TAAASS402C: Assess competence

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. Establish and maintain the assessment environment

1.1 The assessment/ RPL plan is interpretedand assessment system policies and procedures and organisational/ legal/ethical requirements for conducting assessment are confirmed with relevant people
1.2 The relevant benchmarks for assessment/ RPL and nominated assessment tools are accessed and interpreted to confirm the evidence to be collected and how it is to be collected
1.3 Details of the assessment/ RPL plan and the assessment process are explained, discussed and clarified with the candidate including opportunities for assessment, reasonable adjustment, re‑assessment and appeals
1.4 Proposed changes to the assessment process are negotiated and agreed with the candidate, where relevant

2. Gather quality evidence

2.1 The assessment/ RPL plan is followed to guide the conduct of assessment and assessment methods and assessment tools are used to gather, organise and document evidence in a format suitable for determining competence
2.2 The principles of assessment and rules of evidence are applied in gathering quality evidence
2.3 Opportunities for evidence gathering in work activities/simulated work activities are determined with the candidate and relevant personnel
2.4 Opportunities for integrated assessment activities/ RPL are identified and assessment tools are modified, where required
2.5 Identified assessment/ RPL system policies and procedures and organisational/legal/ethical and requirements for assessment are addressed

3. Support the candidate

3.1 Candidates are guided in gathering their own evidence to support recognition of prior learning
3.2 Appropriate communication and interpersonal skills are used to develop a professional relationship with the candidate which reflects sensitivity to individual differences and enables two‑way feedback
3.3 Decisions on reasonable adjustment/s, where applicable, are made with the candidate, based on candidate’s needs and characteristics
3.4 Reasonable adjustments must maintain the integrity of the relevant competency standards and provide balanced application of the principles of assessment and rules of evidence
3.5 Specialist support is accessed, where required, in accordance with the assessment plan
3.6 Any occupational health and safety (OHS) risk to person or equipment is addressed immediately

4. Make the assessment decision

4.1 Limitations in obtaining and evaluating quality evidence are identified and assistance is sought, where required, from relevant people
4 .2 Collected evidence is examined and evaluated to ensure that it reflects the evidence required to demonstrate competency and which:

• encompasses all component parts of the competency standards and the dimensions of competency (where competency standards are the benchmarks for assessment/ RPL)
• addresses other related documentation
• complies with the rules of evidence

4.3 Judgement is used to infer whether competence has been demonstrated, based on the available evidence
4.4 Relevant assessment, including RPL, system policies and procedures and organisational/ legal/ethical considerationsare addressed in making the assessment decision
4.5 Clear and constructive feedback is provided to the candidate regarding the assessment decision and a follow‑up action plan is developed, where required

5. Record and report the assessment decision

5.1 Assessment/ RPL outcomes are recorded promptly and accurately in accordance with assessment/ RPL system policies and procedures and organisational/legal/ethical requirements
5.2 An assessment report is completed and processed in accordance with assessment system policies and procedures and organisational/legal/ethical requirements
5.3 Recommendations for follow up action are submitted to relevant people, where required
5.4 Other relevant parties are informed of the assessment decision where required, and in accordance with confidentiality conventions

6. Review the assessment process

6.1 The assessment/ RPL process is reviewed against criteria in consultation with relevant people to improve and modify future assessment practice
6.2 The review is documented and recorded in accordance with relevant assessment system policies and procedures and organisational/ legal/ethical requirements
6.3 Reflection skills are used to review and self‑evaluate assessment practice

An assessment/ RPL plan is the overall planning document for the assessment process and may include:

• the purpose and aims of the assessment, including RPL
• the context of assessment
• identified personnel
• relevant competency standards and other assessment documentation
• relationship with RPL policy and procedures
• evidence plan
• 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/physical resources required
• organisational arrangements for conducting assessment
• 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

Assessment system policies and procedures may include:

• candidate selection
• rational and purpose of competency‑based assessment
• assessment records/data management/information management
• recognition of prior learning
• recognition of credit transfer 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

Organisational/legal/ethical requirements may include:

• assessment system policies and procedures
• Recognition of prior learning policies and procedures
• reporting, recording and retrieval systems for assessment
• licensing/legal ramifications of assessing competence
• requirements of training and/or assessment organisations relating to assessment and validation
• quality assurance systems
• business and performance plans
• collaborative/partnership arrangements
• policies, procedures and programs
• defined resource parameters
• mutual recognition arrangements
• industrial relations systems and processes, awards/enterprise agreements
• Australian Quality Training Framework (AQTF2007) Essential Standards for Registration
• 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 of information relating to completed assessments
• OHS considerations, including:
• ensuring OHS requirements are adhered to during the assessment process
• identifying and reporting OHS hazards and concerns to relevant personnel

