Section 2 ‒ Introducing assessment
This section provides an introduction to assessment—specifi cally assessment of
competence—for employers and students, and those new to the field.
Competence
In VET, individuals are considered competent when they are able to consistently apply their
knowledge and skills to the standard of performance required in the workplace.
Both workplace and off-the-job training and assessment aim to ensure that individuals
participating in the training have the competence to undertake their work role to the
standard expected in a range of employment situations.
How do we know if an individual is competent?
We know whether an individual is competent after they have completed an assessment
that verifi es that all aspects of the unit of competency are held and can be applied in
an industry context. Just as learner drivers must demonstrate that they can drive a car
by actually taking the examiner for a drive, so too must students demonstrate
competence by undergoing an assessment process. Assessment may involve a variety
of assessment methods.
Individuals can be assessed during their training, at the end of their training, or without even
undertaking any training, eg if they believe that they are already competent.
Those being assessed are often called students. The method and timing of assessment will
vary depending upon the assessor, the student and the competency being assessed.
Against which standards are students assessed?
Students are judged against competency standards (often called benchmarks) developed
by industry to assess whether they are competent. A competency standard comprises
individual units of competency that include the essential information needed to assess a
student.
Some enterprises have developed specifi c competency standards for their businesses and
in some cases these have been nationally endorsed in enterprise training packages or used
in state accredited courses.
To gain a formal qualifi cation, eg a Certifi cate II or a Diploma, individuals have to be
competent in a specifi ed group of units of competency. Information on the qualifications
and relevant units of competency are outlined in accredited courses or training packages.
Training packages consist of competency standards, information on qualifi cations and
assessment guidelines to help trainers and assessors.
What is competency based assessment?
This is the process of collecting evidence and making judgements on whether competence
has been achieved. This confi rms that an individual can perform to the standard expected in
the workplace as expressed in the nationally endorsed competency standards (where they
exist), on competency standards developed by relevant industry, enterprise, community or
professional groups, or on outcomes of accredited courses if there are no relevant nationally
endorsed competency standards.
What sort of evidence is collected?
Evidence collected may be direct, such as observation of workplace performance, indirect,
such as formal testing, or supplementary, such as references from employers.
Evidence is used by an assessor to make a judgement about whether a student is
competent.
It is the responsibility of the assessor to determine what and how much evidence is required
to make the assessment judgement. Training packages provide guidance on the types of
evidence required, and further advice may be gained through moderation and industry
consultation.
What training do assessors have?
All assessors must have demonstrated their competence in the particular competency
standards being assessed and in the assessor’s requirements set out in the regulatory
standards and as determined by the NSSC. (See Communiqué 3 – December 2011, at
http://www.nssc.natese.gov.au/news_and_events.)
Assessments for nationally recognised vocational qualifi cations must be undertaken by an
assessor working for an RTO or an assessor working in partnership with an RTO. An RTO is
the only body with the authority to issue a qualifi cation or statement of attainment.
What about students who believe that they are already competent?
If students believe that they are already competent, they can choose one of two forms of
assessment. The fi rst is known as recognition of prior learning (RPL) and the second—
which they may have to undergo if, for licensing purposes, they have to confirm retention
of competence—is called recognition of current competencies (RCC). Both of these
assessment processes can lead to the issuing of a qualifi cation or a statement of
attainment, or to credit transfer into a training program.
The following defi nition of recognition of prior learning (RPL) is taken from the Training
Package Development Handbook.
RPL is an assessment process that involves assessment of an individual’s relevant prior
learning (including formal, informal and non-formal learning) to determine the credit outcomes
of an individual application for credit.
Reproduced with the permission of the Department of Industry,
Innovation, Science, Research and Tertiary Education.
RPL is the term used to describe a number of assessment processes that formally recognise
the competencies an individual has acquired through formal or non-formal learning, work
experience and/or life experience. The principles and processes involved in RPL are
consistent with other forms of assessment.
What results do students get?
After students have undergone assessment, they are deemed either ‘competent’ or ‘not yet
competent’ in each unit of competency assessed. If they are deemed competent, they will be
issued with either a statement of attainment listing the units of competency in which they are
competent (which may be designated in the training package as a skill set with
recommended titling) or a full qualifi cation (where this is achieved). If they are deemed not
yet competent in any units of competency, they will be given feedback on their performance
and provided with guidance on future options. All students have the opportunity to appeal
their results and, if necessary, be reassessed.
