Planning and conducting the assessment activity

With the development work done, the assessor can now plan and conduct the assessment
activity. Figure 10 demonstrates the steps likely to occur in planning and then conducting an
assessment activity.

Plan the assessment.

Prepare the student.

Conduct the assessment.

Provide feedback, and appeals and reassessment information.

Record and report results.

Review the assessment.

Figure 10: Steps in planning and conducting an assessment

When planning an assessment activity, the assessor needs to ensure that:

• the student is prepared for the assessment and understands the process to be applied;
• the assessment tools or materials have been checked and trialled with an appropriate
sample of people or reviewed where trials are not undertaken;
• assessment procedures have been reviewed to ensure that the tasks to be performed refl
ect workplace requirements with appropriate personnel in the industry/workplace or RTO;
• the time and place for assessment have been agreed upon with the student and other
relevant parties;
• the needs of the student have been determined and any reasonable adjustments have
been made to the assessment (See ‘5. Guidelines for assessing distance students’ and
‘6. Checklist for special needs of students’ in Part B of Section 4. Refer to the
Department’s publications Troubleshooting guide: Assessment in VET and Reasonable
adjustment: A guide to working with students with disability.)
• all appropriate personnel have been advised of the assessment.

When preparing the student for assessment, the assessor needs to ensure that:
• the scope, context and purpose of assessment have been agreed upon with the student;
• the student has understood the assessment plan and any other appropriate
documentation;
• the relevant performance requirements have been provided and explained to the student;
• the assessment procedure and expectations of the student have been clarifi ed and
agreed upon between the student and the assessor;
• any legal or ethical responsibilities associated with the assessment have been explained
to the student and other relevant parties;
• the appeals process has been explained to the student;
• information has been conveyed using appropriate language and techniques to
communicate effectively with the student and other relevant parties; and
• the need for any additional evidence gathering has been identifi ed and the student has
been informed.

When conducting the assessment activity, the assessor needs to ensure that:
• the assessment is conducted in accordance with the assessment plan;
• evidence specifi ed in the assessment procedure is gathered using the agreed tools or
materials;
• evidence is gathered in accordance with reasonable or allowable adjustments where
applicable;
• evidence is evaluated in terms of validity, suffi ciency, currency and authenticity;
• evidence is evaluated according to the unit(s) of competency, all four dimensions of
competency, the facets of employability skills, and the ability to transfer and apply skills
and knowledge to new contexts if appropriate;
• if appropriate, assistance from more experienced assessors or industry experts is sought;
• the assessment decision is made in accordance with the specifi ed criteria; and
• the decision is recorded appropriately, in accordance with RTO and other regulating
processes.

When providing feedback, the assessor needs to ensure that:

• clear and constructive feedback is given to the student, and appropriate language and
strategies are used;
• feedback includes guidance on overcoming gaps in competency or further goals or
training opportunities if appropriate;
• the student is given information on reassessment opportunities and the appeals process;
and
• any assessment decision dispute is reported to the appropriate personnel within the RTO.

Appeals and complaints process

RTOs should have an appeals and complaints process which allows students to
challenge an assessment decision and enables them to be reassessed. The process
should facilitate effective resolution of complaints and appeals. Some questions for RTOs
to consider when developing appeals processes are as follows.

• Is the student clearly informed in a timely way about how to complain or appeal?
• Does the student have an opportunity to present his/her case?
• Does the student have access to an independent arbiter if necessary?
• Is the student clearly informed of the outcomes of the complaint or appeal?
• Does the RTO have complaints and appeals resolved within realistic and fair timelines?
A reasonable non-refundable fee may be charged by the RTO to discourage frivolous
appeals but it should not be so high that it prohibits appeals altogether.

When recording results, the assessor needs to ensure that:

• assessment results are recorded accurately and follow RTO record-keeping policies and
procedures;
• confi dentiality of assessment outcomes is maintained; and
• appropriate documentation, eg a training record book* for apprentices/trainees, is
completed. Refer to the Department’s 2012 publication Apprenticeships and traineeships:
Good practice guide for registered training organisations.

When reviewing the assessment activity, the assessor needs to ensure that:
• feedback on the assessment activity is sought from the student;
• both positive and negative features experienced in conducting the assessment are
conveyed to those responsible for the assessment procedure;
• suggestions for improving the assessment process are made or changes are made to the
assessment process and materials; and
• appropriate validation processes are implemented.
*A training record book is no longer a mandatory requirement for apprentices/trainees.

Section 4 ‒ Exemplar materials

Part A ‒ Assessment and reporting

This section provides selected examples of assessment-related materials, checklists and
tools that illustrate the practices discussed in previous sections. These materials need to be
contextualised for use in different industries, qualifi cation levels and workplaces.
Additional examples and checklists can be found in Section 5 – Resources guide.