Relevant people may include:

• the candidate/s
• other assessors
• the client, company or organisation
• team leaders, managers, supervisors
• trainers/facilitators
• RTO coordinators
• technical/subject experts
• training and assessment coordinators
• industry regulators
• employee and employer representatives
• members of professional associations
• Commonwealth department official/Centrelink staff/caseworker
• Australian Apprenticeship Centre (AAC) personnel

Benchmark/s for assessment/ RPL refers to:

The criterion against which the candidate is assessed which, may be a competency standard/unit of competency, assessment criteria of course curricula, performance specifications, product specifications

Assessment tools contain both the instrument and the procedures for gathering and interpreting evidence in accordance with designated assessment methods and may include:

• the instruments 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
• the procedures, information and instructions for the assessor/candidate relating to the use of assessment instruments and assessment conditions

Reasonable adjustment must not compromise the integrity of the competency standard 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

Assessment methods are the particular techniques used to gather different types of evidence and may include:

• direct observation, for example:
  • real work/real time activities at the workplace
  • work activities in a simulated workplace environment
• structured activities, for example:
  • simulation exercises/role-plays
  • projects
  • 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, peer

Principles of assessment guide the assessment process and must address:

• validity
• reliability
• flexibility
• fairness

Rules of evidence are closely related to the assessment principles and provide guidance on the collection of evidence to ensure that it is:

• valid
• sufficient
• authentic
• current

Quality evidence addresses the rules of evidence and must:

• encompass the Performance Criteria to demonstrate achievement of the outcomes (Elements)
• reflect the skills, knowledge and attributes defined in the relevant units of competency
• show application of the skills in the context described in the Range Statement
• demonstrate competence over a period of time
• demonstrate repeatable competence
• be the work of the candidate
• be able to be verified
• demonstrate current skills/knowledge of the candidate
• not inflate the language, literacy and numeracy requirements beyond those required in the performance of the competency

Guided means to explain to the candidate:

• what is recognition of prior learning
• what is assessment
• what are assessment tools
• how to use these tools
• the rules of evidence that must be met by the evidence they provide

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.

Communication skills may include:

• providing constructive and supportive feedback
• using active listening
• using appropriate questioning to clarify and confirm instructions for evidence gathering
• accurately interpreting verbal messages
• assisting candidates to paraphrase advice/instructions to the assessor
• making clear and concrete presentations of options/advice

Interpersonal skills may include:

• accurately interpreting non-verbal messages
• engaging in two-way interaction
• using language appropriate to candidate, assessment context and work performance addressed by competency standards
• using language and concepts appropriate to cultural differences
• using culturally inclusive and sensitive techniques

Individual differences may include:

• English language, literacy and numeracy barriers
• physical impairment or disability involving hearing, vision, voice, mobility
• intellectual impairment or disability
• medical conditions such as arthritis, epilepsy, diabetes and asthma that are not obvious but may impact on assessment
• learning difficulties
• psychiatric or psychological disability
• religious and spiritual observances
• cultural images/perceptions
• age
• gender

Feedback may include:

• ensuring assessment/RPL process is understood
• ensuring candidate concerns are addressed
• enabling question and answer
• confirming outcomes
• identifying further evidence to be provided
• discussing action plans
• confirming gap training needed
• information regarding available appeal processes
• suggesting improvements in evidence gathering and presentation

Specialist support may include:

• assistance by third party - carer, interpreter
• support from specialist educator
• 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

Addressed may include:

• stopping the assessment until the OHS risk is rectified
• stopping the assessment until the equipment is fixed or replaced

Limitations may relate to:

• job role and responsibilities
• meeting candidate needs
• assessment panels
• training and/or assessment organisation's quality processes
• personal competency level
• organisational, industry and national training requirements
• personal level of knowledge of competency-based assessment
• legal responsibilities

All component parts of the competency standards refers to:

• Elements
• Performance Criteria
• Employability Skills
• Range Statement/range of variables, including:
  • contextualisation
  • link to knowledge and enterprise requirements
  • focus of assessment
  • 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

Related documentation may include:

• Assessment Guidelines of the relevant Training Package/s
• the assessment criteria of accredited modules
• evidence to be collected as set out in assessment plans
• definition and interpretation of evidence in developed assessment tools
• RPL policies and procedures
• any requirements of OHS, legislation, codes of practice, standards, guidelines
• indicators and levels of competence of the National Reporting System
• organisational requirements for work performance
• product specifications
• integrated competency assessment tool

