TASK 2Plan RPL Assessment(Using case study.docx

TASK 2
Plan RPL Assessment
(Using case study 1 - BSBWOR203)
Task 2:
Plan assessment activities and processes for Recognition of
Prior Learning (RPL)
For this task you will use the case study attached to:
· Develop a competency based assessment plan for RPL
· Modify or develop at least one assessment instrument to
support the assessment plan. The instrument must reflect at
least one assessment method that forms part of the assessment
plan
· Evaluate your development processes.
Note: Although this case study is commenced in the
workshopfor the purpose of discussion and planning, you
mustcomplete this individually outside of the supervised
learning environment.
Case Study 1

Plan and RPL assessment for:BSBWOR203 Work effectively
with others
and develop one assessment instrument— a portfolio checklist
for RPL.
Instructions
Read the case study on the next page and complete the steps
below.
Step 1 - Determine the assessment approach and context
Step 2 - Contextualise the unit of competency and its
assessment requirements
Step 3 - Prepare a Competency Map
Step 4 - Prepare the RPL assessment plan for BSBWOR203
Step 5 - Develop an RPL portfolio checklist to support your
RPL plan
Step 6 - Ask another participant to review your RPL portfolio
checklist and identify improvements.
Step 7 - Review and reflect—complete the brief questionnaire
Step 8 - Finalise the RPL assessment plan and instrument
(checklist)
Case Study 1
About you and your RTO
You are a trainer and assessor for ABC Training House, an
RTO. ABC Training House’s clients are members of the public
who:
-May or may not be engaged in paid work (although most
clients are working either full or part time)
-Have diverse industry expertise and experience.
A recent experience

You have assessed this unit BSBWOR203 Work effectively with
others and realised that the evidence candidates are producing is
not robust to meet the unit requirements. The RPL
documentation needs to be revised and updated.
You approach ABC Training House’s Compliance Manager,
Cameron Compliance and request if you could produce a RPL
assessment plan and instrument that candidates and assessors
could use. Cameron thinks it’s a terrific idea and hires you to
plan the new RPL assessment.
Your brief
Using the templates provided, produce the following for the unit
BSBWOR203 Work effectively with others.
Step 1 - Determine the assessment approach and context
Step 3 - Prepare a Competency Map
Step 4 - Prepare the RPL assessment plan for BSBWOR203
Step 5 - Develop an RPL portfolio checklist to support your
RPL plan
Step 6 - Ask another participant to review your RPL portfolio
checklist and identify improvements.
Step 7 - Review and reflect—complete the brief questionnaire
Step 8 - Finalise the RPL assessment plan and instrument
(checklist)
Step 1 - Determine assessment approach and context
Instructions
To do this, answer the questions below, based on the case study
information on the previous page.
Questions for consideration:
1. What is the purpose and context of the RPL assessment—why
might candidates apply for RPL in this unit?

They have prior learning, part of a qualification or update to the
current version
2. What are the assessment benchmarks—i.e. what unit of
competence are you assessing with this assessment tool?
BSBWOR203 Work effectively with others I would use the job
environment skills unit of competence.
3. Who else might to be involved in—or informed of—the
assessment?
The assessment could also need coordinators, administration
staff. There could also be a number of people to help the
assessment process including the workplace supervisor, a
specialized support person and the trainer.
There are people to be informed of the assessment process
including the industry regulators, technicians and
commonwealth department official among others.
4. What safety issues must be considered?
The assessment should be done in good physical and emotional
safety conditions.
Physiological issues/Anxiety – support them and ask them to
contact you if required.
Privacy – Make sure confidentiality and if necessary sign
documents.
Access issues identified.
5. Other than the unit/s of competence and training and
assessment strategy (if applicable), what other documentation.
eg policies and procedures will you use to inform and guide
development of the assessment plan and tool?

Code of conduct must be taken into consideration when
developing an assessment tool
During the training, I would apply the contingency management
skills to ensure I come up with the correct strategy to apply in
the assessment. I would also use the task skills unit to enable to
match the client’s needs.
Contextualise BSBWOR203 Work effectively with others for
the target candidate. Refer to participant manual for example.
Elements and performance criteria
Contextualisation/Unpack
1
Develop effective workplace relationships
1.1
Identify own responsibilities and duties in relation to
workgroup members and undertake activities in a manner that
promotes cooperation and good relationships
Eg Responsibilities & duties – relates to person’s position
description
1.2
Take time and resource constraints into account in fulfilling
work requirements of self and others
1.3
Encourage, acknowledge and act on constructive feedback
provided by others in the workgroup

2
Contribute to workgroup activities
2.1
Provide support to team members to ensure workgroup goals are
met
2.2
Contribute constructively to workgroup goals and tasks
according to organisational requirements
2.3
Share information relevant to work with workgroup to ensure
designated goals are met
2.4
Identify and plan strategies/opportunities for improvement of
workgroup in liaison with workgroup
3
Deal effectively with issues, problems and conflict
3.1
Respect differences in personal values and beliefs and their
importance in the development of relationships
3.2
Identify any linguistic and cultural differences in
communication styles and respond appropriately

3.3
Identify issues, problems and conflict encountered in the
workplace
3.4
Seek assistance from workgroup members when issues,
problems and conflict arise and suggest possible ways of
dealing with them as appropriate or refer them to the
appropriate person
Foundation Skills
Contextualisation
Reading
•Identifies and interprets information to determine task
requirements
Writing
•Completes required documentation using organisational
formats
•Composes simple documents for others to read
Oral communication
•Presents information and seeks advice using language and
features appropriate to audience
•Participates in discussions using listening and questioning to
elicit views of others and to clarify or confirm understanding
Numeracy
•Interprets information related to timeframes and resource
quantities
Navigate the world of work
•Understands responsibilities of own role and follows explicit
and implicit organisational protocols and procedures

Interact with others
•Selects and uses appropriate communication practices when
seeking or sharing information Establishes and builds rapport
and relationships with others to foster a culture of respect and
cooperation in communications
Get the work done
•Plans and organises work commitments to ensure deadlines and
objectives are met
•Uses formal analytical thinking techniques to recognise and
respond to routine problems
Performance evidence
●
identify own responsibilities in relation to the team and the
organisation's requirements
●
work effectively in a workgroup including:
· supporting team members
· using culturally appropriate communication skills
· acting on constructive feedback
· cooperating and contributing to team goals
· identifying improvement opportunities
●
identify problems and conflicts and address them appropriately.
Knowledge evidence
●
outline the organisational standards, policies and procedures
that relate to own work role

●
outline team responsibilities and duties and their relationship to
individual responsibilities and duties.
●
summarise conflict resolution techniques.
Conditions for assessment
Contextualisation
●
Assessment must be conducted in a safe environment where
evidence gathered demonstrates consistent performance of
typical activities experienced in the industry capability –
workplace effectiveness field of work and include access to:
· office equipment and resources
· workplace documentation
· case studies and, where possible, real situations
· interaction with others.
Step 3 - Complete a competency map (matrix)
Develop a competency map by completing the template below.
Refer to participant manual for example.
Unit Covered
BSBWOR203 Work effectively with others
Version number
v1
Date
List evidence or assessment activities here
Task 1: Portfolio of evidence

Task 2: 3rd Party Report
Task 3: Interview
Position description
CV
Professional development
Work plane
Workplace product
KPI’S Performance
Task 2 - 3rd party
Task 3 – interview
1.1
1.2
1.3
1.4
1.5
1.6
2
3
Task 1 – Portfolio of evidence
Elements and performance criteria
1
Develop effective workplace relationships
1.1
Identify own responsibilities and duties in relation to
workgroup members and undertake activities in a manner that
promotes cooperation and good relationships
x

x
Q
1.2
Take time and resource constraints into account in fulfilling
work requirements of self and others
x
x
x
Q2
Q1
1.3
Encourage, acknowledge and act on constructive feedback
provided by others in the workgroup
x
Q3
Q2
2
Contribute to workgroup activities
2.1
Provide support to team members to ensure workgroup goals are
met
x
x
x

Q4
2.2
Contribute constructively to workgroup goals and tasks
according to organisational requirements
x
x
2.3
Share information relevant to work with workgroup to ensure
designated goals are met
x
x
x
Q4
2.4
Identify and plan strategies/opportunities for improvement of
workgroup in liaison with workgroup
x
x
3

Deal effectively with issues, problems and conflict
3.1
Respect differences in personal values and beliefs and their
importance in the development of relationships
x
x
3.2
Identify any linguistic and cultural differences in
communication styles and respond appropriately
x
3.3
Identify issues, problems and conflict encountered in the
workplace
x
3.4
Seek assistance from workgroup members when issues,

problems and conflict arise and suggest possible ways of
dealing with them as appropriate or refer them to the
appropriate person
x
Foundation Skills
Reading
•Identifies and interprets information to determine task
requirements
x
x
Writing
•Completes required documentation using organisational
formats
•Composes simple documents for others to read
x

Oral communication
•Presents information and seeks advice using language and
features appropriate to audience
•Participates in discussions using listening and questioning to
elicit views of others and to clarify or confirm understanding
X
x
X
x
Numeracy
•Interprets information related to timeframes and resource
quantities
x
Navigate the world of work
•Understands responsibilities of own role and follows explicit
and implicit organisational protocols and procedures
x

Interact with others
•Selects and uses appropriate communication practices when
seeking or sharing information Establishes and builds rapport
and relationships with others to foster a culture of respect and
cooperation in communications
x
x
Get the work done
•Plans and organises work commitments to ensure deadlines and
objectives are met
•Uses formal analytical thinking techniques to recognise and
respond to routine problems
x
x
Performance evidence
●
identify own responsibilities in relation to the team and the
organisation's requirements
x

x
●
work effectively in a workgroup including:
•supporting team members
•using culturally appropriate communication skills
•acting on constructive feedback
•cooperating and contributing to team goals
•identifying improvement opportunities
x
x
●
identify problems and conflicts and address them appropriately.
Knowledge evidence
●
outline the organisational standards, policies and procedures
that relate to own work role
x

x
x
●
outline team responsibilities and duties and their relationship to
individual responsibilities and duties.
x
●
summarise conflict resolution techniques.
x
x
Assessment conditions
Assessment must be conducted in a safe environment where
evidence gathered demonstrates consistent performance of
typical activities experienced in the industry capability –
workplace effectiveness field of work and include access to:
· office equipment and resources
· workplace documentation
· case studies and, where possible, real situations
· interaction with others.

