Contents. Before you begin

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1 Contents Contents Before you begin Learning outcomes for TAEASS401A Plan assessment activities and processes Understanding the competency standard Developing and recording employability skills What is expected of a Certificate IV learner How to use this book Assessment Developing an evidence portfolio Resources Overview: Understanding vocational education and training v v v xi xv xv xvi xvii xvii xix Introduction: Planning assessment activities and processes 1 Chapter 1: Determining the assessment approach Identifying the candidate and confirming the assessment approach Identifying and accessing assessment benchmarks and guidelines 25 Portfolio instructions 30 Discussion topics 30 Chapter summary 31 Record your employability skills 31 Chapter 2: Preparing the assessment plan Determining the type of evidence needed to demonstrate competence Selecting assessment methods to support the collection of evidence Documenting and confirming the assessment plan 56 Portfolio instructions 62 Discussion topics 63 Chapter summary 63 Record your employability skills 64 Chapter 3: Developing assessment instruments Developing appropriate assessment instruments Analysing and modifying available assessment instruments 77 iii

2 TAEASS401A Plan assessment activities and processes 3.3 Mapping assessment instruments Writing instructions for using assessment instruments Trialling draft assessment instruments 93 Portfolio instructions 98 Discussion topics 98 Chapter summary 98 Record your employability skills 99 Final assessment: TAEASS401A Plan assessment activities 101 and processes Employability skills 109 iv

3 Before you begin Before you begin The TAE10 Training and Education Training Package represents the qualifications environment for training and education in the vocational education and training (VET) sector. One of the essential building blocks for the TAE10 Training Package is the TAE40110 Certificate IV in Training and Assessment. This workbook is based on the unit of competency TAEASS401A Plan assessment activities and processes, which is a core unit required for the TAE40110 Certificate IV in Training and Assessment. You may also be completing this unit as part of another accredited course. Learning outcomes for TAEASS401A Plan assessment activities and processes As you progress through the unit TAEASS401A Plan assessment activities and processes, you will learn the skills and knowledge required to plan and organise the assessment process in a competency-based assessment system, including assessments undertaken as part of a recognition of prior learning (RPL) process. You will also learn how to develop simple assessment instruments. This unit typically applies to assessors, workplace supervisors and trainers who have responsibility for planning assessment, including RPL. In this workbook you will learn how to: determine the assessment approach prepare an assessment plan develop simple assessment instruments. Understanding the competency standard Each unit of competency in a training package is broken down into elements, which describe the essential outcomes of a unit of competency, and performance criteria, which describe the performance needed to demonstrate achievement of the element. The following table details the elements and performance criteria for this unit of competency and outlines where they are covered in this workbook. Your trainer may provide you with a complete copy of the unit of competency or you can download it from the National Training Information Service website at: TAEASS401A Plan assessment activities and processes Element 1: Determine assessment approach 1.1 Identify candidate and confirm purposes and context of assessment/rpl with relevant people according to legal, organisational and ethical requirements Where covered in this workbook Chapter 1: Determining the assessment approach 1.1 Identifying the candidate and confirming the assessment approach continued v

4 Introduction: Planning assessment activities and processes Introduction Planning assessment activities and processes What is assessment? Assessment is a crucial part of any learning and development program as it informs the learner whether they have been successful in gaining the skills and knowledge required by the program they have undertaken. Assessment involves reviewing a range of evidence presented by the learner and judging whether the evidence they have provided is sufficient, valid, current and authentic evidence of their competence to successfully undertake a particular task. Sufficient there is enough appropriate evidence to ensure that all aspects of competency have been satisfied and that competency can be demonstrated repeatedly Valid the evidence provided is relevant to the unit of competency; the evidence measures what it is supposed to measure Current competency requires demonstration of current performance, so evidence provided must be from either the present or the very recent past Authentic the evidence presented for assessment is the candidate s own work Assessment in a vocational education and training (VET) system is competency based, meaning that assessment is made against established benchmarks and a person is considered either competent or not yet competent according to whether they have demonstrated that they can meet the specified standards. An assessment system and its processes must make sure that no-one is disadvantaged because of their age; gender; language, literacy and numeracy abilities; or cultural background. Therefore, in planning and conducting an assessment, assessors must meet specific legal and ethical obligations as well as quality standards outlined by the National Quality Council, the national body responsible for the endorsement of national training packages. 1

