course may have required the worker to complete the whole course,

including studying those skills where it has shown they have already attained them.

Competency based training is an approach to learning which includes all aspects of work

performance, including being able to:

perform individual tasks at an acceptable standard

organise several tasks within a job

respond and react to problems and difficulties and

deal with responsibilities and expectations in the workplace and work with other

people.

Skill 1

Skill 2

Skill 3

Skill 4

Skill 1

Skill 4

Training

required

here

only

Gap




encompassed by the job/role environment skills, ie,

their ability to work with other people

These aspects of competence are referred to as the dimension of competency and are

described as:

task skills – performing at an acceptable level of skill

task management skills – managing a number of different tasks within the job

problem solving skills – responding and reacting appropriately to unexpected

problems, changes in routine and breakdowns

job/role environment skills – fulfilling the responsibilities and expectations of the

workplace

DDiimmeennssiioonnss ooff CCoommppeetteennccee

From the diagram above it can be seen that there is more to competence than just using skills

and knowledge to perform tasks. A problem with many new assessors and some assessment

systems is that they concentrate only on the first level, ie, the task skills, and dismiss the other

aspects of competence.

For a person to be considered competent in their workplace they need to not only be able to

carry out a particular task, but they usually have to manage a variety of tasks at the same

time, problem solve when things go wrong, fit in with the general work environment and with

other staff, as well as adjust to new and changing demands placed upon them and/or the

workplace.

Keep in mind that when training, a task is broken down to smaller chunks for ease of learning.

The Trainer will test the learner in that small chunk, then move to the next chunk to be taught.

But the Trainer cannot record the learner as „competent‟ until a full assessment is conducted

of that new task being conducted in a workplace (or simulated environment) and possibly

with related tasks that would be expected to be performed as part of the usual workplace

performance.

Task management

skills

Contingency management skills

Task skills




Qualifications

Framework

Assessment

GuidelinesCompetency

Standards


Qualifications

Framework

Assessment


Standards

Competency based assessment is using the appropriate assessment method/s to collect

evidence to be able to judge the achievement of performance either at the workplace or in

a training environment (which simulates the workplace), by comparison to set industry

standards, or relevant Training Packages.

This type of assessment tends not to be limited to a narrow set of methods as has been

experienced in traditional assessment in previous years of formal education. Methods of

assessment are detailed further in this workbook (from page 36).


So what are Competency Standards?

Competency Standards are statements developed by

industry which describe the ability to perform distinct

activities within an occupation to the standards

expected in that industry. They are expressed in

outcome-based terms which enable competency to be

assessed.

The component parts of Competency Standards are:

Units of competency - reflects the major functions, activities or skill groups which make

up a job

Elements of competency - describes the tasks that make up the broader function or

job described by the Unit.

Performance Criteria - sets out the required level of performance so that the Unit of

Competency and its Elements as a whole can be judged by an Assessor as being

performed to the level acceptable in industry.

Range of Variables - sets out a range of contexts in which performance can take

place when judging competence. The range assists the Assessor in identifying the

specific industry or enterprise application of the standard. (Note that these can be

called a variety of things, eg, range statements, statements of variables, variable

statements and so on, depending on the Training package you are using.)

Evidence Guide - indicates the contexts within which an individual would need to be

assessed as possessing the full competency in the units. It also details the required

knowledge, understanding and skills that is expected of a worker in that industry.

Employability Skills – indicates that employability skills are embedded within the unit of

competency.

Note that when you are changing from delivering content from modules to content from units of

competency, you need to read the complete unit of competency and do a „mapping‟ exercise of the

older content against the newer. Because the older content may still be relevant, the mapping exercise

will ensure the more up to date (recent) units are addressed and that you can identify any gaps. You

must consider all the components of the units as detailed above.



In summary, all aspects of the unit of competency must be considered in the design of training and

assessment. No part should be omitted in being considered.

Overview of a Unit of Competency

RANGE STATEMENT – Identifies the range of contexts and

conditions to which the performance criteria apply. It

places the unit of competency in the context in which

performance should be demonstrated (eg, typical

facilities and equipment).

EVIDENCE GUIDE – Describes evidence

required to demonstrate competency in

the unit, including critical aspects of

evidence to be collected, consistency of

performance, resource implications and

other necessary aspects of assessing that

unit.

UNIT – Refers to a general area of required skills/knowledge

needed as a part of a job. See Page 25 for code breakdown

ELEMENT – Describes the tasks that make up the job

PERFORMANCE CRITERIA – Specifies the

required level of performance and guides

the assessor in judging a candidate‟s skills

and knowledge for the unit

REQUIRED SKILLS AND KNOWLEDGE – Describes

essential skills and knowledge required for the

unit. It complements the performance criteria.

It may also set the pre-requisite knowledge for

literacy, as this unit is about handling mail, not

teaching literacy.



AUSTRALIAN QUALIFICATIONS FRAMEWORK (AQF)

The Australian Qualifications Framework (AQF) provides a comprehensive, nationally consistent yet

flexible framework for all qualifications in post compulsory education and training. The Framework was

introduced Australia-wide on January 1st 1995.

The AQF recognises that the schools, vocational education and training and higher education sectors

each have

different industry and institutional linkages. It connects these in a coherent single Framework

incorporating qualifications levels, titles and guidelines.

The 12 qualifications are shown above, grouped according to the sector in which they are most

commonly issued. It should be noted that:

• There is rapidly increasing provision of vocational education and training in the schools sector, which

may be recognised at the appropriate Certificate I-II level and contribute towards a Senior

Secondary Certificate of Education. Some schools, such as the Agricultural Colleges, may include

AQF Level III, as they tend to represent real workplace competencies in the working farms.

• Increasing numbers of Graduate Certificates and Diplomas are being issued in the VET sector

• Some Certificate level qualifications are issued in the higher education sector

There are 10 levels referred to – from Certificate 1 upwards, eg, Diploma is AQF Level 5 and so on.

The Senior Secondary Certificate of Education is not included in the Levels 1-11, but is included in the

overall qualifications. (This is currently under review in 2010 for a possible 10 levels.

The Qualifications Framework section of Training Packages

highlights the way in which units of competency can be selected

and grouped together to form a qualification. A certificate

indicating the qualification can then be issued when all the

selected competencies are achieved.

Achievement of the qualifications may be met through

assessment and training on the job, a combination of on and off

the job training and assessment or recognition of current

competencies/ prior learning.


Qualifications

Framework

Assessment


Standards


Qualifications

Framework

Assessment


Standards



The Australian Qualifications Framework (AQF) is a single, coherent framework for

qualifications from Senior Secondary Certificates through to Doctoral Degrees. The Framework

links together all these qualifications and is a highly visible, quality-assured national system of

educational recognition, which promotes lifelong learning and a seamless and diverse

education and training system.

Training Packages specify the combination of competency standards required to achieve a

particular qualification. Learners who complete some (but not all) standards for a qualification

are awarded a „Statement of Attainment‟. When they are assessed as competent in the

remaining standards, they attain the qualification.

Certificates I - IV prepare candidates for both employment and

further education and training. Certificates I and II are largely new

qualifications recognising basic vocational skills and knowledge and

Certificates III and IV largely replace the outdated category of trade

certificates.

Certificates I - IV:

recognise skills and knowledge that meet nationally endorsed

industry/enterprise competency standards as agreed for those

qualifications by the relevant industry, enterprise, community or

professional group;

include preparatory access and participation skills and

knowledge and industry specific competencies, of increasing

complexity and personal accountability at each level of the

Certificate qualification;

may be gained through a wide range of pathways, including:

New Apprenticeships (including traineeships); work-based and/or school/institution-

based training; and recognition of prior learning.

Diplomas and Advanced Diplomas prepare candidates for self-

directed application of skills and knowledge based on

fundamental principles and/or complex techniques. These

qualifications recognise capacity for initiative and judgment

across a broad range of technical and/or management

functions.

The Advanced Diploma is a more specialised qualification and

signifies skill and knowledge of a greater complexity and a higher

level of personal accountability than is required at a Diploma

level.

Diplomas and Advanced Diplomas may be gained through a wide range of pathways, and

programs of varying lengths, according to which education and training sector issues the

qualification.

Pathways include:

work-based and/or institution-based training; and

recognition of prior learning.

Time taken varies according to the particular pathways and industry involved, with full time

study at a university or VET institution typically involving the equivalent of two years for the

Diploma and up to three years for the Advanced Diploma.



