Modification History
Not applicable.
Unit Descriptor
This unit specifies the competence required to assess the competence of a candidate.
Application of the Unit
This unit addresses the competence of conducting competency assessment in accordance with a developed assessment plan. It includes assessment for recognition of prior learning (RPL) or as part of a learning and assessment pathway.
The critical focus of this unit is on interpreting the collected evidence and making a judgement of competence against the specified competency standards by applying the principles of assessment and rules of evidence. This unit also covers demonstration of the professional relationship between assessor and candidate/s and the skills needed to support this relationship.
The achievement of this unit includes interpretation of competency standards, (where competency standards are used as the benchmarks for assessment). TAADES401B Use Training Packages to meet client needs addresses this skill in depth.
This unit does not address the development of an assessment/RPL plan or organisation of required resources for assessment/RPL, which is addressed in TAAASS401C Plan and organise assessment .
The competence specified in this unit is typically required by assessors.
Licensing/Regulatory Information
Not applicable.
Pre-Requisites
Not applicable.
Employability Skills Information
This unit contains employability skills.
Elements and Performance Criteria Pre-Content
Elements describe the essential outcomes of a unit of competency.
Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide.
Elements and Performance Criteria
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Elements and Performance Criteria |
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Element |
Performance Criteria |
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1 |
Establish and maintain the assessment environment |
1.1 |
The assessment/ RPL plan is interpreted and assessment system policies and procedures and organisational/ legal/ethical requirements for conducting assessment are confirmed with relevant people |
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1.2 |
The relevant benchmarks for assessment/ RPL and nominated assessment tools are accessed and interpreted to confirm the evidence to be collected and how it is to be collected |
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1.3 |
Details of the assessment/ RPL plan and the assessment process are explained, discussed and clarified with the candidate including opportunities for assessment, reasonable adjustment , re-assessment and appeals |
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1.4 |
Proposed changes to the assessment process are negotiated and agreed with the candidate, where relevant |
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2 |
Gather quality evidence |
2.1 |
The assessment/ RPL plan is followed to guide the conduct of assessment and assessment methods and assessment tools are used to gather, organise and document evidence in a format suitable for determining competence |
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2.2 |
The principles of assessment and rules of evidence are applied in gathering quality evidence |
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2.3 |
Opportunities for evidence gathering in work activities/simulated work activities are determined with the candidate and relevant personnel |
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2.4 |
Opportunities for integrated assessment activities/ RPL are identified and assessment tools are modified, where required |
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2.5 |
Identified assessment/ RPL system policies and procedures and organisational/legal/ethical and requirements for assessment are addressed |
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3 |
Support the candidate |
3.1 |
Candidates are guided in gathering their own evidence to support recognition of prior learning |
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3.2 |
Appropriate communication and interpersonal skills are used to develop a professional relationship with the candidate which reflects sensitivity to individual differences and enables two-way feedback |
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3.3 |
Decisions on reasonable adjustment/s, where applicable, are made with the candidate, based on candidate's needs and characteristics |
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3.4 |
Reasonable adjustments must maintain the integrity of the relevant competency standards and provide balanced application of the principles of assessment and rules of evidence |
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3.5 |
Specialist support is accessed, where required, in accordance with the assessment plan |
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3.6 |
Any occupational health and safety (OHS) risk to person or equipment is addressed immediately |
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4 |
Make the assessment decision |
4.1 |
Limitations in obtaining and evaluating quality evidence are identified and assistance is sought, where required, from relevant people |
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4.2 |
Collected evidence is examined and evaluated to ensure that it reflects the evidence required to demonstrate competency and which: encompasses all component parts of the competency standards and the dimensions of competency (where competency standards are the benchmarks for assessment/ RPL) addresses other related documentation complies with the rules of evidence |
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4.3 |
Judgement is used to infer whether competence has been demonstrated, based on the available evidence |
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4.4 |
Relevant assessment, including RPL, system policies and procedures and organisational/ legal/ethical considerations are addressed in making the assessment decision |
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4.5 |
Clear and constructive feedback is provided to the candidate regarding the assessment decision and a follow-up action plan is developed, where required |
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5 |
Record and report the assessment decision |
5.1 |
Assessment/ RPL outcomes are recorded promptly and accurately in accordance with assessment/ RPL system policies and procedures and organisational/legal/ethical requirements |
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5.2 |