Step 4 - Document the RPL assessment plan
Document your plan by completing the template below. Refer to
participant manual for example.
General information
RTO
ABC
Date prepared
14/10/19
Competency standards
Assessment pathway
☐
Training & Assessment
Program name
Recognition of Prior Learning (RPL)
Candidate/s
Xaviar
Assessor/s
Gayan Kularatna
Assessment activities
Method/task
Evidence
When/where completed
Instruments
1
Portfolio of evidence

1.1 Position description
1.2 etc
You have 4 weeks from application to submit your portfolio
evidence
Etc
Portfolio of evidence checklist
2
Research task
Third party
Mini research activity.
Written response and submitted with written portfolio
Tasks instructions plus marking check list
3
Interview
A week after the interview
Videoconference assessor to contact the assessor and organize
the interview after reviewing the portfolio
Interview Report
Resources needed for the assessment
Venue or equipment requirements
Computer with access to internet, software needed to complete
the portfolio
Documentation needed to assess competence (assessment tool
documentation needed)
ABC training house student handbook obtained from its
website, assessment tools and other templates needed to record
the assessment process, quality of evidence provided and the
results including:
1. assessment cover sheets
2. assessment instruments including the portfolio evidence
checklist, research tasks and interview questions.
3. Assessment results sheets
Safety and other logistics
Safety
Setting up an ergonomic workstation, recommended posture

while using the computer, breaks to prevent eye restrains
People to be informed of the assessment
The Candidate, ABC training house RPL assessor, ABC training
house assessment administration department, candidate
workplace supervisor
Provision for:
● Assessment support
● Reasonable adjustments
Dedicated assessor to provide support as needed
-reasonable adjustment not needed in this case
Recording and reporting:
● How will results be recorded?
● To whom will results be reported?
Dedicated assessor to document assessment result using the
record of assessment results template provided
-documented results to be emailed to ABC training house
assessment administration team on [email protected] within
2days of completion
-if the results on the first attempt is NYC, the assessors must
record the result, negotiate and record an action plan, inform
the ABC training house assessment administration team of the
results and action plan.
Other logistics
Nil
Step 5 - Develop an assessment instrument
Develop the portfolio checklist that you will use to review RPL
candidate portfolios. To do this, complete the template below.
Refer to participant manual for example.
Task 1 – Portfolio of evidence (Version 1)
Information and instructions
General information about this assessment activity

Candidate
Xaviar
Assessor
Gayan Kularatna
Competency standard/s
Instructions
Candidate instructions
Candidates to organise and conduct 20-minute training session
for a small group of 2-5 people This assessment will take place
during training time, in the training room you are accustomed
to. The training topic should reflect the area of expertise.
Prepare for the session on your own time. Come prepared on the
day you deliver, with notes or materials you need to conduct the
session.
Requirements for satisfactory completion
The candidates must meet all criteria below when conducting
the session
All certificates and Institution details
Portfolio- emails, meeting minutes etc.
Relevant 3rd party testimonials
Possession description and KPI’s
Assessor instructions
Assessors must complete the checklist below while conducting
the session
Review the portfolio and 3rd party report
Contact the 3rd party
Document findings
Contact candidate for interview
Assessment checklist
Evidence
S
NYS
Assessor comments

1.1
☐
Candidate has enough documents t backup initial interview
1.2
CV
☐
☐
Asked questions from immediate supervisor regarding the
current job and the answers were satisfactory
1.3
Assessors contact details
☐
☐
Contacted the institution and cross-referenced the certificate
number
1.4
Format requirement
· ☐
☐
Overseas certificates assessed by the Australian Embassy in
relevant country
1.5
Document provided
☐

☐
All relevant documents are satisfactory
1.6
Email the evidence
☐
☐
All relevant documents sent in ZIP format and satisfactory
Result for this assessment activity
Result
☐
Satisfactory
☐
Not Yet Satisfactory
Assessor comments
The evidence given by the candidate are satisfactory
Assessor signature
Gayan Kularatna
Date signed
14/10/2019
Step 6 - Check the RPL instrument
Instructions
Ask another program participant to review your assessment
instrument—the RPL portfolio checklist—and identify
improvements. Ask the person who reviews your instrument to:

· Complete the Review Checklist below
· List recommended improvements on the next page
· Sign where indicated.
Name of reviewer
Ann Burges
Assessment Instrument: Review Checklist
Yes
No
General content and formatting
1. Do the instructions include clear and complete information
for candidates?
☐
☐
2. Do the instructions include clear and complete information
for assessors?
☐
☐
3. Is there enough space to document quality of evidence and
make comments?
☐
☐
4. Is there space to note results for the assessment task or
activity (S or NYS?)
☐
☐
5. Is version control noted?
☐

☐
Wording
6. Is the instrument valid?
● Does the instrument cover the intended parts of the unit
(and its assessment requirements)?
To answer this question, return to the competency map and see
if all parts of the unit that the developer of the instrument
intended to cover, are covered.
● Is it free of unnecessary assessment requirements?
☐
☐
7. Is the instrument reliable? Are instructions and
assessment criteria clear, complete and in plain English?
☐
☐
8. Is the instrument flexible enough to cater to the diverse
needs of the target candidate/s?
☐
☐
9. Is the instrument fair? Are assessment activities
achievable by the target candidate/s? Does the instrument
feature objective, unbiased wording?
☐
☐
Typos

10. Is the instrument free from typos and grammatical errors?
☐
☐
General feedback and recommendations for improvement
Assessment check list based on the portfolio of evidence
provided on page 22 of assessment task.
It should have been based on the six criteria in page 17
Reviewer’s signature
Ann Burges
Date signed
14/10/2019
Step 7 - Review and reflect
1. Reflect on this activity.
2. In the space below, summarise what you have learned
about planning RPL assessment activities and processes, and
developing assessment instruments:
The assessment checklist needs correcting due to haven’t used
the map matrix to fill the checklist
Step 8 - Finalise the RPL plan & instrument
Instructions
Use the feedback provided to improve and finalise your RPL
assessment plan and instrument.
Please see below for the Version 2
Task 1 – Portfolio of evidence (Version 2) (Assessment
checklist has been corrected)
Information and instructions

General information about this assessment activity
Candidate
Xaviar
Assessor
Gayan Kularatna
Competency standard/s
Instructions
Candidate instructions
Candidates to organise and conduct 20-minute training session
for a small group of 2-5 people This assessment will take place
during training time, in the training room you are accustomed
to. The training topic should reflect the area of expertise.
Prepare for the session on your own time. Come prepared on the
day you deliver, with notes or materials you need to conduct the
session.
Requirements for satisfactory completion
The candidates must meet all criteria below when conducting
the session
All certificates and Institution details
Portfolio- emails, meeting minutes etc.
Relevant 3rd party testimonials
Possession description and KPI’s
Assessor instructions
Assessors must complete the checklist below while conducting
the session
Review the portfolio and 3rd party report
Contact the 3rd party
Document findings
Contact candidate for interview
Assessment checklist
Evidence
S
NYS

Assessor comments
1.1
☐
Candidate has enough documents to backup initial interview
1.2
CV
☐
☐
established and built rapport when communicating
1.3
Professional development
☐
☐
Identifying and using good strategies when liaison with others
1.4
Work plane
· ☐
☐
Provide support to team members to make sure goals are met
1.5
Workplace Product
☐

☐
Good understanding of differences in personal values and
beliefs
1.6
KPI’s performance
☐
☐
Share information and seek assistance from appropriate persons
when necessary
Result for this assessment activity
Result
☐
Satisfactory
☐
Not Yet Satisfactory
Assessor comments
The evidence given by the candidate are satisfactory
Assessor signature
Gayan Kularatna
Date signed
14/10/2019
1