5 Chapter 1: Determining the assessment approach Example Tony begins the process of unpacking the unit of competency BSBOHS407A Monitor a safe workplace by accessing the NTIS website. He prints the unit of competency. At this stage, Tony needs to understand the benchmarks that he will use to judge the performance of candidates. He begins by reading the unit descriptor that describes the work activity and its relationship with other units. He uses the elements to understand the outcomes that workers performing this activity are expected to achieve. The performance criteria describe the required performance needed to demonstrate achievement of the element. He reviews the range statement of the competency standard to help him contextualise the assessment. Tony is aware from discussions with colleagues that it is essential that he gathers clear evidence of the application of the required skills and knowledge listed in the competency standard. His workplace has developed a policy that requires him to use questioning to gather evidence of the knowledge component of the unit and observation for the skills component. He knows that this will help those candidates who require specific support. The methods of assessment in the evidence guide provide explicit advice regarding the types of evidence that should be collected from candidates. Tony s initial thoughts are that the context of assessment is well-suited for portfolio-based assessment. The knowledge questionnaire and observation checklist will provide supplementary evidence. Before proceeding further with developing an assessment plan, Tony arranges to meet with his colleagues to gather their input. Learning activity 2 Either use a time where you have assisted a candidate to apply for RPL in your workplace or use the following case study. Read the case study, then complete the tasks that follow. You require Internet access to complete this learning activity. You also require copies of the various forms and printed information that you collected in learning activity 1. Case study You are meeting with a person who has recently enrolled in a business course with the goal of improving her technology and customer service skills following five-year absence from the paid workforce. The candidate is a 30-year-old woman who is returning to paid work now that her child is starting kindergarten. She had previously worked for eight years as a receptionist in a real estate office. You believe that the candidate should consider applying for recognition of her current competence in regard to her communication skills. 1. Use the Internet to obtain a copy of the unit of competency BSBCMM201A Communicate in the workplace from the BSB07 Business Services Training Package. 2. Review the learner enrolment form exemplar that you gathered in learning activity 1 and identify the information that you could find on that form that would help you to substantiate the candidate s potential to apply for RPL. 3. Review the application for RPL form that you sourced for learning activity What is the purpose of assessment in this case? 5. Describe the context of assessment. 6. What legislation or ethical practices are relevant to this case? 7. Summarise the benchmarks for RPL for the unit BSBCMM201A. 8. Identify the assessment guidelines that would apply to this case. Refer to the information you collected in learning activity 1. 29

6 Chapter 2: Preparing the assessment plan Gathering evidence The following steps may help you plan the types of evidence that need to be collected for assessment. Step 1: Review the picture of competence: what a person will look like as they complete the task in the workplace. Step 2: Identify the evidence required to demonstrate competency, including required skills and knowledge. Step 3: Consider the rules of evidence how to gather evidence that is sufficient, valid, current and authentic. Step 4: Make sure that instructions for collecting evidence do not have higher levels of LLN than required for the unit. Step 5: Identify where the evidence will come from. Having identified the evidence requirements, you must determine how the evidence will be collected. In selecting the most appropriate combination of evidence gathering techniques, you must consider: the nature of the work activity the evidence requirements the individual characteristics of the candidate the assessment context and purpose. You also need to ensure that the evidence gathering methods you select are consistent with the training and assessment strategy developed by the RTO, and described to the candidate when they enrolled in the course or unit. Evidence can be gathered through: real work/real-time activities through observation and third-party reports structured activities 39

7 Chapter 2: Preparing the assessment plan 2.2 Selecting assessment methods to support the collection of evidence An RTO s assessment strategies should describe how assessors can select appropriate assessment methods that will enable them to collect evidence in various contexts. In this section, you will develop the skills and knowledge you require to: evaluate the context of assessment consider the assessment methods that will be most effective record these details on a formal assessment plan. Understanding the context of the assessment As discussed in Chapter 1, the decision about which assessment method you should use to gather evidence is grounded in the context of assessment. The following table demonstrates the key components of the context of assessment that you will need to consider when developing assessment plans. You should reflect on each of these points as you examine the variety of assessment methods that are described in the following section of the workbook. Context of assessment Purpose of assessment Candidates Why is assessment required? Explanation To demonstrate competency for a particular competency standard To identify training needs To confirm training progress To provide informal feedback to the learner on their progress to assist them to evaluate their learning (formative assessment) To recognise current competencies through a recognition of prior learning process What are the characteristics of candidates that will influence the assessment process? Age Work experience current and previous Previous educations Cultural background Language, literacy and numeracy issues Disability Access to technology Learning environment Support from other people Degree of experience with an assessment process continued 45

8 Chapter 3: Developing assessment instruments Chapter 3 Developing assessment instruments Once your assessment plan has been prepared, you need to source or develop appropriate assessment instruments for identifying and recording competence. Your workplace may have developed a bank of assessment instruments that you can evaluate. You may find a pre-existing assessment instrument that you can either use immediately or modify to suit the context of assessment and for alignment with the assessment plan. You can expect that at various times you may be required to develop a new assessment instrument that suits the specific requirements of the assessment plan. In this chapter you will learn about: 3.1 Developing appropriate assessment instruments 3.2 Analysing and modifying available assessment instruments 3.3 Mapping assessment instruments 3.4 Writing instructions for using assessment instruments 3.5 Trialling draft assessment instruments 65

