Workplace Assessment

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TAE40116_ASS_Manual_v3.41.pdf

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 TAEASS402 Assess competence TAEASS403 Participate in assessment validation TAEASS502 Design and develop assessment tools

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

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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

Introduction to this section .................................................................................... 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 Summary of this section ....................................................................................... 93

Design and develop assessment tools......................................................... 94

Introduction to this section .................................................................................... 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 Summary of this section ..................................................................................... 169

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Assess competence ..................................................................................... 170

Introduction to this section .................................................................................. 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 Summary of this section ..................................................................................... 215

Participate in assessment validation .......................................................... 216

Introduction to this section .................................................................................. 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 Summary of this section ..................................................................................... 235

Program Summary ....................................................................................... 236

References .................................................................................................... 238

Appendix: Extra reading .............................................................................. 240

VET Quality Framework ..................................................................................... 241 Training packages .............................................................................................. 249

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Program introduction

This manual will help you plan, organise, develop, conduct and ‘quality check’ your

assessment tools and practices

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Program focus and outcomes

Competency standards

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:

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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

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Introduction to this section

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.

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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

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Competency standards

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

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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

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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

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Principles of Assessment

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)

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Principles of Assessment

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- assessment/clauses-18-112-

conduct-effective-assessment> (accessed 05.01.2018)

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Principles of Assessment

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

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Principles of Assessment

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- assessment/clauses-18-112-

conduct-effective-assessment> (accessed 05.12.2018)

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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

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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.

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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.

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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

 Training Program 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

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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 …