Reference
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VRQA Guidelines for VET Providers: Guideline 5.1- The provider must demonstrate that they have
the capacity to deliver and assess ALL courses requested/on the scope of registration
 Assessment material MUST include an information guide for assessors on the process of
assessment used by the RTO.
AQTF - Essential Conditions and Standards for Continuing Registration
 Condition 3 – Compliance with Legislation.
 Standard 1: The RTO provides quality training and assessment across all of its
operations.
 Standard 2: The RTO adheres to principles of access and equity and maximises outcomes
for its clients.
Assessor Guidelines
Introduction
In providing a high level education process, St Kilda Youth Services Inc. (hereafter known as SKYS or the
RTO) conducts a number of formal assessments of its students and, these assessments are conducted
according to clearly defined guidelines to ensure they are valid, reliable, flexible and fair.
Responsibilities of assessors
Assessors have a significant responsibility. Their judgement certifies that students have demonstrated the
training package/accredited course competency standards to the standard required in the workplace.
In making the judgement of competency against the units of competency, assessors must evaluate the
evidence and assess the risks. Constraints and pressure are widespread – time, cost, the demand for
quick outcomes – but compromise and diminution of the training package/accredited course requirements
are not viable options.
Faithful adherence to the content and intent of the training package/accredited course curriculum in the
assessment process is critical to ensuring the VET systems is staffed by competent trainers, assessors and
VET practitioners (AQTF 2010, Standard 1.4 and Standard 12 for Accredited Courses).
Instructions to assessors on conducting assessments
This section provides guidance to assessors on conducting assessments. It includes, amongst others, but
not limited to:
 Clear and consistent information in their instructions are provided to students on assessment
requirements (including performance objective, assessment description, assessment procedure,
assessment specification, criteria against which they will be assessed, when and how they will
receive feedback and mechanism for appeals).
 When providing work samples as assessment evidence, clear and consistent information in their
instructions are provided to students on how to ensure students work samples meet the
requirements of the unit (including authenticity process and currency).
 Instructions are written in ‘Plain English’.
 Instructions are appropriate for both AQF an LLN levels.
 Administering the assessment tool.
 Rules for making decisions regarding competence (eg marking guides, expected answers,
benchmark exemplars, etc). This may also include evidence and judgement statements.
 Assessment processes (eg documenting the assessment, providing objective, clear and
constructive feedback, retaining completed marked assessments, recording of results and record
keeping).
 Access to practice environment for students.
 Assessment tasks are conducted in a real work environment or appropriately simulating work
environment, ie using simulation.
 Applying reasonable adjustment, while still maintaining the integrity of the outcomes (including
instructions).
 Integrated assessments.
 Interpreting the units for assessment purposes.
 Allowing for assessment in different environments or under different conditions where required.
 The confidentiality and privacy processes have been documented.
What is Assessment?
Assessment is the process of collecting evidence and making judgments on whether competency has been
achieved to confirm that an individual can perform to the standard expected in the workplace. The
standard is described in the relevant endorsed industry/enterprise competency standards of a training
package or accredited course curricula. The assessment process is used to determine whether people are
either 'competent' or 'not yet competent' against the agreed industry standards.
Purpose of assessment
The most obvious use for assessment is to determine whether someone is competent and has the specific
skills and knowledge to do the job; this could also lead to the attainment of a qualification. Assessments
may also be used to determine whether or not a person can be issued with a licence to work in a specific
job role. Assessment is to be based on clearly stated objectives. These should be stated in assessment
briefs provided to the students prior to assessments.
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Notification
Learners undertaking courses will be notified of the assessment requirements at the commencement of
that particular unit/cluster of instruction and delivery. This will be achieved through the ‘Unit Guide and
Assessment Plan’ for each unit of competency and will contain amongst others the following information:
 Rationale and synopsis of the unit;
 Details of topics to be covered;
 Required text and other reference materials, eg websites, you tube, etc
 Types of assessments;
 Due dates;
 Plagiarism;
 How employability skills have been embedded in the assessment tools;
 Assessment mapping matrix;
 Extensions and late submissions of assessments; and
 Student learning program.
Diagnostic
Diagnostic assessment is used to help identify training needs. Diagnostic assessment tasks allow people
to demonstrate their current competence. The results are used as the basis for preparing relevant training
to:
 Bridge any performance gaps, and
 Extend workplace skills.
An example of diagnostic assessment is where someone is required to demonstrate how to operate a
machine in a workplace but is unable to do so as they do not understand a key part of the operating
process. In this situation an assessor would normally gain information by means such as questioning, to
identify the person's particular skills gap or need. Training or other strategies are used at a later stage to
help find ways of overcoming the skills gap or meeting the need.
Diagnostic assessment is often undertaken informally during learning or practice in conjunction with
formative assessment.
Formative
Formative assessment takes place over a period of learning or practice. The major purpose of formative
assessment is to provide frequent feedback on how someone is progressing towards the achievement of
competency. Evidence from this type of assessment is not normally used to make a judgement about
competence. Rather, it is used by a trainer to help modify the training program for the benefit of the
student. It can be used as:
 an introduction;
 reinforcement;
 a broadening experience; and
 Part of a teaching sequence i.e. as a learning task.