INTERPRETING CODES for Training Packages

BSB07- Business Services Training Package BS B 07

Industry – Business Services Industry Sector - Business Year of endorsement - 2007

WRB04 – Beauty Training Package WR B 04

Industry – Wholesale and

Retail Industry Sector - Beauty Year of endorsement – 2004

THH02 – Hospitality Training Package TH H 02

Industry – Tourism and

Hospitality Industry Sector - Hospitality Year of endorsement - 2002

INTERPRETING CODES for Qualifications

BSB40107 - Certificate IV in Advertising BSB 4 01 07

Industry /Sector

Identifier

Australian

Qualification

Framework level

Qualification sequence

number for Cert IV

qualifications

Year the

qualification was

endorsed

WRB30204 - Certificate III in Nail Technology WRB 3 02 04

Industry /Sector

Identifier

Australian

Qualification

Framework level


number for Cert III

qualifications

Year the

qualification was

endorsed

BCC30503 - Certificate III in Civil Construction (Pipe Laying) BCC 3 05 03

Industry /Sector

Identifier

Australian

Qualification

Framework level


number for Cert III

qualifications

Year the

qualification was

endorsed

INTERPRETING CODES for Units of competency

BSBADV601A – Create an advertising brief BSB ADV 6 01 B

Industry /Sector

Identifier Field

Australian Qualification

Framework level

Unit sequence

number within

field

Version of the

unit

TAEASS401A – Assess competence TAE ASS 4 02 A

Industry /Sector

Identifier Field


Framework level

Unit sequence

number within

field

Version of the

unit

PSPSEC404A - Conduct personnel security assessments PSP SEC 4 04 A

Industry /Sector

Identifier Field


Framework level

Unit sequence

number within

field

Version of the

unit



Required Action:

You should be able to complete up

to Question 11 of the online Short

Answer Quiz.

You may wish to use the suggested

web sites as a resource as well,

unless you have access to your own

industry‟s Training Package:

o www.training.com.au

o www.training.gov.au

http://www.training.com.au/




GGuuiiddee::

Consider the first two questions “Why”

and “Who” from the Flow Chart on

Page 7.

Read the 3 pages following and think

about your own assessment project

you will be conducting in the

workplace.

After considering the pages, you

can fill in the first two points on the

Briefing Plan (Page 43). This contributes to

information regarding assessment

arrangements you need to provide to

the candidate.

(You may wish to flag the Briefing Plan, as you will be

referring to it on several occasions while planning your

assessment.)



PURPOSE OF ASSESSMENT

Assessments are completed in the workplace for a variety of reasons. They are not just used at the

conclusion of a training program. They can be used to assist in deciding the content of a training

program. It is important to establish what the reason is behind the organisation or individual‟s desire to

have workplace assessment take place.

Assessment can be used for the reasons listed below. To assist in preparation, some of the documents

that may be required for these assessments are also listed. However, certain business and training

organisations may have their own procedures and may modify the documents as required.

o recognise current existing competence of candidate/s

o determine if competence has been achieved following learning

o establish candidate/s progress towards achievement of competence

o determine language, literacy, numeracy needs of candidates/s

o certify competence through a Statement of Attainment

o establish progress towards a qualification

o determine training gaps of candidate/s

o measure work performance

o licensing or regulatory requirements

o meet organisational requirements for work – operate equipment/develop new

skills

o classify employees/support career progression, promotion

Note: Assessments may be used to form part of a performance appraisal or promotion system but

should not be used as the only means by which the most suitable person is selected.

The purpose of assessment and subsequent supporting documents will need to be researched

thoroughly in the planning stage to ensure all relevant materials are selected.



THE ASSESSEE - WHO ARE YOU ASSESSING?

The Assessor must not lose sight of the most important “component” in the assessment process – the

assessee. Many new Assessors can be so concerned with the assessment process that they forget the

assessee and that they should involve them in the process. Indeed, the assessee may wish to be

involved in the process from the commencement.

Having a well-prepared assessee is crucial in ensuring a successful assessment outcome for both

assessee and the Assessor. A well-prepared assessee is not only more likely to do better during the

assessment, but is also less likely to appeal against the process or the final decision, particularly if they

have been aware of the process, consequences and content from the start. Good preparation is about

making sure that the needs of the assessee are taken into account, that the assessee understands the

complete process and that all details, including special needs are considered.

The person being assessed will want to know, from the beginning:

o why they are being assessed and what are the implications of the outcomes of that

assessment

o what is being assessed

o how the assessment is going to be conducted

o by whom and what are the qualifications of that Assessor, and

o where and when it will be conducted

The Assessor needs to be sure that they have informed the assessee of what the outcomes are, the

expectations and when the assessment will take place, any appeals processes and so on. These issues

are addressed in the Briefing session, where the Assessor should distribute a Briefing Plan that details the

above information.

Assessees with Special Needs

Recent feedback from Assessors and Training Providers has indicated that the most neglected aspect of

assessments deal with people with special needs. Special needs may include:

o literacy and/or numeracy difficulties,

o special learning difficulties,

o intellectual disabilities

o workplace language difficulties

o English as a second language, possibly requiring interpreters

o Physical disabilities, eg, wheel chair, or other similar access to the assessment

area

o visual/hearing impaired

While these needs may not be a problem in the workplace, they could contribute to difficulties when

being assessed, if the Assessor has not properly prepared.

Assessment for people with special needs creates a challenge for Assessors as they have to take these

needs into account, while maintaining the principles of assessment, ie validity, reliability, flexibility and

fairness.

For examples, special needs employees may require specific and specialised training and assessment

when developing new skills in the workplace. The assessment of underpinning knowledge may create a

larger issue for this type of assessee. The cognitive aspects of intellectual disability mean that there is

more than a language/ literacy/numeracy issue. Assessors need to address these issues carefully.



Assessing People with Special Needs

A person may have different levels of skills in reading, writing, speaking and listening. For example, a

person may have very good verbal skills but have a writing problem,

People often develop survival strategies to hide the degree of difficulty they really experience,

particularly with their peers/supervisors in the workplace. Disclosure of literacy/ numeracy problems

may be a concern for these assessees. The Assessor must show sensitivity to this. During the briefing

session ensure no person is singled out and identified as requiring special

assessment treatment, due to their needs. As an Assessor it is essential to

understand that, for some assessees, the language/literacy/ numeracy

demands of the assessment process may be the biggest challenge they have

ever faced in the workplace.

Assessors should also consider that mathematical skills are assessed in a way

that does not focus on language and literacy skills. This applies to the principle

of validity, ie assess their maths skill, not their ability to read and/or write about

the maths problem.

Assessors need to have a plan in place to cater for people with special needs. They need to consult

with the specialists dealing with people with special needs and be clear on the processes they will use.

As one of the principles of assessment, fairness needs to be seriously considered at

this time. If there are people in a workplace situation who work side by side with

people with special needs, it may be worth considering discussing the issue at the

Briefing Session to ensure all participants are aware that no one worker will be singled

out for separate assessment to the disadvantage of others. However, any special

needs should be treated confidentially and appropriately in the assessment

procedures.

As an Assessor you can expect to cater for people who may have issues with any or a combination of

the following characteristics:

o level of work experience

o level and experiences of previous learning and assessment

o motivation for assessment – personal/organisational

o English language, literacy and/or numeracy levels/needs

o physical impairment or disability involving hearing, vision, voice, mobility

o intellectual impairment or disability

o medical condition such as arthritis, epilepsy, diabetes, asthma that is not obvious but

may impact on assessment

o differences in learning progress

o psychiatric or psychological disability

o religious and spiritual observances

o cultural background images/perceptions

o age differences

o gender differences

Have you considered what you are likely to encounter in your workplace?



GGuuiiddee::

Consider the third question “What” from the

Flow Chart (Page 7).

You need to locate a unit of competency,

work instruction, operating procedure or similar

that you can use to assess (measure) the

performance of an assessee (or a work

colleague) against.

The Internet address www.training.gov.au is

helpful for locating a Training Package that

contains suitable units of competency. Note

that these units often refer to your

organisational procedures/guidelines or

manufacturer‟s instructions, to assess against.

You can measure workplace performance

against these benchmarks as well.

When you locate suitable criteria,

complete the 3rd and 4th points on the

Briefing Plan.




GGuuiiddee::

Once you have identified the criteria you will

assess against, you need to decide how you

will assess the person.

You must ensure that as well as having

appropriate methods of assessment, these

methods must satisfy the principles of

assessment and the rules of evidence. Check

the following pages for these.

A matrix is a useful method to decide on

methods of assessment. An online example is

available at the Crossbow website at www.crossbow.net.au/pages/train/TAE10_Resources.htm

Page 39 has a small completed sample.

When you have decided on methods,

complete the 5th point on the Briefing Plan.

You then need to consider and complete

points 6-9 of the Briefing Plan.

http://www.crossbow.net.au/pages/train/TAA04_Resources.htm



PRINCIPLES OF ASSESSMENT

Assessments must be valid and reliable. In any assessment system, the principles should

remain the same. However for workplace assessment two other principles are applied - fair

and flexible.

These four key principles of assessment relate to competency-based assessment systems and

are described below:

Validity

A valid assessment assesses what it claims to assess. The evidence the Assessor

collects has to be relevant to the performance criteria and there needs to be clear

records that it has been met. As an example, to be assessed on a standard driving

test and be found „not yet competent‟ because you could not change a flat tyre or

could not check the oil and water levels could not be considered a valid assessment.

These are not the usual performance criteria for the standard driving test.

