Elements and Performance Criteria

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.
Training and/or assessment organisation refers to:
a Registered Training Organisation (RTO), i.e. an organisation registered to provide recognised training and assessment services; includes TAFE institutes, private commercial colleges/ companies, enterprises, community organisations, group training companies and schools
an organisation working in a partnership arrangement with an RTO to provide recognised training and assessment services
an organisation that provides non-recognised training and assessment services
Purpose and focus of validation may include:
as part of organisational quality assurance processes
to address an identified area of risk in assessment practice and quality
to demonstrate compliance with the Australian Quality Training Framework (AQTF) Standards for Registered Training Organisations (RTOs)

to ensure assessments meet the evidence requirements of the competency standards or other assessment benchmarks
to provide evidence for external audit
to provide evidence for internal audit
to improve assessment practices
to evaluate the quality of assessment tools
to provide professional development
to increase assessor confidence
to determine whether different assessors using the same tools collect the same types and levels of evidence
to determine whether different assessors interpret the same evidence similarly
to determine whether assessment decisions reflect the principles of assessment and rules of evidence
Context of validation may include:
internal to the organisation, e.g. same site or across sites
external to the organisation, e.g. in a industry, region, city, state, assessor network
through licensing or similar body
with co-assessors
with peers/colleagues from other training and/or assessment organisations
Relevant people must include:
other assessor/s involved in the validation exercise
Relevant people may include:
lead assessors
managers, supervisors
technical and subject experts, including occupational health and safety (OHS) experts and language, literacy and numeracy specialists
personnel or partners with responsibilities for input into the quality assurance system
training and/or assessment coordinators
industry clients
industry regulators
employee and employer representatives
members of professional associations
personnel from a state or territory registering body
independent validators
Approach to validation may include:
assessment panels
moderation meetings
collectively developing/reviewing banks of assessment tools and exemplars
benchmarking
field testing, trialling and piloting assessment tools
peer review
team assessment
internal audit process
client feedback mechanisms
mentoring of less experienced by more experienced assessors
use of independent assessment validator to review validation processes
Assessment system policies and procedures may include:
candidate selection
rational and purpose of competency-based assessment
assessment records/data management/information management
recognition of current competency/recognition of prior learning/credit 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
Organisational/legal/ethical requirements may include:
legal and ethical responsibilities of assessors
assessment system policies and procedures
reporting, recording and retrieval systems for assessment, including documenting the agreed approach to validation
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
access and equity policies and procedures
collaborative/partnership arrangements
policies, procedures and programs
defined resource parameters
mutual recognition arrangements
industrial relations systems and processes, awards/enterprise agreements
AQTF Standards for Registered Training Organisations (RTOs), in particular Standard 8, RTO assessment
registration scope
human resource policies/procedures and 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
Benchmark/s for assessment 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
Evidence:
is material collected which, when matched against the specifications in the competency standards, provides proof of competency achievement
Related documentation may include:
the Assessment Guidelines of the relevant Training Package/s
information from the competency standards about the resources required for assessment, the assessment context, appropriate assessment methods
standards
assessment activities identified in accredited modules derived from the relevant competency
assessment activities in Support Materials related to the relevant competency standards
any requirements of OHS, legislation, codes of practice, standards and guidelines
indicators and levels of competence of the National Reporting System
organisational requirements for demonstration of work performance
product specifications
Material/s may include:
assessment tools
samples of collected evidence
documentation outlining the basis of assessment decisions
reports/records of assessment decisions
validation templates
validation checklists
assessment exemplars and competency standards
sampling techniques
banks of assessment tools
survey proformas
Validation activities may include:
analysing and reviewing assessment tools
analysing and reviewing collected evidence
analysing and reviewing assessment decisions/records of assessment outcomes
examining assessment records
examining assessment systems
discussing the assessment process, issues, difficulties in interpretation
holding interviews with each other or with management, trainers/facilitators, candidates
analysing client feedback
observing assessment conduct
using validation tools
reviewing and interpreting Assessment Guidelines
examining assessor qualifications
analysing appeals processes
recording evidence of validation processes and outcomes
Assessment process is defined as:
key steps involved in the assessment cycle
Assessment plan is the overall planning document for the assessment process and may include:
the purpose and aims of the assessment
the context of assessment
relevant competency standards to be used as the benchmarks for assessment
other assessment information/documentation identified as relevant
identified personnel
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 and/or physical resources required
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
Assessment methods are the particular techniques used to gather 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, for example, on a computer
interviews
self-assessment
verbal questioning
questionnaires
oral or written examinations (applicable at higher AQF levels)
portfolios, for example:
collections of work samples compiled 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
Assessment tools contain:
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 the conditions for assessment
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
Principles of assessment are:
validity
reliability
flexibility
fairness
Rules of evidence are:
validity
sufficiency
currency
authenticity
Recommendations for improvement may include:
ongoing professional development strategies for assessors
changes to assessment system policies and procedures
changes to assessment strategies
changes to assessment plans
changes to selected assessment methods
changes/development of new assessment tools
improved records management
changes to assessment resources
instigation of/changes to partnership arrangements
improvements to evidence collection
provision of additional information for assessors/candidates
greater advice/support/supervision of assessors
exemplars
liaison with technical experts/specialist support

