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.
Opportunities include:
networking through assessor networks, communities of practice and membership of representative organisations
professional and staff development activities
attending forums, conferences, workshops
participating in projects
A range of assessment methods includes:
simulations such as hypotheticals, problem-based exercises and simulated 'real world' scenarios
structured aural/written questioning techniques, such as invitation, exploration, confirmation, investigation and reflection
practical and theoretical tests
workplace projects
structured activities such as role-plays, presentations, completion of assessment activity sheets
portfolios
observation
third party feedback
product review
Cognitive skills may include:
analysis skills
synthesis skills
interpretative skills
planning skills
evaluation skills
problem solving skills
critical thinking skills
knowledge transfer skills
Issues may include:
issues and concerns raised by assessors
issues and concerns raised by candidates
issues and concerns raised by others impacted by the assessment process
assessment system policy and procedure issues
organisational/legal/ethical issues
Ethical standards include:
following assessment system organisational policies and procedures
ensuring privacy/confidentiality
demonstrating inclusiveness
following AQTF standards relating to assessment
ensuring assessment is guided by the principles of assessment and the rules of evidence
using Code of Practice for Assessors
duty of care under common law
security of information
confidentiality and privacy requirements
Reflection may include:
asking critical questions about own ability, for example:
what worked
what did not work
how the session could be improved

reviewing records and journals
critically evaluating personal performance
Assessment strategies are documented frameworks to guide and structure assessment arrangements for a vocational education and training qualification and may include:
the identification and interpretation of competency standards for assessment purposes
the identification and interpretation of related assessment documentation for assessment purposes
application of Training Package Assessment Guidelines
arrangements for recognition of existing competence (RCC/RPL), including provision of guidance and assistance to candidates in gathering and evaluating own evidence
determination of assessment methods for identified competency standards
selection of assessment tools for identified competency standards
organisational arrangements for assessment, including physical and human resources, roles and responsibilities, team assessment and partnership arrangements (where relevant)
nominated quality assurance mechanisms
identified risk management strategies
Relevant persons may include:
assessors in own organisation and on site
assessors in own organisation operating in different site/s
assessors of another organisation which is in partnership with own organisation
personnel of own/another organisation who provide vocational/subject matter expertise and who work with the assessor/s in team assessments
other personnel who assist the assessor in collecting evidence of candidate/s competence
other personnel impacted by the assessment process
Partnership arrangements refers to:
collaborative arrangements between a Registered Training Organisation (RTO) and other organisations including other RTOs which enable the partners to share for mutual benefit their resources, effort, time, costs, responsibility and expertise in the provision of training and/or assessment services. These arrangements are regulated by the AQTF Standards for Registered Training Organisations which requires a written agreement between the RTO and each organisation that provides training and/or assessment services on behalf of the RTO.
Leadership skills may include:
techniques for initiating action and directing decision making
strategies for presenting a confident, assured and unhesitant manner in response to challenging situations
strategies for not accepting unreasonable expectations
maintaining ethical practice and beliefs in the face of opposition
modelling behavioural and personal presentation standards
time management
strategies for acknowledging and respecting the attitudes and beliefs of others
techniques for promoting active and genuine participation
Client/candidate needs may include:
clear information and advice on the assessment process
contextualisation of assessment benchmarks and assessment tools to the assessment environment
timeliness and recognition of readiness for assessment
assessment tools that support integrated assessment
advice, support and guidance from assessor/s on participation and role in the assessment process
reasonable adjustment needs
cultural sensitivity
Principles of assessment guide the assessment process and must address:
validity
reliability
flexibility
fairness
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 both the instruments 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 the conditions for assessment
Rule of evidence include:
validity of evidence
sufficiency of evidence
currency of evidence
authenticity of evidence
Assessment system policies and procedures may include but are not limited to:
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 relate to:
AQTF standards in assessment/registration
Assessment specifications of Training Packages
state or territory registering body requirements
clauses defining assessment operations in award and enterprise agreements and relevant industrial arrangements
confidentiality and privacy requirements
relevant legislation from all levels of government that affect training and/or assessment operations
occupational health and safety (OHS)
environmental issues
equal opportunity requirements
industrial relations and anti-discrimination
relevant industry codes of practice
reporting procedures for assessment results
certification procedures/requirements
AQF Guidelines
recording and reporting assessment results
maintaining and retrieving assessment information
quality assurance and/or procedures manuals
goals, objectives, plans, systems and processes
organisational policies/guidelines
access and equity principles and practice
ethical standards
collaborative/partnership arrangements
OHS policies, procedures and programs
quality and continuous improvement processes and standards
defined resource parameters
Individual facilitation techniques include coaching, mentoring, tutoring matching individuals one on one and may be used to:
identify any gaps in assessor skills/competence
explain legal/organisational/policy requirements
clarify assessment issues
provide encouragement and direction
provide feedback/advice/guidance
promote safety in assessment
problem solve
Validation is:
a process involving assessors working in collaboration to review, compare and evaluate their assessment process and their assessment outcomes, in relation to the same units of competency
Purpose, focus and context of validation activities may be:
part of organisational quality assurance arrangements
to address an identified area of risk in assessment practice and quality
to demonstrate compliance with the AQTF Standards for Registered Training Organisations (RTOs)
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 rules of evidence
Approaches to validation 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 and 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
Materials and resources for validation may include:
relevant documented assessment strategy
samples of assessment materials/tools
copies of relevant competency standards, modules, Training Package Assessment Guidelines and course assessment requirements
copies of organisational policies and procedures on validation
copies of relevant AQTF standards
copies of assessment records (in accord with confidentiality requirements)
copies of client/candidate feedback
determining time/availability for validation sessions
technology requirements
meeting room/space for conduct of validation
copies of occupational health and safety policy, procedures and programs
copy of quality and continuous improvement policies
copy of equity policy and procedures
Validation documentation may include:
report of validation process
recommendations from validation process
copies of materials/resources used in validation process
version control documentation
Assessment appeals:
is a process whereby the candidate, or other interested party, may dispute the assessment decision and seeks a formal review of the decision
Documentation relevant to the appeals process may include:
candidate's claim for appeal
documented information given to the candidate outlining assessment system, process and requirements
records of assessor/meetings with the candidate, discussions and agreements on assessment process
completed self-assessment tools
completed assessment tools signed by assessor and/or other persons involved in collecting evidence
supplementary documentation used as evidence by the candidate
records of assessment outcomes
assessor/candidate feedback reports
records of appeal hearings
records of appeal outcomes
Panel decision may include:
confirmation of original assessment decision
change in decision based on evidence presented
reassessment of the candidate