Annotated Bibliography
Student Name
Course/Number
Due Date
Faculty Name
You may include a cover page for
your annotated bibliography. This is
an example of an APA cover page
for undergraduate and master’s
students. Doctoral students should
use the annotated bibliography
sample found on the Doctoral
Writing Resources site under
Formatting.
https://ecampus.phoenix.edu/secure/aapd/sas/doctoral-writing-
resources/

https://ecampus.phoenix.edu/secure/aapd/sas/doctoral-writing-
resources/
2
Center for Writing Excellence
©2015 University of Phoenix, Inc. All rights reserved.
Annotated Bibliography
Biemiller, L. (2013, December 6). From a million MOOC users,
a few early research results. The
Chronicle of Higher Education [Web log post]. Retrieved from
http://chronicle.com/blogs/wiredcampus/from-a-million-mooc-
users-a-few-early-research-
results/48841
This article discusses a study conducted by the University of
Pennsylvania's Graduate
School of Education. Sixteen massive open online courses, or
MOOCs, were observed
to determine student retention. Student completion of the
courses was unremarkable.
Several differing variables may have contributed to the
outcomes of each course based
on topic, length of course, student nationality, and so on. More

studies on how MOOCs
are administered and conducted must be made.
Films for the Humanities and Sciences. (Producer). (2014,
August). Internet research: What’s
credible? Available from Films on Demand in the University of
Phoenix Library
http://digital.films.com/PortalPlaylists.aspx?aid=7967&xtid=58
373&loid=266720
This video discusses the risks taken with using popular search
engines to locate
resources for academic work. It notes that most resources
available online are not
guaranteed reliable or peer-reviewed. Some tips are offered to
help alleviate some
search issues and to aid in locating appropriate resources.
Detailed reasons to not use
Wikipedia and like sites are provided.
Francois, E. J. (2014). Motivational orientations of non-
traditional adult students to enroll in a
degree-seeking program. New Horizons in Adult Education &
Human Resource
Development, 26(2), 19–35. doi: 10.1002/nha3.20060
This

annotated
bibliography
includes
references
formatted
according to
APA
standards.
An annotated
bibliography is
a list of
references to
books, articles,
web pages, and
other sources.
The reference is
listed first and
is followed by a

brief summary,
or annotation,
of the source.
The annotation
informs the
reader of the
relevance and
quality of the
sources.
Academic
sources should
be relevant
and credible.
Include
sources that
are more
recently

published so
the research is
up to date.
http://digital.films.com/PortalPlaylists.aspx?aid=7967&xtid=58
373&loid=266720
3
Center for Writing Excellence
©2015 University of Phoenix, Inc. All rights reserved.
The research in this study focused on motivating factors for
non-traditional, degree-
seeking adults. The Education Participation Scale (EPS) was
used to evaluate adults in
associate, bachelor’s, master's, and doctoral programs. The
particulars of the
motivational orientations can be useful for recruitment materials
and designing
curriculum.
Shepherd, M. M., & Tsong Shin, S. (2014). The effects of
informal faculty-student interaction
and use of information technology on non-traditional students'
persistence intentions and

educational outcomes. Journal of Higher Education Theory &
Practice, 14(2), 46–60.
The study presented here attempts to address concerns over the
education outcomes for
nontraditional students when using social integration. The
authors explore the impact of
IT and informal faculty-student interaction. Their results
suggest that IT may have a
positive effect on student psychological well-being and
academic performance.
TEDTalks. (Producer). (2014, July 18). Bill Gates—Mosquitos,
Malaria, and Education [Video
file]. Available from University of Phoenix Media Library ID:
53c93663dd7d12d094c4c6e2
In this TEDTalk, Microsoft founder and philanthropist Bill
Gates discusses some ways
to combat problems in our world. He addresses the lack of
support for malaria
elimination in struggling countries and how it affects their
ability to thrive. He then
compares this struggle to that of education. There is an
inequality with how people
survive physically and mentally in this world. He believes that
success hinges on

applying the right tools and paying attention to all who are
affected.
The
annotations
should be
written in
third person
point of view
just like an
academic
paper.
Notice each
entry is listed in
alphabetical
order by
author’s last
name just like
on a reference

page.
Grading Guide: Annotated Bibliography for the Resource Packet
CCMH/510CA Version 1
1
Grading Guide
Annotated Bibliography for the Resource Packet
This assignment is due in Week Three.
Content
80 Percent
Points Earned
X/8
· Student used at least five resources to complete an annotated
bibliography on his or her topic for the Advocacy Project.
· Student included articles that discuss educational,
professional, and social struggles.
· Student explainedwhich struggles are discussed in the article.
· Studentdescribed how the author’s perspective on the struggle
is similar to or different from the other articles researched.
Comments:
Organization and Development
10 Percent
Points Earned
X/1
· Each annotation is between 100 to 150 words in length.
· Each annotation is clear and organized; major points are

supported by details, examples, or analysis.
· The tone aligns with the assignment’s purpose and is geared
towards the appropriate audience.
· Each annotation provides relevant and sufficient background
on the topic.
Comments:
Mechanics and Format
10 Percent
Points Earned
X/1
· The assignment file is presentable and functional.
· Rules of grammar, usage, and punctuation are followed;
spelling is correct.
· The paper—including the title page, reference page, tables,
and any appendices—is consistent with APA guidelines.
Comments:
Additional Comments:
Total Earned
X/10
Copyright © 2014 by University of Phoenix. All rights reserved.
Wk 3 - Annotated Bibliography for the Resource Packet
Assignment Content
Top of Form
Resource: Grading Criteria - Annotated Bibliography for the
Resource Packet

Review the Sample Annotated Bibliography in the Tutorials &
Guides section of the Center for Writing Excellence.
Use at least five resources to complete an annotated
bibliography on your topic for the Advocacy Project and
Resource Packet due in Week 6. Each annotation must be 100 to
150 words.
Include articles that discuss educational, professional, and
social struggles.
Explain which struggles are discussed in the article.
Describe how the author’s perspective on the struggle is similar
to or different from the other articles you researched.
Format the annotated bibliography consistent with APA
guidelines.
Bottom of Form
National Unit Details
Unit Codes TAEASS401 Unit Titles Plan assessment
activities and processes
TAEASS502 Design and develop assessment tools
TAEASS402 Assess competence
TAEASS403 Participate in assessment validation
Assessment Cover Sheet
Students must include the following information and declaration
of original authorship with their submission.
student name: Gayan Kularatna

email: [email protected] mobile: 0426447488
qualification: TAE40116 Certificate IV in Training and
Assessment
unit codes & titles: Workplace Assessment TAEASS401 Plan
assessment activities and processes TAEASS502 Design and
develop assessment tools TAEASS402 Assess competence
Student Declaration I understand that competency
will not be given if I do not meet the assessment evidence and
activity requirements. I declare that this is my own work in
accordance with Swinburne Plagiarism policy, as found on:
https://www.swinburne.edu.au/current-students/manage-
course/exams-results-assessment/plagiarism-academic-
integrity/plagiarism-misconduct/ I declare all documents
submitted for assessment are my own work. Where I have used
other sources, acknowledgements have been made.
Student signature: Gayan Kularatna Date:
18/12/2019

Learning Resources, Assessment Materials and Tools
This Kit includes required tasks for assessment of the following
units:
Unit Codes TAEASS401 Unit Titles Plan assessment
activities and processes
Please note: a checklist has been provided on the following
page to assist with requirements throughout this 5 Day program.
As some tasks will be assessed within workshop time, it is
imperative that you come to each day prepared with required
documents.
CHECKLIST FOR PREPARING TASKS
DAY 1

Program commencement - no specific requirements. Time for
review and planning for managing time.
DAY 2
Plan, design and develop assessment tools
Between day 2 and 3 you are required to complete
documentation for tool 1 ready to review on day 3.
You need to develop for Tool 1:
· Assessment Plan (Template A)
· Assessment Mapping (Template B)
· Assessment cover sheet (Template C)
· Instruction to candidate (Template D)
· Instruments - observation checklist and written questions
(Template E & F)
· Record of assessment results (Template J)
· Marking Guide (Template K)
DAY 3 -
Reviewing Assessment tool
You need to bring a hard copy of the following documents that
you have developed.
· Assessment Plan (Template A)
· Assessment Mapping (Template B)
· Assessment cover sheet (Template C)
· Instruction to candidate (Template D)
· Instruments - observation checklist and written questions
(Template E & F)
· Record of assessment results (Template J)
· One copy of Template L: Report on the trial and review of an
assessment tool that will be used during the review.
DAY 4

Conduct assessment
Training & Assessment (not RPL)
You need to bring 4 hard copies of each of the following
documents that you have developed and reviewed ready to
conduct assessment.
Four copies of your assessment tool:
· Assessment Cover sheet (Template C)
· Instructions to candidate (Template D)
· Instruments (Template E & F)
· Record of results (Template J)
Also bring 4 copies of:
· Assessment brief checklist (Template M)
· Assessment feedback for (Template N)
· Assessment feedback for candidate (Template O)
DAY 5
Participate in validation
Please bring one copy of the documents you developed for task
3.1. Items listed below:
· Competency Map (Template B)
· Assessment Cover sheet (Template C)
· Instructions to candidate (Template D)
· Instruments (Template E & F)
· Record of results (Template J)
· One copy of Template P: Assessment tool validation record
Unit Codes
TAEASS401
Unit Titles
Plan assessment activities and processes

TAEASS502
Design and develop assessment tools
TAEASS402
Assess competence
TAEASS403
Participate in assessment validation
Assessment Information
Qualifications
TAE40116 Certificate IV in Training and Assessment
Type
Task 1: Knowledge questions - Written responses
Task 2: Plan assessment activities and processes (RPL)
Task 3: Design, develop and trial assessment tools
Task 4: Plan assessment activities and processes (training &
assessment pathway)
Task 5: Assess competence
Task 6: Participate in assessment validation
Due Date
6 weeks from last day of workshop
General Information
Decision Making Rules
All assessment criteria within the task must be satisfactorily
completed for the task to be assessed as satisfactorily
completed.

