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 organisationrefers 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 objectivesmay be to:
evaluate outcomes of a learning or assessment process or product
determine or trial new processes/products
ensure the training and/or assessment management system is operating in accordance with legal/organisational requirements
establish client satisfaction
demonstrate compliance requirements under the AQTF
meet other quality systems requirements
improve training and/or assessment systems and services
ensure learning/assessment strategies and programs are relevant to focus and client needs
determine resource needs
Scope of the evaluationmay be the:
whole of training and/or assessment organisation
specific training and/or assessment services
specific training and/or assessment products
specific aspects of training and/or assessment systems
partner organisation arrangements
Relevant personsmay include:
senior personnel, for example:
chief executive officer/managing director
other managers

trainers/facilitators/teachers/practitioners
assessors
program managers/training coordinators
product developers/instructional designers
managers/supervisors
specialist trainers/facilitators
information technology support
administration support
stakeholders/clients
personnel responsible for monitoring the training and/or assessment organisation's services
users of training information such as finance personnel, human resource personnel, employers
contract manager
national reporting and recording authorities e.g. AVETMISS, AQTF
State Training Authority (STA)
private/government funding bodies
union/employee representatives
Framework and criteriamay include:
AQTF
Australian Quality Standards e.g. AS/NZS ISO 9001:2000 quality assurance model
Australian Business Excellence Framework (ABEF)
organisational standards/framework
Evaluation models/methodsmay include:
examining organisation's documents and systems, such as:
policies and procedures
student and staff handbooks
relevant components of business plans
trainer/facilitator and assessor qualifications
learning and assessment strategies

examining training/assessment records
examining a sample of student files
analysing resources for delivery and assessment including assessment tools
questioning appropriate personnel to further explore evidence
conducting interviews with management, trainers/ facilitators, assessors, learners, personnel and stakeholders
observing training and/or assessment services including delivery, assessment practice, learning and/or assessment activities, practicum or supervised teaching/facilitation
determining information flows
completing self-assessment checklist
The Kirkpatrick Approach, for example:
reaction
learning
behaviour
results

survey instruments, for example:
Delphi
questionnaires
diaries
logs
diagnostics
Specific organisational documentation/informationmay include:
previous evaluation reports/records/documentation
organisational policies, procedures and guidelines
organisational goals, objectives, plans, systems and processes
relevant components of business plans
learner records
trainer/facilitator and assessor qualifications
assessment tools and assessment strategies
learners/candidate outcomes/results and completion dates
enrolment details, including general learner information
traineeship/apprenticeship records
information management system requirements and components, including recording and reporting outcomes
written partnership agreements (where relevant)
quality assurance and/or procedures manuals
access and equity principles and practices
ethical standards
collaborative/partnership arrangements
OHS policies, procedures and programs
quality and continuous improvement processes and standards
defined resource parameters
certification systems and documentation
promotional/marketing materials
Resourcesmay include:
documentation to support the evaluation, for example:
current AQTF checklists and tools
evaluation recording templates/checklists and observation checklists/
questionnaires
briefing documents for evaluation team/relevant persons
briefing documents for personnel participating in the evaluation

physical resources, for example:
appropriate interview room/s
appropriate meeting venue

electronic equipment used for recording and reporting requirements
materials/stationery/equipment to support the evaluation processes
Communication strategymay include:
identification of organisation's communication and reporting channels
methods for the dissemination and promotion of the evaluation, and evaluation methods and processes to persons and personnel
identification of external communication and networks that can be used as part of the evaluation process
regular reporting meetings with persons with specific responsibilities in all areas of the evaluation process
procedures for keeping relevant persons and personnel regularly informed of the evaluation process
methods and timelines for the evaluation process
reporting requirements and closure for the evaluation process
Risk analysismay include:
identification of potential risks and consequent impact on individuals and the training and/or assessment organisation
consideration of the consequence of adverse performance
strategies to manage identified risks and potential consequences
An evaluation planmust include:
evaluation scope, objectives and outcomes
evaluation schedules/timelines
evaluation processes for gaining evidence
evaluation methods for collecting evidence
feedback and reporting strategies and timelines
contingency plans
reporting procedures including a final report to the chief executive officer/managing director and/or other managers
confidentiality requirements
resource requirements
Key pointsmay include:
issues requiring clarification
discrepancies in organisational documentation
strengths
areas of compliance/non-compliance
Professional focusincorporates:
being clear about the purpose, objectives and scope of the evaluation
remaining objective throughout the evaluation process
maintaining focus throughout the evaluation

