Manage an assessment system for
training outcomes
D1.HRD.CL9.08
D1.HHR.CL8.06
Trainee Manual
Manage an assessment
system for training
outcomes
D1.HRD.CL9.08
D1.HHR.CL8.06
Trainee Manual
Project Base
William Angliss Institute of TAFE
555 La Trobe Street
Melbourne 3000 Victoria
Telephone:
(03) 9606 2111
Facsimile:
(03) 9670 1330
Acknowledgements
Project Director:
Chief Writer:
Subject Writer:
Project Manager:
Editor:
DTP/Production:
Wayne Crosbie
Alan Hickman
Quentin Derrick
Alan Maguire
Jim Irwin
Daniel Chee, Mai Vu, Riny Yasin
The Association of Southeast Asian Nations (ASEAN) was established on 8 August 1967. The Member
States of the Association are Brunei Darussalam, Cambodia, Indonesia, Lao PDR, Malaysia,
Myanmar, Philippines, Singapore, Thailand and Viet Nam.
The ASEAN Secretariat is based in Jakarta, Indonesia.
General Information on ASEAN appears online at the ASEAN Website: www.asean.org.
All text is produced by William Angliss Institute of TAFE for the ASEAN Project on “Toolbox
Development for Front Office, Food and Beverage Services and Food Production Divisions”.
This publication is supported by Australian Aid through the ASEAN-Australia Development
Cooperation Program Phase II (AADCP II)
Copyright: Association of Southeast Asian Nations (ASEAN) 2013
All rights reserved.
Disclaimer
Every effort has been made to ensure that this publication is free from errors or omissions. However,
you should conduct your own enquiries and seek professional advice before relying on any fact,
statement or matter contained in this book. ASEAN Secretariat and William Angliss Institute of TAFE
are not responsible for any injury, loss or damage as a result of material included or omitted from this
course. Information in this module is current at the time of publication. Time of publication is indicated
in the date stamp at the bottom of each page.
Some images appearing in this resource have been purchased from various stock photography
suppliers and other third party copyright owners and as such are non-transferable and non-exclusive.
Additional images have been sourced from Flickr and are used under:
http://creativecommons.org/licenses/by/2.0/deed.en
http://www.sxc.hu/
http://www.stockfreeimages.com
File name: TM Manage assessment sys training outcomes_Final
Table of contents
Introduction to trainee manual........................................................................................... 1
Unit descriptor................................................................................................................... 3
Assessment matrix ........................................................................................................... 5
Glossary ........................................................................................................................... 7
Element 1: Communicate the assessment system ............................................................ 9
Element 2: Provide support for enterprise assessors ...................................................... 21
Element 3: Manage the assessment record keeping system........................................... 47
Element 4: Maintain quality assurance procedures ......................................................... 63
Element 5: Report on the contribution made by the assessment system to enterprise
training and performance ................................................................................................ 77
Presentation of written work ............................................................................................ 93
Recommended reading................................................................................................... 95
Trainee evaluation sheet ................................................................................................. 97
© ASEAN 2013
Trainee Manual
Manage an assessment system for training outcomes
© ASEAN 2013
Trainee Manual
Manage an assessment system for training outcomes
Introduction to trainee manual
Introduction to trainee manual
To the Trainee
Congratulations on joining this course. This Trainee Manual is one part of a ‘toolbox’
which is a resource provided to trainees, trainers and assessors to help you become
competent in various areas of your work.
The ‘toolbox’ consists of three elements:

A Trainee Manual for you to read and study at home or in class

A Trainer Guide with Power Point slides to help your Trainer explain the content of the
training material and provide class activities to help with practice

An Assessment Manual which provides your Assessor with oral and written questions
and other assessment tasks to establish whether or not you have achieved
competency.
The first thing you may notice is that this training program and the information you find in
the Trainee Manual seems different to the textbooks you have used previously. This is
because the method of instruction and examination is different. The method used is called
Competency based training (CBT) and Competency based assessment (CBA). CBT and
CBA is the training and assessment system chosen by ASEAN (Association of SouthEast Asian Nations) to train people to work in the tourism and hospitality industry
throughout all the ASEAN member states.
What is the CBT and CBA system and why has it been adopted by ASEAN?
CBT is a way of training that concentrates on what a worker can do or is required to do at
work. The aim is of the training is to enable trainees to perform tasks and duties at a
standard expected by employers. CBT seeks to develop the skills, knowledge and
attitudes (or recognise the ones the trainee already possesses) to achieve the required
competency standard. ASEAN has adopted the CBT/CBA training system as it is able to
produce the type of worker that industry is looking for and this therefore increases
trainee’s chances of obtaining employment.
CBA involves collecting evidence and making a judgement of the extent to which a worker
can perform his/her duties at the required competency standard. Where a trainee can
already demonstrate a degree of competency, either due to prior training or work
experience, a process of ‘Recognition of Prior Learning’ (RPL) is available to trainees to
recognise this. Please speak to your trainer about RPL if you think this applies to you.
What is a competency standard?
Competency standards are descriptions of the skills and knowledge required to perform a
task or activity at the level of a required standard.
242 competency standards for the tourism and hospitality industries throughout the
ASEAN region have been developed to cover all the knowledge, skills and attitudes
required to work in the following occupational areas:

Housekeeping

Food Production

Food and Beverage Service
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Introduction to trainee manual

Front Office

Travel Agencies

Tour Operations.
All of these competency standards are available for you to look at. In fact you will find a
summary of each one at the beginning of each Trainee Manual under the heading ‘Unit
Descriptor’. The unit descriptor describes the content of the unit you will be studying in the
Trainee Manual and provides a table of contents which are divided up into ‘Elements’ and
‘Performance Criteria”. An element is a description of one aspect of what has to be
achieved in the workplace. The ‘Performance Criteria’ below each element details the
level of performance that needs to be demonstrated to be declared competent.
There are other components of the competency standard:

Unit Title: statement about what is to be done in the workplace

Unit Number: unique number identifying the particular competency

Nominal hours: number of classroom or practical hours usually needed to complete
the competency. We call them ‘nominal’ hours because they can vary e.g. sometimes
it will take an individual less time to complete a unit of competency because he/she
has prior knowledge or work experience in that area.
The final heading you will see before you start reading the Trainee Manual is the
‘Assessment Matrix’. Competency based assessment requires trainees to be assessed in
at least 2 – 3 different ways, one of which must be practical. This section outlines three
ways assessment can be carried out and includes work projects, written questions and
oral questions. The matrix is designed to show you which performance criteria will be
assessed and how they will be assessed. Your trainer and/or assessor may also use
other assessment methods including ‘Observation Checklist’ and ‘Third Party Statement’.
An observation checklist is a way of recording how you perform at work and a third party
statement is a statement by a supervisor or employer about the degree of competence
they believe you have achieved. This can be based on observing your workplace
performance, inspecting your work or gaining feedback from fellow workers.
Your trainer and/or assessor may use other methods to assess you such as:

Journals

Oral presentations

Role plays

Log books

Group projects

Practical demonstrations.
Remember your trainer is there to help you succeed and become competent. Please feel
free to ask him or her for more explanation of what you have just read and of what is
expected from you and best wishes for your future studies and future career in tourism
and hospitality.
2
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Unit descriptor
Unit descriptor
Manage an assessment system for training outcomes
This unit deals with the skills and knowledge required to Manage an assessment system
for training outcomes in a range of settings within the hotel and travel industries
workplace context.
Unit Code:
D1.HRD.CL9.08
D1.HHR.CL8.06
Nominal Hours:
40 hours
Element 1: Communicate the assessment system
Performance Criteria
1.1 Define the purpose of the assessment system
1.2 Document and circulate assessment system features and procedures to relevant
stakeholders
1.3 Establish procedures for keeping relevant stakeholders informed about key features
of the assessment system
Element 2: Provide support for enterprise assessors
Performance Criteria
2.1 Verify assessors meet required competency standards
2.2 Identify required training for assessors
2.3 Provide for moderation of assessments
2.4 Provide feedback to assessors on their performance
2.5 Facilitate networking amongst assessors
Element 3: Manage the assessment record keeping system
Performance Criteria
3.1 Identify and develop the internal records required to support the assessment system
3.2 Describe the requirements for completing the assessment records
3.3 File the assessment records
3.4 Review and up-date the assessment record keeping system
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Unit descriptor
Element 4: Maintain quality assurance procedures
Performance Criteria
4.1 Define quality assurance procedures for the assessment system
4.2 Undertake internal audits of the assessment system
4.3 Use the results of quality assurance audits to improve the assessment system
4.4 Review the applicability of the existing quality assurance procedures to the dynamic
nature of the assessment system
Element 5: Report on the contribution made by the assessment
system to enterprise training and performance
Performance Criteria
5.1 Identify the outcomes that the assessment system has produced
5.2 Review the assessment system
5.3 Make recommendations for change to the assessment system
5.4 Produce and circulate a report
5.5 Revise the existing assessment system on the basis of responses to the report
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Assessment matrix
Assessment matrix
Showing mapping of Performance Criteria against Work Projects, Written
Questions and Oral Questions
Work
Projects
Written
Questions
Oral
Questions
Element 1: Communicate the assessment system
1.1
Define the purpose of the assessment system
1.1
1, 2
1
1.2
Document and circulate assessment system
features and procedures to relevant
stakeholders
1.2
3
2
Establish procedures for keeping relevant
stakeholders informed about key features of
the assessment system
1.3
4
3
1.3
Element 2: Provide support for enterprise assessors
2.1
Verify assessors meet required competency
standards
2.1
5
4
2.2
Identify required training for assessors
2.2
6
5
2.3
Provide for moderation of assessments
2.3
7
6
2.4
Provide feedback to assessors on their
performance
2.4
8
7
2.5
Facilitate networking amongst assessors
2.5
9
8
Element 3: Manage the assessment record keeping system
3.1
Identify and develop the internal records
required to support the assessment system
3.1
10
9
3.2
Describe the requirements for completing the
assessment records
3.2
10
10
3.3
File the assessment records
3.3
11
11
3.4
Review and up-date the assessment record
keeping system
3.4
12, 13,
14
12
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Assessment matrix
Work
Projects
Written
Questions
Oral
Questions
Element 4: Maintain quality assurance procedures
4.1
Define quality assurance procedures for the
assessment system
4.1
14, 15
13
4.2
Undertake internal audits of the assessment
system
4.2
16
14
4.3
Use the results of quality assurance audits to
improve the assessment system
4.3
17
15
4.4
Review the applicability of the existing quality
assurance procedures to the dynamic nature
of the assessment system
4.4
18
16
Element 5: Report on the contribution made by the assessment system to enterprise
training and performance
5.1
Identify the outcomes that the assessment
system has produced
5.1
19
17
5.2
Review the assessment system
5.2
20
18
5.3
Make recommendations for change to the
assessment system
5.3
21
19
Produce and circulate a report
5.4
22, 23,
24
20
Revise the existing assessment system on the
basis of responses to the report
5.5
25
21
5.4
5.5
6
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Manage an assessment system for training outcomes
Glossary
Glossary
Term
Explanation
Accredited
Officially recognised as meeting the essential requirements
Assessor
A person who makes assessments
Certification
A recognised statement of attainment of something
Confidentiality
In strict privacy
Diagnose
Determine what is wrong
Ensure
To make sure of something
Evaluation
An appraisal or check of something’s effectiveness
Internal
Within something
Mechanism
The means by which a purpose is accomplished
Moderation
Checking that something is within the given boundaries or
requirements or standards
Procedure
A particular course or mode of action
Policy
A defined course of action
Qualification
An accomplishment that is recognised by an authority or
organisation
Requirement
Something that has to be achieved or done before something
else can occur
Review
A critical report that investigates something
Skill
Ability to do something properly
Stakeholder
A person or group that has an investment or interest in
something
Standard
The level of accomplishment that is set
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Glossary
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Element 1: Communicate the assessment system
Element 1:
Communicate the assessment system
1.1 Define the purpose of the assessment system
Introduction
There are many different purposes of an assessment system and it is
important to distinguish between assessment and testing. Testing can
take many forms and can be used as one part of an assessment
system but it is necessary to define the purpose of the assessment
system in order to determine how you will assess participants and
what assessment tools, such as a test, you will use.
Defining the purpose of an assessment system
The first step in designing an effective assessment system is to determine what the
assessment will be assessing. There are many different purposes for assessment
systems and it is important to define a clear statement of the purpose for the assessment.
This helps to make sure that the assessment matches the need or area that is being
assessed.
Some purposes for developing an assessment system may include:

Recognising or determining the current competencies or skills of staff

Identifying training needs of staff

Checking that workplace skill levels are being maintained

Issuing internal certificates of achievement or awards for excellence

Recognising progress in learning or achievement of desired learning outcomes

Identifying areas for improvement or change

Maintaining current skill levels of staff.
Activity
In pairs, write down some other reasons why you might develop an assessment
system in the workplace.
What is the reason for assessment?
Assessment is defined by ANTA as “the process of gathering and judging evidence in
order to decide whether a person has achieved a standard or objective”
(www.wikitaa.com).
Making this decision means following a process, but before looking at that, it is worth
understanding the term “context of assessment”. Context does describe the purpose
behind our assessment, but is also concerned with many other things closely related to
this. An example of putting assessment into context may be a young person who has just
joined the workforce and is in a junior position in an office with a lot to learn.
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Element 1: Communicate the assessment system
In this case the context of any assessment being carried out is not just about this person
being able to answer questions and demonstrate skill, but also issues such as the work
environment (which would be new and possibly threatening), who is supervising and
training this person, how the skills being covered are relating back to the actual work this
person is expected to do and so forth. Understanding context means any assessment is
undertaken in a more holistic manner which takes these and other issues into account.
Before embarking on any assessment activity, there must be a clear focus on what we are
trying to achieve through the activity. Within any assessment system, assessment can
respond to externally endorsed units of competency and their associated elements and
performance criteria and/or internal organisational requirements and standards. The
people who are to undergo assessment are referred to as candidates and could
conceivably be assessed for one of the following reasons:

To confirm prior training

To check current level of skill

To determine language, literacy and numeracy needs

Recognition of Prior Learning (RPL).
For each of these reasons, candidates must be able to demonstrate the correct skills,
knowledge and attitude against appropriate benchmarks. These benchmarks are very
important as they provide the framework within which assessment takes place.
Competency
standards
Product
specifications
Benchmarks
Criteria on a
course
curriculum
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Performance
specifications
Element 1: Communicate the assessment system
Activity
Look at the assessment system data and information below and determine what
the purpose is for each one.
1.
Name
Qualifications
Industry Experience
Salary Scale
BA Tourism
2 years
2
Diploma of Hotel Management
5 years
3
Angela Snow
Cert IV Hotel Operations
3 years
2
Carrie Jones
BA Tourism, MBA
8 years
4
Seema Indira
MA Hotel Management
14 years
6
Bob Smith
Jeremy Mannis
2. Mike Island
Job duties
Rating
Recommendations
Satisfactory
Focus on office duties including emailing, filing and
document control
Excellent
Keep up the good work!
Satisfactory
Respond more promptly to guest feedback
Staff scheduling
Excellent
Maintain clear communication with staff
Staff training
Excellent
Continue regular training sessions with staff
Office administration
Guest check in/out
Responding to
complaints
3. Kitchen Staff
Name
Combi oven
Char grill
Dishwasher
Wok burners
Emily Simms