Reasonable adjustment
Reasonable adjustment for assessment tasks for a unit may be
requested by the student for consideration by the facilitator for
the methods by which evidence is collected. However, the
evidence criteria for making competent/not yet competent
decisions must be the same irrespective of the group and/or
individual being assessed.
Reasonable adjustment usually involves varying:
· the processes for conducting the assessment (eg: allowing
additional time, varying the venue)
· the evidence gathering techniques (eg: oral rather than written
questioning, use of a scribe, modifications to equipment)
Special Consideration
Students can apply for special consideration if personal
circumstances or illness have adversely affected their result in
an assessment, or their ability to undertake an assessment. If
they wish to seek special consideration, a special consideration
form must be completed no later than 3 days after the due date
of the assessment and submitted via e-mail to [email protected]
Unit requirements and Assessment conditions
Application
TAEASS401 Plan assessment activities and processes
This unit describes the skills and knowledge required to plan
the assessment process, including recognition of prior learning
(RPL), in a competency-based assessment system.
It applies to individuals with assessment planning
responsibilities.
In planning activities and processes, individuals are required to
identify the components of assessment tools, analyse and
interpret assessment tools, and develop assessment instruments
(also known as assessment tasks) and assessment plans.

This unit describes the skills and knowledge required to design
and to develop assessment tools used to guide the collection of
quality evidence, including their application in formative,
summative and recognition of prior learning (RPL) assessment.
It applies to experienced practitioners responsible for the
development and/or delivery of training and assessment
products and services.
This unit describes the skills and knowledge required to
implement an assessment plan, and gather quality evidence to
assess the competence of a candidate using compliant
assessment tools.
It applies to teachers, trainers and assessors in enterprises and
registered training organisations (RTOs) and those providing
assessment advisory services.
This unit describes the skills and knowledge required to
participate in an assessment validation process.
It applies to assessors and workplace supervisors with
assessment validation responsibilities participating in, but not
necessarily leading, the process.
Assessment support
Your Assessor for this program is contactable via email for any
questions, queries or concerns you may have through the
assessment process. Included within the cost of each workshop
is an assessor guidance session. This session is mandatory and
you will need to book in your time when you receive your
invitation. This session is designed to provide you with a one on
one conversation with your assessor where you can clarify
aspects of the assessment that you are unsure about. It is not
designed for you to send in drafts for review or to get extensive
feedback on work you have completed thus far. The

conversation with your Assessor will be followed up with an
email outlining what was discussed.
TASK 1
Knowledge Questions
Task 1:
Knowledge questions
When preparing written responses to each of the knowledge
questions, use examples to support wherever possible. These
examples should be based on your own experiences and
demonstrate your understanding of key concepts.
Acknowledge any sources of information you have used
(websites, books etc.) by referencing the original source.
1.1
Best practice
a. Explain what CBA is and describe how it works.
Competency based assessment is the assessment of a person or a
group of people to determine if they can be able to undertake a
task well. An assessment of their knowledge and skills is done
mostly on-the-job situation
b. CBA is a form of criteria-referenced assessment. Explain the
differences between criteria and norm-referenced assessments.
Criteria referenced assessment compares ones knowledge and
skills against a predetermined standard which can include a
learning goal. Here students could be categorized into groups
such as basic, proficient and advanced while the norm
referenced assessment mostly compare a person’s knowledge
and skills to the overall group they are in. The assessment
would be in relation to how others performed.
c. CBA aims to be client-focussed. Describe one (1) example of

how you may apply a client-focussed approach when planning,
developing or conducting assessments in your workplace.
I would want to know how the employees interact with the
clients on a personal basis. This could be done in a
questionnaire form to ensure if that the needs of the clients are
factored in thus improving the relations and ensure client
satisfaction is achieved.
d. Describe at least two (2) examples of candidate rights and
one (1) example of candidate responsibilities in CBA
The candidate has a right to be assessed fairly and in a
respectable manner thus should not be coerced into anything.
The candidate also has a right to confidentiality such that the
documents details should not be revealed to unauthorized
personnel.
The candidates also have responsibilities which include
completing their assessment tasks on time.
e. Describe at least two (2) examples of assessors’ legal and
ethical responsibilities in CBA
Assessors are to inform candidates of their rights and the
processes of appeal. The assessors are to ensure these rights are
protected during and after the assessment process.
The assessors have an ethical responsibility of avoiding all
forms of harassment throughout the assessment process.
The assessment is also to be done within the stipulated
regulations of the assessment system policies and procedures.
The assessors have a legal requirement of confidentiality of the
records of the individuals.
1.2
Principles of Assessment
a. Name and define each of the four (4) Principles of
Assessment.
-The assessment should be valid. This principle provides that
the assessment should be done with competency in which the

skills and knowledge should be integrated with practical
application.
- Principle of reliability. The evidence presented for assessment
should be reliable in that it can be consistently interpreted thus
the results can be comparable.
-Principle of flexibility. The assessors should be flexible and be
able to understand their candidates thus satisfy the learner’s
needs.
- Principle of being fair. The assessors should conduct the
process in a fair and transparent manner.
b. Describe how assessors apply the Principles of Assessment
when:
· planning assessment
The assessors would apply the principle of validity in that they
should plan for who the candidates they would assess and what
instruments they would use. When planning, they would also
factor in the principle of being fair in that they would prepare
everything with this principle in mind.
· developing assessment instruments and tools
The assessors need to be flexible in that they should be able to
use the tools available and be able to be within the budget of
the assessment process.
· assessing competence
They should act in a fair manner thus ensure their assessment is
in a competent manner in that their judgment is justified based
on the evidence provided.
· participating in assessment validation.
Principle of validation would be applied here to ensure the
assessors review and the evidences used.
1.3
Rules of Evidence
a. Name and define each of the four (4) Rules of Evidence.
- It should be current evidence. The candidates being

assessed should be complacent with current skills and
knowledge thus complying with the current standards.
- It should also be sufficient. The evidence should be able to
demonstrate competence in that it should be comply with
language, literacy and numeracy levels.
- The evidence should also be authentic. The candidate
should be able to present their own work.
- It should be valid. The evidence should be able to address
the different elements and performance criteria thus be able to
reflect the skills of the candidate being assessed.
b. Describe how assessors use the Rules of Evidence when:
The assessors would update their tools and instruments to
ensure that the rule of current evidence is achieved.
· developing assessment instruments and tools
The assessors would apply the rule of sufficient to ensure the
evidence being tabled by the candidate is competent enough.
the assessors would use the rule of authentic to ensure the
evidence is authentic.
· participating in assessment validation
The assessors would apply the rule of validity to ensure that the
evidence being used by the candidates are valid.
1.4
Dimensions of Competence
a. Name and define each of the four (4) Dimensions of
Competence.
i. Task skills: These are the specific skills needed to carry
out the task as described
ii. Task skills management: this is the management of tasks
which make up the job outcome being assessed.
iii. Contingency management skills: the ability to cope with
irregularities or a breakdown in the routine

iv. Job environment skills: the effective dealing of
expectations of the work environment, being able to show
teamwork and following instructions.
b. Describe how assessors use the Dimensions of Competence
when:
The assessors could use their acquired task skills to help
prepare and developing of assessment instruments. They ought
to use contingency skills to cope up with inadequacy if there are
any and be able to work as a team.
They should be able to successfully use task management skills
to ensure they assess their candidates competently.
· participating in assessment validation.
While participating in the process they should be able to use job
environment skills to ensure they achieve their assessment goal.
To the candidate: replace this text with your response
1.5
Recognition of prior learning (RPL) assessment
a. Briefly explain the similarities and differences between RPL
and training-and-assessment pathway assessments.
RPL assessment is based on knowledge acquired through life
and work experience thus adding on to the qualification
acquired through studying while training and assessment
pathway is assessment based on the evidence from the acquired
knowledge through studies. The similarity in both is that they
both using the rules of evidence
b. Briefly describe the industry you work in (one sentence is
sufficient), then describe one (1) reason why people in your
industry or workplace may undertake RPL assessment.
Health industry: it enables the health worker gain experience
thus evidence that they are competent in the field.
c. Describe one example of a quality RPL process or approach

that a RTO offering qualifications relevant to your industry,
could offer.
Volunteering or unpaid internship: the health worker is able to
be attached to a health facility, they are then given simple tasks
while making observation and gaining experience through
observation. There are also other duties in which they are
delegated with to help the cope with the work environment.
d. Explain why your example is suitable for RPL assessments
conducted in your industry or workplace.
This enables the interns gain experience thus prepares them for
the future work responsibilities.
1.6
Inclusive assessment practice
a. Define reasonable adjustment.
This is the lowering of standards in measuring performance to
accommodate a candidate who has special requirements
b. Provide one (1) example of a reasonable adjustment you
could apply when assessing competence of individuals in your
industry or workplace.
In order to accommodate diversity in the workplace, the
company could waiver the required. If there were blind
employees instead of using questionnaire there would be use of
braille and also increase of time to answering their questions.
c. Research and identify at least two (2) sources of specialist
support that you could access and use to support candidates—
‘sources’ may include agencies, web-based information or
activities, and/or specialist personnel:
· Name each source of specialist support you find
Learning, literacy and numeracy support.
· Describe the type of support available from each source
Using a translator.
· For one of the two sources of specialist support described