However, to test the assessee‟s practical driving performance on the road, at stop and

give-way signs as well as including a knowledge test of the rules of the road would be

considered valid.

Reliability

There needs to be clear monitoring and reviewing of the assessment procedures to

ensure that there is consistency in the judgement of the evidence. Therefore, criteria

for the judgement of competency needs to be stated clearly so an Assessor in WA

should be able to deliver a similar judgement of an assessee as an Assessor in NSW

would, if assessing that same assessee.

To ensure the reliability of assessments, Assessors need to be competent in terms of the

Assessor Competency Standards. It is preferable the Assessor has the relevant

technical competencies at least to the level being assessed. If this is not possible it is

acceptable for them to have access to an expert in that field who can advise the

Assessor on the relevant vocational competencies of the person being assessed. There

might some problems with this method, however.

Reliability indicates test and retest with similar results.

Fairness

Assessment should be able to recognise:

an assessee‟s skills and knowledge, no matter how, when or where they were

acquired

people with special needs, and provide appropriate alternative assessment

methods, where appropriate and allowable, and

the necessity to review the assessment decision and an appeals system

Flexibility

Assessment should provide for:

on and off-the-job assessment for both knowledge and practical application

an inclusive approach with the assessees to allow their input into their own

assessment process.



EVIDENCE

What is Evidence?

In a competency-based assessment system, evidence is information gathered through a

variety of methods that will provide proof of the assessee's claim of competency against the

standards.

In most assessments the context of assessment should be varied, and evidence should be

gathered from more than one source, in more than one situation, work or training

environment, and preferably involving a mixture of these.

Basically, evidence falls within the categories of direct and indirect. Evidence can be direct,

ie, observed by the Assessor actually occurring as workplace performance, or indirect, ie,

inferred with supporting evidence via reports by supervisors, workplace records, testimonials

and checking of underpinning knowledge and understanding. Regardless, the evidence

should focus on ensuring that people can apply their learning to real work situations. It needs

to support the way people manage and solve problems within their work environment as well

as actually performing the task. The assessment needs to be holistic by incorporating the key

dimensions of competence.

Direct evidence may involve:

observation/demonstration of actual workplace performance

inspection of the finished product

simulated workplace performance/role play (where the actual workplace may be too

risky)

Indirect evidence may involve:

Samples of work and/or measurement of completed work

Questioning work colleagues/supervisors or testimonials from customers, supervisors etc

Certificates, degrees, diplomas (including the Statement of Academic Record)

Licences eg. drivers, electricians

Recognition by membership of professional organisations and associations

There are issues to be observed in the collection of evidence and these may include:

cost of assessment in ascertaining workplace competency, eg, observing a worker in

how they respond to equipment failure/malfunction/emergency response

risk factor for assessee and Assessor, eg, trainee pilot, first aid attendant, psychological

or trauma counsellor

equipment damage by a “not yet competent” operator

availability of the opportunities, eg, handling an aggressive customer or an

emergency situation

Similarly, there are features or „rules‟ of the evidence that must be considered.

Rules or Features of Evidence

Authenticity - It is essential to have processes in place to ensure evidence submitted

for assessment belongs to the assessee. This is particularly important when conducting

skills recognition.

Currency - Sometimes evidence of achievement is too old to be of any value. If it is

affected by changes in legislation, technology or work/social culture, for example,

then the evidence will probably not be current and the assessee would need to

update their evidence (see page 37).

Consistency - Evidence of consistency in performance by the assessee is required. If

the assessee has demonstrated a variety of „competent‟ and „not yet competent



results in a number of assessments, the Assessor should question the assessee‟s

performance for competency. The assessee might need to show evidence of

consistency in performance over 3 consecutive assessments, as an example. This

feature is closely linked with sufficiency.

Sufficiency - The evidence gathered has to be enough for the Assessor to be able to

make a decision about the assessee‟s competence. The assessment documents

should stipulate how much evidence the assessee needs to achieve. For example, it is

not enough to say that a pass mark is 70%. An assessee must meet all

performance criteria, and is either recorded „competent‟ or „not yet competent‟.

Be aware that various proposals for degrees of competency are being recommended,

and promoted as „graded performance‟. Note that there needs to be clearly identifiable

criteria of what constitutes graded competency. Regardless, if as the Assessor, you have

some doubt about the achievement of competencies you have been assessing, always

ask for more evidence.

Validity - Here, validity refers to the evidence provided via the methods of assessment

The evidence produced has to support what is being assessed. To strengthen validity

of assessment it is recommended to judge an assessee's competence on a number of

occasions and in a variety of contexts, according to the unit of competency‟s range

statements. One assessment does not produce a true picture of competence. There

should be a combination of methods used, such as practical demonstration as well as

written and/or oral questioning. One written examination would not be a valid method

of assessment when the requirement is for demonstration.

Cost effectiveness - There needs to be a balance between the ideal method of

assessment and cost effectiveness to the workplace stakeholders.

Risk management - A job/task having a high risk factor increases the degree of rigour

required and applied, in certain assessments. This may mean more than one Assessor

attends the assessment, or a panel of Assessors is established.

Methods of Collecting Evidence

There are a number of common methods used to collect evidence. It is the Assessor‟s

responsibility to establish the best methods of gathering the evidence, keeping in mind the

organisational requirements, time constraints, availability of the assesse and resources, the

standards being assessed, features of evidence and assessee consultation, where

practicable. However, the assessment tool being used may already stipulate the required

assessment methods. Some examples of assessment methods are detailed below:

Observation/demonstration of actual workplace performance

The Assessor observes the assessee demonstrating their competence in carrying out a

workplace procedure. This provides a realistic picture of the assessee's

performance of simple tasks and/or more complex integrated skills in the real work

environment.

Simulation/role-play/case study

When assessment of the assessee cannot be directly conducted in a workplace, an

artificial situation may be created which imitates workplace arrangements. However,

to be effective, this type of assessment needs to recreate as much of the atmosphere,

conditions and pressures of the workplace environment as possible.



Written tests/examinations/assignments

These assessments can use a range of different question types.

However, using this type of assessment will depend on whether there

is the intention to focus on the assessee's knowledge,

comprehension or problem solving skills and the requirement for the

assessee to be able to use specific writing skills in their workplace, eg

reports, letters, business plans and so on.

Oral tests or questioning

This type of assessment may be effective when descriptions of operating procedures

and processes are required on the spot. However, this technique can also monitor the

assessee‟s ability to listen, interpret and communicate ideas about information. The

Assessor needs to consider the relative importance of the use of these skills compared

with the actual knowledge being sought.

Note that the timing for asking questions can be crucial in workplace assessments. The

Assessor needs to be aware of the impact on concentration and performance in

assessment conditions when asking the assessee a question during a demonstration.

They may choose to ask questions at the beginning or after demonstration to avoid

interruption during performance, particularly during a loud or dangerous process.

Reports

Reports are useful as part of the assessment tool when assessees are required to

provide written details which support the application of their knowledge. However, as

with all written assessments, the Assessor needs to be sure that the written assessment is

a valid form of assessing and it is not just assessing writing ability. To ensure reliability of

assessment the Assessor should ensure they have a checklist of points they would

expect to see within the report.

Portfolio

The portfolio of evidence is used to present a variety of examples of evidence that

addresses the assessment for the performance criteria. One advantage of the

evidence for a portfolio is that it can be can be gathered over a suitable period of

time and can include a range of direct and indirect sources. However, as one of the

features of evidence is authenticity, when the assessee presents the portfolio, the

Assessor should clarify particular details about the evidence. An interview is usually

appropriate.

There are many suitable methods of gathering evidence that may be used in assessment. The

Assessor needs to be mindful of the rules of evidence and be able to assure the organisation

and the assessees that the method/s selected are the most suitable to ensure a valid

assessment.



FACTORS AFFECTING CURRENCY

Changes in relevant

technology

YES

Up to date evidence required

NO

Changes in relevant

processes

YES

Current experience needed

NO

Competence affected by any

decline in physical/mental

reaction time

YES

Top up required for

skill/knowledge

NO

Competence affected by

social/work culture change

YES

Recent experience and top-up

required

NO

Any relevant changes to

legislation

YES

Top up required

NO

Is there a physical requirement

affected by time

YES

Seek further advice

NO –TIME SHOULD NOT AFFECT

CLAIM

Notes:

When checking for currency (recency), apply these factors to establish whether the evidence can be used or

whether the trainee needs to have further training or provide other relevant evidence.



Assessment Matrix

When gathering the evidence for the assessment an Assessor should not isolate each element

of the competency standards and assess them individually. The use of an assessment matrix

will assist in indicating how the standards/criteria may be grouped and assessed together,

holistically, thus saving both time and costs for the organisation and the Assessor. An example

of a matrix for specific assessment tasks is shown below:

The use of a matrix can provide an effective overview of how the evidence might best be

gathered, and indicating where assessment can most likely be combined.

Assessment Plan The assessment plan is the overall planning document for the assessment process and

includes a range of essential information to guide the Assessor in the assessment.

