TAAASS401C: Plan and organise assessment

Descriptor: This unit specifies the competence required to plan and organise the assessment process, including recognition of prior learning (RPL), in a competency‑based assessment system.

Employability Skills: This unit contains employability skills

Application: This unit addresses the competence of planning the assessment process and making the organisational arrangements which enable assessment to occur. It includes assessments carried out as part of a Recognition of Prior Learning Process (RPL) or as part of a learning and assessment pathway.
The critical focus of this unit is on developing an assessment plan that will be used to guide assessor/s in conducting competency‑based assessments. The unit also covers contextualisation of the assessment benchmarks and assessment tools to address the environment in which assessment will take place and organising the human, material and physical resources needed to conduct the assessment.
This competence applies to planning and organising an assessment process, including RPL which may involve single or multiple candidates being assessed against individual or multiple unit/s of competency.
The planning function in assessment is distinguished as a discrete activity and may be undertaken by the assessor responsible for assessing the candidates reflected in the assessment plan or by another person in the organisation.
This competence is to be applied in the context of an existing assessment strategy which documents the overall framework for assessment at a qualification level. In this context, the assessment plan adds further detail relating to the specific organisational arrangements for assessment/s, including RPL against individual unit/s of competency.
The competence of developing an assessment strategy is separately addressed in two other units of the TAA04 Training and Assessment Training Package: TAADES501B Design and develop learning strategies (in a learning and assessment pathway) and TAAASS501B Lead and co‑ordinate assessment systems and services (in an assessment only pathway).
The achievement of this unit includes interpretation of competency standards, (where competency standards are used as the benchmarks for assessment). TAADES401B Use Training Packages to meet client needs addressesthisskill in depth.
The competence specified in this unit is typically required by assessors, workplace supervisors with assessment planning responsibilities, trainers or other assessors responsible for planning assessment, including RPL

Competency Field: Assessment

Element	Performance Criteria
Elements define the essential outcomes of a unit of competency.	The Performance Criteria specify the level of performance required to demonstrate achievement of the Element. Terms in italics are elaborated in the Range Statement.
1. Determine approach for assessment	1.1 Candidate/s are identified/confirmed and the purpose/s and context of assessment/ RPL are established/ confirmed with relevant people in accordance with legal/organisational/ethical requirements 1.2 A decision is made whether assessment will be undertaken within an RPL, a learning and assessment pathway or a combined approach 1.3 The assessment strategy is accessed and used to guide the development of the assessment plan, where applicable 1.4 The benchmarks for assessment/ RPL are identified/confirmed and accessed
2. Prepare the assessment/ RPL plan	2.1 The assessment benchmarks are interpreted to determine the *evidence* and types of evidence needed to demonstrate competencyin accordance with the *rules of evidence* 2.2 Where competency standards are used as benchmarks, all component parts of the competency standards, are addressed in defining and documenting the evidence to be collected 2.3 Any *related documentation* to support planning the assessment processis accessed and interpreted 2.4 *Assessment/RPL methods* and *assessment tools* are *selected/confirmed* which address the evidence to be collected in accordance with the *principles of assessment* 2.5 Specific *material and physical resources* required to collect evidenceare identified and documented 2.6 Roles and responsibilities of all people involved in the assessment process are clarified, agreed and documented 2.7 Timelines and time periods for evidence collection are determined and all information to be included in the *assessment plan* is documented 2.8 The assessment/RPL plan is confirmed with *relevant personnel*
3. Contextualise and review assessment/ RPL plan	3.1 Characteristics of the candidate/s and any allowances for reasonable adjustments and/or specific needs are identified/clarified with relevant people and documented 3.2 Where required, competency standards are contextualised, to reflect the operating environment in which assessment will occur, in accordance with contextualisation guidelines 3.3 Selected assessment methods and assessment tools are examined and adjusted, where required, to ensure continuing applicability taking into account: any contextualisation of competency standards reasonable adjustment/s, where identified integration of assessment activities, where appropriate and practical capacity to support recognition of prior learning 3.4 Adjusted assessment tools are reviewed to ensure the specifications of the competency standards are still addressed 3.5 The assessment plan is updated, as needed, to reflect ongoing contextualisation needs, any changes in organisational resource requirements or changes in response to the conduct of assessment 3.6 Assessment plan/s are stored and retrieved in accordance with assessment system policies and procedures and legal/organisational/ethical requirements
4. Organise assessment/ RPL arrangements	4.1 Identified material and physical resource requirements are arranged in accordance with assessment system policies and procedures and legal/organisational/ethical requirements 4.2 Any *specialist support* required for assessment/ RPL is organised and arranged in accordance with organisational/ethical/legal requirements, where required 4.3 Roles and responsibilities of all people involved in the assessment/ RPL process are organised 4.4 Effective *communication strategies* are established to encourage regular communication flow and feedback with relevant people involved in the assessment/RPL process 4.5 Assessment/ RPL record keeping and reporting arrangements are confirmed

