MANAGE AN ASSESSMENT
SYSTEM FOR TRAINING
OUTCOMES
D1.HRD.CL9.08
D1.HHR.CL8.06
Slide 1
Element 1: Communicate the
assessment system
Performance criteria are:

Define the purpose of the assessment system

Document and circulate assessment system features
and procedures to relevant stakeholders

Establish procedures for keeping relevant stakeholders
informed about key features of the assessment system
Slide 2
Define the purpose of the assessment
system
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
Slide 3
Document and circulate assessment
system features and procedures to
relevant stakeholders
Does
Shows How
Performance/Action
Competence
Knows How
Knows
Slide 4
Document and circulate assessment
system features and procedures to
relevant stakeholders (cont’d)
There are many different parts to an assessment system and
they 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

How to conduct assessment including the timing and
duration specifics

Flexibility in order to respond to individual needs of
participants who may have particular challenges such as
physical or language and literacy needs
Slide 5
Document and circulate assessment
system features and procedures to
relevant stakeholders (cont’d)
There are many different parts to an assessment system and
they may include:

A review and evaluation process to determine if
the assessment system is effective or needs
improvement

Policies and procedures that allow for feedback
including, grievances, moderation, re-assessment

A statement relating to competency levels and remuneration
levels appropriate to those skills attained
Slide 6
Document and circulate assessment
system features and procedures to
relevant stakeholders (cont’d)
There are many different parts to an assessment system and
they may include:

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

Information about where assessment materials are
located and where assessment can take place
Slide 7
Document and circulate assessment
system features and procedures to
relevant stakeholders (cont’d)
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
Slide 8
Document and circulate assessment
system features and procedures to
relevant stakeholders (cont’d)
Some of the relevant stakeholders may include:

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
Slide 9
Establish procedures for keeping relevant
stakeholders informed about key features
of the assessment system
There are several ways to keep stakeholders informed
about assessment system features including

Scheduling regular meetings that relate
directly to assessment issues

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
Slide 10
Establish procedures for keeping relevant
stakeholders informed about key features
of the assessment system
There are several ways to keep stakeholders informed about
assessment system features including

The organisation of a dedicated newsletter or
fact sheet that provides updates on
assessment system changes or feedback

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
Slide 11
Element 2: Provide support for
enterprise assessors
Performance criteria for this unit include:

Verify assessors meet required competency
standards

Identify required training for assessors

Provide for moderation of assessments

Provide feedback to assessors on their performance

Facilitate networking amongst assessors
Slide 12
Verify assessors meet required
competency standards

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
Slide 13
Verify assessors meet required
competency standards cont’d
The rules of evidence:

Valid

Sufficient

Currency

Authentic
Slide 14
Identify required training for
assessors
After checking qualifications and experience of assessors,
it may be necessary to also observe and interview them. If
the assessors do not meet the required competency
standards, then it may necessary to train them to fill any
gaps in their skills.
Slide 15
Identify required training for
assessors
Checking competency:

Skill

Knowledge

Attitude
Slide 16
Provide for moderation of
assessments
Moderation 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.
Slide 17
Provide feedback to assessors on
their performance
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
Is it the
to date?
candidates own
(Current) work? (Authentic)
Slide 18
Provide feedback to assessors on
their performance cont’d

Analysing their assessments, including results and
materials/tools as part of the assessment process

Developing feedback instruments for candidates to
complete following assessments

Providing observation sessions while assessors
conduct assessments
Slide 19
Provide feedback to assessors on
their performance cont’d

Identifying specific foci for evaluation and feedback

Encouraging self-evaluation as part of the feedback
process

Recognising effort and positive outcomes

Supporting assessors where feedback identifies
negative outcomes
Slide 20
Facilitate networking amongst
assessors
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
Slide 21
Facilitate networking amongst
assessors (cont’d)
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

Meetings both regular and as required
Slide 22
Facilitate networking amongst
assessors (cont’d)
Networks can be developed in many different ways and
may include:

Seminars and workshops

Conferences

Notice boards, handouts, newsletters

Electronically through websites, emails, blogs
Slide 23
Element 3: Manage the assessment
record keeping system
Performance criteria for this element include:

Identify and develop the internal records
required to support the assessment system

Describe the requirements for completing the
assessment records

File the assessment records

Review and up-date the assessment record keeping
system
Slide 24
Identify and develop the internal records
required to support the assessment
system
What information needs to be recorded?
Slide 25
Identify and develop the internal
records required to support the
assessment system
Internal records could include:

Personal information relating to candidates

Evidence that required training has been
delivered prior to assessment being attempted

Assessment tools and assessment items

Copies of relevant training curricula/training plans

Training rolls

Evidence captured as part of the assessment process

Documentation used to record the resources used and
costs involved as part of the assessment process
Slide 26
Describe the requirements for
completing the assessment records
Describing requirements for completing records may include:

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
Slide 27
File the assessment records
Who needs access to the assessment records

Assessors

Managers

External agencies

Training providers and trainers

Candidates or staff

Administrators

Assessment coordinators
Slide 28
File the assessment records
(cont’d)
Why do they need access to the 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
Slide 29
Review and up-date the
assessment record keeping system
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
Slide 30
Review and up-date the assessment
record keeping system
Improved
Assessment
System
Conduct
Consultations
with
Stakeholders
Ongoing
Evaluation
Review
Cycle
Implement
Improvements
Gather Evidence
Develop
Implementation
Strategy
Slide 31
Element 4: Maintain quality
assurance procedures
Performance criteria for the element include:

Define quality assurance procedures for the
assessment system

Undertake internal audits of the assessment system

Use the results of quality assurance audits to improve
the assessment system

Review the applicability of the existing quality
assurance procedures to the dynamic nature of the
assessment system
Slide 32
Define quality assurance procedures
for the assessment system
Validation is a quality review process.
It involves checking that the assessment tool produces
valid, reliable, sufficient, current and authentic evidence to
enable reasonable judgments 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.
Slide 33
Define quality assurance procedures
for the assessment system (cont’d)
There are many reasons why organisations need to review
including:

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

Improving the validity, reliability, flexibility and fairness
of assessments
Slide 34
Define quality assurance procedures
for the assessment system (cont’d)
There are many reasons why organisations need to review
including:

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
Slide 35
Define quality assurance procedures
for the assessment system (cont’d)
There are many reasons why organisations need to review
including:

Minimising risks associated with the assessment process

Improving the management of assessment systems

Informing assessor selection and guiding professional
development
Slide 36
Define quality assurance procedures
for the assessment system (cont’d)
There are certain areas that need to be outlined in
implementing quality assurance procedures.

Systematically collecting and analysing data

Ensuring that data is relevant and sufficient

Data sources relevant to improving training
and assessment

Demonstrating improvements
Slide 37
Undertake internal audits of the
assessment system
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 judgments
Slide 38
Undertake internal audits of the
assessment system cont’d
Section for audit
Specific area for audit
Standards
Result and
recommendations
Risk
Assessment systems
Participant personal
details completed
Administrative procedures
Recording assessment
results
Assessment records for
each participant
completed and up to
date.
Compliant: All samples
checked were completed
correctly. Maintain regular
monthly checks.
Low
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
Slide 39
Use the results of quality assurance
audits to improve the assessment
system
There are three fundamental processes to identify
opportunities for continuous improvement. These are:

Reviewing

Moderating

Evaluating
Slide 40
Review the applicability of the existing
quality assurance procedures to the
dynamic nature of the assessment system
It is important to ensure that quality assurance procedures
are responsive to the dynamic nature of the assessment
system. It is necessary to check:

That all aspects of the assessment system
are being checked and evaluated regularly

The quality assurance procedures are
flexible enough to still be able to review
the system even if change occurs
Slide 41
Element 5: Report on the contribution
made by the assessment system to
enterprise training and performance
Performance criteria for this element include:

Identify the outcomes that the assessment
system has produced

Review the assessment system

Make recommendations for change to the assessment
system

Produce and circulate a report

Revise the existing assessment system on the basis of
responses to the report
Slide 42
Identify the outcomes that the
assessment system has produced
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
Slide 43
Identify the outcomes that the
assessment system has produced
It is important to analyse the results or outcomes and
identify:

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
Slide 44
Review the assessment system
The review should analyse all areas of the system
including:

Assessment systems

Assessment processes

Assessment methods and tools

Assessment evidence

Assessment judgments
Slide 45
Make recommendations for change
to the assessment system
Recommendations for change could include:

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
Slide 46
Produce and circulate a report
A report should include:

Introduction

Main body

Appendices, references and glossary
Slide 47
Produce and circulate a report
(cont’d)
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
Slide 48
Revise the existing assessment
system on the basis of responses to
the report
Revisions to the assessment system could 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
Slide 49
Revise the existing assessment
system on the basis of responses to
the report (cont’d)
Revisions to the assessment system could include:

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
Slide 50