You may use the Directed Application template or contextualise the online version for your

own workplace. The address is www.crossbow.net.au/pages/train/TAE10_Resources.htm

Method Observing

candidate at

work and/or

training

Short answer

oral and/or

written quiz

Simulation/

Role Play

Written

examination or

assignment

Report

Inspection of

finished

product

Task/Criteria No:

1.1 Identify points of

the horse Q1, 3

1.2 Describe OHS

issues Q3, 6

1.3 Collect horse

from field Q 2

2.1 Groom horse for

exercise Q4, 7

2.2 Exercise horse Q3, 6, 10

3.1 Clean stables Q5, 8, 9

3.2 Clean saddlery Q6, 10




GGuuiiddee::

Please read the following 3 pages

to ensure you have considered

these specific areas when planning

your assessment methods.

You should be able to answer

further questions of the online

Short Answer Quiz.

As well, you should have

enough information to be able

to complete an Assessment Plan.

A sample appears on the last

few pages of this workbook.



ASSESSMENT

Notes:

When assessing, the Assessor must remember that the assessment should be „holistic‟. This

means that the Assessor does not just assess the trainee making a salad on one occasion then

cooking the steak on another occasion. They assess the complete preparation of the meal,

and possibly from the selection of the fresh ingredients to the cleaning up after the meal.

There could be some consideration to problem solving as well.

The assessment is not a separated process. It should reflect the workplace and other real

situations as closely as possible.


The 4 Key Dimensions

of Competence

- being able to perform a task

- being able to manage

a number of tasks

- being able to fix

problems that arise

- being able to work

with others

Task Skills

Task Management Skills

Contingency Management Skills

Job/role Environment Skills


The 4 Key Dimensions

of Competence

- being able to perform a task

- being able to manage

a number of tasks

- being able to fix

problems that arise

- being able to work

with others

Task Skills



Job/role Environment Skills



ASSESSMENT

Notes:

Whether the assessment is using the Skills Recognition (RPL) process or a full workplace

assessment, the evidence being provided by the assessee needs to satisfy each of the above

features. How this is achieved depends on various factors such as the selected methods of

assessment, time, cost, level of qualification and other similar factors.

Points to consider – “Rules or Features of Evidence”

- Authentic – you must validate that the evidence being provided is their own work.

- Current – up to date assessment criteria is used

- Consistent – you must ensure evidence of their competency is consistent, and how

much should be provided to satisfy this? What methods of assessment might you

employ?

- Valid – does the evidence match the required criteria, and support their claim for

competency? Are your methods of assessment capable of providing this evidence?

- Sufficient – how will you determine what is sufficient evidence? How much do they

have to provide, and/or over what period of time? What constitutes competency?

- Cost effective - are you using the most cost and time effective way of gathering

evidence?

- Risk management – what provisions have you made to ensure that your assessment

will accommodate the degrees of risk that may be present in the job, eg, will you have

a panel of Assessors as the degree of risk in the job increases, or assess over a longer

period of time to ensure consistency, and so on?

Cr ossbo w C onsultancy

Rules of

Evidence?

Authentic

Current

Consistent

Valid

Sufficient

Cost effective

Risk managementCrossbow Consultancy

Rules of

Evidence?

Authentic

Current

Consistent

Valid

Sufficient

Cost effective

Risk management



BRIEFING PLAN

1. This assessment is required because

2. Those required to be assessed include

Others involved may include

3. The Standards to be assessed against are

including/excluding

4. My qualifications to assess you in this includes

5. It is proposed to conduct the assessment in the following manner

6. The assessment will be conducted at

7. The assessment will be conducted on at

8. Feedback will be given immediately after the assessment/when all results are

in.

9. The Appeals process in place is

================================================================

Additional Information:

Assessee acknowledgment:

(Printed Name) (Signature) (Date)



ASSESSMENT PLAN for TAEASS401A

The purpose and aims of

the assessment:

The purpose of assessment for this unit is to enable the candidate to provide

evidence that they have acquired knowledge to:

plan assessment processes and make the organizational arrangements into

all aspects of their work in a vocational education and training

organisation environment.

provide evidence that they can develop an assessment plan that will be

used to guide assessor/s in conducting competency based assessment.

The aim of assessment is to gather sufficient evidence to determine competency

and provide appropriate recognition of the unit or as part of a complete

qualification.

The context of

assessment: In the applicant‟s workplace or a simulated workplace or training room

Identified assessment

methods and tools:

Written, oral questioning

Practical workplace project/assignments

Inspection of finished products

Third party report, as required

Portfolio of evidence

Assessors: Mandi Ryan, Ole Martinson

Date of Assessment: Due date for materials to Assessor/date of assessment

_______________________________________________

Unit of Competency/

elements to be assessed:

TAEASS401A Plan assessment activities and processes

Determine assessment approch

Prepare the assessment plan

Develop assessment instruments

This assessment plan is designed for the unit to be assessed alone; however, it can

be assessed as part of an integrated assessment activity involving other relevant

units in the TAE10 Training and Education Training Package. Suggested units include

but are not limited to:

TAEASS402A Assess competence

Relevant benchmark/s for

assessment

Benchmarks for assessment are shown on the Assessment Tool for this unit. They

have been drawn from the requirements of this unit of competency and take

account of the type of work completed by Assessors.

Other assessment

information identified as

relevant

Candidates may need access to the internet to gather information to answer some

of the assessment tasks.

Access to appropriate personnel for consultation and advice is recommended.

Identified OHS hazards: See Hazard Control Plan for assessed risks and control strategies (at Quality

Procedure 9 and forms F9-7, F9-8, F9-9 and F9-10)

Material and/or physical

resources required:

Unit/s of Competency

Assessment Plan, Assessment Tool, Assessment Briefing

Blank answer sheets, if required

Workplace activity/Portfolio of evidence

OSH documents as applicable



ASSESSMENT PLAN for TAEASS401A

Organizational

arrangements: See Policies and Procedures Manual at Quality Procedure 19-1 for guidance as necessary

OHS reporting

requirements: Policies and Procedures Manual detail requirements in Quality Procedure 9-1

Special assessment

needs:

Candidates are expected to initially be from general industry. The Company Quality Manual

and Code of Practice covers requirements, where necessary, for access and equity and

other special needs. These will be negotiated with the candidate, if and as they arise. All

assessment procedures are capable of allowable adjustments.

Outline of assessment

milestones

These dates/milestones may be subject to assessment of the other units. Refer to the

Learning and Assessment Strategy document for the time lines for assessment.

Dimensions of

Competency:

Task Skills

o Develop documented assessment plans.

o Display knowledge of principles and rules of assessment.

o Demonstrate organizational ability in arranging resources and personnel for

conduct of assessment.


o Involve others (including the candidate and client organizations) in preparing

for assessment activities.

o Contexualise assessment and review as necessary. Address all components of

competency standards as well as related documentation/support materials to

define evidence for collection.

o Manage coordination of physical and material resources as well as identified

specialist resources required for the assessment

o Demonstrate communications strategies throughout processes.


o Demonstrate and/or explain how to identify and react to problems that may

arise before, during or after assessment activities.

o Assess likelihood of risk management possibilities according to Policies and

Procedures Manual/organizational requirements

Job Role Environmental Skills

o Work with others in the assessment environment to develop assessment plans to

meet the needs of clients, as required.

o Participate in meetings to seek and receive feedback, and use the feedback

to make changes to assessment processes.

o Demonstrate communications strategies throughout processes.

Brief description of task:

To demonstrate competency against this unit candidates must be able to provide evidence

that they can plan and organise the assessment process on a minimum of two occasions.

The candidate is to :

complete an assignment to prepare a minimum of two assessment plans for the

assessment of a minimum of four candidates in their workplace.

have collected evidence inspected to ensure it meets the minimum requirements

for the task of organizing assessments in the workplace (or simulated environment as

necessary).

demonstrate consideration of all component parts of the competency standards

used as well as other related supporting documentation. This is to be clearly

documented.

address organizational requirements, particularly those relating to access and

equity, reasonable adjustments strategies and skill recognition support.

answer a set of questions, either verbally or through written medium

Instructions for the

Candidate:

See the Briefing Plan and assessment activity within the Assessment Tool for candidate

instructions



Guide:

Please read the following 3 pages.

You will need to develop the

Assessment Tool, which includes the

Assessor Instructions, Instrument and

Record of Assessment.

There is a mock assessment tool

example online.

(Please note that the online example has some deliberate

errors that you will be required to identify. However, it is an

example of what the document layout can look like.)



