Source: Standards for NVR Registered Training Organisations 2011 (SNR 3)
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1 Assessor Guidelines Competency Based Training and Assessment The Australian VET system is underpinned by a competency-based training and assessment framework. It is concerned with what a person can do as a result of, rather than the time, they have spent in training. It focuses on the skills and knowledge they have, rather than on how they got them. For a person to be assessed competent they need to demonstrate the ability to perform tasks and duties to the industry standard, and embodies the ability to transfer and apply skills and knowledge to new situations and environments. Conduct of VET assessments at South West SEAL Inc. is to be undertaken as per the process outlined in the policy and procedure, and guided by concepts outlined in this document. Role of the assessor It is a South West SEAL Inc. requirement that for each unit/cluster of units trainers shall: develop a unit outline that specifies all assessment tasks for each unit/cluster of units (this document must be provided to students at the first class) develop an assessment tool that defines the content of each assessment task prepare any assessment tasks e. g. examinations, assignments, tests conduct and assess the performance of students in each assessment task; and undertake assessment administration tasks e.g. record results, maintain a cumulative assessment record participate in validation and moderation of assessments as requested by the Head of Department conduct Recognition of Prior Learning (RPL) and/or Credit Transfer assessments as requested by the Training Manager What is an assessment tool? Source: Standards for NVR Registered Training Organisations 2011 (SNR 3) Assessment tools provide a means of collecting the evidence that assessors use to make judgments about whether students have achieved competency. An assessment tool includes the following components: the target group, context and conditions for the assessment; the tasks to be completed by the student; an outline of the evidence to be gathered from the student; the procedures; information or instructions given to the candidate and the assessor about how the assessment is to be conducted the assessment criteria used to judge the quality of performance (decision making rules); and administration, recording and reporting requirements. Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 1 of 12
2 Creating an assessment tool: Where do I start? Assessment is not about developing a program of training it s about furnishing candidates with the opportunity to provide evidence of the competency they believe they have developed. Each candidate will bring different experiences, documentation and confidence to the assessment situation so the tool developer must consider the range of relevant evidence generation methods possible. Components of a unit of competency Unit Descriptor: expands on the information provided in the unit title and notes any relationships with other industry units (What does the work activity involve?) The unit descriptor may provide the assessment tool developers with a holistic view of the unit of competency, licensing requirements and direct us to relationships with other units. Employability Skills: Employability skills have replaced the Key Competencies. They are imbedded in the units of competency and relate to the employability Skills Summaries detailed in the Qualifications Framework section of the training package. Application of the Unit: The application of the competency fleshes out the scope, purpose and operation of the unit of competency in different contexts, for example its application in the workplace. Application of a unit should provide the developer with context information and confirm the appropriate client group Required Skills and Knowledge: This component describes the essential skills and knowledge. Required skills and knowledge assist with background or underpinning evidence, they provide specific evidence prompts. Range Statement: The range statement relates to the unit of competency as a whole, providing the range of contexts and conditions to which the performance criteria apply. It allows for different work environments and situations that will affect performance. The range statement further enhances and sharpens the evidence search by elaborating upon the performance criteria, allowing more finite details and definitions. These elicit work paths and therefore evidentiary paths. Evidence Guide: The evidence guide describes the critical aspects of evidence that must be demonstrated to prove competence. It provides essential advice for tool developers since it describes the outcomes required of the unit and must be read in conjunction with the performance criteria and range statement of the unit of competency and the Training package guidelines. The evidence guide will provide direct prompts for the tool developer in the design of the assessment tool. The dimensions of competence Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 2 of 12
3 Dimensions of competency are part of the broad concept of competency, which includes all aspects of work performance as represented by; Task Skills Task Management Contingency Management Work Role perform the Task Organise the job Solve problems/transfer Skills Satisfy Enterprise Standards The Iceberg analogy As the diagram depicts, the concept of competency includes all aspect of work performance, not just narrow task skills. The four components of competency are task skills, task management skills, contingency management skills and job role/environment skills. Accordingly, the assessment tool developer must assess each unit of competency to obtain all aspects of the iceberg and ensure the information developed captures the full extent of the unit the dimensions of competency. Step 1: Visualising competency in the workplace We do this by: 1. Analysing the parts of the unit and how they guide evidence collection requirements 2. Considering industry and regulatory requirements What would a competent person look like? What skills and knowledge would they have and how would they use/apply them in the workplace? How would we know if someone was competent? Think about what they would know and do What types of problems would they be required to solve? What level of responsibility might they have for others? Look at the evidence guide and identify the evidence a candidate would need to provide to demonstrate competency and how that evidence might be generated. This will guide the development of questions, tasks, scenarios etc. and assist with aligning or mapping these against the unit requirements. Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 3 of 12