×

Shaun Stiles

×
×

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Element 1: Communicate the assessment system
1.2 Document and circulate assessment system
features and procedures to relevant
stakeholders
Introduction
After determining the purpose of an assessment system, all of the relevant stakeholders
need to clearly understand the system features and how to conduct the assessment. The
system and procedures must be transparent and readily accessible in order for it to be
effective. Unclear system features or communication can lead to an unsuccessful
assessment system where stakeholders are not clearly informed about the features of the
system and as a result the assessment system may not be achieving the desired
outcomes.
Reliability and Validity
There are many different components in an assessment system ranging from assessment
procedures to where documents are stored. Two important factors that influence all
assessment systems are reliability and validity.
Reliability: refers to the ability for an assessment system or feature to achieve the same
assessment outcome for the same candidate in the same circumstance using the same
assessment system. Reliability is important for all stakeholders to believe that the
assessment system is effective.
Validity: refers to how completely an assessment system assesses what is being
assessed. In other words, how effectively does the assessment match the information or
skills that are being assessed? If there is a gap between the training or information and
the assessment system, then the assessment system is not valid and ultimately does not
provide a true reflection of the information or required skill.
For example, if an assessment system gives a different result for a candidate who
undertakes the assessment in the same conditions, it is unreliable. If an assessment
system checks an outcome that is not aligned with the training or purpose of the
assessment, then it is not valid. All assessment systems must include the concepts of
reliability and validity in order for them to be effective.
Does
Shows How
Performance/Action
Competence
Knows How
Knows
Miller’s Pyramid: Miller, G, 1990
the assessment of clinical skills/competence/performance Academic Medicine.
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Element 1: Communicate the assessment system
Four principles underlying assessment
There are four main principles that should be considered when developing any
assessment system.
Valid
Is the assessment being carried out relevant to the skill and knowledge areas
being covered? Assessors ensure validity by focussing on the right areas of skill and
competence and ensuring that the assessment tasks approximate to the sort of tasks the
candidate would actually encounter in the workplace.
Reliable
Can the assessment activity be carried out with consistent results over a
period of time with different candidates? Assessors can better achieve reliability through
collecting evidence via multiple methods and being clear in terms of the competencies or
standards which are being tested.
Flexible
Can the assessment be carried out in a range of different locations and
times, on and off the job and still produce an acceptable outcome? Flexible assessment
ensures different methods are used which suit varying circumstances and recognise
competence for what it is regardless of the experience which lead to it or the conditions in
which it is demonstrated.
An important concept implicit within this part of AQTF is for the assessor to tailor units of
competency or a qualification to suit certain needs. It is not about changing the integrity of
outcomes related to the unit but ensuring that assessment suits a particular enterprise or
learner. You may find yourself assessing one day in a large city restaurant and the next at
a tiny country road house against the same unit. Ultimately the requirements of the unit
don’t change but the way you assess should.
Fair
Can the assessment take into account various differences amongst
candidates without disadvantaging anyone? An assessor is fair in terms of helping
candidates understand what is expected of them and is not affected by any factors other
than those being judged against the relevant standards. Assessors also need to be aware
of their obligations to be non discriminatory in their practices with candidates.
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Element 1: Communicate the assessment system
Assessment system features
Once the purpose of the assessment system has been defined, the features and
procedures of the system need to be documented and circulated to all relevant
stakeholders. The system features may include:

An ability to determine the required competency levels and qualifications of assessors

Policies and procedures for obtaining, updating and storing records and information of
candidates and assessors. This may include version control for document filing,
guidelines for completing trainee information, and policies and procedures outlining
where and for how long trainee and assessor data should be kept

How to conduct assessment including the timing and duration specifics. Consideration
may need to given for operational issues where conducting assessment could
interfere with day to day operations. A certain degree of flexibility is still needed in
order for the training and assessment to remain relevant and valid

Flexibility in order to respond to individual needs of participants who may have
particular challenges such as physical or language and literacy needs. The
assessment system must include features that cater for individual differences of
participants including access and equity for all participants

Outline country specific occupational health and safety regulations, employment
requirements and equal opportunity legislation

Procedures for recognising previous educational qualifications or experience gained at
other training organisations or employment contexts. The assessment system should
provide a mechanism that allows for prior learning and experience to be recognised if
relevant to the current training or learning context

Information about where assessment materials are located and where assessment
can take place. This may be in a training room, work setting, computer lab, outside or
a combination of places

A review and evaluation process to determine if the assessment system is effective or
needs improvement. This should be an ongoing process and should involve all
stakeholders’ input

Policies and procedures that allow for feedback including, grievances, moderation, reassessment

A statement relating to competency levels and remuneration levels appropriate to
those skills attained.
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Element 1: Communicate the assessment system
Assessment system planning
In the first instance, when a person is enrolled in a course of training
which will lead to some form of assessment the assessor must
ensure that participants are made aware of the assessment system
requirements before they begin training or assessment tasks. This
means that potential candidates for assessment are made aware of
what the process will involve. This is a collaborative process in
which they will be supported to a reasonable degree. All
assessment systems should, as a part of their training and
assessment process, have explanatory materials which the
assessor can provide which explain the assessment procedures to
candidates prior to any assessment taking place.
Assessing an individual is a process which requires thought and pre planning in order to
ensure it is carried out in an appropriate manner. It is also important to remember the
individual needs of learners which mean including the following steps in an assessment
system:
1.
Who you are assessing? - You need to carefully consider the person you will be
assessing. This includes looking at any special characteristics or needs which the
person might have. If you have considered something such as a language or literacy
issue beforehand, you can accommodate this within your plan
2.
Standards - You must also consider the standards the assessment is being carried
out against. This may be against externally recognised competency standards and
their performance criteria or perhaps against workplace performance standards. The
nature of your assessment activity will be reflected by the sort of standards you are
checking. For example, the competency may be based around an activity which can
only be assessed via direct observation of someone doing it. So you would have to
factor this into the way your session would be run
3.
Assessment methods and tools - Central to any assessment are the kinds of
physical resources which may be required along with necessary procedures and the
methods chosen to carry out the assessment. As well as how you will go through
this, you need to be sure that everything is present to enable the candidate to
demonstrate their level of competency
4.
Consultation - Another issue to remember is who needs to be consulted and
informed about your assessment activity. It is a matter of common courtesy and
professionalism to arrange dates for assessment well in advance. As well as the
candidate, you should also be talking to other stakeholders such as the candidate’s
manager, affected colleagues’ and anyone else who may need to know about your
activity. Some assessments can be quite disruptive to workplaces and advance
notice can help minimise this and provide a chance to make necessary preparations
5.
Assessment meeting - Once dates are in place consideration needs to be given to
the structure of the meeting. Experienced assessors usually make allowance at the
start of the meeting to catch up on what the candidate has been up to and generally
make them feel more comfortable. Example 1 below gives a suggested breakdown
of an assessment meeting. You should also be prepared for what might change the
structure of your meeting. This might range from timing alterations right through to
the personal circumstance of a candidate
6.
Be adaptable - Based on your plan you also need to have the flexibility to change
parts of the above, should you receive notice prior to your visit. An Assessment Plan
is included at Appendix 5.
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Element 1: Communicate the assessment system
Some types of assessment
1
Formative is assessment which is conducted over a period of time, usually during a
training program and provides people with feedback on an ongoing basis. Many
qualifications or training programs have a Formative approach which means
participants are being asked to complete assessment activities and get feedback on
this before the completion of the program
2
Summative is assessment which takes place after a course and is usually involved
with making a judgement on total learning which has occurred over that time
3
Diagnostic is as the name suggests about diagnosing a situation. It will commonly
be carried out in the absence of or before training as a preliminary Gap Analysis tool
to determine what training may be required to meet shortfalls against required
standards
4
RPL (Recognition of Prior Learning) involves assessment in the absence of
training to verify existing skills, knowledge and experience.
Stakeholders
After documenting the assessment system features and
procedures it is important that all relevant stakeholders are
aware of the assessment system, its purpose and the features
of it. Communicating the different aspects of the assessment
system enables stakeholders to develop a clear understanding
of the system and this will lead to a more effective and
successful system as a whole.
Some of the relevant stakeholders may include:

Department heads, team leaders, managers and the business owners

Participants and candidates from both current learners and past learners

Trainers and assessors. External assessors and trainers may also need to be
informed of the assessment system especially if there is an external audit process or
certification requirements

Technical experts who may be required to provide feedback about the relevance and
currency of skills and assessment

Training and assessment coordinators

Government and industry bodies related to the assessment components.
Document and circulate assessment system and features
All of the assessment system features and procedures must be documented in a clear
and logical manner which enables all stakeholders to understand what and how
participants are being assessed. The system features need to be clearly outlined so all
stakeholders can access the assessment details easily.
Once all of the system details have been documented the assessment system procedures
should be distributed to all relevant stakeholders. This can be done via email or a hard
copy of the document can be circulated. Using electronic files is much more effective and
the data can be updated easily.
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Element 1: Communicate the assessment system
1.3 Establish procedures for keeping relevant
stakeholders informed about key features of
the assessment system
Introduction
An assessment system is not a stagnant thing; it is dynamic and
constantly changing in order to reflect the changing nature of the
workplace or training context. Once the assessment system
features have been documented and circulated, any changes or
updates need to be communicated to all relevant stakeholders.
This keeps the assessment system operating in an effective
manner and allows feedback from stakeholders to be implemented
to improve the system.
The procedures for updating stakeholders of changes to the assessment system should
be clearly outlined and all stakeholders should be informed of how any updates will be
communicated to them.
Keeping stakeholders informed
All systems are constantly changing and evolving. An assessment system needs to have
mechanisms that allow for feedback and change. When these changes or updates are
agreed and implemented, all stakeholders need to be informed of the changes in order for
the system to remain effective. As a result, procedures need to be developed to inform
stakeholders quickly and efficiently about any information relating to the assessment
system. There are several ways that stakeholders could be kept informed, including:

Scheduling regular meetings that relate directly to assessment issues. These
meetings may not always need to be long as there are not always issues to deal with,
but regularly scheduled meetings allow stakeholders an opportunity to provide
feedback and to listen and share ideas or thoughts about the system

Special meetings which may be necessary at various times due to urgent issues or
feedback

Regular staff meetings having a standing agenda item included that allows for
feedback and comments regarding assessment issues

The organisation of a dedicated newsletter or fact sheet that provides updates on
assessment system changes or feedback. The newsletter could be in electronic or
paper-based format

Developing an internal network of assessors who can communicate directly with each
other and discuss particular issues that may be relevant to the assessment system
delivery and effectiveness. Issues discussed within the network could then be raised
to assessment system coordinators or managers.
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Element 1: Communicate the assessment system
Work Projects
It is a requirement of this Unit you complete Work Projects as advised by your Trainer.
You must submit documentation, suitable evidence or other relevant proof of completion
of the project to your Trainer by the agreed date.
1.1 Provide a list of assessment purposes from your current organisation or a past job.
These could include: work performance reviews, identifying training needs or
qualifications, or confirming progress in learning.
1.2. Develop a list of all the relevant stakeholders in your organisation that may need to
have knowledge of the assessment system.

List the assessment features of your current assessment system at your
organisation.
1.3. Document a set of procedures from your workplace that outlines which stakeholders
need to be informed and how they will be informed regarding assessment system
details.
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Element 1: Communicate the assessment system
Summary
Communicate the assessment system
When developing an assessment system, it is important to understand the purpose of the system.
Once the purpose has been identified, further development of the assessment system content
should always align with the stated purpose of the system. An assessment system should have:

A stated purpose that is clear and attainable

Documented features that clearly outline the areas of the system

A mechanism to enable the system features and purpose to be distributed to relevant
stakeholders

Procedures for informing stakeholders of the system features or any changes that have been
made to the system.
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Element 1: Communicate the assessment system
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Element 2: Provide support for enterprise assessors
Element 2:
Provide support for enterprise
assessors
2.1 Verify assessors meet required competency
standards
Introduction
In order for assessors to be able to assess effectively, it is critical
that they have the necessary skills and experience required to
assess participants. If the assessors have limited experience in the
assessment item, then the assessment may not be a true reflection
of the participant’s ability in that skill. It is important then to check all
assessors experience and qualifications to ensure that they have
the necessary skills to be able to conduct the assessment properly.
Verifying assessors skills and experience
To be able to assess people’s performance, you first need to have capable and qualified
people to conduct the assessment. If assessors do not have sufficient skills and
experience to carry out the assessment, the assessment may be invalid. It is then
important to verify assessor qualifications and skills in order to ensure that they meet the
competency standards. These standards may be set by the organisation or they may be
required by an external body such as a training provider or government agency.
The first step in verifying assessor competency is to determine the assessment that is
being carried out. If the assessment is for Certificate II level then the assessor needs to
have at least competency at Certificate II level and experience in the area that is being
assessed. Competency standards could be set by an external agency and if this is the
case, then assessors need to be checked that they meet the standards outlined by these
agencies. Alternatively, the competency standards may be set internally and may include
formal assessor qualifications which need to be verified.
It is also important to check the currency of the qualification
or experience of an assessor. If the assessor completed
qualifications many years earlier and they have not worked
in the relevant industry or department, their qualification
may no longer be relevant. Also, if their qualification or
experience is in an area that is not applicable to the area
being assessed, then they may not be eligible to conduct
certain types of assessment.
Basically, skills, qualifications and experience need to be current, up to date, aligned with
the area being assessed, and meet the documented standards in order for an assessor to
be able to assess effectively.
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Element 2: Provide support for enterprise assessors
Methods of Assessment
Assessment methods describe the techniques used to gather evidence, while assessment
tools are the instruments and procedures used to organise and interpret that evidence.
The assessment process relies strongly on the collection of this evidence. In order to
collect evidence the assessor must employ a number of methods.
Some of the methods employed include:
3rd party report
This describes where another person, usually in a supervisory position,
provides written verification of a candidate’s ability to carry out a task or that
they have certain knowledge.
Case study
The assessor may provide a candidate with an example of a situation which
mirrors aspects of the skills they have been trained in. The candidate must
respond to this with a series of answers to questions relating to the scenario.
Observation
In this case the assessor observes the candidate carrying out a task and
applying knowledge. They make a written record of this which then becomes
evidence in itself. This record is generally as a checklist with space for feedback
and comments.
Presentation
The candidate may be asked to prepare a presentation either for the assessor
or another group and their performance is recorded.
Questioning
This can be done either through the use of oral questions to which the assessor
records the answers or via the collection of written answers which have been
given to a candidate.
Role play
In some cases candidates will be asked to play a role in a scenario which will
be observed by the assessor. Often the assessor will provide a pre-written role
for the candidate and then let the candidate work within this. An example of
where this might be used is in customer service training where a candidate will
be observed dealing with various situations according to their role.
Simulation
In some cases a simulated environment will be created for a candidate to gauge
how they deal with different situations. This may be carried out to ensure a
greater level of control over the situation and for safety reasons.
Written/Projects
Evidence may also be collected in the form of responses to longer questions or
projects. Some candidates are given projects relating to their workplace which
they must research and complete over time before submitting this to the
assessor.
The list above is by no means exhaustive and assessors will employ many other
innovative and situation suited methods in order to gather the evidence they require.
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Making arrangements for assessment
The efficient execution of assessment activities relies to a large part on the organisation.
Having a plan in place is critical, but there can also be quite a number of things to
arrange. Prior to the actual assessment you should consider the following details:

Timings – What time is best for the meeting? Whilst this needs to be organised with
the candidate and other work based stakeholders, you should give careful
consideration to the time of day. Consider whether your appointment clashes with
other distractions, or is too close to lunch or the end of the day

Location – You must ensure the assessment is held in an appropriate venue which is
free of discomfort or distractions and is also safe. Like training, the safety of your
candidates is paramount and you should not conduct any assessment activity if you
have concerns over anyone’s safety, including your own

Resources – Candidates will need certain resources, equipment, documents etc to be
able to demonstrate competency. Part of making arrangements is to ensure that these
resources are available in a form that is required for the assessment

Their role – You must ensure that candidates understand what they will be expected
to do during the assessment, the criteria they will be assessed against and the
methods you will use to collect evidence. They must also be clear on the type of
evidence they will be expected to produce.
What is competence?
Competency based assessment is a form of
vocational training and assessment. This
makes a judgement on what a person can do
in the workplace as a result of having
completed prior training or on the experience
they have and the learning they have
undergone through their work.
It is characterised by being focused on work based outcomes as the principal means of
measuring skill and ability. This is accomplished by the measurement being made against
objective criterion based on nationally endorsed standards. These standards are met by
the candidate providing evidence that they are able to perform in various tasks to the level
specified.
Competence is not just about being able to do something but to apply that ability in a work
environment. In assessing competence the assessor is concerned with testing skill,
knowledge and attitude, in the four dimensions and all nationally endorsed competency
standards have been developed to incorporate these dimensions.
Assessors use a competency standard to collect a range of evidence which is then used
to make a decision. Assessment outcomes are either:

Competent (C), where the candidate has produced evidence to show they have
attained competency or

Not Yet Competent (NYC) where they must produce more evidence to satisfy the
assessor that they have reached the required standard.
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The role of evidence
The assessment process is geared principally towards the collection of evidence.
Evidence is something we use to assist us in making a decision as to the competence or
otherwise of a candidate. It may consist of anything which the candidate can produce
which demonstrates that they possess skill and knowledge in a particular area and are
able to use this to achieve outcomes at a certain level. Measurable evidence can be
broken up into the four main categories of direct, indirect, supplementary and historic as
mentioned previously.
Some examples of measurable evidence that an assessor may consider are:

Something that has actually been produced i.e. a product such as a baked loaf of
bread

A task that has been carried out such as completion of a workplace procedure e.g.
making a bed to a standard

Background knowledge and understanding such as knowing why something must be
done and the reasons for that. For e.g. a person who is demonstrating how to use a
program such as Microsoft Word would need to have knowledge of what the program
can and can’t do as well as being able to execute commands

A person’s attitude to aspects of their work. This is reflected in how they feel about
their work and the level of application and care they show in doing it.
Determining the evidence needed to demonstrate competency
When preparing an assessment plan, you must read and interpret the assessment
benchmarks of your organisation’s assessment system or external standards to determine
the evidence that needs to be gathered to demonstrate competency against each
benchmark.
In competency based assessment, evidence is the information, materials
and products that support a candidate’s claim to demonstrate
competence against an assessment benchmark. While there are three
main types of evidence, there are many evidence gathering methods
(also known as assessment methods) and any combination of these can
be used.
The rules of evidence
When verifying assessors meet required competency standards in order to be used as
part of an assessment decision, evidence must meet the following four rules of evidence
criteria: Valid, Sufficient, Current and Authentic.
It must be Valid. This means the evidence must clearly relate to the unit of competence
being assessed. The performance criteria within the unit must be used as the basis of all
evidence collection and assessors need to guard against the collection of superfluous
evidence.
Evidence must be Sufficient. The assessor must collect enough to be sure that the
candidate is competent across all applicable competency elements or industry standards.
Competency over a period of time needs to be addressed and all dimensions of
competency need to be covered. This also includes assessing in different contexts.
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There must be Currency. The evidence collected should relate to recent activities
(usually within the last three years) Current knowledge and skills are what you should be
assessing and the candidate’s evidence should reflect this. Imagine a person providing
you with evidence relating to something they did 10 years ago. Your question as an
assessor must centre on what they can do now and the evidence they provide supporting
this.
The evidence also needs to be Authentic. The assessor needs to verify that the evidence
collected was actually produced by the candidate. This may require confirmation from a
third party where there is any doubt. Plagiarism is a major issue today and as an assessor
you need to promote and maintain a focus on authentication when it comes to checking
the credibility of any evidence provided.
It is the responsibility of the assessor to verify that all of the evidence received from
assessor meets these criteria before accepting it to be used as part of the assessment
process.
Activity
Look at the assessor checklist below and in pairs discuss each assessor’s
qualifications and experience. Complete the chart with your own qualifications and
experience.
What type of assessment would each person be able to conduct? Why?
Name
Position
Qualifications
Experience
Mandy Ledger
Front Office manager

BA Hotel Operations


Workplace Training
and Assessment
5 years Front Office
staff

1 year Front Office
Manager

Customer Service
Management Diploma
Levi Humberger
Waiter

Certificate III in
Hospitality

2 years restaurant
waiter
Sanesh Murindi
Barista

Certificate in Barista
service

3 years barista

Master Assessor in
Barista service

MA Finance and
Accounting

9 years general
accountant

MBA


BA in Accounting
8 years senior
accountant

Certified Practising
Accountant

Workplace Training
and Assessment
Mike Andrews
Chief Accountant
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Element 2: Provide support for enterprise assessors
2.2 Identify required training for assessors
Introduction
The previous unit explained the need to verify assessor qualifications
and experience in order to determine if they have the correct skills to be
able to perform assessment in certain areas. Once the assessors have
had their qualifications and experience checked it may be necessary to
provide training for assessors if they do not meet the required
standards.
Assessing competence - Creating the correct environment
Like an interview, an assessment visit should be conducted in a manner which gives the
candidate the maximum opportunity to perform to the best of their ability. An emphasis
should be placed on clear communication and also building of rapport. The environment
this produces will hopefully encourage the candidate in producing high quality evidence in
support of his/her claims of competency.
Assessment is a participatory process and for this reason you should openly discuss with
the candidate all aspects of the process and gain input on their needs. An assessor who
acts in a non friendly or even secretive manner may negatively affect the assessment
environment and ultimately the results obtained. For this reason assessors need to be
aware of the importance of their actions and words in generating the right environment.
Be sure that you work through the following checklist with the candidate:
 What is the purpose of the assessment? – this should be explained clearly
 Explain performance criteria – have a copy of the performance criteria against
which the assessment will be carried out and go through it with the candidate
 Check assessment conditions – ensure that the conditions are appropriate. Don’t
start the assessment if the candidate is not able to apply themselves fully or the
workplace is too distracting
 Verify time and place – this should be done by phone or email well in advance of a
physical visit. It is wise to confirm this at least the day before if travel is involved
 Explain method and type of assessment – go through the assessment tool with the
candidate and possibly their supervisor explaining how you are going to collect
evidence
 Describe how feedback will be given
 Ensure they are ready to start – don’t commence until the candidate has indicated
they are ready.
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Gathering evidence
The process of gathering evidence can be involved or straightforward depending on the
candidate and their circumstances. It should be the key focus of the assessment activity,
and provide a clear basis to make a decision regarding the competency of the candidate.
Many assessors make the mistake of not collecting the right forms of evidence and later
require more to help them make their decision.
The key to good assessment lies in the assessor’s capacity to collect with the rules of
evidence in mind as well as by being able to do this in an efficient manner. Organisation is
the key in this situation as you may have to collect a large amount of evidence which
needs to be reviewed and recorded. In collecting evidence within workplaces, you should
ensure that your activities are not likely to cause disruption to normal business. A way to
minimise this problem is to ensure relevant people within the organisation are notified in
advance in order to minimise any inconvenience. The presence of an assessor may be
quite distracting and require the assistance of other people. This means you should try to
fit in as best you can.
You should also ensure that necessary resources and arrangements to undertake
assessment have been attended to. In order to do this, relevant equipment, consumables,
venues and even the assistance other of people need to be arranged. Arriving for an
assessment without these things in hand is likely to cause you and the candidate
considerable stress. With all required resources in place you can concentrate on evidence
collection.
Assessors should also be prepared to gather evidence in a
holistic manner. Many activities and tasks that you observe
individuals perform (or verified records of such work) will
employ various skills and knowledge to complete. In such
cases, rather than assessing a candidate unit by unit, it is
often possible to cluster units and assess them in the context
of a whole task. An example of this could be someone
working in a call centre who is to be assessed against
telephone skills and basic computer use. Whilst undertaking
their normal duty of taking calls and using the computer the
assessor should be able to employ a holistic approach and
gather evidence against both of these areas at once.
The safety of you and the candidate are paramount in any situation. For this reason you
should only assess where you feel that there are no safety hazards and nothing can
endanger you or the candidate. In the same way that before a training course we ensure
the room is safe and the group is comfortable. In assessment we also have a duty of care
to the people we are working with to ensure all OH&S considerations have been seen to.
Another thing to keep in mind when collecting evidence is to be aware of any workplace
standards or performance criteria which may relate to the job of the candidate being
assessed. This could be useful evidence in support of the other activities the candidate
has to undertake and in many cases they may align closely with the unit of competency
being covered.
You will be collecting evidence against a range of standards but should also consider any
internal industry or workplace standards which may be useful in determining the
competency of the candidate. The successful performance of internal standards which
can be verified by a third party may cover some or all of the areas being covered via an
external competency standard. For this reason, we should carefully consider as evidence
any standards which can be produced.
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Element 2: Provide support for enterprise assessors
What are we assessing and how can we do this?
The assessment process concerns itself with assessing competency against three
principle areas:
Skills
In assessing skills we are focussing on the actual performance of a skill which
can be observed and recorded. This may entail a person carrying out a
component of a job in the workplace which requires skill. Observation is the
most typical way we would assess skills, but we might also gather evidence
based on the application of skill. The candidate might produce something
which they made or even organised and this will show a level of skill in itself.
Such products or samples will need to be verified to ensure that the output in
question was actually their own.
Knowledge
As well as the performance of a skill, assessors also need to check on
underlying knowledge and understanding. It is possible for someone to carry
out a task without understanding what they are actually doing. The expression
“monkey see, monkey do” might describe this well. Assessing knowledge via
tests, questioning, interviews and samples helps us to ensure that any
observed skill is supported by appropriate levels of knowledge and
comprehension.
Attitude
It is possible for a candidate to have good knowledge and an ability to apply
that knowledge in a skill sense but still not have the correct attitude required to
complete a task to an appropriate. This might be significant in an area such as
customer service, where an attitude to please is as important as the ability to
carry out tasks and use knowledge. A lot of the assessment of attitude is
implied rather than being directly seen in performance standards. You will
need to focus on outcomes which show that application of skill and utilisation
of knowledge is accompanied by an attitude appropriate for the task and
circumstances involved.
Reasonable adjustment
In enabling assessment to take place in a way which suits individual needs, the principle
of Reasonable Adjustment will need to be applied. This refers to the situation where an
Assessor adjusts assessment approaches to accommodate the special needs and
characteristics of a candidate to enable them to demonstrate their competency. An
example could be a visually impaired person who may not be able to demonstrate
competence in the typical manner but when a reasonable adjustment is made, perhaps
giving them a modified computer terminal or information in Braille they are able to provide
appropriate evidence. Reasonable adjustment may include:

Taking into account language, literacy and numeracy requirements

Using adaptive technology or special equipment

Providing personal support services (e.g. interpreters, carers, readers)

Providing assessment materials in a variety of formats (online, DVD)

Making adjustments to the physical environment

Considering their cultural beliefs, traditional practices and religious observances

Considering their age and gender.
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Whilst these factors should be taken into account when making reasonable adjustment,
the criteria against which the assessment is being carried out and the critical evidence will
not change. In the end, candidates must still produce evidence like anyone else involved
in the process!
The use of questioning in assessment
When collecting evidence to demonstrate skill, knowledge or
appropriate attitude, one of our most useful tools is questioning.
Questions can be used for a number of different reasons and
they can vary in their application. Assessment tools will usually
include structured questions, meaning that these are used with
every candidate regardless of the location. Assessors will also
need to use more unstructured questions which are geared
towards particular situations or which seek additional
information on top of questions already asked.
Some common kinds of questioning techniques which assessors might use are:
Type of question
Explanation
Example
Closed
Require a yes/no type response
Do you know how to make an
Espresso coffee?
Open
Encourages open ended answers
What is most important in making an
Espresso?
Probing
Used to get more information on a
question which has already been
asked
When a person replies to your
question on espresso with the
statement “lots of things” you may
ask something like “what kinds of
things in particular?”
Hypothetical
Ask a candidate what they would do
in a certain situation. These are
often used where the candidate
cannot carry out a particular task for
some reason or they lack particular
experience
Tell me what you would do if the
system went down?
Behavioural
Focus on actual experience. In this
way a candidate will explain what
they actually did
Tell me what steps you took when
the system went down?
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Element 2: Provide support for enterprise assessors
Matching training to needs
It is important that training matches the needs of the
participants and organisation. It is also rare to find suitable
people within an organisation who can conduct all of the
assessment needed. There will be times when there are
not enough qualified or experienced people to carry out
the assessment procedures within the organisation.
Assessors will then need to be trained to be able to continue to implement an assessment
system effectively. This training could be conducted for many reasons including:

Having to meet external requirements where accredited training such as initial
assessor training or additional training is needed to meet assessment system
standards

Situations where assessors need a refresher course to bring them back up to the
required standard, if it has been a long time since they last conducted assessment

Situations where there is an identified gap in assessor competencies. This could be
due to industry changes or because new standards are developed internally which
previously trained assessors are not experienced with