THE ASSESSMENT TOOL

The Assessment Tool

The Assessment Tool detailed in this workbook includes the following components, in the order

you will find them in most completed Tool examples:

Assessment Tool title page

Assessor Instructions

Assessment Instrument, usually comprising of:

Observation checklist

Questions and expected responses

Assessment Record

Assessment Tool Assessor Assessment Assessment

Title Page Instructions Instrument Record

Be aware however, that to develop the Assessment Tool, the following order is usually

followed:

1. Assessment Instrument – usually the observation checklist and questions with expected

responses, or what ever other checklist/s you have decided are necessary to satisfy

your methods of assessment,

2. Assessment Record, and then

3. Assessor Instructions

In the development of the Assessment Tool, the methods/s of assessment are decided upon

via the matrix and the observation checklist and questions are completed after this decision

has been made. Advice to Assessors and other relevant information may then be included in

the Assessor Instructions. So, given a completed Assessment Tool as an example, the following

components are detailed:

Assessment Tool Title Page

This title page is used to identify the Assessment Tool, the organisation, Industry

Standards being assessed, the assessee and date of assessment, or other information

as required.

Assessor Instructions

Assessor instructions detail information that an Assessor needs to know to conduct the

assessment. Obviously if you have written the Assessment Tool you would know all of

this, but keep in mind if you happen to leave the job or get another qualified Assessor

to do the assessment. Instructions about the pending assessment should detail, as a

minimum:

ASSESSMENT INSTRUMENT Part B-Oral/Written

Question 1:Locate the following component

parts of the computer On/off button

CPU power cord A, B and C drive

Expected Response: See page 27 of Unit 4 Preparing Computer

Resources

Question 2:Describe three safety issues regarding the use of the

OHP

Expected A. Secure cord so no one trips

over it Response/s B. Don’

t change a blown light bulb without turning off the OHP at

the power point

C. Avoi

d the light from the lens shining directly in the eyes as it is a

con

centrated beam

*All 3 responses must be given

Assessor Instructions 1. The Assessor’s role is to

determine whether or not an assessee has achieved the standard necessary for SMJL to be able to

grant suitable recognition of competency.

2. These general guidelines apply to all the assessment instruments for the criteria prescribed by the

Administration Training Package. Evidence of Competency

3. Evidence of competency is established in a number of ways.

The methods used in the following instrument for Module 4, Preparing Learning Resources involves:

observation of assessee in

work/training environment

oral answers to questions on underpinning knowledge

inspection of finished product

ASSESSMENT INSTRUMENT Part A-Observation/

Demonstration

Task

No.

Observable Task

(what you would expect to see demonstrated

1.1

1.2

1.3

Preparation Letter is drafted

for content Content is clear, concise and easy

to read Information is spell checked and

grammatically correct

2.1

The following is observed:

cord is

placed securel

y to prevent tripping or

pulling out from plug

spare bulb is

located and checke

d for easy access

the

OHP is position

ed low to prevent

blocking view

the screen

is high for easy observation

the screen

is at an angle to prevent flaring

OHP is focusse

d prior to session delivery

OHP is position

ed away from screen

to ensure large

projection for all to see

pointer is used

without distraction to

highlight details of

transparency

Transp

arency is placed

on OHP focussed

Transp

arency is placed

with wording readabl

e to trainees

Trainer

reads to trainees

, not to the

Assessment Tool

for

Jo Smith

of XYZ Corporation

For

Admin Training Package

Dated

25 Sep XX

ASSESSMENT RECORD

I certify that has:

Achieved competency -- Not yet achieved competency --

In the Administration Package at Unit/s ______________________

Achieved through: Skills recognition --Training course --

Workplace Assessment Assessor :

Assessee:

Date:



- the recognition body for qualifications, as well as the industry involved,

the criteria to be assessed against and from what industry/enterprise standards,

and even what elements of those Units of Competency are being addressed in

that particular assessment

methods of gathering evidence to be used

how the assessment instrument is to be notated

how competency is achieved

action to be taken should competency not be achieved

A good assessment system should also highlight, in the Assessor Instructions, additional to the

list above:

special marking requirements for critical areas

extra information for assessing people with special needs

information regarding further assessment requirements

appeals mechanism, if required

the total time the assessment is expected to take

safety aspects for Assessor and assessee, including if/when the assessment

should be terminated if a breach occurs

guidelines for the assessee

how the assessment demonstration should be set up

when to ask questions - and when not to

the recommended context for assessment, ie, workplace or simulated

possible resource list and who should supply

One important aspect of the Assessor Instructions often overlooked is the reference to how

competency is achieved. Some examples of singular or combinations of how this can be

stated are given below:

All boxes must be marked with to achieve competency

All questions with *shaded boxes must be answered correctly to achieve competency

Competency must be demonstrated on at least two separate occasions

In Section 1, 6 of the 8 questions must be answered correctly, and

In Section 2, 13 of the 17 questions must be answered correctly, and

In Section 3, all boxes must be marked with to achieve competency.

It is quite acceptable to note in the Assessor Instructions that „competency is achieved as

indicated in the Assessment Instrument‟ as long as the above statements, or similar, are

actually included in the checklist and questions. These statements should be clearly indicated

at the bottom (or top) of each page of the checklist and questions, or similar, within the

Assessment Instrument.

*Usually, in workplace assessments there are critical questions that must be answered

correctly and performances that must be observed before competency is established.

These critical areas are usually indicated with a shaded box to emphasise their

importance. They will frequently relate to safety issues and/or critical operating

processes and procedures.



Assessment Instrument

In any assessment system there needs to be accurate recording of what is being assessed by

the Assessor. To this effect, an Assessment Instrument, often referred to as a „skills/knowledge

checklist‟, is produced and should contain:

a checklist of the performance expected to be seen, plus

a list of the required questions (and expected responses) to check underpinning

knowledge, and when necessary

a checklist of expected points required when inspecting the finished product, and/or

a checklist of what would be expected to be seen included in an assignment

and so on. It is not sufficient to use the elements and performance criteria for these checklists.

For example, the performance criteria „A positive attitude is maintained in interacting with

others’, from a core unit of the current Horticulture Training Package, invoked a multitude of

different answers from a group of 31 assessors when asked to assess this point. If they were

assessing learners without an agreed checklist there would possibly be 31 different results

because they would use their own „professional judgement „ as to what a positive attitude is.

It can be argued that there would probably be more similarities than differences but it would

reduce the consistency and reliability of the evidence gathered – features of evidence that

are important to create a valid assessment.

Likewise, the questions and expected responses are detailed to ensure the underpinning

knowledge is identified. Expected responses are included for a number of reasons:

recording is more efficient as given answers can be ticked off and not written, when

verbal assessment is carried out. Written answers by the Assessor to assessee‟s verbal

responses is time consuming.

consistency and reliability is maintained as the „expected responses‟ are indicated, not

„guessed‟ or based on the Assessor‟s „professional judgement‟.

The questions and expected responses give a framework to build upon when reviewing

the assessments. Other appropriate responses can be monitored and the checklist

modified as necessary upon review.

Assessor Recording

Regardless of the methods being selected to collect the evidence, accurate and consistent

recording of the assessment is necessary.

There are various ways of checking off the performance observed in the Assessment

Instrument. The use of space/check boxes such as (__) or are acceptable, and when

placed to the right of the performance being observed as part of a column, can form an

appropriate observation checklist and easily highlight what performance has been

completed and what has yet to be completed. Be aware that too many boxes in too many

columns can contribute to missing evidence. Have one column and one box per point. Use

ticks for correct performance and crosses for performance still to be seen/ provided. This can

be the simplest method of notation.

Whatever method is used for responses the Assessor needs to be sure that all check boxes are

marked as appropriate. The assessment recording needs to indicate that all steps, responses

and performances have been considered, what has been met and what is still to be met.



GGuuiiddee::

Refer to the Flow Chart @ Page 7.

Consider the last two questions

indicated in the Flow Chart – the

„where’ and „when’.

Often, these questions are not given

much consideration but can have a

big impact on the outcome of

assessments.

Required Action:

Take time to read the text following

and check the 6th and 7th points on the

Briefing Plan.



TIME AND LOCATION OF ASSESSMENT

The timing and location for assessments may seem a simple aspect to consider, however

there are points to bear in mind when setting the time and location for the assessment

Location

Assessments may be conducted in the following locations:

on the job in the actual work place

on the job in the training environment

off the job in a simulated environment

off the job in a training environment

Each location has their own advantages and disadvantages and each one needs to be

considered, to ensure the assessment adheres to the principles of validity, reliability, flexibility

and fairness and encompasses those features of the evidence.

Time of Assessment

Time of the assessment can be to the workers advantage, unless they are affected by being:

shift workers

on leave

away from the peak period of the work day or week

These issues need to be adequately covered during the assessment briefing. The Assessor

needs to ensure that some of the assessees are not being disadvantaged because of the

time and location of assessments



GGuuiiddee::

You are almost ready to conduct a

Briefing Session for the candidates you

will be assessing in the workplace.

Consider the Briefing Plan and the last

two points – feedback and appeals.

The question of feedback is

straightforward – establish this with the

organisation - but please read the text

following, about Appeals.

You may have some assessees who

feel they have a right to appeal just

because they were recorded as „not

yet competent‟.



APPEALS

Appeals System

Another component of an assessment that is often overlooked in the hope it will not occur is

the appeals system.