An assessment report is completed and processed in accordance with assessment system policies and procedures and organisational/legal/ethical requirements |
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5.3 |
Recommendations for follow up action are submitted to relevant people, where required |
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5.4 |
Other relevant parties are informed of the assessment decision where required, and in accordance with confidentiality conventions |
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6 |
Review the assessment process |
6.1 |
The assessment/ RPL process is reviewed against criteria in consultation with relevant people to improve and modify future assessment practice |
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6.2 |
The review is documented and recorded in accordance with relevant assessment system policies and procedures and organisational/ legal/ethical requirements |
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6.3 |
Reflection skills are used to review and self-evaluate assessment practice |
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Required Skills and Knowledge
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This section describes the skills and knowledge required for this unit. |
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Required skills |
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analysis and interpretation skills to: unpack competency standards interpret assessment tools and other assessment information, including those used in RPL identify candidate needs make judgements based on assessing available evidence observation skills to: recognise candidate prior learning determine candidate readiness for assessment observe candidate performance identify when candidate may need assistance throughout the assessment processes research and evaluation skills to: access required human and material resources for assessment access assessment system policies and procedures access RPL policies and procedures evaluate evidence evaluate the assessment process cognitive skills to: weigh up the evidence and make a judgement consider and recommend reasonable adjustments decision making skills to: recognise a candidate's prior learning make a decision on a candidate's competence literacy skills to: read and interpret relevant information to conduct assessment prepare required documentation and records/reports of assessment outcomes in required format |
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communications/interpersonal skills to: explain the assessment, including RPL process to the candidate give clear and precise instructions ask effective questions provide clarification discuss process with other relevant people give appropriate feedback to the candidate discuss assessment outcome with the candidate using language appropriate to the candidate and assessment environment establish a working relationship with the candidate attributes including: a willingness to guide and support candidates capacity to encourage, accept and utilise feedback sensitivity to individual difference and need ethical conduct in assessment |
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Required knowledge |
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competency-based assessment covering: vocational education and training as a competency-based system assessment is criterion referenced/distinction to norm referenced assessment criterion used in national VET is endorsed or accredited competency standards defining specifications for performance of work/work functions and skills/knowledge reporting of competency-based assessment competency standards as the basis of qualifications the principles of competency-based assessment the structure and application of competency standards what are the principles of assessment and how are they applied (validity, reliability, fairness, flexibility) what are the rules of evidence and how are they applied (valid, authentic, sufficient, current) the range of assessment purposes and assessment contexts, including RPL different types of assessment methods, including suitability for gathering various types of evidence; suitability for content of units; resource requirements and associated costs what are reasonable adjustments/when are they applicable/not applicable basic evaluation methodologies suitable for reviewing personal assessment practice types and forms of evidence, including assessment tools that are relevant to gathering different types of evidence used in competency-based assessments, including RPL practical knowledge of the potential barriers and processes relating to assessment tools and methods the assessment system and assessment policies and procedures established by the industry, organisation or training authority |
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the RPL polices and procedures established by the organisation cultural sensitivity and equity considerations relevant policy, legislation, codes of practice and national standards including national Commonwealth and state/territory legislation for example: copyright and privacy laws in terms of electronic technology security of information plagiarism Training Packages/competency standards licensing requirements industry/workplace requirements duty of care under common law recording information and confidentiality requirements anti-discrimination including equal opportunity, racial vilification and disability discrimination workplace relations industrial awards/enterprise agreements OHS responsibilities associated with assessing competence such as: requirements for reporting hazards and incidents emergency procedures and procedures for use of relevant personal protective equipment safe use and maintenance of relevant equipment sources of OHS information |
Evidence Guide
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Evidence Guide |
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The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package. |
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Overview of assessment |
To demonstrate competence against this unit, candidates must be able to provide evidence that they can assess the competence of another individual through a process of collecting and reviewing evidence and making an informed judgement. The evidence provided must show: how the assessment environment was established and how the candidate's needs were met; how the units of competency were interpreted to determine the evidence requirements; how the assessment plan was followed; how the assessment tools were used in collecting evidence; the basis for the assessment decision using the rules of evidence; communication skills used to guide, support and provide feedback to the candidate during the assessment process; records and reports; and how the assessment process was reviewed. |