4 Step 2: Determining your evidence collection methods Once you have decided what a competent person should look like, you need to determine what methods you will use to collect evidence of competence. 1. Go to the evidence guide component of the unit and identify what the assessor needs evidence of. 2. Identify the methods that could be used to generate the evidence required. Considerations: Candidate /target group needs Who will collect the evidence? Where will the evidence be gathered? When will you gather the evidence? Assessment methods/tools Assessment methods are the particular techniques used to gather evidence, whilst the assessment tools are the instruments and procedures used to gather and interpret evidence. Assessment tools should include: Profiles of acceptable performance levels Templates and proforma Specific questions or activities Evidence and observation checklists Checklists for the evaluation of work samples Self-assessment materials Note: Be careful when selecting effective methods and creating tools, your assessment must meet the principles of assessment and the rules of evidence Use the Assessment Plan Template to record your decision Step 3: Industry Requirements From your experience with your industry, consider the types of industry or regulatory requirements which are relevant to your industry sector. Make sure your evidence requirements list includes these. Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 4 of 12
5 Examples of Assessment methods, uses and tools Method Description Examples of use Tools Observation in the Demonstrate job specific skills (e.g. receptionist workplace taking phone calls & greeting clients) Observation in a simulated work environment Fault finding Role Plays Verbal questioning Applicant undertakes real work activities at the workplace and demonstrates processes and/or the steps to produce products As above, except the workplace situation is simulated Product is given to the candidate to analyse for errors or problems Can be written or practical Participants are assigned roles and a scenario to enact potential responses to situations Clear guidelines are required for all participants Assessor must also undertake a careful role in briefing/debriefing Assessor asks questions relevant to required underpinning knowledge and contingency skills Can be used for RPL Demonstrate job specific skills off-the-job (e.g. training kitchen, college workshop, industry training centre) Identify why the engine does not work. Identify the inaccuracies in meeting minutes and correct them Explore potential responses to situations (e.g. meetings procedures, leadership techniques, conflict resolution etc.) Useful for drawing out knowledge especially if candidate has difficulty with literacy or where written questions are too formal. Useful in formative assessment to check progress and for RPL May be a suitable alternative to essay for a student with disability or writing difficulties. Instruction to candidates and assessors Observation checklist Description of competent performance Instruction to candidates and assessors Observation checklist Description of competent performance Assessor observation checklist Candidate checklist (with diagrams if needed) Instructions to candidates and assessors Scenario and outline of roles and key steps or issues to be covered Instructions to candidates and assessors Checklist of key areas to be covered Checklist for assessors exemplar answers Verbal presentation Candidate is given a topic and time to research and prepare Instructions to candidates and assessors Checklist of key areas to be covered Checklist for assessors exemplar answers The candidate then presents his/her Requires basic research and communication skills findings/argument/evidence to the assessor Interviews The applicant discusses issues in an Appropriate where candidate is the best source of Instructions to candidate and assessors interview situation(either one-on-one or in information about skills or process. List of questions a panel) Often used in RPL Checklist for assessors exemplar answers Normally highly structured Suitable to higher AQF levels Group Discussions Group selects or assigned topics, which Useful for assessing work in a group situation, Instructions to candidates and assessors usually requires analysis or problem solving leadership skills and interpersonal interaction Questions for consideration and outcomes Questions for consideration and May indicate the way ideas are formulated, expected outcomes to be defined. analysed, debated and substantiated. Checklist for observation if used The group may require guidance in Indicate presence of employability skills group processes (e.g. allocation of roles/tasks) Formal Examinations questions set by an Formal industry or educational requirements Instructions to candidates and assessors Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 5 of 12