above, briefly explain how you would organise this support, or
help a candidate access this support, if required.
I would ensure that the assessment is done using a translator
let’s say in the deaf candidates to ensure they are conversant
with the assessment thus accommodating their needs.
d. Name one (1) example of a cultural sensitivity or equity
consideration that you may come across as an assessor in your
industry. Describe one (1) way you could manage this issue to
ensure a fair and equitable assessment.
Diversity is the cultural sensitivity issue in the company
including racial discrimination. This could be managed by
ensuring fairness is observed in the company.
1.8
Safety
a. Describe the workplace health and safety (WHS)
responsibilities associated with assessing competence in your
workplace or industry. To do this, answer the questions below
about the workplace/s or environment/s where you assess (or
intend to assess):
b. How and to whom do (or could) you report safety hazards and
incidents?
c. Briefly describe emergency procedures.
d. Must personal protective equipment (PPE) be worn? If so,
list the PPE required and briefly explain why it is needed.
e. Explain how you will ensure that equipment to be used during
assessment is safe to use and properly maintained.
f. How do (or could) you access WHS information relevant to
assessments you plan and conduct?
1.7
Training packages and their use

a. Name the four (4) endorsed components of a training package
and summarise the information found in each component.
b. Briefly explain what it means to ‘contextualise’ training
package competency standards when using them as the basis for
assessment.
c. Briefly explain guidelines for contextualising units of
competency.
d. Describe how assessors can stay up-to-date with latest
updates made to training packages and units of competency.
e. Explain what a training and assessment strategy (TAS) is.
Describe how assessors use a TAS to plan and develop
assessments.
1.8
Assessment instruments
Explain the difference between an assessment instrument and an
assessment tool. List the main components of a typical
assessment tool.
1.9
Safety
Describe the workplace health and safety (WHS)
responsibilities associated with assessing competence in your
workplace or industry.
To do this, answer the questions below about
a. Briefly describe workplace/s or environment/s where you
assess (or intend to assess).
Answer remaining parts of this question based on the

environment/s described in part A above:
c. How and to whom do (or could) you report safety hazards and
incidents?
Every person in the organization has the responsibility of
reporting a safety and health hazard, they are supposed to report
to their supervisors who in turn report the hazard to the
management.
d. Briefly describe emergency procedures
This involves the handling an immediate unrecognized hazard
condition when an emergency is detected, it needs quick
intervention thus the employee should report it to the supervisor
who would act in a quick manner by responding to the issue or
even consulting the management. An example is a fire incident
where an alarm could immediately be raised. Then evacuation
plans commence after which there would be headcount of
employees to ensure everyone is safe.
e. Must personal protective equipment (PPE) be worn?
Yes
● if so, list the PPE required and briefly explain why it is
needed.
Safety signs, gloves, safety glasses, safety shoes etc, this is to
avoid personal injuries. It is also in accordance of the industrial
laws that safety gear be worm while at work.
● if not, briefly justify why PPE is not required.
e. Explain how you will ensure that equipment to be used
during assessment is safe to use and properly maintained.
The equipment ought to be kept and in a safe manner. They also
ought to be used in the properly manner.
f. How do (or could) you access WHS information relevant to
assessments you plan and conduct?
Through the company’s website.
1.10

Evaluation
Describe the different evaluation methods that can be used to
trial and review assessment tools. Include examples from your
own experience.
The different evaluation methods include formative assessment,
summative assessment and process assessment. I have
experienced the summative in the organization where assessors
had come to assess on the state of the institution for them to
give a report on accreditation.
1.11
Management systems
Explain the information management system you have in your
organisation and how assessment records are stored and
maintained.
We have a myriad of information management systems in the
organization including in the sales and marketing such as sales
management, customer relationship management, marketing
management. In the operations department, there is the
enterprise resource planning (ERP), operations support, in the
finance department there is the general ledger, budgeting and
planning among others. All these are categorized into the office
information system, management reporting system and decision
support system. The assessment is stores in an electronic
manner through the internet backed up by a cloud system.
1.12
Assessment validation
a. Define ‘assessment validation’.
It is the quality review process that confirms your RTO’s

assessment system can consistently produce valid assessment.
b. Explain the benefits of assessment validation
It helps bring the assessment into alignment. It also helps
ensure that the RTO training and assessment practices are
relevant to the needs of the industry.
c. Other than assessment tools, describe one (1) aspect of
assessment that you may focus on when participating in
assessment validation.
Reviewing the statistically valid samples of the assessment
d. Describe a systematic, ongoing process your workplace uses
(or could use) to validate assessment—include validation that
may be appropriate before, during and after an assessment.
There could be auditing at the finance department. An
assessment could be done to review the finance book in which it
could involve checks and balances.
e. Describe the legal and ethical obligations of those who
participate in assessment validation—consider confidentiality,
anti-discrimination and copyright, and other obligations.
The validators could include employees of the RTO. The
participants could include employers and employer associations,
other industry players, trainers and assessors or even
consultants. They ought to work in an ethical manner such that
they are fair and nonpartisan. They should also not discriminate
against the minority groups. The validators also have a legal
obligation of confidentiality.

Swinburne Professional
Education for Working Professionals
PO Box 218, H69
Hawthorn VIC 3122
P 1800 633 560
E [email protected]
W www.swinburne.edu.au/professional/
TAE40116
TAEASS401 Plan assessment activities and processes
Participant Manual
Participant Manual TAE40116 Assessment
SWINBURNE PROFESSIONAL PARTICIPANT MANUAL •
2

Copyright
© 2018 Blackwater Projects.
All rights reserved.
This document was developed by Blackwater Projects learning
and development
consultancy and is used under license. It may only be
reproduced or copied strictly in
accordance with the terms of that license.
PO Box 4253
Balgowlah Heights NSW 2093
Australia
p +(61) 409 910 002
w blackwaterprojects.com.au
e [email protected]
These materials have been developed by Blackwater Projects
learning and
development consultancy and is used under license by
Swinburne University of
Technology.
The materials may not be duplicated without the written
agreement of Swinburne
Professional, Swinburne University of Technology, PO Box
218, H69, Hawthorn 3122 –
Phone 1800 633 560 – Email [email protected]
Version 1 – 7/5/2018

© May 2018 – All Rights Reserved
mailto:[email protected]
SWINBURNE PROFESSIONAL PARTICIPANT MANUAL • 3
Contents
Program introduction
....................................................................................... 5
Program focus and outcomes
................................................................................. 6
Introduction to competency-based assessment
........................................... 7
Introduction to this section
...................................................................................... 8
What is assessment?
.............................................................................................
9
What is quality assessment?
................................................................................ 12
What does it mean to be competent?
................................................................... 17
Assessment pathways
.......................................................................................... 20
Key features of competency-based assessment
................................................... 26
Assessor roles and responsibilities

....................................................................... 34
Summary of this section
....................................................................................... 43
Plan assessment activities and processes
.................................................. 44
.................................................................................... 45
Plan assessment activities and processes: in context
........................................... 46
Plan assessment step 1. Determine the assessment approach
............................ 49
Plan assessment step 2. Prepare the assessment plan
........................................ 57
Plan assessment step 3. Develop assessment instruments
.................................. 89
Recap: Plan assessment activities and processes—a ‘to-do’ list
.......................... 92
....................................................................................... 93
Design and develop assessment
tools......................................................... 94
.................................................................................... 95
Design and develop assessment tools: in context
................................................ 96
What is an assessment tool?
................................................................................ 97
Assessment tools for a training and assessment pathway
.................................. 100
Assessment tools for RPL
.................................................................................. 102
Design and develop assessment tools step 1. Determine the

focus of the tool ... 107
Design and develop assessment tools step 2. Design the
assessment tool ........ 109
Design and develop assessment tools step 3. Develop the
assessment tool ...... 113
Design and develop assessment tools step 4. Review and trial
.......................... 152
Recap: Design and develop an assessment tool—a ‘to-do’ list
........................... 168
..................................................................................... 169
4
Assess competence
................................................................................ ..... 170
.................................................................................. 171
Assessing competence: in context
...................................................................... 172
Support the candidate
........................................................................................ 173
Assess competence step 1. Prepare for assessment and brief the
candidate ..... 179
Assess competence step 2. Gather quality evidence
.......................................... 186
Assess competence step 3. Judge the evidence and make the
assessment
decision

...............................................................................................
............... 194
Assess competence step 4. Give feedback to the candidate
.............................. 197
Assess competence step 6. Review the assessment process
............................ 209
Recap: Assess competence—a ‘to-do’ list
.......................................................... 213
..................................................................................... 215
Participate in assessment validation
.......................................................... 216
.................................................................................. 217
Assessment validation: in context
....................................................................... 218
Introduction to assessment validation
................................................................. 219
Participate in assessment validation step 1. Prepare for
validation ..................... 223
Participate in assessment validation step 2. Participate actively
in validation ..... 224
Participate in assessment validation step 3: Contribute to
validation outcomes .. 225
Maintain validation records
................................................................................. 227
Recap: Participate in assessment validation—a ‘to-do’ list
................................. 234
..................................................................................... 235
Program Summary
....................................................................................... 236