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Products that could be used as evidence include : |
completed RPL/assessment tools/templates/checklists documentation of evidence collected and assessment, including RPL decisions feedback from candidate/assessor/supervisor/RPL coordinator feedback to candidate with recommendations for future options completed assessment/RPL records/reports reviews of assessment practices and recommended changes to future practices |
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Processes could be used as evidence include : |
how competency standards and other documents were interpreted how assessment activities, including RPL, were scheduled how the assessment plan was modified to meet candidate needs how evidence was collated and evaluated against the rules of evidence |
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Resource implications for assessment include : |
access to candidates to be assessed access to competency standards access to assessment materials and tools access to suitable assessment venue/equipment workplace documentation access to RPL policies and procedures access to documentation/records of candidate to determine specific requirements cost/time considerations personnel requirements |
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The collection of quality evidence requires that : |
assessment must address the scope of this unit and reflect all components of the unit, i.e. the Elements, Performance Criteria, Range Statement, Evidence Guide, Employability Skills a range of appropriate assessment methods/evidence gathering techniques is used to determine competency evidence must be gathered in the workplace wherever possible. Where no workplace is available, a simulated workplace must be provided |
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the evidence collected must relate to a number of performances assessed at different points in time and in a learning and assessment pathway these must be separated by further learning and practice evidence collected must relate to at least one example of a RPL assessment assessment meets the rules of evidence a judgement of competence should only be made when the assessor is confident that the required outcomes of the unit have been achieved and that consistent performance has been demonstrated |
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Specific evidence requirements must include : |
carrying out assessment of a number of candidates, assessed against different units of competency or accredited curricula, following the relevant assessment plan at least one candidate must be assessed through an assessment only pathway at least one candidate must be assessed for RPL |
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at least one assessment must include consideration of reasonable adjustment and the reasons for decisions and approach all must show: the application of different assessment methods and tools involving a range of assessment activities and events demonstration of two-way communication and feedback how judgement was exercised in making the assessment decision how and when assessment outcomes were recorded and reported completion of assessment records/reports in accordance with assessment system - legal/organisational ethical requirements how the assessment process was reviewed and the review outcomes documented |
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Integrated assessment means that : |
this unit can be assessed alone or as part of an integrated assessment activity involving relevant units in the TAA04 Training and Assessment Training Package . Suggested units include but are not limited to: TAAASS401C Plan and organise assessment TAAASS403B Develop assessment tools TAAASS404B Participate in assessment validation TAADES401B Use Training Packages to meet client needs . |
Range Statement
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The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included. |
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An assessment / RPL plan is the overall planning document for the assessment process and may include: |
the purpose and aims of the assessment, including RPL the context of assessment identified personnel relevant competency standards and other assessment documentation relationship with RPL policy and procedures evidence plan identified assessment methods and assessment tools possibilities for clustering units of competency for assessment purposes identified OHS hazards, including assessed risks and control strategies material/physical resources required |
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organisational arrangements for conducting assessment OHS reporting requirements any special assessment needs, e.g. personal protective equipment requirements outline of assessment milestones, time lines and target dates candidate self-assessment procedures connections to relevant organisational plans, polices and procedures |
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Assessment system policies and procedures may include: |
candidate selection rational and purpose of competency-based assessment assessment records/data management/information management recognition of prior learning recognition of credit transfer arrangements assessors - needs, qualifications, maintaining currency assessment reporting procedures assessment appeals candidate grievances/complaints validation evaluation/internal audit costs/resourcing access and equity/reasonable adjustment partnership arrangements links with human resource or industrial relations systems links with overall quality management system |
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Organisational /legal /ethical requirements may include: |
assessment system policies and procedures Recognition of prior learning policies and procedures reporting, recording and retrieval systems for assessment licensing/legal ramifications of assessing competence requirements of training and/or assessment organisations relating to assessment and validation quality assurance systems business and performance plans collaborative/partnership arrangements policies, procedures and programs |