1. Four dimensions of competency

This example demonstrates how a unit of competency covers all four dimensions of
competency. The extract from the unit of competency is reproduced in the standard format
fi rst. (Italicised terms are elaborated upon in the range statement.) Then the unit is
analysed to show all four dimensions of competency.
The unit Conduct searches is from the Correctional Service Training Package. This unit of
competency covers the ability to search people and property as part of a security role in a
correctional services facility.
Elements Performance criteria
1. Search 1.1 Defi ne the search operation and task information and communicate
environment this to relevant people.
and property 1.2 Use communication strategies to promote cooperation and effective
search outcomes.
1.3 Establish the security of the environment and property according to
search procedures and safety considerations.
1.4 Identify and use correct search equipment according to organisational
procedures.
1.5 Conduct search according to standard operating procedures to ensure
thorough and systematic process is used.
1.6 Seize and record unauthorised items and secure these according to
procedures.
1.7 Return authorised items in the condition found.
1.8 Complete reports promptly, accurately and in the required format.
2. Search 2.1 Monitor offenders and their contacts to detect unauthorised
people concealment.
2.2 Inform relevant people of the purpose and procedures to be used in
searches clearly and accurately.
2.3 Ensure searching of people complies with organisational policies and
procedures and principles of humane care.
2.4 Secure unauthorised items according to procedures and concern for
the safety and welfare of all involved.
2.5 Provide clear, accurate and comprehensive information to relevant
people.
 Guidelines for assessing competence in VET

Identifying the four dimensions of competency in Conduct searches

Task skills Task management skills
This requires performance of the task(s) to Captures the skills used as students plan
the required standard as described in the unit and integrate a number of potentially
of competency and expected in the different tasks to achieve a complete
workplace. work outcome.

Assessor needs to collect evidence that the Students should provide evidence
student can do the individual actions as well as that they can work effi ciently to meet
the whole task. deadlines, handle a sequence of
interrelated tasks and progress
smoothly between tasks.

Conduct searches Conduct searches

The task skills involve using search techniques The task management skills involve:
and equipment for a range of activities, and • preparing for a search procedure and
seizing and reporting/recording unauthorised
communicating this to others; and
items.
• monitoring and communicating actions
to those being searched while
conducting the search activity.

Contingency management skills Job/role environment skills

The requirement to respond to irregularities and The requirement to deal with the
breakdowns in routines. responsibilities and expectations of the
work environment.

Students should show evidence of dealing with The capacity to work with others and
contingencies, eg breakdowns, irregularities, adapt to different situations is central to
imperfections or the unknown. successful performance.

Conduct searches Conduct searches

Contingencies could include: Students must undertake this activity
• personal safety issues arising when a under strict procedures and protocols
search impacts negatively on the offender or set out in the correctional facility’s
if resistance is offered; and standard operating procedures (SOPs).
[Element 1, performance criteria 1.3,
• questioning during assessment indicating
1.4. 1.5 and 1.6 and Element 2,
how the person would deal with this situation
performance criteria 2.2 and 2.3]
if it arose, for example:
– What would you do if an offender refused It is essential that offenders are treated
to be searched by another of your team in a humane way during search
members and resisted his/her attempt to procedures to maintain the stability of
do so? the facility. [Element 2, performance
criterion 2.3]
– What would you do if you found an illegal
item and an offender tried to take it from
you and destroy it?

© Department of Training and Workforce Development 2013 5

 Guidelines for assessing competence in VET

2. Clustering units of competency for assessment

This example shows how a number of units of competency can be clustered to refl ect a real
work activity or set of complementary skills.

In the assessment process for several Diploma qualifi cations in the Health Training Package,
students provide evidence of competence for a number of units of competency in a common
activity. Many training packages now specifi cally identify clusters of units as skill sets. For
example, to provide client safety necessary to outcomes in a range of qualifi cations at
Diploma and Advanced Diploma levels, they draw on the following competencies:
• Maintain an effective health work environment;
• Provide leadership in promoting effective work practices in health;
• Implement and monitor compliance with legal and ethical requirements;
• Manage OHS processes;
• Improve OHS processes; and
• Develop and implement strategies to enhance client safety.
An assessor may use an assessment activity, involving observation and questioning, to gather
evidence for these units of competency where they apply to a qualifi cation or as a stand-alone
skill set.

3. Competency profi le
This example shows one way in which a competency profi le can be developed.

Competency profile for the unit Record and present data

The activity is recording and presenting data in testing of construction materials.

A laboratory assistant is given 20 soil samples and asked to test their moisture content by
weighing each sample, placing them in an oven for 24 hours and then reweighing them. The
assistant performs the tests in accordance with the standard method and then calculates the
percentage of water content by dividing the weight loss by the wet weight and multiplying by
100.
He/she checks the results and notices that they are consistently less than previous results
recorded for soils at the same site. The assistant identifi es the discrepancy and confi rms
that the oven operated at the required temperature but also notes that the previous
computer calculation of the moisture content divided the weight loss by the wet weight
instead of the dry weight. The assistant recognises this and so recalculates the moisture
content for the 20 samples and notes that the results are now consistent with previous
results of other samples and is accurate. The assistant then enters the correct results into
the laboratory information management system (LIMS).