Summative
Summative assessment is the performance at the end of a period of learning or practice. When people talk
about assessment they often mean summative assessment because they see this as the assessment that
counts, because the results are recorded and contribute either wholly or partly to progress towards a goal.
Effective assessment
What students want?
 sufficient time to do tasks;
 well spaced assessment tasks;
 clear instructions;
 no distractions or interruptions during their assessment;
 constructive, clear and objective feedback;
 faith in the result;
 results to be kept confidential; and
 Another chance to complete an assessment task successfully.
What good assessors do?
 organise all the things needed for the assessment beforehand;
 arrange for others to be involved if team skills are being assessed;
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encourage students to take their assessment when they feel they are ready;
adapt tasks to suit the student’s individual needs and workplace;
combine assessment tasks to reduce the assessment load; and
Allow enough time for further training and practice before re- assessment or re-sit.
Assessment methods
The assessment method is the way a student is assessed – the way they provide evidence of
competence. A standard set of terms is used to create consistency and shared understanding. They are
deliberately broad to allow maximum flexibility when it comes to developing assessment tools. They are
used in these documents, amongst others:
 Learning and Assessment Strategy;
 Assessment Validation Report;
 Assessment Moderation Report;
 Industry Consultation Record; and
 Trainer/Teacher and Assessors Decision Record (i.e. marking guides, observation
checklists, benchmark exemplars, etc.)
 Demonstration
o Any practical form of display that happens off-the-job can be termed demonstration. This
includes role-play, simulation and performance of a task or skill.
 Knowledge Test
o Underpinning knowledge is often assesses by multiple choice questions, short answer
responses, reports or essays. These question types all have ‘right’ answers. Usually these
are written but questions may be answered orally and the assessor marks the response.
Tests are usually supervised in some way.
 Interview
o A standard set of questions is agreed across assessors beforehand, and then these are
answered orally by the student. This method of assessment works well where there are no
’right’ answer and the assessor is looking to see capacity to make a professional
judgement. Interviews may be conducted face-to-face, by telephone or web conference.
 Presentation
o Oral presentation may be made to an audience during a workshop or sent in on video.
They differ from a demonstration in that they are not actually demonstrating a skill.
 Project
o A project is a series of tasks that need to be completed to produce a specific definable
outcome. The outcome is known as the deliverable. Once the outcome has been delivered
the project is finished. These are examples of projects: being involved in an event or
production, establishing something such as a business or a system, constructing
something such as a house or model,
o management plan and written feedback about aspects of the project.
 Report
o A report provides information about something that has happened. Formal reports have
specific structure. Informal reports may have a series of headings. A report is usually
written, although it can be delivered orally. The report is done in the student’s own time
and submitted for assessment. A reflective journal is also a type of report.
 Written Responses
o A set of expected answers to the questions listed.
 Documents:
o A student may be asked to present documents that have been completed as part of their
work routine. A completed supervisor’s verification is also a work document.
 Work Supervision
o When the assessor observes the student doing their job to see that they are completing
the tasks appropriately, this is workplace observation. It is possible that work activity can
be videoed and presented as evidence.
Supervision of assessments
 All assessments must be supervised, wherever possible. This shall be a person familiar with the
unit to be assessed and clear guidelines should be provided.
 Students must be available throughout the periods designated by their assessors for
assessments.
 Learners must comply with all directions given by the assessor.
 Learners are expected to exhibit honesty and ethical behaviour in undertaking assessment
requirements and not cheat. Cheating is defined as any fraudulent response by the student to any
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item of assessment, including any action that may otherwise defeat the purposes of the
assessment.
Students are required to submit work completed by them unless it is stipulated in the course
instruction that group submissions are required.
When conducting practical assessments, the student is to be made aware of the objective,
requirements and expected outcome, (ie what the assessor is looking for).
Instructions on using simulation
 Assessment conducted in a simulated work environment must replicate the conditions and
outcomes encountered in a workplace, as noted in the unit of competency.
 In some cases this may refer to the actual physical resources, such as assessing an apprentice
changing engine oil in a motor vehicle.
 In other cases this may refer to the interpersonal dynamics of the workplace, such as assessing a
manager’s ability to conduct an interview to review work performance. It may refer to a
combination of both.
 The assessor will need to fully analyse the unit of competency being assessed and make a
judgement regarding the adequacy of a simulated work environment.
 While workplace environment is highly desirable for both practice and assessment, it is a
recognised that, where an appropriate workplace environment is not available, simulation may be
required as an assessment environment for some units or aspects of competence. Some
examples would be where occupational health and safety considerations make workplace
application inadvisable or the student does not have and cannot gain access to a workplace where
all the assessment requirements of a unit can be met.
 Simulation is not, and should not be considered an assessment ‘short cut’ as the rules of
evidence apply.
Feedback
All students are to receive constructive, clear and objective feedback from the assessor as soon as
possible after the assessment and in a face–to-face setting, where possible.