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defined resource parameters mutual recognition arrangements industrial relations systems and processes, awards/enterprise agreements Australian Quality Training Framework (AQTF2007) Essential Standards for Registration registration scope human resources policies/procedures legal requirements including anti-discrimination, equal employment, job role/responsibilities/conditions relevant industry codes of practice confidentiality and privacy requirements of information relating to completed assessments OHS considerations, including: ensuring OHS requirements are adhered to during the assessment process identifying and reporting OHS hazards and concerns to relevant personnel |
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Relevant people may include: |
the candidate/s other assessors the client, company or organisation team leaders, managers, supervisors trainers/facilitators RTO coordinators technical/subject experts training and assessment coordinators industry regulators employee and employer representatives members of professional associations Commonwealth department official/Centrelink staff/caseworker Australian Apprenticeship Centre (AAC) personnel |
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Benchmark /s for assessment / RPL refers to: |
the criterion against which the candidate is assessed which, may be a competency standard/unit of competency, assessment criteria of course curricula, performance specifications, product specifications |
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Assessment tools contain both the instrument and the procedures for gathering and interpreting evidence in accordance with designated assessment methods and may include: |
the instruments to be used for gathering evidence such as: a profile of acceptable performance measures templates/proformas specific questions or activities evidence/observation checklists checklists for the evaluation of work samples candidate self-assessment materials the procedures, information and instructions for the assessor/candidate relating to the use of assessment instruments and assessment conditions |
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Reasonable adjustment must not compromise the integrity of the competency standard and may include: |
adjustments to the assessment process taking into account candidate's language, literacy, numeracy requirements provision of personal support services, for example, reader, interpreter, attendant carer, scribe, member of community in attendance use of adaptive technology or special equipment flexible assessment sessions to allow for fatigue or administering of medication format of assessment materials, for example, in Braille, first language, use of audiotape/videotape adjustments to the physical environment or venue revising proposed assessment methods/tools considerations relating to age and/or gender, considerations relating to cultural beliefs, traditional practices, religious observances |
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Assessment methods are the particular techniques used to gather different types of evidence and may include: |
direct observation, for example: real work/real time activities at the workplace work activities in a simulated workplace environment structured activities, for example: simulation exercises/role-plays projects presentations activity sheets questioning, for example: written questions, e.g. on a computer interviews self-assessment |
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verbal questioning questionnaires oral/written examinations (for higher AQF levels) portfolios, for example: collections of work samples by the candidate product with supporting documentation historical evidence journal/log book information about life experience review of products, for example: products as a result of a project work samples/products third party feedback, for example: testimonials/reports from employers/supervisors evidence of training authenticated prior achievements interview with employer, supervisor, peer |
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Principles of assessment guide the assessment process and must address: |
validity reliability flexibility fairness |
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Rules of evidence are closely related to the assessment principles and provide guidance on the collection of evidence to ensure that it is: |
valid sufficient authentic current |
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Quality evidence addresses the rules of evidence and must: |
encompass the Performance Criteria to demonstrate achievement of the outcomes (Elements) reflect the skills, knowledge and attributes defined in the relevant units of competency show application of the skills in the context described in the Range Statement demonstrate competence over a period of time demonstrate repeatable competence be the work of the candidate be able to be verified demonstrate current skills/knowledge of the candidate not inflate the language, literacy and numeracy requirements beyond those required in the performance of the competency |
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Guided means to explain to the candidate: |
what is recognition of prior learning what is assessment what are assessment tools how to use these tools the rules of evidence that must be met by the evidence they provide |
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Recognition of prior learning is defined as: |
an assessment process that assesses an individual's non-formal and informal learning to determine the extent to which that individual has achieved the required learning outcomes, competency outcomes, or standards for entry to and/or partial or total completion of a qualification. |
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Communication skills may include: |
providing constructive and supportive feedback using active listening using appropriate questioning to clarify and confirm instructions for evidence gathering accurately interpreting verbal messages assisting candidates to paraphrase advice/instructions to the assessor making clear and concrete presentations of options/advice |
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Interpersonal skills may include: |
accurately interpreting non-verbal messages engaging in two-way interaction using language appropriate to candidate, assessment context and work performance addressed by competency standards using language and concepts appropriate to cultural differences using culturally inclusive and sensitive techniques |