It is important that an assessment system has a clearly defined appeals procedure and that

this procedure is well documented in appropriate organisational policy document. The

problem is that because appeals don't often occur, organisations are tempted to use ad hoc

approaches which have not been clearly thought through.

If an assessee feels that they have been unfairly treated during their assessment, they have

the right to appeal. The Assessor and the assessee‟s own organisation should have a system in

place where the issues and concerns can be discussed. If their concerns are valid, then the

organisation conducting the assessment needs to ensure the assessee is given the opportunity

for another assessment. Reassessment should then be arranged, probably with a different

Assessor.

If the new Assessor is still of the opinion that the evidence collected is below standard, then

that should be communicated to the assessee and they need to be given an opportunity to

go away, lift their level of competence up to the required standard, and return at a later date

for another subsequent assessment.

An example of an appeals process might be:

the initial revision would be conducted by a nominated support Assessor who would

give an opinion of the quantity and quality of the direct and indirect evidences supplied

by the assessee

If the assessee is still unhappy with the outcome of that process, he can appeal to his

area specialist and request that another area specialist look at the evidences gathered.

If the assessee is unsatisfied with that process he can ask for the entire assessment event

to be reviewed by an independent assessor.

Before designing an appeals system, organisations and Assessors should consider the need for

clear documentation of the system, with the following considerations taken into account:

Appeals System Considerations

Having a clearly documented appeal system will add credibility to the system in the eyes

of the assessees. The process should have a hierarchy of responses where the assessee

can try to solve the issue at a number of ascending levels. These levels might include:

Outside the Organisation

Within the Organisation (Most appeals should go no

further than here.)

Second Assessor

Area Specialist

Independent Training or

Consultative Body State

Training Authority



Other considerations may include:

Describe the roles of individuals or groups participating at each level.

Try to deal with the grievance at the lowest possible level before the appeal becomes

too formal and too costly

Be prepared to uphold or reject the appeal at any level.

Consider putting a time limit on how long after the assessment the assessee can appeal.

Consider enforcing a time period in which the appeal process must have dealt with the

appeal.

Avoid relying too much on re-assessments to sort out the problem. For instance, the

assessee should not have to undergo a reassessment because the assessors have made

a mistake in the amount of evidence required or the type of evidence called for

Be aware that ready access to reassessment can encourage people to appeal unduly.

Avoid an adversarial approach and provide support to the assessee during the appeal.

Assessees can feel vulnerable 'taking on the system'.

Document the appeals approach from beginning to end.

Possibly appoint a verifier who follows the appeal from beginning to end. (A verifier is an

assessor who is appointed to oversee and monitor the quality of the entire assessment

system)

Document and review every appeal to ensure that the same problem does not arise

again in the future.

In going through the appeal process, each individual/group involved should have a checklist,

which they follow in order to check whether the appellant:

has sought clarification from the person who assessed them,

has been to the Training/Personnel Manager,

has had their rights explained,

knows they can have a counsellor or support person with them,

knows they can involve the union if they want to?

The Appeals process needs to be spelled out, all above board and be absolutely transparent.

There should be no surprises for any of the people involved. The system is not set up to be a

deterrent for those applying and should be able to remain an independent body to assist

those who feel they have been unfairly treated in their assessment.



Required Action:

After you have completed the last two

points on the Briefing Plan you need to

read and consider the text on the

Briefing Session below.



BRIEFING SESSIONS

The Briefing Session

When Assessors commence planning for an assessment they will often decide themselves how

they will collect the evidence to establish competency. However, where practicable, the

assessee should also be involved. A good Assessor will plan potential methods, and during the

Briefing Session - a session that could take place possibly 4 - 6 weeks before the actual

assessment - they would involve the assessee in discussion about how they - the assessee -

would like to see the evidence collected. After all, the assessee is the one doing the job -

and should have valuable insight on how best to assess what they do.

In the Briefing Session the Assessor describes the suggested assessment process so that the

assessee will know what is going to happen. They will have a better understanding of the

evidence, both direct and indirect, that they need to produce to satisfy the assessment

process. Of course, because the Briefing Session is participatory, any good suggestions by

assessees to improve on the process should be acknowledged and considered by the

Assessor. When necessary the procedures should be modified accordingly. Try to ensure all

those being assessed are present at the same briefing – this saves repetition of information,

and also ensures everyone hears the same information at the same time. Interestingly, some

assessees hear questions from other assessees, and while they did not think of the question

they usually need to know the answers.

The briefing session for the assessees should cover the following:

the purpose of the Briefing Session

the purpose of the assessments

who is to be involved in the assessment, and why.

They should be provided with a copy of the Industry Standards/Training Package extracts,

to be used, or have their attention drawn to where they may be obtained, and discuss the

relevant contents. Then:

go through the assessment process with the assessee

explain the proposed methods of gathering evidence and invite discussion from the

assessees to suggest modifications, where considered appropriate. Agree upon a

suitable combination of evidences and the methods by which they may be obtained

explain consequences of the assessment, which will result in a „C‟ for Competent, or

„RFE‟ for Require Further Evidence, „RFT‟ for Requires Further Training and/or „NYC‟ for

Not Yet Competent. Reassure those that do not receive immediate Competency

that they should receive further assessment and training as necessary. (This needs to

be established with Management before the briefing.)

discuss the issue of people with special needs, keeping in mind confidentiality. Offer a

contact number for after the briefing for those with special needs who wish to

maintain anonymity from their work mates.

negotiate time/s and location/s

clarify any doubts and establish how assessees feel about the assessment

outline the rights of the assessee, in particular emphasise the appeal system and

confidentiality. (This needs to handled with care as appeals should not be seen as an

immediate alternative if they do not do well in the assessment.)

have the assessees acknowledge their attendance and comprehension of the briefing

by signing a Briefing Plan and provide the assessee with a copy. If amendments are

required, ensure they get a copy as soon as possible after the briefing.



Be aware that the assessees may have issues and questions regarding the following points,

that the Assessor will have to know the answer to, or at least be able to refer to the

organisation‟s HR department to answer during the Briefing Session:

what have they done wrong to be required to be assessed?

are they going to be paid for the time away from work for the assessment?

do they have to pay for their assessments?

what are the implications if they do not pass the assessment?

what does it mean if they do pass ?

can they have some-one else present at the assessment?

The assessee may really just want to know the WIIFM factor – “what‟s in it for me?”

The Briefing Plan

Many Assessors are using Briefing Plans as part of the preparation for the workplace

assessment. The Briefing Plan is a documented brief and used so the assessee is fully aware of

the boundaries of the assessment. The plan should incorporate similar information in your

planning sheet example.

As the assessee should be able to keep a copy of the plan it tends to build up their

confidence that there are no surprises. The fact that they will have a written record of what is

going to happen in the assessment contributes to them feeling more secure regarding the

assessment and they will be more prepared. When required, an amended Briefing Plan should

be distributed to the appropriate people involved, possibly one week at the most from the

original briefing session. This ensures they all know what changes are happening as soon as

possible and can adjust to the new changes as required.

An example Briefing Plan used by Crossbow is at the commencement of your Portfolio of

Evidence.

Involving the Assessee

Basically, involving the assessee from the planning stage is a good idea. Showing

consideration and regard to the assessee‟s experiences and input are steps on the path to

becoming a credible Assessor. Problems may occur, however, when an Assessor is not willing

to let go of the feeling that they may be losing control of the assessment if the assessee

becomes involved in any way in the process. In the past, assessments would often be unfair

and inflexible, as the whole process was decided by the Assessor without discussion or

participation with the assessee

The assessment process involves preparation before and the feedback after an assessment,

as well as assessing an individual's performance, so to get the assessee involved seems a

logical step. After all, the assessee is the one who is dealing with the job/task in their own work

environment and they should have intimate knowledge the Assessor may not have.

Create a supportive and trusting environment

The Assessor needs to ensure the workplace assessment process does not intimidate the

assessees as this can affect their performance and create negative feelings.

If the Assessor takes on a dictatorial attitude the assessee will be even more negative.

Other reasons for negativity might include:

times and location are not suitable for the assessee, particularly shift workers

the assessee is just not ready, mentally or physically

unsuitable or inappropriate assessment methods are being used which may hinder

the assessee‟s ability to perform the tasks required



If the assessee is permitted to be involved from the planning stages they will often take

more interest and responsibility for the process. Having an assessee go through a positive

assessment experience can become a valuable asset for future assessments in assisting

their co-workers.

So, how much should assessees be involved – and when?

The assessee should be encouraged to participate in the assessment process as soon as it

is known that assessment will occur, so as to take responsibility for their assessment.

However, depending on the context and circumstances in which the assessment is carried

out will depend how much they can actually become involved. The Assessor will have to

be clear about what parts of the assessment process are open for changes and what

aren‟t.

Often the Briefing Session will be the first time the assessee has the opportunity to meet

with the Assessor. Assessees need information to participate in the assessment process and

the Briefing Session is the place to start.