© Department of Training and Workforce Development 2013 6

 Guidelines for assessing competence in VET

4. Evidence requirements
The following two examples list the evidence required and possible assessment methods for
assessing two different units of competency. The fi rst is in a manufacturing context and the
second is in a business context.

Evidence requirements for the unit Set out and assemble cabinets, showcases, wall units, counters
and workstations
Evidence requirements Possible evidence-gathering technique

• Materials are selected and prepared to  A work-related practical task in a

design requirements for components. simulated environment where a number
• Length and joint details are transferred of different cabinetry specifi cations are
provided and the student is required to
from set-out to component material and
select the necessary materials from a
each checked in preparation for
supplied inventory and mark them out to
machining. specifi cation in preparation for
• Set-out material is marked for machining components.
appropriate identifi cation of
components.

 Drawer components are assembled to  A workplace or work-related

specifi cations, with bottoms fi tted and observation of performance where
fixed. pre-cut components are assembled
 Runner types for the drawers are in correct order and with appropriate
determined and installed to specified techniques used to ensure the finished
dimensions and manufacturer’s product is to specifi cations and fi t for
specifications. purpose.
 Drawers are installed with specified
clearances and prepared for installation.

© Department of Training and Workforce Development 2013 7

Targeting evidence for the unit Design and produce text documents
Evidence requirements Potential sources of evidence
Produce a range of business • View documents the student has recently produced.
documents to meet professional • The student produces one or more documents to
standards and organisational
specifi c requirements.
needs.
• The student is aware of work cycles and the
employer’s requirements for business documents.
• Check with supervisor or other clients to verify that
the work samples are the student’s own work.

Design documents to suit • The student explains how the designs for the
purpose, audience and documents were worked out.
information requirements of the
• View the documents the student has recently
task.
produced and match them with the audience for the
document.
• Ask the supervisor for feedback about design
effi ciency of student’s work.
Use software features to • The student can explain the use and advantages of
develop design style sheets and specifi c software features.
automatic functions that ensure • The student can demonstrate specifi c software
consistency of design and features and use them appropriately in a variety of
accurate and consistent document layouts.
document layout.
• View the electronic fi les with document layout and
Name document fi les and embedded style features the student has produced.
store them electronically and in • View computer and hard-copy fi ling systems to see
hard copy as required in how the student organises and stores files.
accordance with organisational
• Ask the supervisor for feedback about how the
requirements.
student follows organisational requirements for
document storage.

Exit software applications • The student closes at least two active software
without information loss/damage applications and correctly saves data from each.
and self-manage tasks with
• The student lists self-help resources that can be
appropriate online and other
accessed and demonstrates how he/she used them.
help resources used for solving
problems. • The student demonstrates use of an online help
resource for a given problem.

Use safe work practices to • Observe the student’s workstation.

ensure ergonomic, work • The student describes and points out the
organisation, energy and application of safe work procedures.
resource conservation
requirements.
© Department of Training and Workforce Development 2013
5. Evidence matrix
The following is an evidence matrix with example entries for three tools for assessing a unit
of competency from the MSA07 Competitive Manufacturing Training Package.

Unit of competency/Skill sets/Cluster of units (names and codes):

MSACMT671A Develop and manage sustainable environmental practices
Element Critical aspects Tool 1 – Oral Tool 2 – Project Tool 3 –
of evidence questions Simulation
activity
Element 1 Evidence that a Question 1 Choose and study A detailed
Analyse resource full analysis of all What could be a complex four-week
use the materials and common manufacturing production
resources used in causes of low effi process in your schedule for
1.1 Identify all
the relevant ciency of industry sector an automotive
resource manufacturing materials used in and develop a component
consuming process was a manufacturing plan for more manufacturing
processes. conducted at the process? effective and process is
1.2 Determine initial stage of the sustainable provided.
quantity and activity. resource use.
nature of Analyse the
Specifically
resource resources used,
identify production
consumed. the production
waste due to:
1.3 Analyse process and
• excess or early
resource fl equipment,
production
ow through projected
schedules;
different component output
parts of the • delays; and necessary
process. • movement and waste estimates to
transport of develop:
materials; • a more
Element 2 Proposed Question 2
• inventory sustainable
Develop resource improvements How would you resource use;
control;
conservation plans made to maximise rank proposals for
sustainability in more effective • inefficient • a strategy for
2.1 2.2 the process must use of limited processes; and the process
2.3 2.4 show how resources in a • defective with a
2.5 etc alternatives were manufacturing items. cost/benefit
considered and process based on analysis; and
the best option benefi t to cost? • a plan to
chosen. implement
changes.