6 examinations Short answer test Multiple choice answer test Portfolios Third party reports independent body Candidate required to attend exam room (working independently and completing tasks within time limits) No prior knowledge of questions Assessed independently Questions set by independent body questions require one paragraph answers Generally open questions Administered in a formal environment No prior knowledge of questions Assessed independently Bank of questions set Each question gives several optional answers Applicant is required to select the best answer to the question from choices provided Collection of material that relates to the evidence requirements (e.g. examples of work, journal entries, designs, workplace documents) Report from supervisor, manager, customers, suppliers, peers. Appropriate where assessment is focusing on ability to recall facts or knowledge in formal, time controlled situations Procedure for exam Testing where clear and finite tasks can be set Instructions to candidates and assessors Formatted questions Answer sheet Appropriate where clear, correct answers are required Appropriate where testing of knowledge only is required Requires technical knowledge to devise tests Often used in RPL Presentation of project outcomes Confirmation of consistent performance over time and in a range of contexts Confirmation of candidate s application and adaption of simple and complex procedures. Instructions to candidates and assessors Multiple- choice test Answer sheet and marking scheme Instructions to candidates and assessors Checklist for inclusions or list of expected contents Instructions to candidates and assessors Template or questions for third party to answer and provide response Documents Assessment based on documentation of prior experiences (e.g. certificates, letter of verification, course information) Often used in RPL Useful where documented information is available to indicate or confirm Certificate received for training experiences completed either as a total course, or individual units. Letters from supervisor or employer who can confirm achievement of skills/experiences Course information which sets out the content of the subjects or units attempted or completed Instructions to candidates and assessors, including procedures for original documents and authentication. List of type of documents to be collected Often used in RPL Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 6 of 12
7 Step4. Address the Principles of Assessment ensure that your tool encompasses the four aspects Valid Ensure assessment processes, methods and tools reflect unit requirements, including industry standards, the dimensions of competency, The AQF level of the qualification, and LLN requirements Assess under workplace conditions Gather evidence of transferability to new situations Use multiple approaches to assessment Flexible Maximise opportunities for effective feedback Design assessment to adapt readily to individual learners and workplaces Draw on a range of assessment methods appropriate to the context and ;learner characteristics Reliable Assessors are highly skilled and monitor and review one another s assessment processes, methods and tools Provide complete assessment tools including clear instructions (in learner language) for learners and for other assessors, and sample responses Trial assessment tools before use and review after use Collect evidence via different assessment methods Collect evidence across different locations and times Fair Ensure assessment is clearly based on the requirements of the unit of competency Provide learners with clear, accurate and relevant information about the assessment process including assessment purpose, benchmarks, assessment tools, materials, methods, evidence requirements and review/appeals processes Provide for recognition and self-assessment of readiness for assessment Take into account the characteristics of learners and apply reasonable adjustment where appropriate Document the process and provide feedback to learners Step 5: Ensure your assessment tool and processes address the Rules of evidence Valid a. Evidence provided against units of competency covers the broad range of skills and knowledge that are essential to competent performance b. Evidence of skills and knowledge are integrated with practical application To ensure evidence is valid, you as the assessor must be confident that each piece of evidence collected: Demonstrates relevant outcomes and performance requirements of the unit Covers the relevant breadth and depth of the unit (including knowledge skills, dimensions of competency, evidence guide etc.) Reflects current industry standards Aligns to the appropriate AQF level Current Currency relates to the age of the evidence presented by a candidate to demonstrate they are still competent. Competency requires demonstration of current performance, so the evidence collected must be from either the present or the very recent past. Competency requires each piece of evidence provided to: Reflect the learner s current knowledge and/or skills in the relevant aspect of work. Establish that the learner can meet the requirements of the current version of the relevant unit/s of competency and industry standards. Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 7 of 12
8 Authentic Authenticity relates to ensuring that each piec3 of evidence from the learner and not another personthat the assessor is confident that it is the learners own work. Where a judgement relies on indirect or supplementary forms of evidence or the direct evidence is not directly observable, other complementary evidence may be needed to support authenticity. Procedures can be established to support authenticity of evidence which include: Observation of work in progress Submission of drafts of progress Third party verification declarations Sufficient Sufficiency relates to the quality and quantity of evidence assessed. It requires collection of enough appropriate evidence to ensure that all, aspects of competency have been satisfied and that competency can be demonstrated repeatedly. Applying the sufficiency rule to evidence means that the combination of all evidence must: demonstrate the outcomes and performance requirements of the unit of competency cover the breadth and depth of the unit of competency ( including knowledge and skills, dimensions of competency range of variables, evidence guide etc.) allow the assessor to be confident that the participant can perform the competency consistently Making the assessment of competency judgement Decision making rules The rules to be used: Check evidence quality (i.e. the rules of evidence) Judge how well the candidate performed according to the expected standard (i.e. the evidence criteria) Synthesise evidence from multiple sources to make an overall judgement Currency - the rules to determine currency of the evidence need to be specified in the assessment tool (i.e. less than 5 years) Authenticity- is there verification that the evidence submitted is that of the candidate (i.e. signed assessment sheet, testimonial statements from colleagues, opportunity to verify qualifications from issuing body) Sufficiency- is there enough evidence to the assess competence against the entire unit of competence, including the critical aspects of the evidence described in the evidence guide (i.e. evidence of consistency of performance across time and context) Content Validity does the evidence match the unit of competency (e.g. relevance of evidence and justification for inclusion) Once the evidence has been determined as trustworthy and appropriate, it will need to be judged against the evidence criteria such as: Profile descriptions of varying levels of achievement (e.g. competent vs. not yet competent) The unit of competency presented in some form of checklist Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 8 of 12