What do all the training and assessment terms mean?
Training and assessment is a fi eld involving a high level of knowledge and expertise. Like
all areas involving technical expertise, the training system involves some specific
terminology. A glossary of terms is provided at the back of this publication to help you
understand the most common training and assessment terms.
Section 3 ‒ The assessment process
Introduction
This section is for assessors, particularly those less experienced in competency based
assessment, and for employers who wish to understand more about the assessment
process.
It is not intended to provide all the information an assessor needs, but rather an
introduction to some of the key processes and documents to consider when planning and
conducting assessments. Assessors who require more information or resources should
refer to Sections 4 and 5 of this publication and the Department’s 2013 publication
Designing assessment tools for quality outcomes in VET.
Figure 1 shows the key issues covered in this section which lead to the planning and
conducting of an assessment activity.
Understanding competency and training
packages
Understanding the role of evidence
Planning and
Selecting assessment methods conducting the
assessment
Having con fidence in the assessment decision
Documenting the process adequately
Figure 1: Issues covered in this section
Understanding competence and training packages
Individuals are considered competent when they are able to consistently apply their
knowledge and skills to the standard of performance required in the workplace.
According to VET Products for the 21st Century – Final Report of the Joint Steering
Committee of the NQC and the COAG Skills and Workforce Development Subgroup – June
2009, competency embodies the ability to transfer and apply skills and knowledge to new
situations and environments. The report recommends that the following concepts be added
into the defi nition of competency.
• It is demonstrated to the standards required in the workplace.
• It comprises the application of specifi ed skills and knowledge relevant to that occupation.
• It makes appropriate reference to required generic and employability skills.
• It covers all aspects of workplace performance.
• It can be demonstrated consistently over time, and covers a suffi cient range of
experiences (including those in simulated or institutional environments).
Reproduced under
Assessment is the process of collecting evidence and making judgements on whether
competence has been achieved. This confi rms that an individual can perform to the
standard expected in the workplace as expressed in the nationally endorsed competency
standards (where they exist), on competency standards developed by relevant industry,
enterprise, community or professional groups, or on outcomes of accredited courses if
there are no relevant nationally endorsed competency standards.
Competency comprises the following four dimensions:
• task skills – the capacity to perform tasks to the required standard;
• task management skills – the ability to plan and integrate a number of different tasks
and achieve a work outcome;
• contingency management skills – the ability to respond to irregularities, breakdowns
and other unanticipated occurrences; and
• job/role environment skills – the capacity to deal with the responsibilities and
expectations of the work environment, including working with others.
(See ‘1. Four dimensions of competency’ in Part A of Section 4.)
It is important that all four dimensions of competency are assessed within the context of the
required performance.
Assessments will be based on competency standards from a relevant training package or
accredited course. Training packages are developed by industry to meet the identifiable
training needs of specifi c industries or industry sectors.
Figure 2 shows the different components of training packages.
Endorsed components
Competency Qualifications Assessment
standards guidelines
Support materials
(may be noted by the National Quality Council [NQC] by meeting quality requirements)
Professional
Learning standards Assessment materials
development materials
Figure 2: Components of training packages
Units of competency are developed using a consistent format in all training packages. The
components of a unit of competency and its content are set out in Figure 3.
Component Content
Unit title and code Defi nes the general area of competency and national
reference code.
Unit descriptor Clarifi es the purpose of unit.
Employability skills Indicates that the unit contains embedded employability
skills*.
Prerequisite or co- Identifi es other units of competency that must be achieved
requisite units before or in conjunction with the unit.
Application of the unit A brief description of how the unit is practically applied in the
industry.
Competency field Specifi es a specialist area of industry to which the unit
belongs.
Unit sector A category used to group units within a training package.
Elements of competency Outcomes that contribute to the overall unit, ie building
blocks of the unit expressed in outcome terms.
Performance criteria Statements for each element expressing what workplace
activity is to be done and the required level of performance.
Required skills and The broad underpinning skills, and specialist and general
knowledge knowledge necessary for competent performance.
Range statement The range of contexts and conditions within which the work is
to be performed, and detailed information on terminology and
requirements set out in the performance criteria.
Evidence guide Helps with the interpretation and assessment of the unit and
contains:
• an overview of assessment in the industry context;
• critical aspects to be considered for assessment and the
evidence required to demonstrate competence;
• the context of, and any specifi c resources required for,
assessment;
• suggested methods of assessment;
• any further guidance information for assessment; and
access and equity considerations where relevant.
