Selecting assessment methods and assessment tools

Figure 7 outlines a process for selecting assessment methods to gather appropriate

evidence.

Identify unit(s) of competency to cluster for assessment.

Develop competency profile.

Identify evidence requirements.

Review and select assessment methods.

Select assessment tools and record evidence matrix.

Develop assessment plan.

Figure 7: Process used to determine assessment methods

Clustering
Real work does not usually fall into categories that refl ect individual units of competency.
In general, a real work activity draws on a number of units of competency at the one time.

A good assessment task may involve clustering a number of competencies to refl ect a real
work task or particular job role (see ‘2. Clustering units of competency for assessment’ in
Part A of Section 4). The degree to which a number of units can be clustered together to refl
ect a real work activity will vary across all training packages. Training packages can contain
skill sets identifying groups of units of competency that meet specifi c work roles or
regulated/licensed activities which may be clustered for good practice assessment.

Clustering should take account of the work activity, the assessment context, the training and
assessment arrangements for the qualifi cation, and the time, resources, facility and
personnel available. Assessors are required to have a thorough knowledge of the training
package they are working with and the relevant workplace environment.

Appropriate clustering is a key way to ensure that assessments are holistic in that the
assessor can gather evidence and cross-reference it across a number of units of
competency. Clustering, where appropriate, may also result in reducing the time and cost
of assessment.

Competency profi le
Once the units of competency have been identifi ed, the next stage is the development of a
competency profile (see ‘3. Competency profi le’ in Part B of Section 4). A competency
profi le will provide an overall picture of a competent person in action. It can be a checklist,
a written description of the work activity, a list of the characteristics of a competent worker
or a job description for an individual performing the activity.

To develop a competency profi le, the assessor must draw together the information in the
unit(s) of competency, the AQF descriptor and the employability skills facets identifi ed in the
qualification.

Evidence required
The next step is to identify the evidence required to determine competence. The evidence
selected must refl ect the skills, knowledge and language encompassed in the competency
profi le, and comply with the four rules of evidence; that is, it must be valid, suffi cient,
current and authentic. The evidence guide in the unit of competency has detailed
information that can be used to develop a list of evidence requirements.

Assessment methods
The list of evidence requirements is used by the assessor to review the possible
assessment methods; that is, the ways in which the evidence can be collected to
demonstrate satisfactory performance. In identifying the assessment methods, resources
and facilities required for the assessment should be considered, including any workplace
simulation requirements. (Refer to the Department’s 2013 publication Designing assessment
tools for quality outcomes in VET.)

Selecting the appropriate assessment methods will involve consideration of the student’s
needs, the nature of the work activity being assessed, the location of the assessment (to
ensure a safe and accessible environment) and the requirements of the training package.
Reasonable adjustment
It is at this stage that issues of reasonable adjustment for students’ needs should be
considered. For example, a student may have a disability which prevents them from
undertaking certain activities or performing in standard ways, but they may still be
competent in the unit(s) of competency being assessed. In this instance, reasonable
adjustments should be made to the assessment activity to ensure that the student still has
the opportunity to demonstrate the competencies being assessed. (Reasonable adjustment
is discussed in the Department’s 2013 publications Troubleshooting guide: Assessment in
VET and Reasonable adjustment: A guide to working with students with disability.)

Provided that quality and suffi cient evidence can still be collected for the assessment
decision to be made, it is acceptable to adapt the assessment methods to refl ect the
student’s needs and situation. (See ‘5. Guidelines for assessing distance students’ and ‘6.
Checklist for special needs of students’ in Part B of Section 4.)

Assessment tools
Once the method has been selected, the materials for collecting and analysing the evidence
are then chosen or designed. These materials are called ‘assessment tools’. In general, the
term assessment tool is used to describe a document that contains both the instrument
and the instructions for gathering and interpreting evidence.

• Instruments are the specifi c questions or activities developed from the selected
assessment method(s) to be used for the assessment. (A profi le of acceptable
performance and the decision-making rules for the assessor may also be included.)
• Procedures include the information/instructions given to the student and/or the assessor
regarding the conditions under which the assessment is to be conducted and recorded.

For example, if the evidence-gathering technique being used is a workplace observation

followed by a brief interview, then the assessment tool might consist of:
• instructions identifying the activities to be undertaken by the student, the key points to be
observed and the performance issues to be considered by the assessor; and
• a proforma which includes a checklist for the key observation points and decision criteria,
and a series of questions and a checklist for responses on required knowledge for the
interview.

Other assessment materials might include information on projects, case studies, simulation
activities, checklists for third-party evidence, self-evaluation forms or portfolio requirements.
(See ‘Part C – Assessment instruments and procedures/instructions’ in Section 4 and refer
to the Department’s 2013 publication Designing assessment tools for quality outcomes in
VET.)