9 Ideal characteristics of an assessment tool Component The context Competency mapping The information to be provided to the candidate The evidence to be collected form the candidate Decision making rules Range and conditions Materials/resour ces required Assessor intervention Reasonable adjustments (for enhancing fairness and flexibility Validity evidence Reliability evidence Recording requirements Reporting requirements Description The target group and purpose of the tool should be described. This should include a description of the background characteristics of the target group that may impact on the candidate s performance (e.g. literacy and numeracy requirements, workplace experience, age, gender etc.) The components of the unit (s) of competency that the tool will cover should be described. This could be a simple as a mapping exercise between the components of the task (e.g. each structured interview question)and components within a unit or cluster of units. The mapping will help determine the sufficiency of the evidence collected. Outline the task(s) to be provided to the candidate that will provide the opportunity for the candidate to demonstrate competency. It should prompt them to say, do, write or create something. Provides information on the evidence to be produced by the candidate in response to the task. The rules used to: Check evidence quality (i.e. the rules of evidence) Judge how well the candidate performed according to the standard expected (i.e. the evidence criteria) Synthesise evidence from multiple sources to make an overall judgement Outlines any restriction or specific conditions for the assessment such as the location, time restrictions, assessor qualifications, currency of evidence (e.g. for portfolio based assessments such as RPL), amount of supervision required to perform the task (i.e. which may assist with determining the authenticity of evidence) etc. Describes access to materials, equipment etc. that may be required to perform the task. Defines the amount (if any) of support provided This section should describe the guidelines for making reasonable adjustments to the way in which evidence of performance is gathered (i.e. in terms of the information to be provided to the candidate and the type of evidence to be collected from the candidate) without altering the expected performance standards (as outlined in the decision making rules) Evidence of validity should be provided to support the use of the assessment evidence for the defined purpose and target group of the tool. (i.e. that it addresses the unit requirements to meet; relevant outcomes and performance requirements the depth & breadth and any industry requirements) If using a performance based task that requires professional judgement of the assessor, evidence of reliability could include providing evidence of: the level of agreement between two different assessors who have assessed the same evidence of performance for a particular candidate the level of agreement of the same assessor who has assessed the same evidence of performance of the candidate, but at a different time If using objective test items (e.g. multiple choice tests) then other forms of reliability should be considered such as the internal consistency of a test, as well as the equivalence of two alternative assessment tasks The type of information that needs to be recorded and how it will be recorded and stored, including duration. For each key stakeholder, the reporting requirements should be specified and linked to the purpose of the assessment. Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 9 of 12
10 Assessment definitions Assessment Assessment is the process of gathering and judging evidence in order to decide whether a student has achieved competency. Assessment appeals A student may appeal within 7 days of official publication of the final grade on any of the following grounds: the unit outline was not explicit i.e. it did not detail how many assessment tasks are required to be undertaken; how students will be assessed; or when they will be assessed the teacher did not fairly and appropriately apply the assessment criteria as specified in the unit outline the teacher did not conduct the assessment tasks as described in the unit outline Assessment criteria Assessment criteria are the descriptions of what the student is expected to do in order to demonstrate competency. Assessment methods Assessment of students may involve using a range of methods necessary to demonstrate competency. Examples include but are not limited to: direct observation structured activities e.g. simulations, roles, group work, case studies, projects, field work, practicum, electronic forums presentations, questioning i.e. verbal or written portfolios e.g. work samples, journal, log book review of products e.g. reports, performance, exhibitions formal and informal tests including examinations Cheating Cheating is the intention to gain an unfair advantage in the assessment of a unit. This may include (but is not limited to) resubmitting or largely reusing previously assessed work; fabrication of data and/or results; colluding with others; allowing another person to complete an assessment on behalf of a student; accessing an advanced copy of an test paper; copying from others in an assessment; bringing into an assessment unauthorised material or information; knowingly helping others to cheat; taking actions which intrude on the ability of others to complete their assessable tasks. Credit transfer (AQF) Credit transfer assesses the equivalence the learning from one unit has to another unit. Cumulative assessment record A cumulative assessment record is the teacher s ongoing record of all assessments in a unit/cluster. It can be paper based or electronic. Due dates and extensions It is expected that teachers will issue a due date for each assessment task Industry consultation in the development of the assessment process Consultation with enterprises or industry will provide information about assessment requirements relevant to workplaces. This information should be sought when developing training and assessment strategies so as to gain a clear picture of a competent student. Integrity of assessment Integrity of assessment is achieved when students receive proper credit for assessable work which is clearly their own. Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 10 of 12
11 Model answers These are examples of the correct answers to test questions or indicative answers for written tasks eg. ; Reports, assignments, portfolios, etc. Moderation (AQTF 2010) Moderation is the process of bringing assessment judgements and standards into alignment. It is a process that ensures the same standards are applied to all assessment results within the same Unit(s) of Competency. It is an active process where adjustments are made to assessor judgements so as to overcome differences in the difficulty of the tool and/or the severity of judgements. Notification of final results The final result for any unit will not be officially notified to a student before the completion of assessment in that unit, and its formal publication on VETrak. Number of assessment attempts All South West SEAL Inc. students are entitled to two attempts to achieve each assessment task within any unit enrolment period. Plagiarism Plagiarism is the presentation of work from another person, as though it was their own, and failing to properly acknowledge that person. Return of assessed work Assessed tasks must be returned to the student in a timely fashion (it must not be collected by friends or family members. The student must be provided with informed feedback so as enable the student to determine how their work could be improved. It is recommended that teachers return work within 2 weeks of the assessment due date. Reasonable adjustment of assessments (SNR3) Characteristics and circumstances such as having a disability; carer responsibilities; cultural or religious obligations; being Indigenous; or having English as a second language may result in a student requiring reasonable adjustments for some or all of their assessments. Reasonable adjustment describes the actions or changes which will enable a student to participate on the same basis as other students. Recognition of prior learning (AQF) RPL is an assessment process that assesses the individual s non-formal and informal learning to determine the extent to which that individual has achieved the required learning outcomes, competency outcomes, or standards for entry to, and/or partial or total completion of, a qualification. Recording of results Upon completion of the unit the students' final results must be recorded firstly in the assessment booklet and then in VETrak; the student management system Retention of master and assessed copies of assessment materials Trainers are required to retain the master and assessed copies of assessment materials. A listing of documents and retention periods is detailed in the document retention policy. Special consideration Students who are unwell or experiencing hardship on the day of an assessment are expected to submit/ attend the assessment. If a student is unable to do this they can make application for special consideration. However, if the tutor believes that the reasons given by the student should not have prevented the student submitting an assessment or attending an examination, the application may be rejected and the student will fail the assessment. Validation Validation involves checking that the assessment tool produced valid, reliable, sufficient, current and authentic evidence to enable reasonable judgements to be made, against the requirements of the relevant aspects of the Training Package. It includes reviewing and making recommendations for future improvements to the assessment tool, process and/or outcomes. Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 11 of 12
12 Useful sources of further information Assessment tool development TVET Australia- National Quality Council (NQC) Employability Skills This site explains the Employability Skills Framework and provides links to related documents and information e.g. the Australian Core Skills Framework Employability Skills Summaries This website provides quick access to employability skills summaries that have been developed for National Training Package Qualifications. You simply search for the Qualification you are delivering and you will be provided with a summary listing the elements of each skill that have been identified for the qualification. RPL Skills First RPL Assessor kits A Queensland government initiative, Skills First RPL resources have been developed as part of the Queensland skills Plan in order to create industry approved, work-based recognition of prior learning tools. These resources offer an alternative to the portfolios that candidates supply in order to achieve RPL. Such portfolios provide limited opportunities for candidates to demonstrate competence and lack the flexibility to meet clients needs. Other good stuff Designing assessment tools for quality outcomes Guidelines for assessing competence in VET Clustering units of competence: a guide on how to cluster units of competency for delivery and assessment (2009) A guide to continuous improvement of assessment in VET Recognition of prior learning: An assessment resource for VET practitioners (2008) Reasonable adjustment: A practical guide to reasonable adjustment in assessment of candidates with disability in VET 2008 Internal Links Assessment Policy Assessment procedure Y:\QKnet\2016\forms\assessorguidelinesv1.docx Page 12 of 12
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