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 competency against this unit candidates must be able to provide evidence that they have planned and conducted an internal evaluation of a discrete area of service delivery and/or a system component.
The evaluation to be used as evidence must contain the basis for the evaluation, all planning information and documentation relating to the evaluation, and details of the conduct of the evaluation, leading to a sound and objective judgement. Evidence must also contain a report of evaluation outcomes.
Evidence Requirements
Required knowledge includes:
state/territory and Commonwealth legislation, codes of practice and standards, relevant to quality internal auditing, for example:
AQTF Evidence Guide for Registered Training Organisations and Auditors
auditor code of ethics
quality management and quality assurance

Training Packages and accredited courses, and what comprises quality training and assessment services
how training and/or assessment organisations operate
requirements of AS3911:2 and its relationship to conducting audits under the AQTF
compliance with quality management requirements e.g. ISO 9001 2000, Total Quality Management (TQM)
terminology relating to quality evaluation processes
evaluation models/methods e.g. The Kirkpatrick Approach
records management systems of the organisation

other relevant policy, legislation, codes of practice and national standards including Commonwealth and state/territory legislation, for example:
plagiarism
Training Packages/competency standards/other associated criteria
copyright and privacy laws
security of information and confidentiality requirements
duty of care as it relates to coordinating personnel and learning
the industrial relations system, industry/workplace relations, and industrial awards/enterprise agreements
anti-discrimination including equal opportunity, racial vilification and disability discrimination
vocational education and training systems

OHS relating to planning and conducting an evaluation, including:
sources of information on OHS as it applies to the training and/or assessment organisation
risks that should be addressed by a training and/or assessment organisation
legislative requirements for OHS record keeping and reporting requirements
OHS obligations of the training and/or assessment organisation, the trainer/facilitator, assessor, learner and candidate
requirements for consultation under OHS legislation
Required skills and attributes include:
language and literacy skills to:
interpret AQTF requirements
develop a quality evaluation plan
develop a communication strategy
develop resources to support the evaluation process
communicate with key stakeholders
produce and maintain documentation
analysis and interpretation skills to:
evaluate organisational information management systems, policies and procedures
select relevant evaluation information and documentation
identify potential and/or current non-compliance
access and interpret organisation's standards and values
analyse records/notes of the evaluation process

research and evaluation skills to evaluate validation processes, and determine and implement improvements to these processes
learning, using and understanding electronic technology
decision making skills, based on evidence
a range of interpersonal and communication skills, including:
negotiating
questioning
listening
investigative
diagnostic and analytical
Products that could be used as evidence include:
a completed evaluation plan
documentation developed and used to support the evaluation process e.g. checklist, evaluation observation form
communication strategy
documented risk analysis
records and notes of all evaluation proceedings
final evaluation report
Processes that could be used as evidence include:
how and what organisational information and documentation was gathered and accessed
how and why specific framework and criteria were identified for conducting the evaluation
how evaluation processes and methods were selected and implemented
how training and/or assessment processes were observed
Resource implications for assessment include:
access to previous evaluation reports or outcomes
access to workplace documentation
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 competency 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:
the implemented evaluation plan, covering:
evaluation scope, objectives and outcomes
evaluation schedules/timelines
evaluation processes for gaining evidence
evaluation methods for collecting evidence
feedback and reporting strategies and timelines
contingency plans
reporting procedures including a final report to the chief executive officer/managing director and/or other managers on the training and/or assessment organisation's compliance with the standards for review and ongoing improvement
confidentiality requirements

communication strategy
risk analysis
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:
TAACMQ501B Develop training and/or assessment organisational policies and procedures
TAAASS501B Lead and coordinate assessment systems and services.