Figure 3: Components of units of competency
*Training packages not reviewed since 2004 will identify the superseded key competencies (also
known as Mayer key competencies) in each unit of competency and not embedded employability
skills. The key competencies are employment-related general competencies essential for effective
participation in the workplace. The three outcome levels of the key competencies do not equate to the
AQF levels. In general terms, Level 1 key competencies are required to undertake work activities,
Level 2 is required to manage work activities and Level 3 to evaluate and reshape work activities.
When conducting the assessment, all the components of the competency standard must be
considered.
Assessment guidelines provide the overall framework for the assessment of competency
standards and qualifi cations in the training package. They cover assessment systems,
pathways, assessor’s qualifi cations, the design of assessment resources and the conduct of
assessments. Issues of RPL are covered under this section in the assessment pathways
material.
Most training packages offer a range of qualifications which may vary in AQF outcome,
their degree of specialisation and the extent to which customisation is permissible. Most
qualifi cations are made up of identifi ed core (sometimes referred to as ‘mandatory’) units of
competency and elective units of competency. Many qualifi cations provide fl exibility by
allowing some elective units to be substituted with units from other training packages. Units
of competency can also be contextualised to suit particular job roles or work environments.
The training package specifi es the degree of unit of competency contextualisation that can
occur.
In considering the training, delivery and assessment, trainers may want to cluster certain
units of competency so that they can cover all relevant knowledge and skills required for a
workplace task while maintaining the integrity of the outcome of each unit. These clusters of
competencies can then be assessed together. Identifi ed skill sets can also indicate
appropriate unit clustering.
The AQF includes descriptors for each qualifi cation level. These descriptors provide
guidelines for reasonable performance at a particular level.
These descriptors, along with the elements, performance criteria and evidence guides in
units of competency help assessors to gauge a reasonable range and level of performance
to expect from a competent student.
Training package support materials (non-endorsed components) may include assessment
materials such as exemplar assessment materials, the range of assessment methods to
be used or targeted assessment resources for specifi c groups. RTOs are required to
ensure that the assessment materials they use meet the needs of their client groups and
the unit(s) of competency. (For information on resource materials, see
Section 5 – Resources guide.)
Understanding the role of evidence
Evidence is the information gathered which, when matched against the requirements of the
unit of competency, provides proof of competence. Evidence can take many forms and be
gathered from a number of sources.
Evidence can be direct, indirect or supplementary, as noted in Figure 4.
Types of evidence
Direct, for example: Indirect, for example: Supplementary, for
• direct observation; • assessment of example:
• oral questioning; and qualities of a final • testimonials from
• demonstration of product; employers;
specifi c skills. • review of previous • reports from
work undertaken; and supervisors;
• written tests of • work diary or logbook;
underpinning and
knowledge.
• examples of reports
or work documents.
Figure 4: Different types of evidence
No single form of evidence is better than another. Quality evidence is chosen appropriately
for the student and context, and meets the four ‘rules’ of evidence noted in Figure 5.
Rules of evidence
Valid Relates to the unit(s) of competency appropriately.
Refl ects all four dimensions of competency.
Provides evidence of employability skills.
Is appropriate to the AQF alignment being assessed.
Sufficient Provides enough evidence to make a judgement about the
competence of the individual in relation to all four dimensions of
competency.
Meets all the evidence requirements for the unit of competency.
Current Is recent enough to show that the skills and knowledge are still able
to be applied to a current work situation.
Authentic Is the student’s own work (and procedures have been developed to
ensure this).
Figure 5: Rules of evidence
There are many potential sources of evidence and lots of methods and techniques for
gathering evidence. Figure 6 provides a sample of the assessment methods with
examples. (See ‘Part B – Exemplars of assessment materials’ in Section 4.)
Assessment methods Example
Observation Real work activities at workplace
Questioning Self-evaluation form
Interview
Written questionnaire
Review of products Work samples/products
Portfolio Testimonials/references
Work samples/products
Training record
Assessment record
Journal/work diary/logbook
Life experience information
Supplementary feedback Interviews with, or documentation from employer, supervisor,
peers
Structured activities Project
Presentation
Demonstration
Progressive tasks
Simulation exercise such as role-plays
Figure 6: Assessment methods
A summary of the evidence presented by the student should be kept by the assessor in the
event of an appeal. It is the responsibility of the RTO to establish guidelines for assessors
on the minimum evidence recording requirements.