Contexts where trained assessors may need job-specific training to provide added
skills in order to assess areas that they are not familiar with.
Example Assessment Plan
Training and Assessment Pathway
Candidate
Rachel Watson, Office Trainee, ABC Transport
and Logistics
Assessor
Sharon Smith, Workplace Trainer and Assessor,
Big Training Institute
Date prepared
3 March 2010
Date assessment due
The assessment process will cover 1 month from
the date of training. If additional time is needed
then this will be negotiated with both Rachel and
her Supervisor
Assessment Benchmark or Standard
Prepare workplace documents
Purpose of assessment
Identify and assess current skills and knowledge
of Rachel
Context of assessment
Rachel’s job involves her preparing reports,
invoices and other documents for the office staff
at ABC Transport and Logistics.
The assessment process involves using actual
work activities conducted in Rachel’s office.
These activities have been designed to recognise
Rachel’s competence in preparing workplace
documents
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Assessment methods
Assigning Rachel with a written resource and
written assessment
Observing Rachel preparing workplace
documents
Questioning Rachel on her knowledge of
computer programs, preparing, formatting and
editing documents
Reviewing the evidence Rachel provides in her
portfolio
Reviewing the report from Rachel’s supervisor in
her ability to prepare workplace documents
Assessment tools
3rd party report
Observation checklist
Oral questions to be used in conjunction with the
observation checklist and written assessment
Written assessment
Evidence portfolio
Location of assessment
Rachel’s office at ABC Transport and Logistics, 61
– 69 Kent St Sydney NSW 2000
Venue requirements
Access to Rachel’s office equipment including a
printer and computer
Evidence requirements
Rachel’s assessment must confirm appropriate
knowledge and skills to:

Locate, interpret and apply relevant
information

Plan document in accordance with
guidelines/pro-forma’s

Prepare and check document using
appropriate technology

Complete forms to meet regulatory and
workplace requirements

Convey information in written and oral form

Select and use appropriate workplace
colloquial and technical language and
communication technologies in the workplace
context.
Additional personnel
Ashleigh Ferguson, Rachel’s Supervisor at ABC
Transport and Logistics
Provision for specialist support
Rachel has been Language, Literacy and
Numeracy assessed and does not have these
issues. Specialist support is available if needed
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OHS issues
OHS contact Reece Wilson is available
Emergency evacuation procedures reviewed and
available
If First Aid kit is needed who is the contact
Reasonable adjustment/s
Work based project or case study may be used
instead of written assessment if needed
Special arrangements
Sharon Smith must organise the next assessment
visit with Rachel at the end of the training visit.
This will then be approved and confirmed by ABC
Transport and Logistics
Recording and reporting arrangements
for assessment
Feedback form
Assessment report
Portfolio of evidence
Evidence collection and evaluation checklist
Review mechanisms
Assessment Validation
Candidate Feedback Form
By signing this Assessment Plan all parties agree to the content:
_______________________
Assessor signature
_________________________
Print name
____________
Date
_______________________
Candidate signature
_________________________
Print name
_____________
Date
_______________________
Employer Authorised signature
_________________________
Print name
_____________
Date
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Activity
Look at the qualification and skill chart then answer the questions below.
Name
John Lyons
Patricia Simpson
Tuyet Nguyen
Qualification
Bachelor of Tourism
Master Assessor
Diploma of Occupational Health
and Safety
Certificate of Hospitality:
Cooking
Basic Food Hygiene Certificate
Made Alatas
Diploma of Hospitality
Operations
Experience
Current position
10 years tour guiding
Tour guide leader
5 years OH&S
manager
OH&S manager
1 year as a Commis
Chef
Commis Chef
No experience
New employee
1
Could John Lyons assess tour guide skills?
2
What extra training might Patricia need to become an OH&S assessor?
3
Could Patricia assess a Barista’s coffee making skills?
4
What skills could Tuyet assess?
5
Could Made assess a waiter for table service skills? If not, what training would he
need to do to be able to assess?
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Element 2: Provide support for enterprise assessors
2.3 Provide for moderation of assessments
Introduction
After completing assessment of participants or candidates,
it is important to check that the assessment results are fair
and a true reflection of the areas that were being assessed.
As a result, moderating assessment results through
evaluation helps to maintain the integrity of the assessment
system and there are many factors which influence
moderation.
The behaviour of the Assessor
In order to establish the correct working relationship with candidates, assessors need to
have good interpersonal skills in the following areas.
Perception
Because our ability to receive information through our senses is limited, we need to
develop and use all our senses to make the most of our ability to communicate and not
prejudge those we deal with.
To ensure your perceptions about the people you are assessing are accurate, you must
be careful to check your assumptions before you act on them.
In other words, don’t stereotype. Candidates might be stereotyped because of the way
they dress, speak or present themselves.
We have to be careful that we are only assessing these people on the appropriate criteria
and any perception we have of them does not get in the way of an objective decision.
Remember the technical principle of assessment which states that we have to be fair!
Active listening
Listening and speaking are the most common forms of communicating and form a critical
part of the assessment process. Usually, if we are positive and create the right
environment, we will have little trouble getting people to talk.
But how effectively do we listen to what they say? Listening is perhaps the most
overlooked form of communication. Listening is a demanding and complex activity as well
as being an acquired response. It is particularly important when collecting evidence as
oral questioning and discussion usually forms an important part of the evidence collection
process.
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As assessors we need to be good proponents of what is known as Active Listening. This
is all about concentrating on the job of listening and not just hearing. To listen actively
means to tune in to what thoughts and feelings are being conveyed by the speaker. Some
techniques that will help us actively listen are:

Reduce distractions - It is important to eliminate both internal and external
distractions. When the information is really important, try to remove anything that will
interfere with transmission and reception

Don't jump to conclusions - Even though we agree it is important to understand a
person's ideas before making judgements, we are often guilty of jumping to
conclusions. This is more likely to happen if we do not agree with what is being said.
We don't always jump to negative conclusions; sometimes we make favourable
decisions based on insufficient information. It is important to listen first, make sure we
understand and then evaluate

Identify key ideas - Use the spare time you have after receiving the message to
identify the main theme being presented. If you are unable to understand what the
speaker is telling you, use questioning and paraphrasing to clarify the information

Ask questions.
The methods we have discussed so far are passive in that they require no verbal input
from the listener. Even though it is important not to take over the communication, it is
necessary to clarify any points you don't understand. Asking questions seem to be a
basic technique but how often do we take full advantage of this simple skill?
Paraphrase
Paraphrasing involves reflective listening. It requires you to restate in your own words the
message the speaker sent without adding anything new.
Paraphrasing consists of two parts:
A statement of what
the listener thought the
speaker meant
A request for
clarification
Paraphrasing can be particularly important in terms of checking understanding with the
candidate and ensuring that we both understand what is being communicated.
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Empathy
Empathy is often described as walking a mile in someone else’s shoes. Active listening
skills will not only help you to improve your communication with candidates, but will
provide opportunities to help you understand their point of view.
Moderation
A useful tool which many organisations use is known as Moderation. This is a process
where you can compare your own assessment activities with that of other people and
evaluate your methods and procedures. It is concerned in particular with bringing
assessment judgements and standards into alignment, thus ensuring the same standards
are applied to all assessment results within the same unit of competency. Moderation will
ensure that, as much as possible, quality standards will be achieved across a range of
different assessors. Moderation also ensures minimum standards are met in terms of
documentation e.g. version control, unit codes, unit name, assessment matrix and
company branding.
A common way of carrying out validation will be for assessors
to receive evidence from a candidate who has already been
seen and assessed by someone else. The assessors will
examine the evidence again as if they are doing another
assessment and then make their own judgement. After this has
been done, the judgement of the reviewing assessors will be
compared with the judgement of the original assessor and any
differences of opinion will be examined to assist in ensuring a
consistent approach in the way the organisation’s staff
undertake assessment activities.
The net effect of moderation should be to use the findings to improve assessment quality.
An example may be that after going through this process, an organisation found that its
assessors seemed to be employing different approaches to the same sort of assessment
situations. Hopefully this would be identified via moderation and after group discussions
and consideration of the respective approaches, a more standardised approach adopted
and written into procedures. If such activities are undertaken regularly as part of a
continuous improvement cycle, the quality of assessment practice will always improve.
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2.4 Provide feedback to assessors on their
performance
Introduction
An important part of assessment is giving feedback to the
candidate regarding their performance. Most people will be very
keen to hear how they went and the assessor needs to be able to
do this in a truthful and professional manner. When providing
feedback you should be clear about the areas to be covered (in
this case the relevant performance criteria). The feedback should
always be constructive and if the candidate is judged as not yet
competent, it should focus on what the candidate has done well
and clearly explain the areas still requiring attention to bring them
up the required standard.
Making the assessment decision
Once evidence collection has been completed and the candidate has had sufficient
opportunity to demonstrate their ability for the assessor, the time comes for an
assessment decision to be made. Whilst not a judicial process, assessors must still
carefully weigh up the evidence they have collected against the performance criteria and
check it off against the four rules of evidence.
Assessing against the performance criteria is critically important because they also reflect
the dimensions of competency which make up the ability to successfully accomplish tasks
in the workplace. An example of a decision grid that could be used for this process is
included below. Once you have gone through this process you are in a good position to
justify your decision and to provide feedback to the candidate on why they were
competent or not yet competent. Candidates are rated as Competent or Not Yet
Competent where further evidence is required.
Assessment matrix
The competency standard being assessed
Critical
evidence
required
Evidence
collected
Does it relate
to the
standards
being
assessed?
(Valid)
Is there
enough of
it?
(Sufficient)
Is it up to
date?
(Current)
Is it the
candidates
own work?
(Authentic)
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Providing feedback to the candidate
A suggested approach to delivering feedback is included below at
Example 4. In this situation Step 1 is about you describing how the
candidate has gone and why they have or have not achieved
competency. The idea is that the candidate moves to the point of
understanding (Step 2). This is exactly the situation as the assessor
describes it. They now have a chance to respond to the feedback and
the assessor needs to listen carefully to this to pick up on any concerns
or issues they may have. After listening the assessor will be in a position
to talk about the options (Step 3) moving forward with the candidate and
will need to be assertive where necessary to restate any results from the
assessment. This will then lead on to Step 4 where the assessor, in consultation with the
candidate, will develop an action plan. This may involve steps towards achieving the next
units of competency or an opportunity for re-assessment. The assessor will then get any
final feedback from the candidate before setting dates and deadlines.
Giving Feedback
1. Explaining situation
Final Feedback
from candidate
Feedback to candidate
4. Selecting options for action.
Develop action plan
Listening to candidate
Assertion
3. Identifying Options
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2. Understanding
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Appealing a decision
In some cases a candidate will not be satisfied with the explanation they are given by the
assessor as to why they have not achieved competency. These situations are rare but
organisations have obligations to deal with such complaints. Grounds for an Appeal
against an assessment decision must be based on one of the four technical principles of
assessment i.e. was the assessment conducted in a manner which was valid, reliable,
flexible and fair?
Organisations must ensure that participants undertaking training and assessment are
made aware that they have the right of appeal in respect to assessment decisions and
that there is a clearly defined and documented appeals procedure in place. In most cases
the appeal will consist of a more senior member of the organisation or even a dedicated
panel in larger organisations reviewing the assessment decision.
Example of participant evaluation form
Post-course Evaluation Form
Training Program
Master Trainer and Assessor Training Program
I attended the following
training program
(please indicate)
Master Assessor Training Program
Master Trainer and Master Assessor
Participant Name
Gender
Position
Organisation
Country
Date
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1.
Program Objectives: Master Trainer
As a participant of the Master Trainer Training Program answer the following
questions by circling the appropriate response:
1.1
1.2
1.3
2.
I am now able to provide training on the features and contents of the training
program.
Strongly
Disagree
Disagree
Neither Agree
nor Disagree
Agree
Strongly
Agree
1
2
3
4
5
I am now able to demonstrate and provide opportunities to trainers on how to
use the program in a training context.
Strongly
Disagree
Disagree
Neither Agree
nor Disagree
Agree
Strongly
Agree
1
2
3
4
5
I have gained the knowledge and skills required to successfully deliver training
on using the materials to other teachers/educators.
Strongly
Disagree
Disagree
Neither Agree
nor Disagree
Agree
Strongly
Agree
1
2
3
4
5
Program Objectives: Master Assessor
As a participant of the Master Assessor Training Program answer the following
questions by circling the appropriate response:
2.1
2.2
40
I am now able to provide training on how to use the materials as an assessment
tool as part of a certification program
Strongly
Disagree
Disagree
Neither Agree
nor Disagree
Agree
Strongly
Agree
1
2
3
4
5
I have gained the knowledge, skills and attitudes required to successfully train
other assessors on how to conduct assessments.
Strongly
Disagree
Disagree
Neither Agree
nor Disagree
Agree
Strongly
Agree
1
2
3
4
5
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3.
Evaluation of your response to the Workshop:
3.1
Did the workshop satisfy your original expectations when you commenced the
course? Please give details.
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
3.2
If it didn’t meet all your expectations then why was this the case?
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
3.3
What would be the best way to assist you to do this?
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
4.
Evaluation of the Workshop and Presenters
Presenter(s) Qualities
Briefing Materials
Knowledge of material covered
Presentation
Clarity of explanations
Relevance of topics
Enthusiasm/maintained interest
Workshop materials
Question handling
Overall Score
Encouragement of participation
Average score for each session
attended
Personal organisation
Scale:
4 = Excellent
3 = Very Good
2 = Satisfactory
1 = Poor
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Element 2: Provide support for enterprise assessors
5. Preparation for Workshop and living arrangements
Please comment on the following aspects of the program:
a) Application, interview and selection process
________________________________________________________________
________________________________________________________________
________________________________________________________________
b) Venue facilities and meals
________________________________________________________________
________________________________________________________________
________________________________________________________________
c) Hotel accommodation:
(i) Big Resort and Spa
_____________________________________________________________
OR
(ii) Sands Hotel
_____________________________________________________________
6. Do you have any suggestions on how to improve the arrangements mentioned
above for any future Workshop training?
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________
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2.5 Facilitate networking amongst assessors
Introduction
Often the best source of feedback ad information is from
your colleagues and fellow assessors. As all of the
assessors are involved in the same system, sharing
information, issues, and ideas with each other is an
effective way to ensure the quality of the assessment
system and implement improvements as needed.
Developing a network of assessors is excellent way to
maintain the integrity of the assessment system and allows
assessors to provide useful feedback as required.
Developing networking
Establishing networking amongst assessors provides opportunities for assessors to share
information and ideas about their assessment activities. Networks allow assessors to:

Learn, discuss and share information about assessment issues

Promote the best standards for assessment

Explore ways to improve the assessment system

Learn from external assessment agencies

Keep informed about new changes or standards

Keep engaged with their assessment responsibilities.
Networks can be developed in many different ways and may include:

Formal associations

Informal groups

Internal organisations within a company

External agencies linking groups of assessors.
There are also many different ways that networking can be developed including:

Meetings both regular and as required

Seminars and workshops

Conferences

Notice boards, handouts, newsletters

Electronically through websites, emails, blogs.
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Network models
Unstructured
Structured
• Relatively informal
• May move into an incorporated
body
• Information exchange
• Peer support focus
• Depends on energy of one
person or small group to drive
network
• Structured meetings with
protocols
• Often self-managed
• Usually not funded
• Combines informal learning
with 'events' determined by the
group
Organisation sponsored
Self-managed
• Initiated by organisation rather
than assessors
• May begin being hosted by the
organisation
• Closely aligned with
organisational purposes
• Tends to be highly focused
• Reliant on host organisation for
support
• May not be a network rather
than databases and mailing
lists
• Requires time to reach selfmanagement
• Pursues group outcomes as
well as individual learning
• Needs to develop group skills
re: negotiation, consensus,
planning
Source: adapted from Jackson, E., 2000, Cross Boundaries –Effective Learning
Networks 5-7, Commonwealth of Australia.
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Work Projects
It is a requirement of this Unit you complete Work Projects as advised by your Trainer.
You must submit documentation, suitable evidence or other relevant proof of completion
of the project to your Trainer by the agreed date.
2.1 Find out what external requirements for competency standards training providers or
government organisations have for staff in your organisation.