Assessment tools consist of:
 Performance objectives;
 Specifications;
 Assessment descriptions;
 Conditions under which assessments are to be conducted;
 Procedures – the information or instructions given to the student and the assessor about how the
assessment is to be conducted and recorded.
 Resources available or necessary to conduct the assessment, if appropriate.
Industry consultation
Personnel who are developing assessment tools must consult with people who are currently in the
appropriate industry during the development phase.
They must be able to outline what consultation with industries/enterprise/training bodies occurred and
state where evidence of this consultation is located.
Risk assessment
All assessment involves risk. As part of the development of an assessment strategy, the developers must
consider particular risks that may impact on the assessment process, especially:
 Environmental risk;
 Legal risk;
 Physical risk;
 Emotional risk;
 Health risk; and
 Compliance risk.
Assessment requirements
There are three dimensions that must be kept in mind while developing assessment tools:
 Dimensions of competency;
 Principles of assessment; and
 Rules of evidence.
Dimensions of competency
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There are four dimensions to competency that must be covered by the assessment tools.
Task skill:
Perform the skill to industry standard.
Task management:
Balance different tasks of job.
Contingency management:
Respond to problems and changes in routine.
Job/role management: Perform according to job/enterprise expectations.
Principles of assessment: All assessment carried out by SKYS are required to demonstrate compliance with
the four (4) principles of assessment. These principles of assessment must be addressed in the:
 Design, establishment and management of the assessment system for the Training
Package/Curriculum for Accredited Courses;
 Development of assessment instruments; and
 The conduct of assessment.
The following are the four (4) principles of assessment:
 Valid
Validity refers to the degree to which the instrument measures what it is supposed to measure. If
the assessment instrument addresses the element/s it is intended to address and is practical to
use, then it is valid.
 Reliable
Reliability refers to the degree to which evidence presented for assessment is consistently
interpreted and results in consistent assessment outcomes. The assessment instrument is
reliable if individual learners would get a similar result if tested on different occasions, given the
same set of circumstances.
 Flexible
This means that the assessor should fit in with the different types of training delivery, local site
needs and student needs. It is achieved by:
o being prepared to offer a range of assessment tasks or procedures so as to fit in with
work needs, site needs and student needs; and
o recognising the competency no matter where or how the skills were acquired
 Fair
An assessment is fair if it does not disadvantage particular students. Before the assessment
begins, students should clearly understand what is expected of them, what form the assessment
will take, how the assessment relates to what they have learned. These can be addressed through
well written procedures that are available to the student before the actual assessment begins.
Assessment will be fair if:
o practices and methods are equitable to all groups;
o procedures and criteria for judging performance are clear;
o there is scope for reasonable adjustment; and
o There is opportunity to review the result and allow reassessment or re-sit if necessary.
Rules of evidence: This rules of evidence guide the collection of evidence that address the the following
principles:
 Valid
Content validity means the assessment instrument is representative of the skills that it is
supposed to measure. The instrument covers the knowledge and skills that are essential to
competent performance as set out in the unit of competency.
 Sufficient
Sufficiency relates to the quality and quantity of evidence assessed. It requires collection of
enough appropriate evidence as set out in the critical aspects of evidence for the unit of
competency.
 Authentic
The instrument allows an assessor to be assured that the evidence presented for assessment is
the student’s own work.
 Current
The instrument allows enough current evidence to be collected to make a decision of
competent/not yet competent.
Supplementary assessments
In the event of a student not achieving the required standard/outcome in an assessment, the following
actions are to occur:

The student is advised of the specific areas in which they are not yet competent;

The student will be offered remediation in those areas for which they are not yet competent
(Further evidence is required); and

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Assessment or resit) will be conducted. The assessment may contain some areas in which
previous competency have been achieved, however these will only relate to the areas of non
competency.
Appealing against assessment results
Should a student disagree with results or method of an assessment, the students should:
 Discuss the issue with the appropriate trainer/assessor, initially
 Be referred to the RTO’s Complaints and Appeals Policy and Procedures on its website.
Support materials available to assessors are (a) Marking Guides and (b) Exemplars
 Marking guides
A marking guide for an assessment instrument contains the decision-making rules or guidelines to
be used by assessors. It sets out the behaviours that the assessor must identify to ensure that the
student is competent. It is not a list of the performance criteria taken from the unit of competency.
Marking guides help ensure that the assessment process is valid, fair and reliable because they
mean the assessor is always looking for the same behaviour.
A marking guide must exist for each assessment instrument. It must be created at the same time
the assessment instrument is designed.
The assessor must sign and date the marking guide once the task has been completed
successfully.
If the student cannot perform the task/component of a task satisfactorily in the time allocated,
then make a note of this on the marking guide and add a comment that helps explain the
outcome. This same copy of the marking guide may be used at re-assessment time. This way it
becomes a ‘history’ of progress. If a new marking guide is preferred, staple the first one to the new
one, so that the ‘history’ of the assessment is kept together.