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 undertaken continuous development of own assessment expertise; provided leadership, direction and support to other assessors, including role-modelling good assessment practice; monitored the work of assessors and taken responsibility for initiating, organising and facilitating assessment validation and appeals processes; accurately interpreted the organisation's quality assurance goals and strategies
Evidence Requirements
Required knowledge includes:
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

AQTF requirement for assessment
the organisation's assessment system policies and procedures
different assessment methods, purposes and applications
appeals mechanisms within the organisation
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, validation, appeals processes
what are the rules of evidence, why are they important, particularly in a validation context
what is an assessment strategy and assessment plan and what are the components of assessment strategies and assessment plans
what is validation, purpose/focus of carrying out validation, different approaches to assessment validation and the critical aspects of validation
different activities and tools for validation and their appropriateness to the purpose/focus
a range of technology and its application to improve or assist in quality assessment
roles and responsibilities of workplace trainers/facilitators, assessors and others - such as vocational experts, workplace supervisors and support persons - in the assessment process, including OHS obligations and duty of care
strategies which ensure the assessment process is transparent and credible, such as:
identifying common pitfalls or errors that affect judgement
open/ongoing communication between assessors
self-assessment
networking
professional development activities for assessors
ongoing contact with industry
using assessment panels or teams
conflict resolution techniques
motivating others

team and group roles and processes, such as:
monitoring progress against key goals
leading others
encouraging team contribution
legal, organisational and ethical responsibilities associated with the assessment system, including:
maintaining client privacy and confidentiality
providing accurate information
duty of care under common law
meeting environmental standards
the industrial relations system, industry/workplace relations, and industrial awards/enterprise agreements
compliance with AQTF requirements
copyright and privacy laws in terms of electronic technology
security of information
plagiarism
Training Packages/competency standards/other assessment documentation
licensing requirements
compliance requirements of relevant Commonwealth and state/territory legislation, including OHS, equal employment opportunity, anti-discrimination and state/territory vocational education and training