References
...............................................................................................
..... 238
Appendix: Extra reading
.............................................................................. 240
VET Quality Framework
..................................................................................... 241
Training packages
..............................................................................................
249
Program introduction
This manual will help you plan, organise,
develop, conduct and ‘quality check’ your
assessment tools and practices

6
Program focus and outcomes
This participant manual covers the following units of
competency:
● TAEASS401 Plan assessment activities and processes
● TAEASS402 Assess competence
● TAEASS403 Participate in assessment validation
● TAEASS502 Design and develop assessment tools.
Program outcomes
By the end of this program, participants should be able to:
● explain competency-based assessment and describe how it
works
● use training package competency standards as the basis for
assessment
● plan assessments:
– for RPL and training and assessment pathway assessments
– that cover all requirements of the industry benchmark (or
equivalent)

– that are suitable for the context and meet candidate needs
● design and develop assessment tools and instruments:
– that cover all requirements of the industry benchmark (or
equivalent)
– that are suitable for the context and meet candidate needs
● assess competence, including:
– recognition of prior learning assessments
– training and assessment pathway assessments
● prepare for and participate in assessment validation.
Your personal objective—
Write your personal objective for this program below:
Introduction to competency-

based assessment
With regard to excellence, it is not enough to
know, but we must try to have and use it
Aristotle
8
Introduction to competency-based assessment
This section of the manual discusses assessment—what
assessment is and how
assessments should work.
We’ll pay particular attention to competency-based assessment,
the form of
assessment used in the Australian Vocational Education and
Training (VET) system.
After reading this section of the manual and participating in the
related learning
activities, you should be able to:

● identify the four Principles of Assessment and explain how
they guide all stages of
the assessment process
● describe what it means to be ‘competent’
● define and discuss the difference between:
– a training and assessment pathway assessment
– a Recognition of Prior Learning (RPL) assessment
● identify key features of competency-based assessment
● discuss an assessor’s roles, plus their legal and ethical
responsibilities in a
competency-based assessment system.
What is assessment?
A broad definition of assessment
There are many forms of assessment. For example:

● assessment in the school system—e.g. assignments and exams
● assessment in a higher education system—e.g. university
● assessment in a sporting context—e.g. race or team selection
process
● workplace assessment—e.g. job interview, performance
review or assessments to
determine skills, knowledge or aptitudes held.
What is competency-based assessment?
Competency-based assessment is a flexible system. It focuses
on what a person can
do. How they learned is not important.
This manual focuses on competency-based assessment (CBA).
CBA is the form of
assessment used in Australia’s Vocational Education and
Training (VET) sector. Many
organisations that operate outside the national VET system also
use CBA.
What are the possible results of a competency-based
assessment?
The only possible results of a competency-based assessment are:
● competent or
● not yet competent.

Assessment is the process of reviewing, then forming a
judgement
about a person’s skills and/or knowledge
Competency-based assessment is the process of
reviewing, then forming a judgement about a person’s
competence—that is,
their ability to consistently perform work activities as expected
in the workplace
10
Documents called competency standards list criteria for
competent performance. In
Australia’s VET sector, competency standards are formatted as
‘units’ of competency.
More information
For more information about units of competency and how to
access
them, see the Appendix of this manual, starting on page 240.
National recognition

In the Australia’s VET sector, people may demonstrate
competence in:
● a unit of competence—
a single, defined work activity
(e.g. BSBCMM401 Make a presentation)
● a skill set—
a nationally-endorsed combination of units from a qualification
that reflect a specific
area of specialisation, workplace role or function
(e.g. AVISS00001 Aerobatic Pilot Skill Set—includes 3 units)
● a qualification—
a nationally-endorsed combination of core and elective units
that collectively reflect
a typical job position in a particular industry
(e.g. SHB30115 Certificate III in Beauty Services—includes 15
units: 11 core and 4 electives)
Who may conduct competency-based assessments?
In the VET sector, only qualified assessors working on behalf of
a registered training
organisation (an RTO) may conduct competency-based
assessments.
See page 35 for more information.
National recognition means that a person’s competence
is understood and accepted throughout Australia

AQF and training packages
What is the AQF?
AQF stands for Australian Qualifications Framework.
The AQF is a publication that outlines the 10 levels nationally-
recognised qualifications
offered across the three main educational sectors in Australia—
school, vocational
(VET), and higher education.
Assessors in the VET sector must understand the AQF so we
can be sure to assess at the correct AQF level.
What are training packages?
Training packages are publications that contain the competency
standards that make
up the different AQF qualifications, skill sets or units that we
may assess.
Assessors must understand, access and use training packages.

Want more information? See the Appendix
If the AQF and/or training packages are new to you—or if you
need a
refresher—please read the Appendix of this manual, starting on
page 240.
To be a proficient assessor in the Australian VET system,
you must understand and use the AQF and training packages
12
What is quality assessment?
All aspects of our assessment practice should reflect the
Principles of Assessment,
including how we:
● plan and organise assessment
● develop assessment instruments and tools
● assess competence

We must routinely participate in a range of validation activities
to ensure that our
assessment practice consistently meets the Principles of
Assessment.
The four Principles of Assessment
The Principles of Assessment state that assessments must be:
● valid
● reliable
● fair
● flexible.
More detail about each Principle follows.
The Principles of Assessment define quality assessment practice

Assessment is valid
when the process
assesses what it
claims to assess
Valid
For validity to happen:
● assessment covers outcomes of the entire unit/s of
competency and all assessment requirements
● the broad range of skills and knowledge essential to
competent performance are assessed, including
foundation skills
● assessment of knowledge and skills is integrated with
their practical application
● sufficient evidence is collected—evidence should be
gathered on a number of occasions, in a range of
contexts, using different assessment methods.
● judgement of competency is based on evidence of
candidate performance that is in line with the unit/s of
competency and assessment requirements
The validity of assessment is enhanced
when assessors:
● sample a sufficient range of the candidate’s
performance in diverse circumstances
● assess performance in the workplace (where safe
and practicable) and in realistic simulated situations

that reflect workplace conditions, when necessary
● gather evidence of transferability to new situations
● use assessment tools that record/document
workplace performance
● use multiple approaches to assessment
● include assessment of the dimensions of
competence.
ASSESSMENT IS
VALID IF…
“Any assessment
decision of the RTO
is justified, based on
the evidence of
performance [of the
candidate]”
<https://www.asqa.gov.au/stan
dards/chapter-4-training-and-
assessment/clauses-18-112-
conduct-effective-assessment>
(accessed 05.01.2018)
14

Assessment process
and outcomes are
consistent and
repeatable
For reliability to happen:
● assessment benchmarks (e.g. unit/s of competency
or other benchmark) must be clear and interpreted
consistently by candidates and assessors
● assessment instructions and requirements must be
clear and complete
● assessors must adhere to assessment instructions
and requirements each time they conduct an
assessment
● assessors must monitor and review own and others’
assessment decisions to ensure consistent
judgements
The reliability of assessment is enhanced
when assessors systematically:
● collaborate with other assessors to reach the
assessment decision (moderation)
● review past decisions and compare these with
decisions made by other assessors (validation)

● when creating or modifying assessment instruments
or tools, prepare instructions for use by candidates
and assessors that:
– are clear and complete
– include requirements for satisfactory completion
– include a marking guide for assessors, as
needed.
● participate in the review the training of assessors
(systematic procedures).
Reliable
ASSESSMENT IS
RELIABLE IF…
“Evidence presented
for assessment is
consistently
interpreted and
assessment results
are comparable,
irrespective of the
assessor conducting
the assessment.”
<https://www.asqa.gov.au/stan
dards/chapter-4-training-and-
(accessed 05.01.2018)

For fairness to happen the assessor must:
● provide clear, accurate and complete information about
– the assessment process and requirements
– candidate rights and responsibilities in
assessment
● help candidates decide if they are ready for
assessment
● help candidates decide the most suitable assessment
pathway—training and assessment, or RPL
● help candidates identify suitable RPL evidence
● take candidate needs and characteristics into account
● recognise circumstances where a reasonable
adjustment is appropriate and apply reasonable
adjustments, where appropriate, OR explain reasons
for not giving a reasonable adjustment
● document the assessment process and give feedback
to candidates.