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Individual differences may include: |
English language, literacy and numeracy barriers physical impairment or disability involving hearing, vision, voice, mobility intellectual impairment or disability medical conditions such as arthritis, epilepsy, diabetes and asthma that are not obvious but may impact on assessment learning difficulties psychiatric or psychological disability religious and spiritual observances cultural images/perceptions |
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age gender |
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Feedback may include: |
ensuring assessment/RPL process is understood ensuring candidate concerns are addressed enabling question and answer confirming outcomes identifying further evidence to be provided discussing action plans confirming gap training needed information regarding available appeal processes suggesting improvements in evidence gathering and presentation |
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Specialist support may include: |
assistance by third party - carer, interpreter support from specialist educator development of online assessment activities support for remote or isolated candidates and/or assessors support from subject matter or safety experts advice from regulatory authorities assessment teams/panels support from lead assessors advice from policy development experts |
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Addressed may include: |
stopping the assessment until the OHS risk is rectified stopping the assessment until the equipment is fixed or replaced |
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Limitations may relate to: |
job role and responsibilities meeting candidate needs assessment panels training and/or assessment organisation's quality processes personal competency level organisational, industry and national training requirements personal level of knowledge of competency-based assessment legal responsibilities |
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All component parts of the competency standards refers to: |
Elements Performance Criteria Employability Skills |
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Range Statement/range of variables, including: contextualisation link to knowledge and enterprise requirements focus of assessment underpinning language, literacy and numeracy requirements Evidence Guide requirements, including: underpinning/required knowledge underpinning/required skills and attributes underpinning language, literacy and numeracy requirements critical aspects of evidence to be considered/quality evidence requirements concurrent assessment and interdependence of units assessment methods/resources/context dimensions of competency, which include: task skills task management skills contingency management skills job role/environment skills |
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Related documentation may include: |
Assessment Guidelines of the relevant Training Package/s the assessment criteria of accredited modules evidence to be collected as set out in assessment plans definition and interpretation of evidence in developed assessment tools RPL policies and procedures any requirements of OHS, legislation, codes of practice, standards, guidelines indicators and levels of competence of the National Reporting System organisational requirements for work performance product specifications integrated competency assessment tool |
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Judgement is a two-step process and means: |
the decision made by the assessor on whether the evidence provided meets the principles of assessment and rules of evidence the decision made by the assessor, based on the evidence provided and evaluated, on whether the candidate is competent/not yet competent |
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An action plan is required when the decision of not yet competent is recorded and may include: |
gap training, further learning additional practice opportunities additional assessment opportunities/evidence gathering opportunities individual facilitation, where relevant referral to specialist support |
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An assessment report may include: |
personal details of candidate details of assessment/s, date, time, venue details of assessor's summary of evidence considered and copies of assessment papers feedback to and from the candidate justification of decision summary of candidate's action plan other critical information including appeals and outcomes sign-off by assessor and candidate electronic/paper reports to funding bodies |
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Recommendations may include: |
recommendations for RPL recommendation to support training and/or assessment in new areas of competency recommendations in the action plan reassessment appeal implications |
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Other relevant parties may include: |
Centrelink personnel Department of Immigration and Multicultural Indigenous Affairs (DIMIA) parties nominated by the candidate parties to be informed because of contractual obligations |
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Criteria may include: |
following the assessment plan confirming and addressing organisational, ethical and legal requirements where appropriate, including OHS providing appropriate information regarding the assessment process to the candidate and explaining all steps, using effective communication and interpersonal skills demonstrated application of the rules of evidence and principles of assessment in gathering quality evidence demonstrated support and guidance to the candidate throughout the assessment process |
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using assessment methods and tools appropriately to gather, organise and document evidence applying reasonable adjustments where required/ appropriate, in consultation with relevant people providing clear and constructive feedback to the candidate regarding the assessment decision reviewing range of own decisions for consistency |
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Consultation may involve: |
moderation with other assessors, training and assessment coordinators discussions with the client, team leaders, managers, RPL Coordinators, supervisors, coaches, mentors technical/subject experts English language, literacy and numeracy experts |
Unit Sector(s)
Not applicable.
Competency Field
Assessment