Exemplars
Exemplars are samples of marked work, which may have an accompanying commentary. They are
sometimes referred to as benchmarks because they provide a point of reference for measuring
quality. These are tools to aid understanding of criteria and levels of performance. An assessor
may refer to them to check that they are assessing to the same standard and expectations.
o An exemplar showing an acceptable answer must be created for each assessment item.
o A correctly marked paper must be available for each multiple choice type assessment
unless it is automatically marked by learning technology
Validating assessment
 Purpose of validation : Assessment tools must be validated to ensure:
o Assessment procedures are clear, appropriate and reflect workplace practice;
o Assessment instruments are valid, reliable, fair, sufficient, flexible;
o Marking guides will assist with comparability of assessment across assessors; and
o Exemplars are realistic examples of acceptable levels of competence.

Timing of validation
o Validation at development stage
Once an assessment strategy and associated assessment instruments have been designed,
they must be validated. The validation panel must include at least one person with
appropriate industry background.
o Validation as part of Training Program Review
Assessment tools are reviewed as part of a full training program review. The validation panel
must include at least one person with appropriate industry background.

Process for validating assessment
o A minimum of one assessor and one person with appropriate industry background form a
moderating panel.
o All participants have a copy of the Learning and Assessment Strategy, unit/s of competency
and assessment tools that are subject of discussion and a copy of the assessment validation
checklist.
o Discussion covers all headings on the assessment validation checklist.
o A completed copy of the report is signed by the RTO representative and sent to the RTO
Education Manager with the documentation that has been examined.
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o
The Education Manager files documents with RTO Quality documents.
Conducting assessment: Your role as the assessor
Step 1
Own knowledge: Be familiar with all the unit of competency information

Step 2
Unit of competency description from the Training Package/Accredited
Course Curriculum.
 The actual assessment task/s.
 The marking guide.
Student’s knowledge
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
Step 3
Confirm that the student is ready for assessment.
Talk with the student and agree on a suitable time and safe place for
the assessment.
 Make sure that the student understands what they have to do and
feels at ease about the assessment.
The assessment task

Step 4
Decide whether the task(s) need to be changed to suit the
student/workplace.
 Organise any equipment, materials, other people, or information
needed.
Marking Guide and Exemplar
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Step 5
Student feedback
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
Step 6
Conduct the assessment.
Complete assessment documentation
Use the exemplar or marking guide to judge whether the task has
been completed satisfactorily.
Give the student constructive, clear and objective feedback on their
performance.
Follow appeal procedures if the student disagrees with your
judgement and asks for your decision to be reconsidered.
Assessment records
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
Record the result and inform administration so that it can be entered
into the student management system.
Ensure evidence of participation is kept in the student’s file.
Reasonable adjustment
Assessing people provides an opportunity for every individual to demonstrate their knowledge and skills.
You can tailor assessment by allowing individuals to demonstrate their competence in different ways.
However, the important thing to remember when you make your assessment is that the person must still
demonstrate the required level of performance.
In assessing the competence of students, assessors must provide for reasonable adjustments to ensure
the assessment principles are addressed. Reasonable adjustment refers to measures or actions taken in
order to provide a learner the same education and training opportunity as anyone else. For adjustments to
be reasonable they need to be appropriate for the particular learner in a particular situation. Where
students require reasonable adjustments, assessors must decide what types of adjustments are needed
and then make a judgement about whether these are ‘reasonable’ given the unit content requirements
and specifications. The test of reasonableness is subjective but must be guided by the principles of
assessment and the balance between them, as well as the rules of evidence.
If a learner has a disability and the requirements necessary to accommodate the needs of the individual
will cause major difficulties or unreasonable costs to a person or organisation, then this is called
‘unjustifiable hardship’.
Where reasonable adjustments have been applied, assessors must ensure the type of adjustments is
recorded to guide further assessments of the learner and for validation, review and audit purposes.
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Assessors can make reasonable adjustments to assessment methods to make sure that these needs are
met. They may need to:
 use verbal questioning rather than written questions;
 use a translator for people who do not have English as a first language;
 use diagrams and charts as well as words to describe the assessment task;
 read the task out loud to the student;
 make a special effort to put a person at ease; and
 Changing assessment procedures.
At the workplace
Assessors may need to change the details of the assessment tasks to suit the workplace.
They can:
 change or substitute assessment tasks;
 adapt processes and functions to relate to the operations of the workplace;
 combine similar assessment tasks within a unit or between units; and
 Change the location of the assessment task, i.e. move to another section of the workplace or visit
another site.
Assessors cannot
 Leave out an assessment task; and
 Lower the level of expected performance
If assessors do decide to change or substitute an assessment task, make sure they:
 Replace task with similar task;
Eg: do not replace a practical task with a written test.
 Use a variety of methods
Eg: mix and match written, verbal and practical tasks.
Moderating assessment
Moderation
Moderation is the process of bringing assessment judgments’ and standards into alignment. It is a process
that ensures the same standards are applied to all assessment results within the same unit(s) of
competency. It is an active process in the sense that adjustments to assessor judgements are made to
overcome differences in the difficulty of the tool and/or the severity of judgements.