To be fair, assessment must:
● cover all requirements of the competency benchmarks,
and nothing else
● be a collaborative process that the assessor and
candidate agree to, and that the assessor supports
● document evidence requirements that are clear to
candidates
● be equitable to all candidates
● be objective and inclusive, free from discrimination and
bias
● provide opportunities for all candidates to challenge
assessments and with provision for reassessment
(systematic procedures).
Fair
ASSESSMENT IS
FAIR IF…
“The individual
[candidate’s] needs
are considered in
the assessment
process.”
<https://www.asqa.gov.au/sta
ndards/chapter-4-training-
and-assessment/clauses-18-

112-conduct-effective-
assessment>
(accessed 05.12.2018)
Candidate needs are
considered and
accounted for
16
This manual provides information and examples of assessment
practice that reflect the
Principles of Assessment.
Assessment is
flexible when it can
accommodate the
various needs of
people involved in the
assessment process.
For flexibility to happen assessments should:
● consistently practice ‘inclusive’ assessment by

modifying the assessment timing, process, activities or
instruments to meet needs of candidates and other
parties impacted by the assessment process
● for candidates with a disability, apply reasonable
adjustment/s, where warranted
● assess competencies held by the candidate, no matter
how or where they have been acquired—this includes
helping the candidate select the most suitable
assessment pathway for them (RPL or training-and-
assessment pathway)
● draw on a range of assessment methods and select
methods that are appropriate to the context, the unit of
competency and its assessment requirements, and to
the candidate
Flexible
ASSESSMENT MUST
BE FLEXIBLE TO THE
INDIVIDUAL
[CANDIDATE]
Based on information at:
<https://www.asqa.gov.au/stand
ards/chapter-4-training-and-
(accessed 05.12.2018)

What does it mean to be competent?
In the Standards for Registered Training Organisations (RTOs)
2015, ‘competency’ is
defined as:
… the consistent application of knowledge and skill to the
standard of
performance required in the workplace. It embodies the ability
to transfer
and apply skills and knowledge to new situations and
environments.
Standards for Registered Training Organisations (RTOs) 2015,
Glossary
To say that someone is ‘competent’ means they have
demonstrated the minimum
required standard of performance for a particular workplace
task or activity.
‘Minimum standard’ does not mean low standard. Competence
is a starting point.
‘Competency’ means that an individual has demonstrated
consistent and safe
performance of a work activity as required, in realistic working
conditions. Over time, a
competent person may become ‘expert’ as they extend their

knowledge and skills.
Figure: Competence illustrated
The pages that follow explain the components of competence
shown above.
Since our job as assessors is to assess competence,
we must understand what competence means,
then ensure that our assessments truly measure competence
18
Skills ↔ knowledge ↔ attitudes
Candidates must demonstrate the skills, knowledge and attitudes
required to perform
the work task or activity being assessed. Here’s an example:
Figure: Skills, knowledge and attitudes needed to operate a
forklift
ex
am
pl

e
Operate a forklift
Examples of skills, knowledge and attitudes needed to operate a
forklift include:
Skills ● Efficient driving techniques
● Able to identify points of balance and safe lifting positions on
a range of
loads
● Able to read instructions, procedures and signage relevant to
the operation
of a forklift
Knowledge ● Forklift handling procedures
● Principles of stress management when handling a forklift
● Operating hazards and related defensive driving and hazard
control
techniques
Attitudes ● Confidence operating forklift
● Commitment to operate forklift as per workplace
expectations—evidenced
by consistent operation of the forklift as per expectations.
Dimensions of competence
The definition of competence includes the ability to perform a
work task in realistic
workplace conditions. The dimensions of competence remind

us of what some of
these conditions may be; we must therefore consider them when
assessing
competence. The dimensions of competence are:
● Task skills
Involve the ability to perform individual tasks as per workplace
expectations
● Task management skills
Involve the ability to manage a number of different tasks,
operations, activities
within the job role or work environment and meet deadlines
● Contingency management skills
Involve the ability to respond to irregularities and breakdowns
in routine
● Job/role environment skills
Involves the ability to deal with responsibilities and
expectations of the workplace,
including working with others and meeting personal
responsibilities to maintain a
healthy, safe and productive workplace.
Figure: Dimensions of competence related to operating a
forklift
ex

am
pl
e
Operate a forklift
Examples of the dimensions of competence related to operating
a forklift—the candidate:
Task skills ● Checks forklift condition
● Drives the forklift—start, manoeuvre, steer, position, and stop
● Operates the forklift to handle loads
● Monitors site conditions
● Monitors and maintain forklift performance
Task
management
skills
● Completes jobs by required deadlines, and efficiently enough
to
complete other jobs and meet related deadlines
● Monitors the site layout and obstacles while operating the
forklift
Contingency
management
skills
● Monitors and anticipates operational hazards, and takes
appropriate

action
● Follows required procedures in the event of an operational
emergency
● Takes prompt action is to report and/or rectify accidents,
incidents and
any identified faults or malfunctions
Job/role
environment
skills
● Works effectively with colleagues and contributes positively
to the
workplace environment
● Maintain and update records regarding forklift operation, in
accordance
with workplace procedures and legislative requirements.
Transfer skills
Competence also means demonstrating transfer of skills—this
means that candidates
perform the work task or activity in a reasonable range of
circumstances (e.g. uses the
forklift to lift and transport different types and weights of
loads).
Summarising what it means to be ‘competent’
In summary, ‘competence’ means that an individual has
demonstrated:

● the skills, knowledge and attitudes to perform a task
consistently, as required
● in realistic working conditions (dimensions of competence)
● the ability to transfer skills and knowledge to new situations
and environments.
20
Assessment pathways
The two most common assessment pathways are:
1. training and assessment pathway
2. assessment-only pathway (RPL).
The figure below shows key similarities and differences
between training and
assessment pathway and RPL assessments:
Figure: Training vs RPL assessment

Details about each pathway follow.
An assessment pathway
refers to the ‘route’ (the path) a person takes to get to
competence
Training and assessment pathway
Not Yet
Competent
Assessment-only
pathway (RPL)
Figure: Assessment Pathways
Competent
● Attend training
● To demonstrate competence:
Complete assigned
assessment tasks
● Don't attend training
● To demonstrate competence:
Submit their choice of
information and examples of
work.
TRAINING PARTICIPANTS RPL CANDIDATES

Must meet
requirements
for
competence
somewhat flexible PROCESS most flexible
Training and assessment pathway
Candidates selecting this pathway choose to participate in
training that will help them
develop the knowledge, skills, commitment and confidence
needed to attain a
competent assessment result. In a training and assessment
pathway, assessment
may take place:
● before training—a diagnostic assessment
Purpose is to ‘diagnose’ training needs.
● throughout training—formative assessments
Purpose is to monitor participant progress. Formative
assessments may or may
not be formal; that is, they may or may not contribute to the
overall assessment
outcome.
● at and/or after the conclusion of training—a summative

assessment
Purpose is to holistically assess each participant’s ability to
perform the work
activities taught, in realistic working conditions.
The timeline below illustrates the three different types of
assessments that may form
part of a training and assessment pathway.
Figure: Types of assessments in a training and assessment
pathway
Diagnostic
assessment
Formative assessments Summative assessment
Timeline
Before
training
After training
in the workplace

During training
22
Assessment-only pathway—
Recognition of Prior Learning (RPL)
In an assessment-only pathway, we assess candidates without
training them first. The
most common term used to describe an assessment-only
pathway assessment is
Recognition of Prior Learning (RPL).
In the Standards for Registered Training Organisations (RTOs)
2015, RPL is defined
as…
… an assessment process that assesses the competency/s of an
individual
that may have been acquired through formal, non-formal and
informal
learning to determine the extent to which that individual meets
the
requirements specified in the training package or VET
accredited courses
[sic].

Standards for Registered Training Organisations (RTOs) 2015,
Glossary
To be clear…
RPL is a form of assessment. It is not the same thing as
‘getting credit’. We must
assess RPL candidates to verify competence (we just don’t need
to train them first).
Why might people undertake RPL assessment?
People undertake RPL assessment to gain formal recognition of
skills and knowledge
they already hold. They may do this because:
● they want or need formal recognition of their skills and
knowledge to:
– meet regulatory requirements
– get a new job or promotion
– attain a qualification
● a quality RPL assessment process will save the candidate time
and money
because they don’t need to participate in training that covers
skills and knowledge
RPL—a ‘plain English’ explanation

RPL is an assessment process that allows experienced
individuals to
gain a qualification, skill set or statement of attainment by
producing
evidence of what they already know, can do, or have done
they already hold.
Can anyone undertake RPL?
No. RPL is only suitable for individuals who:
1. currently hold the skills, knowledge and experience needed to
meet competency
requirements
2. are able to provide valid, sufficient, current and authentic
evidence of their skills,
knowledge and experience.
RTOs must screen all potential RPL candidates and confirm
their suitability for RPL,
before finalising their enrolment in RPL (and accepting any fees
that apply).