Required Skills And Knowledge

Essential knowledge:

The candidate must be able to demonstrate essential knowledge required to effectively perform task skills; task management skills; contingency management skills and job/role environment skills as outlined in elements and performance criteria of this unit

These include knowledge of:

competency‑based assessment: work focused, criterion referenced, standards‑based, evidence‑based
the different purposes of assessment and different assessment contexts, including RPL.
how to read and interpret the identified competency standards as the benchmarks for assessment
how to contextualise competency standards within relevant guidelines
the four principles of assessment and how they guide the assessment process
what is evidence and different types of evidence used in competency-based assessments, including RPL
the four rules of evidence and how they guide evidence collection
different types of assessment methods, including suitability for collecting various types of evidence
assessment tools and their purpose; different types of tools; relevance of different tools for specific evidence gathering opportunities
different resource requirements for assessment and associated costs
where to source other relevant assessment information and how to incorporate this into the plan
the principles of inclusivity, and strategies for reasonable adjustment, without compromise to the competency standards
sources and types of specialist support to candidates
methodologies suitable for reviewing assessment tools
the assessment system policies and procedures established by the industry and/or organisation
the RPL policies and procedures established by the organisation
risks and requirements associated with different assessment applications in various contexts, including:
capacities of assessors at higher AQF levels
when linked to licensing
legal implications of assessing competence
the relevant organisational/legal/ethical requirements impacting on the planning and organisation of assessment, as set out in the Range Statement of the relevant competency standards
other relevant policy, legislation, codes of practice and national standards including national Commonwealth and state/territory legislation for example:
- copyright and privacy laws in terms of electronic technology
- security of information
- plagiarism
- licensing requirements
- anti‑discrimination including equal opportunity, racial vilification and disability discrimination
- workplace relations
- industrial awards/enterprise agreements
OHS responsibilities associated with planning and organising assessment, such as:
- hazards commonly found, and preferred risk controls for the specific assessment environment
- OHS procedures to be observed in the assessment process
- safe use and maintenance of relevant equipment
- sources of OHS information

Essential skills:

cognitive interpretation skills to:
- accurately interpret competency standards and other assessment documentation
- identify opportunities for integrated competency assessment
- contextualise competency standards to the operating assessment environment, including RPL
- sort information
observation skills to:
- assess the effectiveness of the organisation’s assessment, including RPL operations
- identify where improvement to the assessment process can be made
- identify where improvement to RPL policy and procedures can be made
technology skills to:
- use appropriate equipment and software to communicate effectively with others
research and evaluation skills to:
- obtain competency standards and other assessment information, assessment tools and other relevant assessment resources
- research candidate characteristics and any reasonable adjustment needs
- identify and confirm required material and physical resources
- evaluate feedback, and determine and implement improvements to processes
- make recommendations
planning skills relating to formulation of the assessment plan
organisational skills relating to organising resources required
literacy skills to:
- read and interpret relevant information to design and facilitate assessment and recognition processes
- prepare required documentation and information for those involved in assessment processes
communication skills to:
- discuss assessment, including RPL processes with clients and assessors
- establish professional relationships and networks
sensitivity to access and equity considerations and candidate diversity
capacity to promote and implement equity, fairness, validity, reliability and flexibility in planning an assessment process

Range Statement

The Range Statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Add any essential operating conditions that may be present with training and assessment depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts.