What are your internal competency standards? List them.
2.2 Interview an assessor and see if the assessor’s qualifications and experience match
internal and external requirements for competency standards.

Suggest what training might be necessary for this assessor to meet
requirements.
2.3 Develop an assessment matrix which includes all the necessary information to
conduct assessments.

Complete the matrix for at least two competencies within your organisation.
2.4 Complete an assessor feedback template that includes all of the necessary
information to provide relevant feedback to an assessor about their performance.
2.5 Provide your trainer with examples of how assessors network within your
organisation and if applicable, with outside assessors.
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Element 2: Provide support for enterprise assessors
Summary
Provide support for enterprise assessors
It is important to make sure that the assessors within an organisation are capable of assessing
effectively. In order for assessors to be able to perform their duties properly they must:

Meet the required competency standards or they will not have the skills to conduct the
assessment

Be trained if they do not have the required skills or experience

Have opportunities for moderating assessments where assessment items are checked
against different parameters to ensure their relevance and effectiveness

Have opportunities for feedback to be provided relating to their performance in order for
assessors to be able to improve their assessment skills

Have an opportunity to network with other assessors in order to discuss issues and develop
strategies for best practice in assessment delivery.
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Element 3: Manage the assessment record keeping system
Element 3:
Manage the assessment record
keeping system
3.1 Identify and develop the internal records
required to support the assessment system
Introduction
An important part of training and assessment is keeping records of
contact with participants. In group training situations this will
normally involve a roll book or attendance sheets. Candidates seen
one on one will still require sheets which record their visit or
assessment process. Carefully maintained records are important to
track a participant’s progress and learning within an organisation.
Recording and reporting assessment
A critical part of the assessors work involves accurately recording the process of the
assessment, activities undertaken, evidence collected and decisions made. There are
different formats for recording assessment activities but generally speaking the following
things will be recorded:

Candidate name/personal details

Training rolls/attendance records for groups

Date and time of assessment

The location of the assessment

Copies of relevant training curricula/training plans

Units or standards being assessed

Methods used to assess

Assessment results

Comments and feedback

Assessor name.
The information collected during an assessment should be treated as confidential as it
relates to the personal performance of the candidate. As a rule of thumb, the only people
who should have access to this information are the assessor and their manager, the
candidate and their manager and people within the training system involved in auditing or
checking on the work of assessors.
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As well as being important for the assessor and associated organisation, recording is also
important for the candidate as learners should have timely access to current and accurate
records of their participation and progress. We need to be able to show them any
comments that have been made to assist them with their development. An example of a
report format for an assessment visit is included below.
Example Assessment Report
Candidate:
Joe Smith
Employer:
ABC Hotel
Assessor:
Matt Davis
Date:
16 May 2013
Comments:
Maintain Workplace Safety
Joe described his role at the hotel and his responsibility in ensuring that he follows the various
occupational health and safety requirements within the office. He completed the set assignment
work and went through this with the assessor, explaining his answers. Joe took the assessor on a
short tour of his work area, pointing out various safety issues and explaining how he maintains a
safe work area. Joe gave examples of his previous job in a gaming room and some of the hazards
which also existed there. Joe has a good appreciation of the need to sit properly, have breaks and
ensure he lifts properly. Through questioning and discussion he was able to demonstrate a good
level of knowledge and ability in this competency. This was corroborated by his supervisor.
Competency successfully achieved through completion of exercises, questioning and
demonstration.
Organise workplace information
Joe carries out a lot of his duties within the mail room at. In this capacity he is required to organise
workplace information on a regular basis. He completed set exercises relating to mail handling and
provided examples of various mail items which he must ensure are properly addressed. Joe took
the assessor to his work area and explained how mail, both internal and external is sorted to
ensure it goes to the correct recipients. He also explained this for the assessor in written form.
Through questioning and discussion, Joe was able to explain the importance of correctly organising
information within the mail room and his contribution to this. He also cited pertinent experience from
his previous job in a gaming room. Competency achieved through completion of set exercises,
submission of example, demonstration and answers to assessor questions.
Performance Criteria
Commenced
Assessed
Evidence collected
Maintain Workplace Safety
03/11/2012
13/04/2011
Observation checklist
Organise Workplace Information
03/11/2012
13/04/2011
Oral questions
Written assignment
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Recognition of Prior Learning (RPL)
RPL is an assessment process where the skills, knowledge and experience that a person
has obtained via learning outside the formal education and training system is
acknowledged towards their achievement of competency. This is still a formal assessment
process but instead of following training, involves an individual demonstrating via
discussions with an assessor and submission of documentary evidence, competency
against nationally endorsed standards.
The chart below includes an example of a RPL kit which assessors could
use as participants progress through the process. Where candidates are
seeking RPL, they may or may not gain full RPL against the units or
standards required and may still be required to undertake some gap
training in areas where they do not yet have appropriate skills,
knowledge and experience. The amount of RPL a person receives will
be determined by the assessor by analysing the evidence presented
against the relevant standards.
In the RPL process, candidates are instructed to collect various forms of
evidence for consideration by the assessor. This evidence may include
some or all of the following:
Direct
Which the candidate has been observed actually doing via the report of a third
party
Indirect
Which consists of information about the candidate such as testimonials,
awards, prizes, personal statements and are a description of the candidate
and their achievements which act in a supporting manner to the other
evidence tendered
Historic
Such as a past academic statement and must be presented with at least one
form of indirect evidence
Supplementary
Consisting of the answers to oral/written questions or other activities posed by
the Assessor to add depth to evidence already submitted, especially in the
context of completing workplace tasks.
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Element 3: Manage the assessment record keeping system
Simple assessment tools
In order to assess in a formative or summative manner the
assessor needs to collect evidence from a candidate that they
meet the required benchmarks. Assessors do this via the use
of an assessment tool which put simply are the materials,
instruments and procedures which enable the assessor to
collect and interpret evidence of competence. A simple tool will
include an instrument section which comprises activities or
questions which must be completed as well as a procedures
section containing information or instructions which need to be
given to the candidate and the assessor to explain how the assessment will be
conducted.
Simple assessment tools may be developed by the assessors themselves, be developed
by dedicated people within the organisation or come from commercial resource writers.
Whatever their origin, they need to be structured with the following things in mind.
Firstly, do the tool and its associated instruments adequately reflect the benchmark it was
designed to collect evidence against? Benchmarks describe the endorsed units of
competency and their associated guidelines. For this reason assessment tools may
include a grid consisting of the standards being assessed and which can be used to
check off evidence against the appropriate performance criteria. If you look at the
example of an Assessment Tool below you will see that the activities which the candidate
must be observed undertaking are recorded against the relevant performance criteria
from each element of the competency.
The assessment tool also needs to adhere to the technical principles of evidence.

Can you say the tool reflects the unit it is meant to be gathering evidence against?

Will the tool produce the same results when used across a range of industries and
individuals?

Does the tool lend itself to a flexible approach when being used in industry?

Is it likely to unfairly discriminate against candidates because of the way it is put
together or the activities and questions which are requested?
In developing an assessment tool you need to ensure that it is well sequenced and easy
to follow by a wide range of candidates. Any instructions should be clear and concise and
leave the candidate in no doubt as to what is required of them. Many tools are also now
able to be viewed via the web and electronic assessment items are becoming increasingly
common.
The Assessment Tool has a key role in evidence collection and for that reason needs to
adhere to the rules of evidence as well. Any questions or activities or instructions on the
tool which require the candidate to produce evidence need to ensure that this evidence is
Valid and closely aligned with the unit being covered. Evidence also needs to be
collected in sufficient quantities to meet all requirements and the tool must include
evidence collection against all parts of a unit and specify a number of different forms of
evidence. The tool at below requires candidates to demonstrate their skill as well as
answer oral and written questions and produce samples of work in sufficient quantity to
enable the assessor to make an informed judgement on their ability. Evidence specified
by the tool also needs to be current and authentic, hence the requirement to produce
direct evidence for the assessor which can be verified as the candidates own work.
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A development approach for a simple assessment tool could include the following steps:
Remember the context in which the assessment is taking place and any special
considerations this may entail.
1. Select the benchmark which the tool is to be developed against.
2. Unpack the unit to determine the skills & knowledge it refers to as well as
the critical evidence required to demonstrate competency.
3. Consider what a person competent in the skill/knowledge in question
should be able to do?
4. Ask yourself what evidence will be required to verify the above.
5. How would your draft assessment tool’s assessment methods generate
this evidence?
6. How will the tool need to look and feel depending on the people using it?
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Element 3: Manage the assessment record keeping system
3.2 Describe the requirements for completing the
assessment records
Introduction
Maintaining up to date and clear records of assessment activities is a
critical part of any successful assessment system. Assessors and
participants need to know how their assessment is going to be
collected, monitored and stored. An assessment system may have
numerous reporting formats that need to be completed and all
assessors need to know how to complete assessment records properly
to maintain the quality of the assessment system as a whole.
Guidelines for completing assessment activities
The guidelines detailed below are detailed here to support professionally responsible and
ethical assessment practice and to guide assessors in the responsibilities of their work.
They broadly explain how to complete an assessment activity, including reporting,
effectively.
This code is loosely based on an international code developed by the US-based National
Council for Measurement in Education.
The code reinforces the performance outcomes of an assessment system.
They include:

The differing needs and requirements of the candidates, the local enterprises and/or
industry are identified and handled with sensitivity

Potential forms of conflict of interest in the assessment process and/or outcomes are
identified, and appropriate referrals are made, if necessary

All forms of harassment are avoided throughout the assessment process and in the
review and reporting of assessment outcomes

The rights of candidates are protected during and after the assessment process

Candidates are made aware of their rights and processes of appeal

Personal or interpersonal factors that are irrelevant to the assessment of competence
must not influence the assessment outcomes

Evidence is verified against the rules of evidence

Assessment decisions are based on available evidence that can be produced and
verified by another assessor

Assessments are conducted within the boundaries of the assessment system policies
and procedures

Formal agreement is obtained from candidates and the assessor that the assessment
was carried out in accordance with agreed procedures

Assessment systems and tools are consistent with equal opportunity legislation

Candidates are informed of all assessment reporting processes prior to the
assessment
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
Candidates are informed of all known potential consequences of assessment
decisions, prior to the assessment

Confidentiality is maintained regarding assessment decisions/outcomes and records
of individual assessment outcomes which identify personal details and are only
released with the written permission of the candidate/s

Assessment outcomes are used consistently with the purposes explained to
candidates

Self-assessments are periodically conducted to ensure current competence against
organisational or external competency standards

Professional development opportunities are identified and sought

Opportunities for networking amongst assessors are created and maintained

Opportunities are created for technical assistance in planning, conducting and
reviewing assessment practice and participating in validation.
Describing requirements for completing assessment records
Before assessors can complete records effectively, they must have a clear understanding
of what is required to successfully complete assessment records. In order for assessors
to know how to complete the records of assessment the requirements need to be
explained to them. This may be done through:

Demonstration where an assessor trainer or supervisor completes a form with the
assessor

Written guidelines that are distributed to all assessors

Providing examples or templates that show how to
complete the records

Online tutorials with examples

FAQ sheets

Monitoring the compilation of records completed by assessors on an ongoing basis
where feedback can be provided if required.
It is important that instructions for completing assessment records are clear, accessible
and regularly monitored and that feedback opportunities are available.
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Element 3: Manage the assessment record keeping system
Assessment tool example: Prepare workplace documents
Element 1: Plan workplace documents

Why is workplace documentation so important to the efficient execution of your
duties?

What logs or diaries are you required to keep? How often must they be filled out?

What sort of computer generated documents do you use? How are they generated?
Element 2: Prepare workplace documents
Collect four different types of workplace documents and answer the following:

What is each one used for?

How often are they filled out?

Who is responsible for filling them out?

Where are they stored?

Take the Assessor through the filling out of these documents.
Element 3: Complete workplace forms
Imagine the following situations and explain what kind of documents you would need to
complete:

You have to take a day off due to illness

Your home address details have changed

You have been forced to halt deliveries due to mechanical problems.
Produce a copy of each for your Assessor.
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Prepare Workplace Documents
Candidate Name:
Location:
Element 1: Plan Workplace Document
Date of Assessment:
C/NYC
Method of
Assessment
Comments
C/NYC
Method of
Assessment
Comments
C/NYC
Method of
Assessment
Comments
a) Purpose and audience for the document are
identified
b) Appropriate format for the document is
established to meet workplace requirements
c) Relevant information is identified and selected
for inclusion in the document
Element 2: Prepare Workplace Document
Date of Assessment:
a) A draft of the document is prepared in
accordance with workplace procedures and
conventions for sentence construction,
grammar, spelling, style, punctuation and
vocabulary that are appropriate for the
reader(s)
b) Document is edited and presented in a final
version appropriate to the task
Element 3: Complete Workplace Forms
Date of Assessment:
a) Work related form(s) is interpreted to identify
information required for its completion
b) Required information for completion of form is
gathered from relevant sources in accordance
with workplace procedures
c) Form(s) is completed in accordance with
workplace policy and procedures and any
applicable regulations and codes
Comments and evidence supplied:
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
Name of Trainer/Assessor and Signature: _____________________________________
Name of Workplace Coach’s/Supervisor and Signature: __________________________
Date: ___________________
Recommendation:
C / NYC
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Element 3: Manage the assessment record keeping system
3.3 File the assessment records
Introduction
Evidence of assessment is an important aspect of any assessment system and being able
to access this information quickly and effectively is critical to the quality of the system. A
filing system is necessary to keep information readily accessible and to make it easy to
update assessment records as required. This enables an organisation to gain a clear
picture of training needs and learning progress of staff. There may also be requirements
from external agencies that stipulate how and for how long an organisation must keep
assessment records in order for training and assessment to be recognised.
File assessment records
Any filing system needs to be easy to use in order for it to
be effective. With computer technology readily available
nowadays, a filing system that uses databases or computer
generated filing systems is an easy and effective option for
developing an assessment record system. This may be
combined with a paper based system which offers back-up
if the technology fails. If both paper-based and computer
generated systems are used it is critical to have a system
that enables both forms to updated, otherwise the system is
ineffective.
It is also important to consider who and why people may need to access assessment
records before developing a filing system.


Who needs access to assessment records?

Assessors

Managers

External agencies

Training providers and trainers

Candidates or staff

Administrators

Assessment coordinators
Why do they need access to assessment records?