9 Chapter 3: Developing assessment instruments Asking specific questions is a valuable way of ensuring your assessment covers the required knowledge, performance criteria and critical aspects of evidence. Evidence and observation checklists Observation is a very effective method of assessment as you gather firsthand evidence of the candidate performing the various aspects of the competency standard. You should have a checklist to record your observations. Your workplace may have an observation checklist or you may need to develop one. If you have developed your own you should have it validated to ensure it is valid and reliable and will collect sufficient evidence over a period of time. The checklist should include questions you must consider as you are observing to ensure they meet the performance criteria, such as: Does the candidate check all the safety features before operating the equipment? Does the candidate follow the rules when conducting a meeting? Is the candidate wearing personal protective equipment as required? Did the candidate prepare the appropriate resources before carrying out the task? The quality test of an observation form is in the detailed mapping of the form with the unit of competency. You should ensure that the candidate receives a copy of the checklist before the observation and understands what is involved; for example, whether the observation is announced or unannounced; the period of observation. You also need to decide if you are going to record your observations as the candidate performs the task or after the observation period. Compare the observation checklist you have selected to use against the following quality indicators. The checklist could include: identification of the candidate assessor details benchmarking criteria (or competency standards) identification of prerequisite competencies workplace health and safety issues relevant to assessment the specific task or activity to be performed the number of assessments to be observed 71

10 Chapter 3: Developing assessment instruments 3.2 Analysing and modifying available assessment instruments You may be using a commercially available assessment instrument or ones that other people in your organisation have developed. If so, you need to analyse them to see whether they are appropriate for your assessment purpose or if they need to be modified to suit a specific assessment environment or the needs of a candidate. Assessment bank instruments The process of writing and mapping assessment instruments and then trialling them can be time consuming and may draw on various resources from across the organisation. In order to maximise the outcomes of this assessment development process, RTOs usually require assessment instruments to be collated into an assessment bank a collection of assessment instruments that are available for use by any of their assessors. It is important to remember that the assessment instruments are commercially sensitive documents that represent a significant investment by the RTO. You should not share assessment instruments with external parties or publish assessments in printed or electronic form without the approval of the appropriate person. The assessment instruments may also form part of an assessment strategy that requires assessment to be conducted under strict conditions; for example, candidates completing accounting unit competencies as part of their Higher School Certificate must do so under strict examination conditions. You may find that access to the assessment bank is restricted to certain people in some cases. Remember to check that you take a copy of the most recent version of this assessment instrument or an earlier version that may be easier for you to contextualise. You should remember that you will need a copy of any assessment validation records that have been completed for the assessment tool. Commercially available instruments Assessment instruments are also available from external sources. These sources include: RTOs that offer use of their assessment instruments for a fee private organisations that sell assessment instruments for a fee often these are provided in electronic format and are able to customised to suit the needs of the assessor Publishers such as Aspire Learning Resources offer a range of workbooks that include various assessment instruments for units of competency in various training packages. Aspire Learning Resources also offers trainer s and assessor s guides that have been designed to assist assessors to meet their AQTF compliance obligations and contain assessment instruments with benchmark solutions that enhance the RTO s quality management processes. 77

11 TAEASS401A Plan assessment activities and processes Mapping assessment instruments Follow your workplace policies and procedures when mapping an assessment instrument against unit or course requirements. You may find it beneficial to discuss with experienced assessors the method they find most effective to prepare mapping information. With experience, you will develop your own approach to this task that reflects your work practices, the context of assessment and the tools that you have available to work with in preparing the mapping document. You may find, for example, that you are happy to work entirely electronically, viewing the competency standard and assessment instrument on-screen and recording the mapping information onto an electronic form or template. Alternatively, you may prefer to work with printed copies of the necessary documents and annotate the assessment tool with the relevant critical aspects of assessments that are later transcribed to an electronic format. The mapping document should be stored with the assessment instrument and presented with the instrument during assessment validation processes. Mapping is subjective in nature. Your interpretation of the critical aspects of evidence and how they look when comprising part of a person s job role will influence how you see the relationship between the assessment instrument and the competency standard. In order to minimise or eliminate the risks posed by subjectivity in mapping, you should collaborate with relevant stakeholders in the planning stage of assessment. This will ensure that you consider how other people interpret the competency standard and their ideas about the types of evidence that are required to demonstrate competence. The reliability of the mapping process is also enhanced when you partner with at least one other person to complete the mapping or have your colleagues review the completed mapping document. You may decide to prepare a checklist that you use to ensure that you have considered all of the relevant components of the competency standard during the mapping exercise. Your checklist could include the following questions: Does the assessment instrument address the entire unit of competency? Does it reflect the information contained in the: elements performance criteria range statement evidence guide? Which employability skills does the candidate use in completing the assessment instrument? Does the completed mapping document demonstrate that the candidate will need to supply supplementary evidence? Is there evidence of underpinning skills and knowledge? Is the evidence gained from different types of activity, in line with the different skills and knowledge being assessed and the required evidence as specified in the relevant training package? 84