This process enables assessors to develop a shared understanding of the requirements of specific training
packages, including the relevant units of competency and assessment guidelines, the nature of evidence,
how evidence is collected and the basis upon which assessment decisions are made to ensure that
assessments are valid, reliable, flexible and fair.
Internal moderation ensures that assessors working across a number of sites or study areas/qualifications
are applying consistent standards and making consistent judgements. External moderation refers to an
assessment validation process established across an industry area or across a number of RTOs.
Why is moderation so important?
The VET system is a national system, based on nationally developed qualifications and units of
competency. Moderation is important to ensure that the outcomes of these qualifications and units of
competency are consistent across all RTOs. This will assist to ensure that industry and employers has
confidence in the training and assessment outcomes from vocational education and training system
Moderation also provides the opportunity for professional development of assessors and the improvement
of assessment products and services.
Moderation meetings
Where more than one person conducts assessment in a qualification/unit of competency, then these
assessors must meet together on a regular basis for the purpose of comparing assessment methods.
These meetings can be convened face-to-face, online or teleconference.
 Assessment moderation meetings for a qualification/course will occur as deemed necessary by
the Education Manager.
 The Education Manager will be provided with reports and evidence from those meetings for filing
as part of the quality process.
Process for moderating assessment
Complete the moderation report for each assessment instrument:
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1. Every assessor submits at least one example of work that they have marked as 'competent' and at
least one example of work that they have marked as 'not yet competent'.
2. Participants discuss these examples against unit of competency, marking guide and exemplars.
3. Any examples of assessment work that may be judged as a borderline case, or raise a particular
question, are also discussed.
4. The participants recommend any changes or guidelines they think are necessary to strengthen the
assessment instrument and/or moderation processes.
5. When process is complete this report is filed with the quality documents. It can be emailed or
faxed to the Education Manager.
Recognition of Prior Learning
Recognition of Prior Learning (RPL) is an assessment process that assesses an individual’s non-formal and
informal learning to determine the extent to which that individual has achieved the required competency
outcomes.
It has all the same requirements as other types of assessment. It involves collecting evidence and making
judgements on whether competence has been achieved. Evidence can be collected through:
 Examination of work samples;
 Examination of relevant documents;
 Professional conversations and interviews;
 Observation and questioning;
 Formal trade tests; and
 Challenge tests.
RPL procedure
1.
2.
3.
4.
5.
Learners are made aware of RPL option through marketing and course information booklet;
RPL information provided to learner upon enquiry;
Appointed assessor completes RPL process;
Learner is informed of outcome; and
Assessor report is filed with learner record.
Currency
Sometimes you may hear the phrase Recognition of current competence. This is not an official Australian
Quality Training Framework term.
In assessment, currency relates to the age of the evidence presented by a student to demonstrate that
they are still competent. Competency requires demonstration of current performance, so the evidence
collected must be from either the present or the very recent past.
Code of Practice for Assessors (Summary)
General Information
As assessors, their work is very important. After all, the decisions that they make will influence the quality
of work that a person will be expected to be able to do. To help understand the importance of this work,
and to guide them in this way that they do undertake and validate assessment, it is referred to a Code of
Practice
The Code of Practice detailed below is included in the TAE40110 Certificate IV in Training and Assessment
Training Package, Assessment Guidelines to support professionally responsible and ethical assessment
practice and to guide trainers and assessors in the responsibilities of their work. This code is loosely based
on an international code developed by the National Council for Measurement in Education. The code
reinforces the performance outcomes of the Training and Assessment.
The code reinforces the performance outcomes of the Training and Assessment Training Package (TAE10)
assessment units
• The differing needs and requirements of the candidates, the local enterprise/s 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.
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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.
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 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 the
Training and Assessment Training Package (TAA04) 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.
Conclusion
This document has detailed the requirements associated with the conduct and supervision of assessments
within SKYS. In preparing the supervising assessments, every effort is to be made to ensure that the
assessments are conducted in a fair and equitable manner.
Comments and suggestions for improvement of the Assessors Guide are welcomed and should be
forwarded via email to the Education Manager.
Related Documents
 Reasonable adjustment information sheet
 Moderation and Validation Policy and Procedures
 Assessment Validation Attendance Record
 Internal Moderation of Judgements
 Step by Step Guide to Training and Assessment
 Validation and Moderation Schedule
 Advice to Trainers and Assessors
 Assessment Validation Checklist
 Documents in the Validation and Moderation Process: Flow Chart
 Giving Assessment Feedback
 Cross Marking Report
 Assessment Principles and Requirements
 Auditing Assessments
Glossary
Accreditation: Accreditation means the process of formal recognition of a course by the State or Territory
course accrediting body in line with the AQTF Standards for State and Territory Registering/Course
Accrediting Bodies.
Accredited course: Accredited course means a structured sequence of vocational education and training
that leads to an Australian Qualifications Framework qualification or Statement of Attainment.