To update assessment records

To evaluate assessment procedures and policies

To provide feedback to candidates, staff, managers, external agencies, training
providers and trainers

To check learning and qualification progress

To check work performance or promotion potential

To identify gaps in training or skills
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Any assessment record filing system should also:

Be secure and keep information confidential

Enable easy access to existing records

Allow records to be updated easily

Meet any external standards that are required by government, training providers or
regulatory agencies

Combine assessment records with training records in order to meet internal standards

Outline procedures and methods to enable validation of assessment records.
Activity
Look at the assessment records below. In pairs discuss what is missing from the
records. What extra information is required?
Further
evidence/training
required
Position
Training
completed
Assessment
result
Bob Smith
F&B Manager
Customer
Service
Management
Competent
Jane Myers
Front Office
Manager
Customer
Service
Management
Not Yet
Competent
Complete customer
journey map by
10/11/2012
Eli Mons
Recreation
Manager
OH&S
certificate
Competent
Refresher meeting
required 10/6/2013
Name
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Element 3: Manage the assessment record keeping system
3.4 Review and up-date the assessment record
keeping system
Introduction
Keeping records that do not reflect the actual achievements or true results of candidates
or staff is not an effective assessment recording system. Assessment records need to be
kept up to date and regular reviews of the assessment record system need to be
conducted to ensure that it is operating effectively. Procedures for reviewing and updating
the record keeping system and when the reviews should be conducted need to be
documented in order for the system to maintain integrity and quality.
Reviewing and updating the record keeping system
Regular reviews of the assessment record keeping system should be documented and
carried out as per internal or external requirements. Reviews allow different stakeholders
to provide comments and feedback relating to the record keeping system and enable
suggestions and improvements to be implemented. A review
mechanism should include:

Dates and time of review

Items for review

Data/information/feedback gathered

Issues or matters for attention

Who conducted the review

Recommendations for improvement

Date for next review

A mechanism for communicating updates or changes to the assessment record
keeping system to relevant stakeholders.
Regular meetings may also be used to review and update record keeping systems. In
reviewing the system certain questions need to be asked and answered and these can be
classified into different areas. The areas could include:

Administration issues such as candidate information collection, staff or participant
interviews, templates, database use, staffing, space requirements for storage of
documents, security issues

Content related issues such as new information required to maintain currency and
alignment with current industry practice

Technical issues including technology upgrades.
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Review process
Improved
Assessment
System
Conduct
Consultations with
Stakeholders
Ongoing
Evaluation
Review Cycle
Implement
Improvements
Gather Evidence
Develop
Implemntation
Strategy
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Element 3: Manage the assessment record keeping system
Work Projects
It is a requirement of this Unit you complete Work Projects as advised by your Trainer.
You must submit documentation, suitable evidence or other relevant proof of completion
of the project to your Trainer by the agreed date.
3.1 Show your trainer three examples of assessment records that are used at your
organisation. These could include examples of:

Personal information relating to candidates

Training rolls

Copies of training curricula or training plans

Assessment results for different items or competencies.
3.2 Provide your trainer with a copy of an assessment record from your organisation and
explain how it must be completed.
3.3 Provide a detailed list of how to file assessment records to your trainer.

Explain how security and confidentiality are maintained.
3.4 Develop an assessment review template that includes all of the necessary
information to complete a review of a part or the whole assessment system at your
organisation.

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Show the template to your trainer.
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Summary
Manage the assessment record keeping system

Managing an assessment system requires good management of the record keeping system in
order to maintain up to date information for all stakeholders

Appropriate internal records need to be developed and clear procedures for completing the
records need to be made available to assessors

Keeping records in an easily accessible manner is also necessary in order to make the
information available to stakeholders

Reviews of the record keeping system are an important part of the overall assessment system
and they should be completed at regular times in order to maintain current information within
the record keeping system.
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Element 4: Maintain quality assurance procedures
Element 4:
Maintain quality assurance
procedures
4.1 Define quality assurance procedures for the
assessment system
Introduction
All aspects of assessment need to be regularly monitored, reviewed
and improved. This is driven partly by our need to improve as
professional practitioners, partly due to changes and improvements
in our understanding of assessment processes, partly to meet
changes in outcome standards, and partly to respond to changes
within industry itself. Quality Assurance procedures or continuous
improvement is about applying good business practices to ensure the
best outcomes for our clients, namely: students, staff, industry and
the community. Our vigilance must extend beyond our own appraisal
of the assessment systems we have established. We must therefore
seek and incorporate feedback and advice from industry, employers,
other assessment professionals and the people we assess.
Continuous improvement
Continuous improvement and quality assurance are based upon assessment validation,
which is defined as follows.
Validation is a quality review process. It involves checking that the assessment tool
produces valid, reliable, sufficient, current and authentic evidence to enable reasonable
judgements to be made as to whether the requirements of the relevant aspects of the
training package or accredited course have been met. It includes reviewing and making
recommendations for future improvements to the assessment tool, process and/or
outcomes.
(Source: AQTF Users’ Guide to the Essential Conditions and Standards for Continuing
Registration)
Why do we need to get involved in quality assurance?
The quest for continuous improvement is a defining characteristic of professional practice.
There are many reasons why organisations need to engage in the quality assurance of
assessment systems as professionals in the hospitality and tourism sector. These include:

Confirming the credibility and recognition of certification and awards

Supporting the industry and community recognition of training participants

Providing the best service for stakeholders – learners and industry

Ensuring assessments reflect changes in current industry requirements
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Element 4: Maintain quality assurance procedures

Improving the validity, reliability, flexibility and fairness of assessments

Providing greater justice for participants for assessment with improved relevance,
transparency and support in assessment processes

Ensuring more meaningful feedback and guidance for students after they have been
assessed

Supporting ongoing organisational quality assurance

Enhancing the reputation and recognition of the organisation and its services

Minimising risks associated with the assessment process

Improving the management of assessment systems

Informing assessor selection and guiding professional development.
Defining quality assurance procedures
There are certain areas that need to be outlined in implementing quality
assurance procedures.
Systematically collecting and analysing data
Systematic approaches support quality assurance. They may include:

Planning where data will be collected from, how it will be collected, the form it will
take, how often it will be collected, and how it will be collated, analysed and used

Ensuring that data collection and analysis confirm good or best practice and show
where improvements need to be made

Making improvements where analysis demonstrates they are needed

Regularly reviewing data collection to assess its usefulness for improving products
and services

Giving feedback to those who have contributed to the data.
Ensuring that data is relevant and sufficient
The focus of qualitative data collection (for example, feedback from assessment
moderation meetings) and quantitative data collection (for example, records of
assessments undertaken and judgements made) could be informed by:

Prior continuous improvement activities

Feedback from stakeholders such as students, employers, industry

Quality indicator data

Assessing the relevance of the collected data to the lecturer’s training and
assessment outcomes; and

Deciding which aspects of training delivery are most critical to the organisation’s
quality training and assessment.
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Data sources relevant to improving training and assessment could include:

Client satisfaction surveys/questionnaires

Interviews, focus groups, and/or other data from consultation
with students, enterprise clients, industry organisations and
licensing bodies

Records of staff/planning meetings and agreed actions

Records of complaints and appeals, and their resolution

Internal audit reports and organisational self-evaluation

Staff performance appraisal reports.
Demonstrating improvements
Improvements to training and assessment could be demonstrated by changes to:

Quality, currency, relevance and sufficiency of training and assessment resources,
including reasonable adjustments made to meet the needs of participants with a
disability, or other valid reasons for adjustment

Professional development activities and outcomes

Validity, reliability, flexibility and fairness of assessment processes.
For continuous improvement, revised practices are analysed in light of further data
collection. Ways of identifying opportunities for the improvement of assessment strategies
could be through assessment system validation and the systematic improvement of
processes set out above. Opportunities for improvement may also be identified through
collaborative partnerships and risk management processes.
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Element 4: Maintain quality assurance procedures
4.2 Undertake internal audits of the assessment
system
Introduction
Internal audits are an important part of an effective assessment
system. These audits allow the organisation an opportunity to
identify strengths and areas for improvement in the system.
Audits can vary in what aspects they are focusing on and can
include whole audits or part audits depending on the need or
the organisation’s policy. Internal audits are a part of the quality
assurance process and they should be conducted regularly.
Conducting internal audits
Internal audits are a necessary aspect of an assessment system and may be required by
external agencies in order for an organisation to meet certain standards. Internal audits
should:

Be regularly scheduled either in full or parts of the system allocated for review/audit

Have the areas for the audit clearly defined and the cycles for auditing clearly stated

Include training for staff undertaking audits

Allocate sufficient resources for conducting the audit including personnel, equipment,
time and support

Provide access to necessary documents to record audit information and results

Be able to record information and store this information effectively and make it easily
accessible

Allow for evaluation and recommendations

Include mechanisms for distributing results and recommendations to relevant
stakeholders.
What aspects of an assessment system need to be monitored for
an internal audit?
In developing quality assurance procedures for the assessment system there are five
targets for validation that can be identified which should be included in an internal audit.
They include:

Assessment systems

Assessment processes

Assessment methods and tools

Assessment evidence

Assessment judgements.
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Assessment systems include but may not be limited to:

Grievances and appeals processes

Assessment processes

Validation systems and processes

Administrative procedures such as reporting/recording
arrangements

Quality assurance mechanisms

Risk management strategies

Acquisition of physical and human resources

Identifying roles and responsibilities

Establishing partnership arrangements.
Assessment processes include but may not be limited to:

Providing RPL; dealing with appeals, complaints and grievances; managing resources
and partnership arrangements

Designing assessment methods/tools

Selecting, managing and monitoring lecturers and providing them with professional
development

Managing the gathering of evidence, including third-party evidence gathering,
workplace assessment, simulation and record keeping

Making and recording judgements

Providing students with information

Providing students with feedback and guidance

Ensuring validity and reliability, flexibility and fairness.
Assessment methods and tools are used to gather assessment evidence, and may
include but not be limited to methods such as:

Observation of performance through normal work activities or simulated workplace
activities

Examining workplace products produced by the student

Questioning and/or conducting interviews

Seeking third-party reports

Structured activities (for example, role-plays, projects, presentations)

Examining portfolios.
And tools such as:

Observation checklists (for example, workplace and/or simulation)

Knowledge tests (for example, written and/or oral)

Third-party questionnaires

The instructions provided to students and instructions for evidence gatherers.
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Assessment evidence is information gathered which, when matched against the unit of
competency requirements, provides proof of competence. Evidence can take many forms
and be gathered from a number of sources. Assessors often categorise evidence in
different ways, for example:

Direct, indirect and supplementary sources of evidence

Evidence collected by the student or evidence collected by the lecturer

Historical and recent evidence collected by the student and current evidence collected
by the lecturer.
Quality evidence is valid, sufficient, current and authentic evidence that enables the
assessor to make the assessment judgement.
Assessment judgements involve the assessor evaluating whether the evidence
gathered is valid, sufficient, current and authentic in order to make the assessment
decision.
The assessment decision will require using professional judgement in evaluating the
evidence available about:

The quality of evidence gathered using the assessment methods/tools

The competency achievement of the participant based upon that evidence.
Example Assessment System audit sheet
Section for
audit
Specific area for
audit
Standards
Result and
recommendations
Risk
Participant
personal
details
completed
Compliant: All samples
checked were completed
correctly. Maintain regular
monthly checks.
Low
Assessment
records for
each
participant
completed
and up to
date.
Non-compliant: All but one
sample checked was up to
date and fully completed.
Participant 1452 sample was
missing assessor name. This
should be completed and
regular checks continued.
Medium
Assessment systems
Administrative
procedures
68
Recording
assessment results
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4.3 Use the results of quality assurance audits to
improve the assessment system
Introduction
Identifying areas for improvement of an assessment system is an
important part of the quality assurance process. Once the issues
have been identified it is necessary to respond appropriately to the
feedback. The first step in responding to recommendations is to first
ask the right questions in the relevant areas, in order to gather
evidence or feedback that can then be used to improve the system.
Any issues that are identified should then be used as a basis for
change. It is critical that the evidence is sufficient and relevant.
What strategies can we use to identify opportunities for
improvement?
There are three fundamental processes to identify opportunities for continuous
improvement. These are:

Reviewing

Moderating

Evaluating.
Reviewing
This involves the inspection of processes and products to determine the ‘face validity’ of
the assessment strategy. In effect lecturers are asking, ‘Does it look right?’ and ‘Does it
meet the principles of assessment?’ Examples of this process include:

Mapping and matching assessment methods/tools to unit of competency and training
package requirements

Opinions of industry representatives about the proposed assessment process and
assessment methods/tools

Opinions of peers about the assessment process and assessment methods/tools

Compliance of assessment processes and assessment methods/tools with internal or
external requirements.
These processes and other relevant indicators aid reviewing and support assessors’
professional judgement when applying an assessment strategy.
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Example of reviewing
The assessors working for a small organisation meet regularly with an industry focus group to seek
feedback on their assessment tools. These assessors are particularly keen to be reassured that
the assessment tools reflect current industry practice, and that industry is comfortable employing
participants who have been judged as competent after using these tools for assessments.
These assessors also meet as a team to review the organisation’s assessment process
documentation and each other’s assessment tools to ensure that they match training package and
internal requirements. They document opportunities for improvement identified through these
internal and external reviews, along with the name of the person responsible for addressing each
issue, and a date for completion. Changes made are reported at the next assessment review
meeting.
Comparing
Professional judgement involves comparing assessment
documentation and assessment outcomes to determine
content validity, reliability, consistency and reproducibility of
the assessment judgements. There is no single model for
assessment comparisons; however, assessment moderation
is a commonly used comparison process, although it is not
completely flawless. There may be variation in assessors’
judgements, but moderation works to ensure that the margins
of variation are minimal.
Moderation includes comparing:

The assessment methods/tools of two or more lecturers for the same unit(s) of
competency

The observations of two or more evidence gatherers for the same student’s
performance

The judgements made by two or more assessors based upon the same evidence

The assessment results of two or more similar units of competency for the same
student.
For example, two units covering different technical activities but involving similar
application of problem-solving skills can be looked at to determine that this aspect of the
student’s competence is being validly and reliably assessed.
Example of comparing
Assessors from a number of organisations meet to carry out assessments of the competence of a
candidate using a video recording of the participant’s performance and samples of the products
produced by the participant. The assessors use their own assessment tools to assess the
performance and products then compare their judgements and the evidence behind their
judgements. Differences in the evidence gathered and in judgements are discussed to clarify the
interpretation of the unit of competency until consensus is reached. Individual assessors then
modify their assessment processes to maintain that consensus in future. Each organisation
records its own participation in the meetings and the improvements made as a result of the
meetings.
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Evaluating
This involves gathering stakeholder feedback to determine the predictive validity, impact,
effectiveness and credibility of the assessment strategy. Assessors can evaluate the
following five kinds of impact.
1. How it feels: Does the person feel comfortable with the assessment process?
2. How it works: Can the person apply the competency in a workplace role?
3. How it is used: Is the assessment process properly applied?
4. How it serves: Does the assessment process contribute to industry and organisational
objectives?
5. How it rates: Is the assessment process the most time-effective and cost-effective
option?
Examples of gathering feedback include:

Participants’ opinions of their assessment experience

Evidence from assessment appeals, complaints or grievances about assessment

Feedback from employers and industry representatives about participants’
competence

Opinions of evidence gatherers about the assessment resources and processes, and
their ease of use

Feedback from auditors about non-compliances or opportunities for improvement.
Example of evaluating
To identify possible improvements, an organisation routinely surveys its current staff and trainers to
gauge satisfaction with its training delivery and assessment services. Staff and trainers are
surveyed by written questionnaires and managers are interviewed. Feedback relating to
assessment processes is then provided to assessors/managers and action taken.
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Element 4: Maintain quality assurance procedures
4.4 Review the applicability of the existing quality
assurance procedures to the dynamic nature
of the assessment system
Introduction
As has been seen in previous units, reviewing and moderating
the assessment system is an important aspect of maintaining
the quality of the system. Most systems are ever-changing and
dynamic. They are neither stagnant nor stable. It is important
then to also check the quality assurance procedures to make
sure that they are responding to the changing context in which
they have been developed. The critical factor in reviewing the
applicability of the quality assurance procedures is in including
as many relevant stakeholders in the quality assurance process itself and allowing them
the opportunity to provide honest and relevant feedback.
Gathering evidence for quality assurance to ensure its
applicability
Just as assessors use an assessment plan to map their evidence-gathering sources in
assessment, they can also plan their evidence-gathering sources for continuous
improvement using a simple table. This should help them identify what they need to ask
each stakeholder group (by reading the columns in the table below) and who they need to
consult for each aspect of continuous improvement (by reading the rows). This allows
specific information about the quality assurance process to be obtained from various
stakeholders, which in turn provides a more thorough appraisal of the quality assurance
procedures.
In the table below, the demands upon each stakeholder group are limited to those
aspects for which each is best placed to contribute.
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Primary evidence sources
Continuous
Improvement Activity
Industry
Employers
Review assessment
process


Review assessment
methods and tools


Technical
and subject
matter
experts

Review assessment
judgment
Review assessment
evidence


Participants
Trainers
Assessors








Compare assessment
methods and tools

Compare assessment
evidence



Government
and External
agencies

Compare assessment
process
Compare assessment
judgement
Evidence
gatherers


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Element 4: Maintain quality assurance procedures
Primary evidence sources
Continuous
Improvement Activity
Evaluate assessment
process
Industry
Employers


Evaluate assessment
methods and tools
Technical
and subject
matter
experts
Trainers








Evaluate assessment
evidence





Evaluate assessment
judgement





Assessors
Evidence
gatherers
Participants
Government
and External
agencies
Based on this table, assessors or reviewers should develop a set of questions that they may want to put to each group to determine if the
assessment system quality assurance procedures are applicable to the system. It is important for assessors to bear in mind that ‘assessment’
includes assessment associated with training delivery and assessment through RPL and to take into consideration that some stakeholder
groups may not be familiar with all the internal/external terminology and, as a result, some questions may need to be worded in a way that is
accessible to all stakeholders.
The answers to these questions become the items or results that should be used for the basis for changes of the assessment system and for
checking the quality assurance procedures as a whole. Answers to these questions should identify if the quality assurance procedures are
adequate and effective by revealing issues or areas for improvement. If no issues or feedback is gathered, there may be problems with the
quality assurance process.
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Work Projects
It is a requirement of this Unit you complete Work Projects as advised by your Trainer.
You must submit documentation, suitable evidence or other relevant proof of completion
of the project to your Trainer by the agreed date.
4.1 Bring three samples of assessment documents to your trainer that include:

The name of the document

Version control

When document was last reviewed.
4.2. Develop an audit template document for a part of the assessment system at your
organisation and complete it. Show the results of the audit to your trainer and
discuss the findings.
4.3. Use the results of the audit you conducted of a part of the assessment system and
make suggestions for improving the system based upon the findings. Discuss the
issues that have been identified with your trainer.
4.4. Look at the results from the audit and decide if the current quality assurance
procedures are able to capture the changing nature of the assessment system.

Do the current quality assurance procedures check that the assessment system
is matching the demands and requirements of external and internal
requirements?

Discuss your findings with your trainer.
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Element 4: Maintain quality assurance procedures
Summary
Maintain quality assurance procedures
Maintaining quality assurance procedures are necessary to ensure that the assessment system is
producing the results that it was intended to. It is important to:

Define the quality assurance procedures relating to the assessment system

Conduct internal audits regularly to check the relevance and effectiveness of the system

Use the results of any internal audits to improve the system by implementing responses to any
issues that were identified during the audit

Review the quality assurance procedures to make sure they are meeting the required needs
of the organisation. As any system is constantly evolving, the quality assurance procedures
must be able to adapt to these changes.
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
Element 5:
Report on the contribution made by
the assessment system to enterprise
training and performance
5.1 Identify the outcomes that the assessment
system has produced
Introduction
Once the assessment system has been implemented, the
next step is to check the outcomes that the system has
produced. If one of the aims of the assessment system was
to determine gaps in skills of staff, did the outcomes of the
assessment show this? What are the gaps in skills? If the
assessment system does not provide information or
evidence that can help the organisation improve, then the
system is not effective.
What are the outcomes?
There may be many different purposes for the assessment system and the outcomes of
the system need to align with the purposes. The assessment system, for example, may
have been implemented to identify workplace performance of staff. Interviews may have
been conducted, feedback forms and questionnaires completed, and observations carried
out. After all of the information has been collected, it must be analysed to determine if the
outcomes meet the organisation’s needs.
In identifying the outcomes that the assessment system has produced, it is necessary to
match the actual outcomes with the intended purposes of the system. It is important to
analyse the results or outcomes and identify:

Whether the assessment system has been effective in achieving the desired
outcomes of the system as a whole

The benefits that the assessment system has brought to the organisation by noting
the new skills attained, the amount of certificates issued, the increased opportunities
and performance that the system has provided to the enterprise

Increased professional development opportunities that have occurred due to the
implementation of the assessment system

Whether there were some areas of strength within the organisation that had not
previously been acknowledged

Increased staff engagement, productivity or workplace satisfaction.
It is important that the outcomes of the assessment system are investigated in an honest
and transparent so the evidence can be used constructively for positive change.
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
5.2 Review the assessment system
Introduction
Once the outcomes that the assessment system has produced are identified, the
assessment system needs to be reviewed to determine the overall success or
effectiveness of the system. In reviewing for the assessment system there are five targets
for validation that can be identified which should be used as a guideline for the review.
They include:

Assessment systems

Assessment processes

Assessment methods and tools

Assessment evidence

Assessment judgements.
The review should incorporate three aspects which include:

Reviewing

Comparing

Evaluating.
The chart below outlines the assessment review process.
Prepare a
schedule for
the validation
of the system
Review the
assesment ot
the unit/item
Compare
assessments of
the unit/items
Evaluate the
assessment of
the unit /item
Identify
stakeholders for
review of
assessment
documentation
Identify
assessors
and/or
evidence
gatherers
Identify stakeholders
for distribution of
evalualtion surveys or
interviews
Design and
distributereview
questions to
stakeholders
Set up
moderation
meeting to
compare
outcomes
Collect and
analyse
stakeholder
responses
Analyse results
of moderation
meeting
Prepare list of
improvements
and required
action
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Design and put
evaluation
questions to
stakeholders
Collect and
analyse
stakeholder
responses
Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
Review questions
Industry
Suggested questions (before implementing the assessment process as part of a review
process):
1
Is the assessment process consistent with industry expectations?
2
Do the selected assessment methods and tools reflect current
industry standards and practices?
3
Does the evidence meet the standards you would expect in industry?
Suggested evaluation questions:
1
Is the industry comfortable employing participants who have
demonstrated achievement through this assessment process?
2
Do you think that this assessment process will preserve or improve workplace
performance standards in your industry?
Employers
Assessors could ask questions like these of employers of participants who are
employees, trainees or apprentices or candidates who have been placed through work
placement or work experience and are being assessed in the workplace.
Suggested review questions:
1
Will the assessment process fit comfortably within your organisation’s activities and
workplace culture?
2
Do the selected assessment methods and tools reflect current industry standards
and work practices used in your business?
Suggested evaluation questions:
1
Has the assessment process had a positive impact on your organisation?
2
Were supervisors able to use the assessment tools effectively?
3
Did the assessment tools provide your organisation with useful information about
your employees/trainees/apprentices?
4
Does the evidence meet the standards you would require of your employees?
5
Were the judgements made about the participants’ competencies consistent with
your knowledge of these employees/trainees/apprentices?
6
Have the participants assessed as competent continued to perform at the
appropriate level?
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
Technical and subject matter experts
Assessors could ask questions like these particularly if assessing on a team basis, pairing
an assessment expert with a vocational/technical/subject matter expert drawn from
industry.
Suggested review questions:
1
Do the assessment methods and tools reflect the performance
requirements of relevant units of competency?
2
Do the assessment methods and tools reflect current industry
standards and workplace practices?
Suggested evaluation question
1
What impact do you think the use of these assessment methods and tools will have
on the future performance of these students?
Participants
Assessors may ask questions like these through a forum, questionnaires or interview.
These are all suggested evaluation questions:
1
Were you told that you had the right to an RPL assessment before you started this
course/training?
2
Were you given clear instructions about what to do in the assessment?
3
Do you feel that you were given sufficient information about what was going to be
assessed and how and when you were going to be assessed?
4
Do you think that the assessment process was fair and equitable?
5
Do you think that the person observing your performance was fair and unbiased?
6
Do you think that the overall judgement about your competency performance was
accurate and fair?
7
Were you given adequate feedback about your performance after the assessment?
8
Were you told about your right to an assessment appeal?
9
Were you given useful advice about further learning after the assessment?
10
Were you encouraged to monitor your own future progress?
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Trainers and teachers
Trainers and teachers may also be assessors. The following questions could be asked of
trainers or teachers who are not directly involved in the assessment process other than
through assessments used to monitor participants’ progress.
Note: The ‘assessment process’ relates to assessments used to determine competence.
Suggested evaluation questions:
1
Was the assessment process compatible with the training delivery program?
2
Did participants have a clear understanding of the relationship between the training
they are receiving and the assessment processes?
3
Did participants understand the difference between assessments used to monitor
their progress and assessments used to determine their competence?
4
Did feedback from the assessment process help participants to better direct their
learning efforts?
5
Was the final judgement of competency performance made through the assessment
process consistent with your observations of each participant?
Assessors
Other assessors from within the organisation or from another
organisation will be the most informed observers of assessors’
assessment systems. They can contribute to all aspects of
assessors’ continuous improvement processes. It is
understood that a natural reluctance to reveal good ideas or
weaknesses to a competitor means that this approach has
some risk, but the returns can be considerable. It is best if
assessors form a working relationship with other assessors in
their field or from other industry areas where they can ask
questions like those which follow. Assessors may want other lecturers to sign a
confidentiality agreement, or a reciprocal arrangement may be established regarding
sharing materials to protect the interests of each party.
Suggested review questions
The first list of suggested questions applies more to planning and development
processes; the second to implementation of assessment methods/tools.
1
Is the assessment process consistent with the relevant training package assessment
guidelines or accredited course assessment requirements?
2
Do all assessors involved in the process meet the requirements of the training
package assessment guidelines or course assessment requirements and internal
standards? If not, are they properly managed as required by the assessment
guidelines and standards?
3
Is the assessment process compliant with the internal and external standards and
agencies?
4
Are the roles of all parties in the assessment process clearly defined?
5
Is the clustering of units of competency used appropriately in the assessment
process?
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
6
Does clustering confuse or enhance the assessment process for all aspects of each
unit of competency? Why or why not?
7
Does the assessment plan faithfully reflect all required components of the unit(s) of
competency and the critical aspects of evidence?
8
Do the assessment methods/tools (either developed or adopted) faithfully reflect the
assessment plan and the requirements of the units of competency?
9
Is any contextualisation of the unit(s) of competency compliant with training package
requirements?
10 Do the assessment methods/tools reflect current industry practices and workplace
context?
11 Do the assessment methods/tools reflect the level of complexity, responsibility and
autonomy indicated by the employability skills and the standards of the unit(s) of
competency?
12 Do assessment simulations reflect current workplace practices and environment,
and adequately show evidence of the four dimensions of competency?
13 Can reasonable adjustment be made to the assessment tools?
14 Have limits to reasonable adjustment been set, and are these limits consistent with
the training package assessment guidelines or accredited course assessment
requirements?
15 Does the judgement process reflect the required performance outcomes and critical
aspects of evidence of the unit(s) of competency?
16 Is a form of version control in place to ensure that only current versions of
assessment method/tools are being used?
17 Do partnership agreements clearly specify the assessment roles and responsibilities
of both parties, including quality assurance and record keeping?
18 Are all the necessary assessment resources readily accessible?
19 Have evidence gatherers been appropriately selected, briefed, managed and
monitored to ensure sufficient quality evidence?
20 Are evidence gatherers provided with clear instructions?
21 Are students provided with clear instructions?
22 Is the quality of evidence regularly reviewed for credibility and admissibility?
23 Are judgements based upon sufficient evidence (a range of time, context and
application)?
24 Are the assessment records adequate to respond to appeals or complaints?
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
The following questions require assessors to use the assessment processes and
compare their results – a process usually described as ‘moderation’.
1
Do different assessors develop similar assessment strategies for the same unit(s) of
competency?
2
Do different assessors record the same evidence when observing the same
participant’s performance? (The tools and assessment process may need to be
adjusted if they do not)
3
Do different assessors make the same judgement based upon the same evidence
for a unit of competency?
Evidence gatherers
Evidence gatherers are people who act on behalf of an assessor to
apply an assessment method/tool to gather evidence relating to a
participant’s performance. Evidence gatherers do not make an
assessment judgement; they simply record what they have observed
using an observation checklist and a record sheet provided by the
assessor. All assessors are evidence gatherers, accumulating
evidence until there is sufficient to make a safe judgement, but
anyone referred to as an ‘evidence gatherer’ is probably not an assessor.
The following evaluation questions are some that might be put to evidence gatherers.
Suggested evaluation questions
1
Were your roles and responsibilities as an evidence gatherer clearly specified?
2
Were you provided with clear instructions relating to gathering the evidence and
recording the outcomes?
3
Were occupational health and safety (OHS) and other regulatory issues adequately
addressed in your instructions on evidence gathering?
4
Were the assessment methods/tools easy to use and relevant to your role as an
evidence gatherer?
5
Were limits to reasonable adjustment clearly defined and applicable?
6
Was there any perceived or actual conflict of interest between your role as an
evidence gatherer and your relationship with the participant (as a supervisor, client
or colleague)?
Comparison task
1
Do different evidence gatherers record the same evidence when observing the
performance of the same student?
Government authorities
Government authorities will from time to time audit compliance of the organisation with
various standards relating to OHS and the external requirements. For the most part, they
will ask the questions, but their findings can contribute to assessors’ continuous
improvement process.
The sort of question assessors can ask is:
1
What ‘non-compliance’ or ‘opportunities for improvement’ relating to assessment
have been identified?
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
5.3 Make recommendations for change to the
assessment system
Introduction
After completing a review of the assessment system, the outcomes of the review need to
be documented and suggestions or recommendations made. These recommendations
need to be based upon evidence that is sufficient and real in order for any changes that
are implemented to be effective. Making a recommendation to change the assessment
system, based upon insufficient evidence, could negatively impact on the system.
Recommending change
There are many reasons why change may be needed for an assessment system. As has
been seen in previous units, gathering evidence relating to the system’s effectiveness is
an important part of a continuous improvement cycle. Once sufficient evidence has been
gathered, it is necessary to analyse the results and use them to make recommendations
for the assessment system process. These suggestions could relate to many different
aspects of the assessment system including:

Whether to continue with the existing assessment system with minor alterations or to
cease with the current system in favour of an external provider administering an
assessment system

Making recommendations relating to staff resources, training, payment, costs,
assessment content or administration procedures

Expanding the existing system or reducing the scope of the existing assessment
system

Recommending changes to location and timing of the assessment system.
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
Below is an example of an assessment system review with recommendations for change.
Activity
Read through the chart below and make recommendations for the sections
which have not been completed. Discuss your responses with your partner.
System area
Evidence collection
Finding
Recommendations
Assessment result
recording
10 participant result
sheets
All samples collected
were completed in full
with no information
missing. All participant
results were current
and up to date
Continue with current
practice
Several assessors’
had not completed the
OH&S certification
due to lack of time
Assessors to complete
OH&S training as
soon as possible and
regular checks
implemented to
monitor assessor skills
Assessor summary of
results sheets
Interviews with
participants and
assessors
Assessor
qualifications
Interviews with
assessors
Qualification checks of
all assessors
Interviews with
participants and
managers
Assessment validation
Validation documents
observed
Interviews with
assessors, evidence
gatherers and
managers
Interviews with
participants
Assessment staff
resources
Assessor scheduling
documents obtained
Participant numbers
and assessment
delivery schedule
checked
Administration staff
scheduling documents
obtained
Validation documents
completed and up to
date
Two assessment
areas not
documented:
assessment
procedures and
assessment
moderation
Several assessors
scheduled to conduct
assessment on certain
days but no
candidates available
Assessment details
not communicated to
participants in a timely
manner
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
System area
Evidence collection
Finding
Assessment methods
Observation of
assessment delivery
Assessors used only
two varieties of
assessment methods
Assessor interviews
Participant interviews
Assessment tools
Assessor interviews
Assessment tools
examined
A reliance on
summative testing was
observed with limited
scope of different
assessment tools
Assessors used paper
based tools when
online assessment
tools are available and
computer labs
available
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Recommendations
Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
5.4 Produce and circulate a report
Introduction
The next stage in managing an assessment system is to develop a
report and distribute the report to all relevant stakeholders. The report
should outline all the necessary information about the assessment
system, the results of the review, any recommendations for change or
updating of the system, and any future plans for further reviews or
checks. The report then needs to be circulated to all of the people that
can are connected to the assessment system so that they can provide
any other feedback that may be relevant or just to be aware of the
results and any changes that may be implemented due to the review
process.
What should be included in a report?
When writing a report it is important to identify the intended audience or readers. What do
they need to know about the review of the assessment system? There are many different
ways to write a report but there are certain parts or sections that should be included in
any report. A suggested format for a report may include:
Section 1:

Cover

Title page

Executive Summary

Table of contents

List of figures.
Section 2: Body of the report

Introduction

Findings and discussions

Conclusions

Recommendations.
Section 3:

Appendices

References

Glossary (If required).
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
Title page
A title page should include:

The full title of the report which is clear and informative

Who the report was developed for

Who developed or produced the report

The date

A footer identifying if it is ‘strictly confidential’ or for ‘public release’

No page number.
Table of contents
A table of contents allows readers to locate necessary information easily by providing an
outline or overview of the report as a whole. All of the main sections and subsections
should be included and they should be written the same as in the main body of the report.
Executive Summary
An executive summary is usually a one page summary of the entire report. It should be no
longer than 5% - 10% of the report length. It outlines why the report was developed, what
the report is about, how it was developed, the most significant findings or results of the
review, and any analysis, conclusions or recommendations. Many stakeholders will only
read this section so it is extremely important.
Main body
In this section an introduction is provided which details any relevant background
information, describes the objectives of the report, details the structure of the report and
how the review was conducted, and outlines any constraints, assumptions or limitations
on the scope of the review or report.
Findings or results
In this section the main findings are outlined with further discussion and analysis of the
results. It is important to provide an analysis of the findings and use the evidence from the
review to support the findings. The findings section can be presented in text and/or by
using charts, graphs and figures.
Conclusion
The conclusion summarises all aspects of the report and provides an opportunity to
present an overall opinion or reflection from the report. New information should not be
included in the conclusion.
Recommendations
This section is one of the most important parts of the report as it takes the findings and
uses the evidence to recommend changes that will improve the assessment system. The
recommendations should outline what needs to changed or implemented, who should be
responsible for the changes and when they should be completed by.
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Element 5: Report on the contribution made by the assessment system to
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Activity
Your trainer will give you some examples of reports. Read through them in small
groups and look at all the sections. Are the reports clear? Is there a table of contents,
executive summary or recommendations section?
Conduct a survey of your class. The survey could be about favourite food, sports,
holidays or it could determine the qualifications of the members of your class.
Once you have collected the data, create a chart or graph that captures the information,
and then write a brief outline of the findings.
Circulate the report
Once you have completed the report it is necessary to circulate the report to all the
relevant stakeholders. It is important to identify all of the stakeholders they may need to
receive the report and these could be:

Assessors

Managers

External agencies

Training providers and trainers

Candidates or staff

Administrators

Assessment coordinators.
The report may be paper-based or it may be distributed electronically. You may use a
combination of both paper-based and electronic distribution via email. There should be a
mechanism that allows for feedback and you might organise a presentation of the report
with all key stakeholders attending. The presentation should allow participants to respond
to the findings and then this feedback can form the basis for a further review of the
assessment system.
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
5.5 Revise the existing assessment system on the
basis of responses to the report
Introduction
After completing a report and asking for feedback based upon the
report findings and recommendations, it may be necessary to change
or update some parts of the assessment system. Once the changes
have been implemented the quality assurance or continuous
improvement cycle begins again as the new changes will have to be
monitored to make sure that they are appropriate and beneficial or
relevant.
What will be revised?
As was presented in previous elements, there are five main areas of the assessment
system where improvements or revision may be implemented. They include:

Assessment systems

Assessment processes

Assessment methods and tools

Assessment evidence

Assessment judgments.
After recommendations have been made and stakeholders have added their comments
and feedback, decisions may be made on what changes or improvements to the
assessment system are necessary.
These may include:

Revising policies and procedures relating to the assessment system

Altering the assessment tools to make them more relevant and appropriate

Revising the assessors that have been used which may mean increasing or
decreasing numbers, choosing assessors with different skill sets and experience, or
providing more training for current assessors

Revising the assessment times and locations to suit organisational needs

Communicating any changes that have been made to the assessment system and
making sure that all relevant stakeholders are informed of these changes or updates.
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Element 5: Report on the contribution made by the assessment system to
enterprise training and performance
Work Projects
It is a requirement of this Unit you complete Work Projects as advised by your Trainer.
You must submit documentation, suitable evidence or other relevant proof of completion
of the project to your Trainer by the agreed date.
5.1 Analyse the results of the assessment system at your organisation and develop a
short report that outlines the outcomes that the assessment system has achieved.
Show the report to your trainer and discuss outcomes.
5.2. Choose one aspect of the assessment system and conduct a review of it. Outline:

What was reviewed

How the review was conducted

The results of the review.
5.3. Based upon the results from the review you conducted, make a list of
recommendations for improving the assessment system. Show the list to your
trainer.
5.4. Write a short report that discusses the review of the assessment system that you
conducted. Make sure that the report follows the guidelines from the trainee manual.
Provide the report to your trainer.
5.5 After discussing the assessment review report with your trainer, describe the
changes that you would make to the assessment system to improve it. These
revises should be based upon feedback from the review.
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Element 5: Report on the contribution made by the assessment system to
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Summary
Report on the contribution made by the assessment system to enterprise
training and performance
After conducting relevant reviews and checks relating to all aspects of the assessment system, it
is critical to determine if the system is meeting the original goals or purposes that it was designed
for. In examining the contribution made by the assessment system, it is important to:

Identify the outcomes that the assessment system has achieved

Establish mechanisms to review the system

Make recommendations bas upon the results of reviews

Document the review process and outcomes, and distribute to all relevant stakeholders to
provide opportunities for feedback

Revise the assessment system based upon the outcomes of the review and feedback
received.
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Presentation of written work
Presentation of written work
1. Introduction
It is important for students to present carefully prepared written work. Written presentation
in industry must be professional in appearance and accurate in content. If students
develop good writing skills whilst studying, they are able to easily transfer those skills to
the workplace.
2. Style
Students should write in a style that is simple and concise. Short sentences
and paragraphs are easier to read and understand. It helps to write a plan
and at least one draft of the written work so that the final product will be
well organised. The points presented will then follow a logical sequence
and be relevant. Students should frequently refer to the question asked, to
keep ‘on track’. Teachers recognise and are critical of work that does not
answer the question, or is ‘padded’ with irrelevant material. In summary,
remember to:

Plan ahead

Be clear and concise

Answer the question

Proofread the final draft.
3. Presenting Written Work
Types of written work
Students may be asked to write:

Short and long reports

Essays

Records of interviews

Questionnaires

Business letters

Resumes.
Format
All written work should be presented on A4 paper, single-sided with a left-hand margin. If
work is word-processed, one-and-a-half or double spacing should be used. Handwritten
work must be legible and should also be well spaced to allow for ease of reading. New
paragraphs should not be indented but should be separated by a space. Pages must be
numbered. If headings are also to be numbered, students should use a logical and
sequential system of numbering.
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Presentation of written work
Cover Sheet
All written work should be submitted with a cover sheet stapled to the front that contains:

The student’s name and student number

The name of the class/unit

The due date of the work

The title of the work

The teacher’s name

A signed declaration that the work does not involve plagiarism.
Keeping a Copy
Students must keep a copy of the written work in case it is lost. This rarely happens but it
can be disastrous if a copy has not been kept.
Inclusive language
This means language that includes every section of the population. For instance, if a
student were to write ‘A nurse is responsible for the patients in her care at all times’ it
would be implying that all nurses are female and would be excluding male nurses.
Examples of appropriate language are shown on the right:
Mankind
Humankind
Barman/maid
Bar attendant
Host/hostess
Host
Waiter/waitress
Waiter or waiting staff
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Trainee Manual
Manage an assessment system for training outcomes
Recommended reading
Recommended reading
Making your ideas stick, reporting and program planning
Atkinson C. Beyond Bullet Points: Using Microsoft Office PowerPoint 2007 to Create
Presentations That Inform, Motivate, and Inspire. Microsoft Press, 2007
Becker HS. Writing for Social Scientist: How to Start and Finish Your Thesis, Book, or
Article. Chicago, IL: University of Chicago Press, 2077, 2nd ed
Heath C, Heath, D. Made to Stick: Why some Ideas Survive and Others Die, New York,
NY: Random House, 2007
Heath C, Heath D. Switch: How to Change Things When Change is Hard. New York, NY:
Random House, 2010
Lavinghouze R, Price AW, Smith, KA. The Program Success Story: A Valuable Tool for
Program Evaluation. Health Promotion Practice, 2007; 8(4): 323–331
Torres R, Preskill H, Piontek ME. Evaluation Strategies for Communicating and
Reporting. Thousand Oaks, CA: Sage Publications, Inc., 2004, 2nd ed
Qualitative methods
Miles MB, Huberman, MA. Qualitative Data Analysis. Thousand Oaks, CA: Sage
Publications, Inc., 1994, 2nd ed
Patton M.Q. Qualitative Research and Evaluation Methods. Thousand Oaks, CA: Sage
Publications, Inc., 2001, 3rd ed
Yin RK. Case Study Research: Design and Methods (Applied Social Research Methods)
Thousand Oaks, CA: Sage Publications, Inc., 2008, 4th ed
Yin RK. Qualitative Research from Start to Finish. New York, NY: The Guilford Press,
2010
Quantitative methods
Kleinbaum DG, Klein M. Logistic Regression: A Self-Learning Text (Statistics for Biology
and Health. Springer, New York, NY, 2010, 3rd ed
Rothman KJ, Greenland S, Lash TL. Modern Epidemiology. Philadelphia, PA: Lippincott
Williams & Wilkins, 2008, 3rd ed
Tufte ER. Envisioning Information. Cheshire, CT: Graphics Press, 1990
Tufte ER. The Visual Display of quantitative Information. Cheshire, CT: Graphics Press,
2001
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Recommended reading
Evaluation use
Butterfoss FD. Coalitions and Partnerships in Community Health. San Francisco, CA:
Jossey-Bass, 2007
Mattessich PW. The Manager’s Guide to Program Evaluation: Planning, Contracting, and
Managing for Useful Results. St. Paul, Minnesota: Amherst H. Wilder Foundation, 2003
Patton MQ. Developmental Evaluation: Applying Complexity Concepts to Enhance
Innovation and Use. New York, NY: The Guilford Press, 2010
Patton MQ. Utilisation-Focused Evaluation. Thousand Oaks, CA: Sage Publication, 2008
Useful websites:
Assessment systems: http://equella.think.edu.au/lor/file/c5c75dd7-cfb6-63ba-de0274a178fbb10b/7/AssessmentPolicyAndProcedure.pdf
Evaluation ideas: http://www.eval.org
Impact and Value: Telling Your Program’s Story:
www.cdc.gov/oralhealth/publications/library/success_stories_wkbk.htm
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Trainee Manual
Manage an assessment system for training outcomes
Trainee evaluation sheet
Trainee evaluation sheet
Manage an assessment system for training outcomes
The following statements are about the competency you have just completed.
Please tick the appropriate box
Agree
Don’t
Know
Do Not
Agree
Does Not
Apply
There was too much in this competency
to cover without rushing.
Most of the competency seemed relevant
to me.
The competency was at the right level for
me.
I got enough help from my trainer.
The amount of activities was sufficient.
The competency allowed me to use my
own initiative.
My training was well-organised.
My trainer had time to answer my
questions.
I understood how I was going to be
assessed.
I was given enough time to practice.
My trainer feedback was useful.
Enough equipment was available and it
worked well.
The activities were too hard for me.
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Trainee evaluation sheet
The best things about this unit were:
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
The worst things about this unit were:
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
The things you should change in this unit are:
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
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© ASEAN 2013
Trainee Manual
Manage an assessment system for training outcomes