Purpose/s of assessment may include:	recognising current existing competence of candidate/s determining if competence has been achieved following learning establishing candidate/s progress towards achievement of competence determining language, literacy, numeracy needs of candidates/s certifying competence through a Statement of Attainment establishing progress towards a qualification determining training gaps of candidate/s measuring work performance classifying employees/support career progression meeting organisational requirements for work - operate equipment/develop new skills licensing or regulatory requirements
Context of assessment/ RPL may include:	part of the enrolment process the environment in which the assessment/RPL will be carried out, including real work/simulation opportunities for collecting evidence in a number of situations relationships between competency standards and evidence to support recognition of prior learning who carries out the assessment/RPL relationships between competency standards and work activities in the candidate’s workplace relationships between competency standards and learning activities auspicing and partnership arrangements the period of time during which the assessment takes place apportionment of costs/fees, if applicable quality assurance mechanisms
Relevant people must include:	the candidate/s the assessor/s responsible for conducting the assessment/RPL, which may be self or other assessors
Relevant people may include:	the client, company or organisation team leaders, managers, supervisors delivery personnel technical/subject experts training and assessment coordinators RPL coordinators industry regulators employee and employer representatives members of professional associations Commonwealth department official/Centrelink personnel/caseworker Australian Apprenticeship Centre (AAC) personnel
Legal/organisational/ethical requirements may include:	assessment system policies and procedures assessment strategy requirements reporting, recording and retrieval systems for assessment, including RPL quality assurance systems business and performance plans access and equity policies and procedures collaborative/partnership arrangements defined resource parameters mutual recognition arrangements industrial relations systems and processes, awards/enterprise agreements Australian Quality Training Framework (AQTF2007) registration scope human resources policies/procedures legal requirements including anti‑discrimination, equal employment, job role/responsibilities/conditions relevant industry codes of practice confidentiality and privacy requirements OHS considerations, including: ensuring OHS requirements are adhered to during the assessment process identifying and reporting OHS hazards and concerns to relevant personnel
The assessment strategy is a documented framework to guide and structure assessment arrangements for a vocational education and training qualification. In a learning and assessment pathway it is addressed as part of the learning strategy. In an assessment only pathway it is a separate document. The assessment strategy may encompass:	the identification of the competency standards forming the qualification and interpretation of the packaging rules of the qualification, where part of a Training Package interpretation of the competency standards as the benchmarks for assessment application of Training Package Assessment Guidelines, where part of a Training Package arrangements for RPL, including provision of guidance and assistance to candidates in gathering and evaluating evidence determination of assessment methods for identified competency standards selection of assessment tools for identified competency standards organisational arrangements for assessment, including physical and human resources, roles and responsibilities and partnership arrangements (where relevant) nominated quality assurance mechanisms identified risk management strategies
Benchmark/s for assessment/ RPL refers to:	The criterion against which the candidate is assessed or prior learning recognised which, may be a competency standard/unit of competency, assessment criteria of course curricula, performance specifications, product specifications
Evidence is:	Material collected which, when matched against the specifications in the competency standards, provides proof of competency achievement
Types of evidence may include:	direct, e.g. observation of work activities under real/simulated work conditions, examples of work products indirect, e.g. third party reports from a range of sources supplementary, e.g. question and answer, work records, training records, portfolios candidate gathered evidence assessor gathered evidence current/recent/historical combination of above
The rules of evidence guide the evidence collection process to ensure evidence is:	valid, for example: address the elements and Performance Criteria reflect the skills and knowledge described in the relevant unit/s of competency show application in the context described in the Range Statement demonstrate performance skills and knowledge are applied in real/simulated workplace situations current, for example: demonstrate the candidate’s current skills and knowledge comply with current standards sufficient, for example: demonstrate competence over a period of time demonstrate repeatable competence not inflate the language, literacy and numeracy requirements beyond those required in performing the work task authentic, for example: be the work of the candidate be corroborated/verified
All component parts of the competency standards refers to:	Elements Performance Criteria Employability Skills Range Statement including advice on: range of contexts/conditions to be met in assessment aspects of the Performance Criteria that can be contextualised information which adds definition to support assessment links to knowledge and skills underpinning language, literacy and numeracy requirements Evidence Guide requirements, including: underpinning/required knowledge underpinning/required skills and attributes underpinning language, literacy and numeracy requirements critical aspects of evidence to be considered/quality evidence requirements concurrent assessment and interdependence of units assessment methods/resources/context dimensions of competency, which include: task skills task management skills contingency management skills job role/environment skills requirements set out in the Assessment Guidelines of the relevant Training Package/s