Note that the Briefing Plan example in your Portfolio has provisions for the assessee to

acknowledge the information given at the Briefing Session. This is good assessment

practice as their acknowledgment indicates they have understood the process that is to

be used – but it does not mean that they necessarily agree with the process. Sometimes

an assessee may have reservations and while they understand what is occurring, they

may not be happy participating for their own personal reasons. Some may have had

negative experiences in the past. It might be necessary for the Assessor to individually

brief those assessees who are unhappy or refer them back to management.

Because assessees may lack confidence and feel intimidated by the

assessment process the Assessor will need to put them at ease about being

assessed and reinforce the idea that they are wanted to participate. It is

often overlooked that the assessee is the most important person in the

assessment process. The assessee needs to feel they are having input into the

way the assessment process occurs - and that their input is valued - so

that they may have confidence in the process. They are less likely to be

critical of the process when they have had input.

Assessment Day – Involving the Assessee

The Briefing Session should be conducted, possibly some 4 - 6 weeks prior to the

assessment to allow the assessee time for preparation. However, it is reasonable to assume

that on the day of the assessment the assessee is likely to be nervous. The Assessor needs

to be aware of this and be supportive and non-intimidating. Prior to the assessment

commencing the Assessor should:

consider how the assessee may be feeling and establish ways to put them at ease

establish the assessment environment is suitable by checking the surroundings for

excessive noise, other people not involved and so on

establish rapport by greeting the assessee and

remembering to maintain eye contact. Body language

needs to be relaxed and open and not intimidating.

allow the assessee time to settle in and feel comfortable. Chat to them about

something unrelated to the assessment for a few moments

reiterate the assessment process that is going to occur, referring to their Briefing

Plan, when necessary

encourage the assessee to ask questions to clarify any points before commencing



let the assessee know when they can begin the assessment task, how much time is

allowed, when applicable, and how to indicate when they are finished, again,

when appropriate

Assessor Interpersonal Skills

Throughout the whole assessment process Assessors must display very good interpersonal skills.

They need to be aware of both verbal and non-verbal language as assessees will often have

a heightened sense of awareness due to the possibly of them being nervous about the

assessment.

Questions and answers are an effective way of producing and encouraging interaction

between the Assessor and their assessees. The Assessor should be able to provide open

communication to enable clear and concise information to be imparted, for example, during

the Briefing Session, to offer the opportunity to clarify issues and to negotiate the conditions

under which the assessment is to be carried out.

An effective Assessor should be able to anticipate questions and deal with any „surprise‟

questions to negotiate a solution. The Assessor needs to be flexible and responsive to the

assessee and prepared to change, as both Assessor and the assessees cooperatively work

through issues raised.

As a guide, Assessors should plan to use appropriate questioning techniques throughout the

assessment phases. Question types include:

Closed ended questions

Open ended questions including those starting with why, how, where, when and

those questions that provide the assessee with the opportunity to provide a lot of

information

Note: leading questions provide no reliable evidence and often confirms

something the Assessor already knows

The use of questions with diagrams and sketches should be used to assist the

assessee.

Encouraging assessees to ask questions may help overcome problems with communication

but it is important to be aware of when the best time for questions should be. Interruptions by

questions may disrupt the flow of the Briefing Session so it might be best to handle questions at

the end. If no one asks questions, prompting people by putting some questions to them is

one way of establishing their understanding.

Likewise during the assessment itself, it needs to be established whether questions should be

asked before or during or even after the practical demonstration. Remembering that some

demonstrations do not allow for talking due to noise, the effects of throwing off some one‟s

concentration should not be overlooked. However, asking questions at the end of a

demonstration may not be appropriate either, particularly when the knowledge of an

assessee should be established prior to the demonstration. Should a driving assessor allow a

trainee on the road before their written assessment? Should OS&H knowledge be established

before an assessee attempts to slice meat with the electric meat slicer?

Allow enough time between questions for assessees to collect their thoughts.

Assessors should also use active listening skills. Look interested and encourage the assessee

with:

eye contact, but not constant staring

open relaxed posture

nods, smiles and words like 'I see', 'go on', 'mm', and

clarify assessee statements without adding anything they didn't mention



Communication is a two way process. Giving clear explanations using language to suit the

assessee is only one part of communication.

While explaining, the Assessor also needs to watch for indications that assessees are listening

and that they understand what is being said. Puzzled expressions, frowns, sighs and other

similar body language may give clues that people haven't caught on to what they are being

told.

Assessors need to be aware of the non-verbal aspects of communication and the impact it

may have on the heightened senses of the assessee.

The Assessor needs to be aware of their body language as well. Their frowns, smiles and

crossed arms may intimidate or distract the assessee in their assessment.



Required Action:

Complete your Briefing Plan and have it

available at the briefing session for the

person/s you are assessing so that they

may sign it as an indication that they

understand the process.

After the Briefing Session, you may need

to make some adjustments to

documentation, methods etc to suit the

situation of any assessees with special

needs. You are then prepared for the

day of assessment.



Required Action:

You are almost ready to begin the phase

of conducting assessments.

Before you do conduct an assessment,

however, check the next page and

complete the questions.

Consider the effects of the results you

obtain when making a decision about a

person‟s competency.

Again, review the Flow Chart of the

assessment process and read the text

that follows on conducting assessments.



ASSESSOR RATING – SURVEY

Circle the appropriate number in the column, which most represents your view:

Total _________________________________

When assessing some-one‟s

performance I would:

Usually

Often

Sometimes

Seldom

Never

expect that a person

who is good at one

aspect of their

occupation will be good

at another

5 4 3 2 1

remember what a

person has recently

done in their job

5 4 3 2 1

expect that some ethnic

groups and groups of

people are better at

doing specific tasks than

others

5 4 3 2 1

take into account other

aspects of the person

such as being „too

cocky‟

5 4 3 2 1

give people the benefit

of the doubt in an

assessment situation

because circumstances

make it more difficult for

them

5 4 3 2 1



CONDUCTING THE ASSESSMENT

To give the assessee the best chance at performing at their best at the assessment the Assessor can

follow certain steps to ensure a smooth progression.

There are 5 steps:

1. The pre-assessment briefing

2 Conducting the assessment - gathering the evidence

3. Considering the evidence and making the decision

4. Provide feedback to the assessee

5. Recording the result

1. The pre-assessment briefing

The pre-assessment briefing is separate to the Briefing Session that is conducted some weeks

prior to the actual assessment. The pre-assessment briefing is to ensure the assessee

understands about the assessment and for the Assessor to establish what preparation the

assessee has completed in relation to the criteria they are being assessed against. The

Assessor must assist the assessee in becoming as relaxed as possible so that they can

concentrate on displaying their competency and not their fear of tests or examinations.

When conducting the pre-assessment briefing the Assessor could assist by:

ensuring the environment is suitable for assessment

greeting the assessee, and allowing time for general conversation. This aids in

creating a relaxed atmosphere

previewing the assessment with the assessee

advising the assessee on the time allowed for assessment

inviting the assessee to ask questions

advising the assessee when they can begin the task being assessed

2. Conducting the assessment - collecting the evidence

In gathering evidence, the Assessor must ensure that they are in the most appropriate

position to adequately observe the assessee to enable a full and valid assessment, while not

compromising safety or work orders by being in the work location. The Assessor must also

ensure:

evidence gathered is consistent with competency standards

evidence gathered satisfies the features of evidence

evidence is recorded clearly and accurately, according to requirements

3. Considering the evidence and making the decision

When making the decision, the Assessor needs to ensure that all the principles of assessment

have been followed and that their decision:

is based on evidence gathered at the time of the assessment

complements and reflects the assessment methods used

is based on the features of evidence

is based on the comparison of the evidence against the criteria for assessment

Assessors need to be aware of what is referred to as “common assessment distracters”.



These distracters may colour the Assessor‟s judgement unless they have taken steps to avoid

them. The distracters include:

Halo Effect:

This occurs when the Assessor allows their overall impression of the person to influence

their judgement on the specific performance. It could be positive or negative.

For example, the Assessor knows someone‟s performance in the particular skill about to

be assessed will be good because he has been known to work well with other

assessments or in his actual work. Therefore it is pre-conceived that he is assessed as

competent without taking into account the particular requirements and standards for

this skill or the demonstration at that time.

Leniency

This occurs when the Assessor doesn‟t 'like to be too hard on someone‟. The Assessor

doesn‟t assess them according to the standards but "give them the benefit of the doubt".

Recency

This is similar to the halo effect. The Assessor allows their own experience of what this

person did recently to cloud their judgement rather than assessing against the criteria

within the standards.

For example, because someone damaged some equipment on a previous assessment it

is remembered what they did and therefore are assessed according to the previous

assessment, or assessed more stringently without taking into account the competency

requirements of the current assessment or the demonstration at that time.

Stereotypes:

Some inexperienced Assessor may have pre-conceived ideas about particular classes of

people and this may cloud their judgement.