All assessment materials should be fl exible, fair, safe and cost-effective. (See ‘Part B –
Exemplars of assessment materials’ in Section 4 and refer to the Department’s 2012
publication Reasonable adjustment: A guide to working with students with disability.)

Assessment strategies and tools need to be developed in consultation with industry and
tested on an appropriate sample of students if possible or reviewed before use.
Evidence matrix
Once assessment methods and tools have been selected, it may be useful to do a mapping
exercise to ensure that all the evidence gathered through these tools will meet the critical
and mandated requirements of the unit(s) of competency.

This is called an evidence matrix and the mapping, if done accurately, will help assessors to
ensure that evidence collected will be valid and sufficient.

Assessment plans
It is at this stage that an assessment plan can be developed (See ‘6. Assessment plan
template’ in Part A of Section 4.) Assessment plans are provided to students at the start of
the training or assessment process. They can also be referred to in the case of an appeal.

Assessment plans should contain the following information:

• what will be assessed, ie the units of competency;
• how assessment will occur, ie the methods that will be used;
• when the assessment will occur;
• where the assessment will take place, ie the context of the assessment;
• the criteria for decision making, ie those aspects that will guide judgements; and
• where appropriate, any supplementary criteria used to make a judgement on the level of
performance.
Ensuring the integrity of the assessment decision
Figure 8 shows the main components necessary to ensure that any assessment decision
is sound. Assessors use their expertise and appropriate assessment tools to synthesise
the evidence before them in a systematic way and relate it holistically to the requirements
of the unit(s) of competency. While the process of holistic assessment is encouraged,
assessors must be confi dent that a student is demonstrating competence against the full
unit(s) of competency. The assessor or assessment team must possess the relevant
vocational competencies being assessed.

The assessment is:

 valid;
 reliable;
The evidence accurately  fl exible; and Validation processes
reflects: have been used, such
 fair.
 the requirements of the as:
unit(s) of competency;  internal assessor
 advice in the range meetings;
statement;  moderation;
 real workplace  participation in industry
requirements; forums;
 all four dimensions of  appropriate
competency; arrangements
 employability skills; and for auspiced
Integrity of assessments; and
 appropriate AQF assessment
alignment.  appropriate records.
decisions

Assessment procedures
Assessment re flects and decisions are
workplace requirements. recorded, reviewed and
improved.

Evidence is:
 valid;
 sufficient;
 current; and
 authentic.

Figure 8: Factors maximising the integrity of assessment decisions

Confi dence in assessment decisions is enhanced when validation processes are used.
The processes in Figure 8 provide some examples for the purpose of illustration only. To
maintain the quality and consistency of assessments, all RTOs should have established
processes for validation. Many industries also have industry-specifi c moderation or
information-sharing forums.

Documenting the process adequately

Figure 9 notes some of the documentation that might result from the processes noted above
(see ‘2. Self-audit format – Internal audit checklist’ in Part B of Section 4.) Some examples
of these documents are provided in Section 4 and more can be found in the resources in
Section 5.
Documentation Purpose
Copies of relevant training To be available to assessors for reference at all
package times. Currency should be verifi ed through
www.training.gov.au .

Competency profile Prepared by assessor to assist in determining

evidence requirements.
See ‘3. Competency profi le’ in Part A of Section 4.
Materials, checklists or tools for Developed or adapted by assessor to be used in
collecting and analysing the actual assessment activity. See ‘Part B –
evidence Exemplars of assessment materials’ in Section 4.

Assessment plan Prepared by assessor and to be given to student in

advance. See ‘6. Assessment plan template’ in
Part A of Section 4 and ‘4. Assessment planning
checklists’ in Part B of Section 4.

Record of evidence presented Collected and documented by assessor to

and samples of evidence corroborate assessment result, used in validation
collected processes and in case of an appeal.
See ‘Understanding the role of evidence’ and
‘Planning and conducting the assessment activity’
in this section and ‘7. Recording evidence’ in Part
A of Section 4.

Record and reporting of Documented by assessor, qualification/statement

assessment decision of attainment issued by RTO, results to be
supplied to student by RTO, (See ‘7. Recording
evidence’ and ‘8. Reporting’ in Part A of
Section 4.)
Feedback checklist or proforma To be completed by the assessor and given to the
for student student during feedback discussion.
Appeals information To be provided to the student at the beginning of
the process by the assessor or delegated person
within the RTO and during feedback discussion.
See ‘Appeals and complaints process’ under
‘Planning and conducting the assessment activity’
in this section.
Figure 9: Assessment process documentation