Related documentation may include:	information from the competency standards about the resources required for assessment, the assessment context, appropriate assessment methods assessment activities identified in accredited modules derived from the relevant competency standards assessment activities in Support Materials related to the relevant competency standards RPL policy and procedures any requirements of OHS, legislation, codes of practice, standards and guidelines indicators and levels of competence of the National Reporting System organisational requirements for demonstration of work performance product specifications direct observation, for example: real work/real time activities at the workplace work activities in a simulated workplace environment
Assessment/ RPL methods are the particular techniques used to gather different types of evidence and may include:	structured assessment activities, for example: simulation exercises/role-plays projects assignments presentations activity sheets questioning, for example: written questions, e.g. on a computer interviews self‑assessment verbal questioning questionnaires oral/written examinations (for higher AQF levels portfolios, for example: collections of work samples by the candidate product with supporting documentation historical evidence journal/log book information about life experience review of products, for example: products as a result of a project work samples/products third party feedback, for example: testimonials/reports from employers/supervisors evidence of training authenticated prior achievements interview with employer, supervisor, peers the instruments developed from the selected assessment methods to be used for gathering evidence such as: a profile of acceptable performance measures templates/proformas specific questions or activities evidence/observation checklists checklists for the evaluation of work samples candidate self‑assessment materials
Assessment tools contain:	The procedures, information and instructions for the assessor/candidate relating to the use of assessment instruments and assessment conditions
Selected/confirmed means:	selected on the basis that they are suitable and effective in collecting the evidence in light of the purpose and context confirmed in accordance with the assessment strategy, where appropriate
Principles of assessment are:	fairness flexibility reliability validity
Material and physical resources may include:	documents required for the assessors and candidates, including competency standards and assessment tools plant and equipment technology personal protective equipment venues for assessment adaptive technologies physical adjustments to assessment environment
Assessment plan is the overall planning document for the assessment process and may include:	the purpose and aims of the assessment the context of assessment/RPL relevant competency standards to be used as the benchmarks for assessment/RPL other assessment information/documentation identified as relevant identified personnel identified assessment methods and assessment tools possibilities for clustering units of competency for assessment purposes identified OHS hazards, including assessed risks and control strategies material and/or physical resources required organisational arrangements for conducting assessment/RPL OHS reporting requirements any special assessment needs, e.g. personal protective equipment requirements outline of assessment milestones, time lines and target dates candidate self-assessment procedures connections to relevant organisational plans, polices and procedures
Relevant personnel may include:	self in such contexts as one-person/small training and/or assessment organisation lead assessor training and/or assessment supervisor/coordinator training and/or assessment manager
Characteristics of the candidate/s may include:	level of work experience level and experiences of previous learning and assessment motivation for assessment - personal/organisational English language, literacy and/or numeracy levels/needs physical impairment or disability involving hearing, vision, voice, mobility intellectual impairment or disability medical condition such as arthritis, epilepsy, diabetes, asthma that is not obvious but may impact on assessment differences in learning progress psychiatric or psychological disability religious and spiritual observances cultural background images/perceptions age gender
Reasonable adjustments and/or specific needs must not compromise the integrity of the competency standards and may include:	adjustments to the assessment process taking into account candidate's language, literacy, numeracy requirements provision of personal support services, for example, reader, interpreter, attendant carer, scribe, member of community in attendance use of adaptive technology or special equipment flexible assessment sessions to allow for fatigue or administering of medication format of assessment materials, for example, in braille, first language, use of audiotape/ videotape adjustments to the physical environment or venue revising proposed assessment methods/tools considerations relating to age and/or gender, considerations relating to cultural beliefs, traditional practices, religious observances
Contextualised means:	To change the wording of some component parts of the competency standard to reflect the immediate operating environment
Contextualisation guidelines relate to:	DEST Guidelines on Training Package Contextualisation relevant Training Package contextualisation guidelines
Recognition of prior learning is defined as:	An assessment process that assesses an 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
Assessment system policies and procedures may include:	candidate selection rationale and purpose of competency-based assessment assessment records/data management/information management recognition of current competency/recognition of prior learning/credit arrangements assessors - needs, qualifications, maintaining currency assessment reporting procedures assessment appeals candidate grievances/complaints validation evaluation/internal audit costs/resourcing access and equity/reasonable adjustment partnership arrangements links with human resource or industrial relations systems links with overall quality management system
Specialist support may include:	assistance by third party – carer, interpreter development of online assessment activities support for remote or isolated candidates and/or assessors support from subject matter or safety experts advice from regulatory authorities assessment teams/panels support from lead assessors advice from policy development experts
Communication strategies may include:	interviews (face-to-face or telephone) email, memos and correspondence meetings video conferencing/e-based learning focus groups email, memos and correspondence meetings video conferencing/e-based learning focus groups

Evidence Guide

The evidence guide provides advice on assessment and must be read in conjunction with the Performance Criteria, Required Skills and Knowledge, the Range Statement and the Assessment Guidelines for this Training Package.