Appeal process: A process whereby the person being assessed, or other interested party, such as an
employer, may dispute the outcome of an assessment and seek reassessment
Assessment: Assessment means the process of collecting evidence and making judgments on whether
competency has been achieved to confirm that an individual can perform to the standard expected in the
workplace as expressed in the relevant endorsed industry/enterprise competency standards or the
learning outcomes of an accredited course.
Assessment context: The environment in which the assessment will be carried out. This will include
physical and operational factors, the assessment system within which assessment is carried out,
opportunities for gathering evidence in a number of situations, the purpose of the assessment, who
carries out the assessment and the period of time during which it takes place.
Assessment guidelines: Assessment guidelines are an endorsed component of a Training Package which
underpins assessment and which sets out the industry approach to valid, reliable, flexible and fair
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assessment. Assessment guidelines include the assessment system overview, assessor requirements,
designing assessment resources, conducting assessment and sources of information on assessment.
Assessment judgement: Assessment judgement involves the assessor evaluating whether the evidence
gathered is current, valid, authentic and sufficient to make the assessment decision. The assessment
judgement will involve the assessor in using professional judgement in evaluating the evidence available.
Assessment materials: Assessment materials are any resources that assist in any part of the assessment
process. They may include information for the candidate or assessor, assessment tools or resources for
the quality assurance arrangements of the assessment system.
Assessment method: Assessment method means the particular technique used to gather different types of
evidence. This may include methods or techniques such as questioning, observation, third party reports,
interviews, simulations and portfolios. Also see Evidence gathering technique.
Assessment plan: An assessment plan is a document developed by an assessor that includes the
elements and units of competency to be assessed, when the assessment will occur, how the assessment
will occur, the assessment methods to be used and the criteria for the assessment decision.
Assessment process: The assessment process is the agreed series of steps that the candidate undertakes
within the enrolment, assessment, recording and reporting cycle. The process must best suit the needs of
all stakeholders and be both efficient and cost-effective.
Assessment strategy: Assessment strategy means the approach to assessment and evidence gathering
used by the assessor or Registered Training Organization. It encompasses the assessment process,
methods and assessment tools.
Assessment system: An assessment system is a controlled and ordered process designed to ensure that
assessment decisions made in relation to many individuals, by many assessors, in many situations are
consistent, fair, valid and reliable.
Assessment tool: An assessment tool contains both the instrument and the instructions for gathering and
interpreting evidence:
1. Instrument (s) – the specific questions or activity developed from the selected assessment
method(s) to be used for the assessment. (A profile of accepted performance, and the decision
making rules for the assessor may also be included)
2. Procedures – the information/instructions given to the candidate and/or the assessor regarding
conditions under which the assessment should be conducted and recorded.
Audit: Audit means a systematic, independent and documented process for obtaining evidence to
determine whether the activities and related outcomes of a training organisation comply with the
AQTF2010
Australian Qualifications Framework (AQF): Australian Qualifications Framework (AQF) means the policy
framework that defines all qualifications recognised nationally in post-compulsory education and training
within Australia. The AQF comprises titles and guidelines, which define each qualification, together with
principles and protocols covering articulation and issuance of qualifications and Statements of
Attainment.
Australian Quality Training Framework (AQTF): Australian Quality Training Framework (AQTF) means the
nationally agreed recognition arrangements for the vocational education and training sector.
Candidate: A candidate is any person presenting for assessment. The candidate may be:
1. a learner undertaking training in an institutional setting
2. a learner/worker undertaking training in a workplace
3. a learner/worker wanting their skills recognized
4. Or any combination of the above
Competency: The specification of knowledge and skill and the application of that knowledge and skill to
the standards of performance required in the workplace.
Competency standard: Competency standards define the competencies required for effective performance
in the workplace. Standards are expressed in outcome terms and have a standard format comprising unit
title, unit descriptor, elements, performance criteria, range statement and evidence guide.
Client: Client means learner, enterprise or organization, which uses or purchases the services provided by
the Registered Training Organization.
Clustering: The process of grouping competencies into combinations which have meaning and purpose
related to work functions and needs in an industry or enterprise.
Collaborative assessment arrangements: Formal collaborative assessment arrangements are the written
agreements that are undertaken between a Registered Training Organisation (RTO) and other
organisations or RTOs. These arrangements enable the partners to share for mutual benefit their
resources, effort, time, cost, responsibility and expertise. These arrangements are regulated by the
AQTF2010.
Customisation is the addition of specific industry or enterprise information to endorsed national
competency standards to reflect the work of a particular industry or workplace or to improve the
standards’ relevance to industry.
Delivery and assessment strategies: means delivery and assessment strategies for each qualification, or
part thereof, within the Registered Training Organisation’s scope of registration
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Element: is the basic building block of the unit of competency. Elements describe the tasks that make up
the broader function or job, described by the unit.
Endorsement: means the formal process of recognition of Training Packages undertaken by the National
Training Quality Council.