How does RPL work?
Each RTO will have its own RPL policies and processes. An
RTO’s RPL processes
must include the three main steps shown below.
Figure: RPL process at a glance
The table below describes some of the different ways RTOs may
apply these steps to
form their own, systematic RPL processes.
24
Table: How RPL processes work
Stage How the RTO might manage this stage of the RPL process
1
Confirm
eligibility
for RPL

Written RPL information
The RTO produces a document or equivalent that describes
RPL requirements. They distribute it to individuals who
express interest in RPL. Individuals use this information
(and contact the RTO with more questions as needed) to
decide if RPL is a good choice for them.
OR
Interview
An RTO representative conducts an ‘eligibility interview’ with
individuals who are interested in RPL. By the end of the
interview the RTO representative and the individual decide
the best course of action—RPL or another alternative.
2
Candidate
compiles and
presents a
portfolio of
evidence
Formative approach (collaborative)
The RTO assigns an RPL assessor immediately upon
enrolment. The assessor works collaboratively and
progressively with the candidate to:
● identify suitable examples of RPL evidence
● progressively judge evidence and give feedback until
the candidate has provided all evidence needed to
attain a competent result
OR

Summative approach: variation 1—written portfolio
The RTO sends the candidate an ‘RPL kit’ with written
instructions. The candidate follows these instructions and
compiles a portfolio of evidence. When complete, they
submit the portfolio to the RTO for marking.
OR
&
Summative approach: variation 2—written portfolio with
interview (we sometimes call this interview a
‘competency conversation’)
The candidate compiles a portfolio of evidence as described
above. When complete, they:
● EITHER submit the portfolio to the RTO for marking—
an assessor marks the portfolio, then contacts the
candidate to arrange an interview
OR
● contact the RTO to arrange a time to meet with the
assessor and present their evidence at the RPL
interview.
Stage How the RTO might manage this stage of the RPL process

3
RPL assessor
makes a
decision
In all RPL situations, the RPL assessor must produce a
written report that documents:
● the assessment result
● feedback about the evidence submitted.
If the result is
not yet
competent
If the result is not yet competent, the assessment report must
include a recommended action plan that either:
● offers the candidate ways to address gaps and attain a
competent result
OR
● suggests alternatives to RPL.
To address gaps in competence, the RPL assessor may:
● contact third parties to get additional evidence of
competence
● ask the candidate to submit more evidence
● (if not already done) interview the candidate and
conduct a ‘competency conversation’

● assign a targeted task or activity to address gaps in
competence
● recommend targeted coaching, training or self-directed
learning to address minor gaps in competence
● recommend a training-based pathway to attain
competence.
26
Key features of competency-based
assessment
This section of the manual discusses the key features of
competency-based
assessment (CBA).
We’ll discuss the following features of competency-based
assessment:
1. CBA is client-focussed. This means that:
● CBA is participatory
● candidates may choose whether or not to be assessed

● candidates may choose the assessment pathway of choice
● assessments should reflect realistic working conditions
● CBA is flexible and promotes inclusivity
● candidates have rights (and responsibilities) in CBA
2. CBA is based on criteria
3. CBA is evidence-based.
CBA is client focussed
One of the key themes of VET in Australia is a client-focussed
approach. This includes
a client-focussed approach to assessment.
A client-focussed approach means that we must consider the
needs of the client when
planning, organising, developing, conducting and validating
assessments.
Below are some examples of how a CBA is client-focussed.

CBA is participatory
In CBA, candidates are involved in the assessment process. The
relationship between
assessor and candidate is a collaborative one. Candidates may
discuss their
assessment needs and negotiate assessment approaches that best
suit their needs
while still addressing competency requirements.
The assessor should guide and support the candidate throughout
the assessment.
Assessors therefore need effective communication skills.
In CBA, candidates choose to be assessed
In CBA, candidates must choose to undertake assessment. We
cannot force a
candidate into assessment if they do not want to be assessed.
When choosing whether or not to be assessed, potential
candidates must consider:
1. the benefits of choosing to be assessed
Benefits may include a Nationally Recognised Qualification,
Skill Set or Statement
of Attainment, a promotion or a pay rise, or increased
marketability.
2. the consequences of not choosing to be assessed
Candidates not choosing to be assessed are not formally
recognised for their skills
and knowledge. Furthermore, in some workplaces, assessment
may be required

to satisfy regulatory or legislative requirements; choosing not to
be assessed may
result in the candidate losing their job.
In CBA, candidates have a choice of assessment pathways
For more information about assessment pathways, see page 20.
Candidates and assessors are ‘partners’ in assessment
28
CBA should reflect realistic working conditions
● If assessment occurs in the workplace
Most likely the assessment requirements will reflect the
candidate’s context.
● If assessment occurs in a simulated workplace setting
Assessment conditions and requirements must reflect realistic
working conditions
for the type of workplace in which the candidate works or may
work.
CBA is flexible and promotes inclusivity
Inclusive assessment practice

All assessment candidates will benefit from inclusive
assessment practice.
Examples of inclusive assessment practice include (but aren’t
limited to):
● Assessment takes into account candidates’ previous
experiences. For
example, a candidate who did not do well in school may be
anxious about their
assessment; you may need to:
– correct misconceptions about how competency-based
assessment works
– take steps to reassure and support the candidate throughout
assessment
● Assessment reflects candidates’ real world conditions, for
example:
– either assessment processes are highly tailored to a particular
client group
– or assessment processes are flexible and allow candidates to
choose realistic
workplace scenarios upon which to base assessment activities.
● The assessment processes and tools address cultural
sensitivities and
equity considerations. For example:
– Cultural sensitivities relating to:
—assessors
may need to
adjust the assessment approach or their communication style to

ensure
that candidates feel safe and supported in the assessment
—e.g. the need to maintain confidentiality
when
assessing a manager whose team members are aware of the
assessment
– Equity considerations:
and non-
biased
against any
candidate or candidate type—e.g. an assessment that requires
candidates
to obtain feedback on performance from their employer would
discriminate
against candidates who are not employed.
Inclusive assessment practice means ensuring that assessment
processes and materials are relevant and safe
● Assessment is flexible enough to allow amendments to suit
the needs of a
particular candidate—e.g. re-scheduling assessment around a
candidate’s

availability or to accommodate unforeseen circumstances that
arise
● Assessment takes into account candidates’ foundation skills,
including:
– learning, reading, writing, oral communication and numeracy
– core skills for work, including the ability to:
● Reasonable adjustment, where required (see below).
Reasonable adjustment
Sometimes, practicing inclusivity means adjusting the
assessment to meet the needs of
someone with a disability.
!
Adjustments must be ‘reasonable’—that is, they must:
● maintain integrity of the assessment and meet competency
standards
● help candidates access the opportunity to undertake
assessment
● maintain safety
● not cause undue hardship to the RTO (e.g. cost).
Examples of reasonable adjustment include but are not limited

to:
● providing support people—e.g.
scribe or support person for a candidate with an intellectual
disability
● providing assistive technology—e.g.
to enhance vision or allow to for physical disability
● modifying format of assessment materials—e.g. braille
assessment
● modifying assessment processes—e.g.
oral assessment for a candidate who has difficulty writing
● adjusting the physical environment—e.g.
providing access and physical layout so a candidate in a
wheelchair can complete
the assessment.
A ‘reasonable adjustment’ is…
an adjustment to the assessment process or materials that allows
a
candidate with a disability fair access to the assessment,
and fair opportunity to successfully complete it

30
More information about specialist support
Sometimes, to apply a reasonable adjustment, we get help from
‘specialists’—specialist people (as in example one of reasonable
adjustment above), or specialist equipment (as in example two).
For more information about specialist support, see page 173.
In CBA, candidates have rights
A client-focussed approach to assessment means that candidates
have rights. We
discussed candidates’ right to choose whether-or-not to be
assessed on page 27.
Other candidate rights include:
● the right to appeal the assessment decision
Candidates have a right to appeal the assessment decision if
they disagree with
the decision reached by the assessor. All Registered Training
Organisations
(RTOs) must have a documented appeals process. We should
inform candidates
of their right to appeal before we assess them.
● the right to confidentiality
RTOs and assessors must respect candidate confidentiality.
They must:
– share information about candidates and their assessment

activities with
authorised people, only
– document assessment results promptly and ensure that
assessment records
remain secure and confidential.
● the right to access their own assessment records
All candidates have a right to access their own assessment
records. RTOs should
ensure the availability of such records while simultaneously
preventing those
without authorisation from accessing them.
● the right to fair and respectful treatment
All candidates have a right to be treated fairly and respectfully
by the assessor, by
other RTO staff, and by other candidates.
Candidates also have responsibilities
Candidates have a responsibility to:
● complete assessment tasks as required
● advise their assessor if they have any particular needs that
may warrant a
reasonable adjustment
● submit authentic evidence (i.e. submit their own work,
without plagiarising)
● respect the rights of others—including the assessor and other
candidates.

CBA is based on criteria
Competency-based assessment is an example of a criteria-
referenced assessment.
Criteria vs. norm-referenced assessments
In criteria-referenced assessments, we assess candidates against
a set of criteria (in
CBA the criteria are competency standards).
Criteria-referenced assessments stand in contrast to norm-
referenced assessments. In
a norm-referenced assessment, we compare the candidate’s
performance with the
performance of other candidates.
The table below summarises the differences between criteria
and norm-referenced
assessments:
Table: Criteria vs norm-referenced assessments
Type of assessment
Criteria-referenced Norm-referenced

Definition Candidate performance is compared to the
assessment criteria
Candidate performance is compared with
other candidates’ performances
Key
features
● Is not a competitive process—all
candidates have the opportunity to
succeed
● Requirements for ‘success’ remain
constant
● Is a competitive process—not all
candidates will succeed
● Requirements for ‘success’ fluctuate
depending on the performance levels
of the candidates
Examples ● Competency-based assessment—
everyone has the potential to achieve
a ‘competent’ result
● Some school assessments—e.g. a
score of 75% is required for a
Distinction.
● A race—fastest wins
● A job interview—best wins
● University entrance exam—top 25

finishers get into university.
32
CBA is based on evidence
What is evidence?
Evidence is the ‘proof’ offered by a candidate to demonstrate
their competence.
What is the role of evidence in CBA?
In CBA:
● candidates have a responsibility to provide evidence of their
competence.
● assessors have a responsibility to help candidates identify
suitable evidence and
must base their assessment decisions solely on the evidence
provided. They may
not base assessment decisions on:
– how hard the candidate has worked, or
– how much they like the candidate, or

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