Code of Practice for assessors
relevant OHS legislation, codes of practice, standards and guidelines relating to providing assessment advice and guidance
Required skills and attributes include:
analysis and interpretation skills to:
evaluate assessment methods and tools
access and interpret organisation's standards and values

observation skills to:
assess the effectiveness of the organisation's assessment process
distinguish different types of problems, e.g. technical, people and theoretical

technology skills to:
use appropriate equipment and software to systematically monitor assessment process and practice
distribute information

evaluation skills to:
evaluate validation process and determine and implement improvements
determine sampling methods to be used to access information
systematically evaluate personal or others' practice to improve performance or understanding
research skills to:
determine sampling methods to be used to access information
access and analyse relevant documents
use a range of source documents to access information for validation

problem solving skills to:
combine different modes of thinking such as creative and analytic for practical problem solving
anticipate future implications for own and others' decisions
reliably evaluate alternative solutions

literacy skills to:
read, interpret and evaluate policies and procedures to monitor assessment and recognition processes
prepare required documentation and information for those involved in the assessment process
prepare written reports regarding validation outcomes

leadership skills to:
set direction for others
influence and motivate others
guide and support others
manage conflict
make informed decisions and recommendations
schedule validation processes
gain commitment to validation processes and make recommendations to improve processes

communication skills to:
obtain feedback on validation strategy
explain the purpose of reports and other documentation used in the work area
use language to influence others
promote and implement quality standards

individual facilitation techniques:
guide and support assessors one on one
conflict resolution techniques to:
manage difficulties with and between assessors and between assessors/candidate and/or assessors/other persons
address appeals situations and process

team and group skills to:
conduct group discussions to gather ideas
recognise different abilities or knowledge
build relationships and networks with colleagues

attributes, including capacity to encourage, accept and utilise feedback
awareness and sensitivity to individual difference and culture
Products that could be used as evidence include:
assessment strategies including quality requirements developed and implemented
documented outcomes of an initiated and facilitated assessment validation process
documented outcomes of an initiated and facilitated assessment appeals process
products and materials organised for validation and appeals processes
analysis of assessment records
risk assessment analysis
Processes that could be used as evidence include:
how opportunities have been provided for assessors to practise and maintain current competence
new and/or extended assessment expertise incorporated into own and others' assessment practice
how support was given to the implementation of quality assurance procedures
leadership, direction and support given to other assessors, including role-modelling of good assessment practice
how improvements were made to assessment and recognition processes
Resource implications for assessment include:
operating assessment system with working assessors and defined assessment system in place including documented policies and procedures for assessment, validation and appeals
access to competency standards and other assessment documentation
access to assessment materials and tools

access to suitable assessment venue/equipment
workplace documentation
cost/time considerations
personnel requirements
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
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:
demonstrated continuing development of own assessment expertise
providing leadership, direction and support to other assessors, including role-modelling good assessment practice
monitoring the work of assessors and others involved in carrying out assessments
taking responsibility for initiating, organising and facilitating assessment validation and appeals processes
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:
TAACMQ502B Coordinate training and/or assessment arrangements for apprenticeships/ traineeships
TAACMQ503B Lead and conduct training and/or assessment evaluations
TAACMQ505B Lead a team to foster innovation
BSBFLM513A Manage budgets and financial plans within work team
BSBFLM514A Manage people
BSBRKG502B Manage and monitor business or records systems
BSBHRM506A Manage recruitment, selection and induction processes
BSBMGT503A Prepare budgets and financial plans
BSBWOR502A Ensure team effectiveness.