Evaluation: includes all the activities related to the registration of a training organisation to determine
whether it meets, or continues to meet, all the requirements of the AQTF2010 necessary for continued
registration. Evaluation may include review of past performance, review of complaints and other feedback,
risk assessment, examination of documentation, conduct of audit, consideration of audit reports and other
relevant activities in relation to the organisation.
Evidence and ‘quality’ evidence: Evidence is information gathered which, when matched against the
performance criteria, provides proof of competency. Evidence can take many forms and be gathered from
a number of sources. Assessors often categorise evidence in different ways, for example:
1. direct, indirect and supplementary sources of evidence
2. evidence collected by the candidate or evidence collected by the assessor
3. historical and recent evidence collected by the candidate and current evidence collected by the
assessor
Quality evidence is valid, authentic, sufficient and current evidence that enables the assessor to make the
assessment judgement.
Evidence gathering techniques: means the particular technique or method used to gather different types
of evidence. This may include methods or techniques such as questioning, observation, third party reports,
interviews, simulations and portfolios.
Evidence gathering tool: An evidence gathering tool contains both the instrument and the instructions for
gathering and interpreting evidence in an assessment process:
Evidence guide: The evidence guide is part of a unit of competency Its purpose is to guide assessment of
the unit of competency in the workplace and/or a training environment. The evidence guide specifies the
context of assessment, the critical aspects of evidence and the required or underpinning knowledge and
skills. The evidence guide relates directly to the performance criteria and range statement defined in the
unit of competency.
Evidence plan: An evidence plan is a document developed by an assessor, often in collaboration
with the candidate and the supervisor or technical expert. It includes the units of competency to be
assessed, details of the type of evidence to be collected, information regarding who is to collect the
evidence and the time period for doing so.
Flexible learning and assessment: Flexible learning and assessment means an approach to vocational
education and training which allows for the adoption of a range of learning strategies in a variety of
learning environments to cater for differences in learning styles, learning interests and needs, and
variations in learning opportunities (including online).
Holistic/integrated assessment: An approach to assessment that covers the clustering of multiple
units/elements from relevant competency standards. This approach focuses on the assessment of a
‘whole of job’ role or function that draws on a number of units of competency. This assessment approach
also integrates the assessment of the application of knowledge; assessment approach also integrates the
assessment of the application of knowledge,
Internal audit: Internal audit means audits conducted by or on behalf of the organisation itself for internal
purposes.
Key competency: Employment related general competencies that are essential for effective participation in
the workplace.
Mutual recognition: Mutual recognition applies nationally and means:
1. The acceptance and application of the decisions of a registering body that has registered a training
organization, or a course accrediting body that has accredited a course, by another registering body or
course accrediting body, without there being any further requirement for a process beyond the initial
process, including:
a) the recognition and application by the registering body of each State or Territory of the decisions
of the registration of, imposition of sanctions on, including the cancellation of registration of
training organizations, and
b) the recognition and application by the course accrediting body of each State or Territory of the
decisions of the course of the course accrediting body of other States and Territories in relation to
accreditation of courses where no relevant Training Packages exists;
2. The recognition by State and Territory registering bodies of the decisions of the National Training Quality
Council in endorsing Training Packages.
3. The recognition and acceptance by a Registered Training Organisation of Australian Qualifications
Framework qualifications and Statements of Attainment issued by other Registered Training
Organisations, enabling individuals to receive national recognition of their achievements.
Nationally recognised training: means training and assessment, delivered by a Registered Training
Organisation, which meets the requirements specified in national industry/enterprise Training Packages or
accredited courses where no relevant Training Package exists.
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Nationally Recognised Training (NRT) logo: means the logo used to signify that training and assessment
products and services meet the requirements agreed under the National Training Framework.
National Training Information Service (NTIS): means the National Register for recording information about
Registered Training Organisations (RTOs), Training Packages and accredited courses. Information held on
the NTIS is searchable and publicly accessible via the Internet. The NTIS contains comprehensive
information on endorsed Training Packages which have been approved by Ministers and includes full
details of competency standards; a listing of National Training Quality Council noted support materials with
contact source; details of Australian Qualifications Framework (AQF) accredited courses/qualifications;
and contact details and scope of registration of all RTOs.
Non-compliance: means failure to comply with one or more of the AQTF2010 Essential Standards for
Continuing Registration.
Performance criteria: Evaluative statements which specify what is to be assessed and the required level of
performance. The performance criteria specify the activities, skills, knowledge and understanding that
provide evidence of competent performance for each element.
Period of registration: means the period for which a Registered Training Organisation is registered. The
period of registration is five years (unless cancelled or suspended).
Qualification: means, in the vocational education and training sector, the formal certification, issued by a
Registered Training Organisation under the Australian Qualifications Framework (AQF), that a person has
achieved all the requirements for a qualification as specified in an endorsed national Training Package or
in an accredited course.
Quality: means the ability of a set of inherent characteristics of a product, system or process to fulfil
requirements of customers and other interested parties. (From AS/NZS ISO 9000: 2000 in the AQTF
Standards for RTOs)
Range statement: Part of a competency standard, which sets out a range of contexts in which
performance can take place. The range helps the assessor to identify the specific industry or enterprise
application of the unit of competency.