12 TAEASS401A Plan assessment activities and processes Plagiarism Your workplace may also choose to include an extract from their policy regarding authenticity of the candidate s submission; for example, you may include a discussion on the software you will use to detect plagiarism (copying work that is not their own and saying that it is) and the repercussions for candidates who submit non-original work for assessment. Exemplars Check your workplace policies and procedures to identify whether it is appropriate for you to share examples of former candidates assessments or model solutions with current candidates. Some RTOs develop a bank of exemplar solutions or model answers that may be made available to candidates. This practice may be particularly helpful to distance, online or RPL candidates who do not have the benefit of regular communication with other learners and their assessor. Remember that permission needs to be sought from learners to use their work as exemplars. Your workplace policies and procedures will provide guidance on your obligations in regard to ensuring that the candidate agrees to the assessment arrangements. Your workplace may have developed a form that the candidate needs to sign to indicate their agreement. An exemplar assessment agreement form is on Aspire s website. Grading performance The following information is included here as it may affect some learners. While certainly not in line with competency-based assessment, some organisations may choose to provide candidates with a graded result, which is norm-based assessment. This means that in addition to being recorded as competent or not yet competent the candidate receives formal advice that describes their performance standard in relation to others. There is a range of reasons for giving candidates a graded result including: satisfying the requirements of industry and professional associations accommodating the demands of universities for articulation purposes licensing requirements determining rewards for participants (some RTOs, including TAFE, offer awards to candidates who achieve the highest standard of performance determined by a final mark) attracting international students (related to university and learner expectations). It is essential that when candidates are to receive a graded result, a marking scheme should be included with the assessment instrument. Grading advice can be in the form of a marking rubric. A simple marking rubric awards marks to the candidate for performing at a particular level; for example, a basic response to a question may be awarded marks between 1 and 3, a more-detailed response may receive a mark of between 4 to 6 and a superior response would be marked between 7 and 10. Marking rubrics can be challenging to develop and implement. You should consider partnering with a more experienced colleague on your first attempts to prepare a marking rubric. 90

13 TAEASS401A Plan assessment activities and processes Portfolio instructions Discuss with your trainer the items they recommend for inclusion in the portfolio that you will submit for assessment for Element 3. In addition to their recommendations, you could consider including the following evidence: At least two simple assessment instruments including instructions to the candidate prepared by you An assessment instrument you have reviewed and modified A mapping document for performance criteria, required skills and knowledge and employability skills you have prepared or checked A procedure to implement the trial of the draft assessment instrument Data gathered from the trial of the draft instrument Discussion topics Learners in a classroom can form a discussion group or have a debate. Those in the workplace might like to brainstorm these ideas with their colleagues. If you are learning independently, you might like to set up a chat room with other learners or ask a friend for their opinion. What strategies could large RTOs implement to encourage assessors to collaborate and share information about assessment processes and assessment instruments? How can the RTO promote reliability among assessors when mapping employability skills in learning activities and assessment instruments? Form two teams to debate the following topic: Formal examinations have no place in competency based training and assessment. Chapter summary According to the AQTF User guide for the essential standards for registration, an assessment instrument is the specific questions or activity used to assess competence by the assessment method selected. RTOs are audited to ensure they are complying with the AQTF s essential standards for registration. During an audit, the audit team will examine the various documents that comprise the RTO s record-keeping system, including its assessment instruments. Simple assessment instruments may include profiles of performance measures; templates and proformas; specific questions or activities; evidence and observation checklists; checklists to evaluate work samples; recognition portfolios; and candidate self-assessment materials. 98

14 Final assessment: TAEASS401A Plan assessment activities and processes Final assessment TAEASS401A Plan assessment activities and processes To be assessed as competent in TAEASS401A Plan assessment activities and processes, you must provide evidence of the specified required skills and knowledge. Details of the required skills and knowledge can be found in the Before you begin section of this workbook. Assessment mapping The following table maps this final assessment activity against the elements and performance criteria of TAEASS401A Plan assessment activities and processes. Part Element Performance criteria A All All B All All C All All D All All Detailed mapping of this workbook against the methods of assessment, the elements, the performance criteria and required skills and knowledge is available in the Aspire Trainer s and assessor s guide for this unit. The following activity forms part of your assessment of competence. You may also need to provide various workplace documents or third-party reports. Your trainer will give you guidance in this area. The following activity has been designed for all learners to complete. 101

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