For example, some Assessors may have a belief that some races, groups of people or

genders have certain traits that make them unsuitable without taking into account their

actual performance.

Overall, the Assessor needs to be aware that they are assessing the person's competency to

perform on-the-job and that there are laid down standards to which they should be

assessing. The Assessor is not assessing the assessee‟s personality. The Assessor is only

assessing skills and knowledge.

If an Assessor has to work with the „technical „expert‟ because they are not qualified in that

field, they should draw the „technical expert‟s „ attention to the above distracters to ensure

they respond accordingly to an assessee‟s performance, and not base their decisions on

any previous knowledge, bias or similar response.

If the Assessor has difficulty making the decision based on the evidence that has just been

provided there may be a number of reasons for this. The evidence may not have been:

valid

sufficient

current

consistent with other evidence already held, or

the assessee‟s own work



Similarly, the Assessor may have not been objective enough in following the criteria for the

assessment, or the type of evidence chosen may not have been as relevant as first thought.

Discussing the assessment strategy with other Assessors and assessees very early in the

planning should help avoid making inappropriate selections for the methods of evidence.

However, if the problem now exists the Assessor has two alternatives:

if a decision about competency cannot yet be made then more evidence should be

called for

if the decision can be made it should be, but there should be a recommendation for

modification for future assessments.

4. Provide feedback to the assessee

Assessors should not skim over the feedback process. Assessees are usually anxious about

their results of assessment and can be more so if they feel they have not performed well.

The feedback should be a thorough and positive experience for the assessee. The Assessor

must have good communications skills, particularly with feedback after the assessment. The

following checklist should help Assessors with this process:

It is good practice for the Assessor to ask the assessee how they think they went. This

way the Assessor can judge how to respond, particularly if the assessee thinks they

did well but the Assessor has marked them „not yet competent‟

The Assessor should reinforce the positive aspects of the assessment

The assessee could be asked to suggest areas for improvement, when applicable

The Assessor should discuss areas for improvement in detail, and notate the

assessment record appropriately

Where necessary, the Assessor may have to discuss the need for further evidence.

Once the Assessor informs the assessee of their final decision, the Assessor should:

discuss their decision with the assessee and determine agreement or otherwise

establish ways in which the gaps from the assessment may be filled, eg, further

training or practice

arrange for a Training Plan to be developed when necessary

advise the assessee of further procedures, eg, recording information and

confidentiality issues, signing to acknowledge the assessment process

ask the assessee how the assessment can be improved for future assessments

5. Recording the result

Assessment results need to be recorded. Assessees have the right to have their results

accurately recorded. Often, legislation, eg, a licensing requirement, will require detailed

recording of assessments. Legally, the organisation may have to keep records for a certain

period of time.



There are several other reasons that it is important to document the evidence gathered.

These include:

to ensure that the requirements of the training organisation, such as record keeping

for purposes of career progression are met

to enable appropriate feedback to be given to the assessees, especially in the event

of an appeal against assessment

to use for other purposes, such as assessment of competencies for other occupations

or courses, if applicable. This is particularly likely to happen where the evidence

supports generic skills, such as management or communications skills.

Note that there will most likely be restrictions on who has access to this information. Assessors

should not overlook the importance of restricting access to the assessment records kept

about each assessee. Each organisation should have a policy and procedures in place for

access which comply with the requirements of federal and state privacy laws.



FEEDBACK

Verbal Feedback

A feature of the Assessor‟s skills is good communications. The Assessor has to be aware of not only

their verbal feedback but also their own non-verbal feedback they may be giving to the assessee

through such body language as folded arms, frowns, smirks, looking around elsewhere and so on.

The Assessor should not skim over the feedback process. The feedback to the assessee is just as

important as any other part of the workplace assessment, even more so if the assessee has not done

well.

When giving verbal feedback it is always good practice for the Assessor to apply the “feedback

sandwich” principle, when an assessee has been deemed “Not yet competent/Requires further

training” etc. This means that when informing the assessee of the area/s of weakness of their

performance the Assessor should:

focus on positive aspects of the assessment, then

give the constructive advice on the poor performance area/s, and

follow up with other positive feedback about the overall performance

Assessors need to be aware of where and how they give the feedback. Regardless of whether the

assessee has done well or not, the Assessor should always ensure feedback is:

treated confidentially

delivered in such a way that the assessee understands what further training/assessment they

may be required to undertake

delivered in an environment that encourages the assessee to not feel intimidated to ask

questions and seek further clarification

supportive of further studies or promotional opportunities as appropriate

constructive, not destructive

provided in such a manner as to not overwhelm the assessee by the amount (where an

assessee has done particularly poorly)

Sometimes the assessee may feel their performance is enough to qualify them in the assessment. It

is always good practice for the Assessor to ask as the beginning of the feedback session “How do

you think you went?” The Assessor should encourage the assessee as much as possible to elaborate

on why they think they performed well, in what areas and in particular, does the assessee think there

are areas they may be able to improve on. Allowing the assessee to give their own impressions

means that the Assessor can gauge how they may begin their own feedback, and at what point

they may begin to apply the „feedback sandwich”.

At the end of the feedback the following should be noted on the Record of Assessment, as

applicable:

Suggestions for further advancement/training opportunities for promotion and so on,

Training Plan, including what aspects of the assessment require further training

Date, time and location of next assessment, and what part – all or one section - of the

assessment has to be repeated.



RECORD OF ASSESSMENT

The Record of Assessment is another important component of the workplace assessment.

Sometimes in the daily administration and operations within organisations the recording of

information is a poorly completed procedure because of the complexity and/or amount of the

data required. Because of this, when faced with the completion of paperwork, people often skip

areas they consider unimportant. Upon reviewing days/weeks/months later, the information that is

missing can be like trying to find the pieces of that long-lost jigsaw puzzle. Often the pieces are

never found and they are that vital piece that completes the full picture.

Information often omitted in assessment records includes:

date/s of assessment

assessee and/or Assessor signature/s

what constituted competency in the assessment or competencies left blank/not ticked,

according to the Assessor Instructions

what competency/ies the assessee is measured against

In light of this, the record should be a form that encourages the Assessor to complete all the relevant

details.

The basic information should include:

date and location of assessment

name of assessee and their organisation

name of Assessor

criteria assessed against

attainment of competency or further evidence as required

comments as required

Assessor signature verifying level reached

Assessee signature acknowledging result

Further information might include:

how the evidence was collected

comments from the assessee on the process of assessment

appeals procedures

Assessor qualifications/registration

There is no reason why the Records form could not be pre-printed for the particular criteria used, as

long as it accurately records the assessment and the outcome/s and is current.

Points to be remembered about the Records includes:

confidentiality

accuracy

security of storage

type of storage



Required Action:

You should have developed an

instrument/tool for an assessment you are

going to undertake as your project.

Your Assessment Instrument/Tool can now

be used to assess your work colleague.

You should be able to make a decision

about their competency, against the

selected standards/ instructions you have

created.

A checklist follows for an observer to comment on

your assessment. Please attach this to your

assessment documentation when submitting.

CONDUCT THE ASSESSMENT NOW.



Observer signature: Position:

Date of observation:

Assessor‟s name:

RECORD OF OBSERVATION

As the Observer in this assessment, your task is to observe the interaction between the Assessor and

the candidate. You should not interrupt the flow of the assessment, as in most real situations an

Observer or third party would most likely not be present in this role. You need to note and record

the feedback points below before, during and after the actual assessment. Use a tick () for yes,

cross (x) for no and N/A, as appropriate:

Before:

Was the Assessor organised and prepared for the assessment?

Did the Assessor greet the assessee and introduce themselves?

Did the Assessor attempt to put the assessee at ease?

Did the Assessor reiterate the purpose of the assessment to the assessee?

Was the assessee briefed on the assessment method/s and criteria to be used?

Did the Assessor brief the assessee on the assessment procedure prior to starting?

Was eye contact established and maintained by the Assessor, as appropriate?

Was the assessee ready to commence the assessment?

Did the Assessor move into a position to see the demonstration adequately?

During:

Were question asked by the Assessor before the demonstration stage?

Did the Assessor use the questions as stated from the Instrument?

Was the assessee encouraged to speak freely? Who did most of the talking? Assessor Assessee

Did the Assessor have an open face-to-face posture throughout?

Did the assessee appear to be deterred by any verbal/non-verbal indicators? What was the „tone‟ of the interaction at the end? Warm Cold Confused

Was there agreement by both parties?

After:

Was recording of the assessment complete and accurate?

Did the Assessor ask the assessee for feedback on their assessment performance?

Was Assessor feedback encouraging to the assessee?

Did the Assessor give constructive feedback?

Was follow-up action described, where necessary?

Please comment further as necessary.

PLEASE ATTACH TO YOUR ASSESSMENT

TAE4400111100 t –– CCeerrttiiffiiccaatee IV in Training and Assessment · 2011-09-10 ·...

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Transcript of TAE4400111100 t –– CCeerrttiiffiiccaatee IV in Training and Assessment · 2011-09-10 ·...