Reasonable adjustment: The nature and range of adjustment to an assessment tool or assessment
method which will ensure valid and reliable assessment decisions but also meet the characteristics of the
person(s) being assessed.
Reassessment: An assessment activity initiated as a result of an appeal against the outcome of a previous
assessment.
Recognition process: Recognition process is a term that covers Recognition of Prior Learning, Recognition
of Current Competency and Skills Recognition. All terms refer to recognition of competencies currently
held, regardless of how, when or where the learning occurred. Under the Australian Quality Training
Framework, competencies may be attained in a number of ways. This includes through any combination of
formal or informal training and education, work experience or general life experience. In order to grant
recognition of prior learning/current competency the assessor must be confident that the candidate is
currently competent against the endorsed industry or enterprise competency standards or outcomes
specified in Australian Qualification Framework (AQF) accredited courses. The evidence may take a variety
of forms and could include certification, references from past employers, testimonials from clients and
work samples. The assessor must ensure that the evidence is authentic, valid, reliable, current and
sufficient.
Records of assessment: The information of assessment outcomes that is retained by the organisation
responsible for issuing the nationally recognised Statement of Attainment or responsible for issuing the
nationally recognised Statement of Attainment or
Registration: means the process of formal approval and recognition of a training organisation, by a State
or Territory registering body, in accordance with the AQTF 2010 Essential Standards for Continuing
Registration and the Registering/Course Accrediting Bodies
Registered Training Organisation (RTO): means a training organisation registered in accordance with the
Australian Quality Training Framework, within a defined scope of registration.
Registering body: State or Territory registering body means the body responsible under the State or
Territory vocational education and training legislation and decision making framework for all decisions
relating to the administration of the registration of training organisations.
Renewal of registration: means the subsequent registration of a Registered Training Organisation following
an evaluation, conducted prior to the expiry of a registration period, of a Registered Training Organisation
against the requirements of the AQTF2010 Essential Standards for Continuing Registration
Reporting assessment outcomes: The different ways in which the outcomes of assessment processes are
reported to the person being assessed, employers and other appropriate personnel or stakeholders.
Assessment outcomes may be reported in a variety of ways including graded, non-graded, statistical or
descriptive reporting systems.
Risk management: means the systematic application of management policies, procedures and practices
to the tasks of identifying, analysing, evaluating, treating and monitoring risk.
Sanctions: means any action imposed for non-compliance with the AQTF 2010 Essential Standards for
Continuing Registration, including:
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a) the imposition of specific conditions on registration (which can cover any aspect of registration
including the Registered Training Organization’s scope, location or type of delivery and
assessment activities);
b) amendment of registration (including a reduction in the scope of registration);
c) suspension of registration; and
d) Cancellation of registration.
Scope of registration: means the defined scope for which a training organisation is registered that
identifies the particular services and products that can be provided. A Registered Training Organisation
may be registered to provide either:
a) Training, delivery and assessment services and products and issue Australian Qualification
Framework (AQF) qualifications and Statement of Attainment or
b) Assessment services and products and issue AQF qualifications and Statements of Attainment.
The scope of registration is further defined by AQF qualifications and/or endorsed units of competency.
Self-assessment: a process that allows candidates being assessed to collect and provide evidence on their
own performances against the competency standards. Self-assessment is often used as a pre-assessment
tool to help the candidate and assessor to determine what evidence is available and where the gaps may
be.
Simulation: a form of evidence gathering that involves the candidate in completing or dealing with a task,
activity or problem in an off-the-job situation that replicates the workplace context. Simulations vary from
recreating realistic workplace situations such as in the use of flight simulators, through the creation of role
plays based on workplace scenarios to the reconstruction of a business situation on a spreadsheet. In
developing simulations, the emphasis is not so much on reproducing the external circumstance but on
creating situations in which candidates are able to demonstrate:
a) technical skills
b) underpinning knowledge
c) generic skills such as decision making and problem solving
d) Workplace practices such as effective communication.
Statement of Attainment: means a record of recognised learning which, although falling short of an
Australian Qualifications Framework (AQF) qualification, may contribute towards a qualification outcome,
either as attainment of competencies within a Training Package, partial completion of a course leading to
a qualification or completion of a nationally accredited short course which may accumulate towards a
qualification through Recognition processes.
Training Package: means an integrated set of nationally endorsed competency standards, assessment
guidelines and Australian Qualifications Framework qualifications for a specific industry, industry sector or
enterprise.
Training plan: means a program of training and assessment which is required under an
apprenticeship/traineeship training contract and is registered with the relevant State or Territory
Training/Recognition Authority.
Unit of competency: means the specification of knowledge and skill and the application of that knowledge
and skill to the standard of performance expected in the workplace.
Validation: involves reviewing, comparing and evaluating assessment processes, tools and evidence
contributing to judgments’ made by a range of assessors against the same standards. Validation
strategies may be internal processes with stakeholder involvement or external validations with other
providers and/or stakeholders.
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