Evidence Guide
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.
Overview of Assessment
To demonstrate competence against this unit candidates must be able to provide evidence that they have actively participated in and have contributed to a minimum of two validation sessions, using different validation approaches and validation activities.
The evidence provided must: explain the validation purpose and context and the legal and ethical responsibilities of assessors; include the collation of documentation to be submitted to the validation process; demonstrate access and interpretation of the competency standard and evidence requirements; demonstrate communication and liaison with relevant people and participation in providing feedback and interpreting documentation in validation sessions; demonstrate how the critical aspects of validation were addressed; show involvement in reviewing findings/outcomes, including, where relevant, contributing to the finalised validation documentation.
Evidence Requirements
Required knowledge includes:
what is competency-based assessment including
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
how to interpret competency standards and other related assessment information to determine the evidence needed to demonstrate competency including:
the components of competency
assessment of Employability Skills, dimensions of competency and OHS requirements
Training Package Assessment Guidelines
the qualification level of units

Australian Qualifications Framework Guidelines including characteristics of AQF levels
different assessment methods and which methods may be appropriate and relevant to different units/ different parts of individual units
different types of assessment tools, what tools work for what types of evidence, what are well constructed assessment tools and why
what are the principles of assessment and how they guide assessment and validation processes
what are the rules of evidence, why are they important, particularly in a validation context
the various reasons for carrying out validation and the different approaches to validation that may be appropriate:
before assessment
during assessment
after assessment

the critical aspects of validation, including validation of:
assessment processes
methods and tools
the collected evidence leading to assessment decisions
assessment decisions
different aspects of quality systems such as:
local/relevant strategies to meet the AQTF
continuous improvement systems
quality assurance policies and processes
Assessment system policies and procedures
records management systems

relevant policy, legislation, codes of practice and national standards including national Commonwealth and state/territory legislation for example:
Training Packages/competency standards/other assessment benchmarks
licensing requirements
providing accurate information
meeting environmental standards
industry/workplace requirements
duty of care under common law
recording information and confidentiality requirements
anti-discrimination
workplace relations
industrial awards/enterprise agreements

relevant OHS legislation, codes of practice, standards and guidelines, impacting on assessment
Required skills and attributes include:
research skills to:
access and analyse relevant documents for validation
use a range of source documents to access information for validation

evaluation/revision skills to:
determine evidence requirements from competency standards
review assessment process
review assessment methods and tools
review collected evidence

literacy skills to:
read and understand the documents relevant to validation

observation skills to:
evaluate and compare assessment planning, organisation, methods, tools, and evidence documentation leading to assessment judgements
identify where improvements to the assessment process can be made
communications and interpersonal skills to:
effectively participate and contribute to validation activities and sessions
collaborate with colleagues
seek and receive feedback on assessment practice

share sensitive information
maintain confidentiality of sensitive information
gain and maintain trust of colleagues
provide advice and support to colleagues
planning skills to:
participate within agreed timeframes

problem solving skills to:
identify information that is inconsistent, ambiguous or contradictory
suggest/confirm recommendations for improvements in assessment
Products that could be used as evidence include:
recommendations as a result of reviewing assessments, and why
evaluations of the quality of assessment tools against the identified competency standards
evaluations of the evidence collected against identified competency standards, and whether it meets the rules of evidence
suggested recommendations discussed for modification
Processes that could be used as evidence include:
how competency standards and other documents were interpreted and evidence requirements identified
how assessment decisions were evaluated
how assessment feedback was collated and evaluated
what contribution was made to validation activities
Resource implications for assessment include:
access to competency standards and other related assessment documentation
access to completed assessment tools
access to assessment reports/records
access to suitable assessment validation venue/equipment
access to a validation group
access to relevant workplace documentation
cost/time considerations
meeting personnel requirements retime management
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 whenever possible. Where no workplace is available, a simulated workplace must be provided
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
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
Specific evidence requirements must include:
active participation in a minimum of two validation sessions/meetings which, in combination, address the critical aspects of validation using different validation approaches and activities
clear explanations of the purposes of validation and the legal and ethical responsibilities of assessors
collation of all documentation relating to the validation process in a logical manner
demonstration of communications and liaison with relevant people
provision of feedback and interpretation of documentation in validation sessions
record of contribution to validation findings
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.