Judgement is a two-step process and means:

• the decision made by the assessor on whether the evidence provided meets the principles of assessment and rules of evidence
• the decision made by the assessor, based on the evidence provided and evaluated, on whether the candidate is competent/not yet competent

An action plan is required when the decision of not yet competent is recorded and may include:

• gap training, further learning
• additional practice opportunities
• additional assessment opportunities/evidence gathering opportunities
• individual facilitation, where relevant
• referral to specialist support

An assessment report may include:

• personal details of candidate
• details of assessment/s, date, time, venue
• details of assessor's summary of evidence considered and copies of assessment papers
• feedback to and from the candidate
• justification of decision
• summary of candidate's action plan
• other critical information including appeals and outcomes
• sign-off by assessor and candidate
• electronic/paper reports to funding bodies

Recommendations may include:

• recommendations for RPL
• recommendation to support training and/or assessment in new areas of competency
• recommendations in the action plan
• reassessment
• appeal implications

Other relevant parties may include:

• Centrelink personnel
• Department of Immigration and Multicultural Indigenous Affairs (DIMIA)
• parties nominated by the candidate
• parties to be informed because of contractual obligations

Criteria may include:

• following the assessment plan
• confirming and addressing organisational, ethical and legal requirements where appropriate, including OHS
• providing appropriate information regarding the assessment process to the candidate and explaining all steps, using effective communication and interpersonal skills
• demonstrated application of the rules of evidence and principles of assessment in gathering quality evidence
• demonstrated support and guidance to the candidate throughout the assessment process
• using assessment methods and tools appropriately to gather, organise and document evidence
• applying reasonable adjustments where required/ appropriate, in consultation with relevant people
• providing clear and constructive feedback to the candidate regarding the assessment decision
• reviewing range of own decisions for consistency

Consultation may involve:

• moderation with other assessors, training and assessment coordinators
• discussions with the client, team leaders, managers, RPL Coordinators, supervisors, coaches, mentors
• technical/subject experts
• English language, literacy and numeracy experts

Overview of assessment

To demonstrate competence against this unit, candidates must be able to provide evidence that they can assess the competence of another individual through a process of collecting and reviewing evidence and making an informed judgement.
The evidence provided must show: how the assessment environment was established and how the candidate’s needs were met; how the units of competency were interpreted to determine the evidence requirements; how the assessment plan was followed; how the assessment tools were used in collecting evidence; the basis for the assessment decision using the rules of evidence; communication skills used to guide, support and provide feedback to the candidate during the assessment process; records and reports; and how the assessment process was reviewed.

Products that could be used as evidence include:

• completed RPL/assessment tools/templates/checklists
• documentation of evidence collected and assessment, including RPL decisions
• feedback from candidate/assessor/supervisor/RPL coordinator
• feedback to candidate with recommendations for future options
• completed assessment/RPL records/reports
• reviews of assessment practices and recommended changes to future practices

Processes could be used as evidence include:

• how competency standards and other documents were interpreted
• how assessment activities, including RPL, were scheduled
• how the assessment plan was modified to meet candidate needs
• how evidence was collated and evaluated against the rules of evidence

Resource implications for assessment include:

• access to candidates to be assessed
• access to competency standards
• access to assessment materials and tools
• access to suitable assessment venue/equipment
• workplace documentation
• access to RPL policies and procedures
• access to documentation/records of candidate to determine specific requirements
• cost/time considerations
• personnel requirements

The collection of quality evidence requires that:

• assessment must address the scope of this unit and reflect all components of the unit, i.e. the Elements, Performance Criteria, Range Statement, Evidence Guide, Employability Skills
• a range of appropriate assessment methods/evidence gathering techniques is used to determine competency
• evidence must be gathered in the workplace wherever possible. Where no workplace is available, a simulated workplace must be provided
• the evidence collected must relate to a number of performances assessed at different points in time and in a learning and assessment pathway these must be separated by further learning and practice
• evidence collected must relate to at least one example of a RPL assessment
• assessment meets the rules of evidence
• a judgement of competence should only be made when the assessor is confident that the required outcomes of the unit have been achieved and that consistent performance has been demonstrated

Specific evidence requirements must include:

• carrying out assessment of a number of candidates, assessed against different units of competency or accredited curricula, following the relevant assessment plan
• at least one candidate must be assessed through an assessment only pathway
• at least one candidate must be assessed for RPL
• at least one assessment must include consideration of reasonable adjustment and the reasons for decisions and approach
• all must show:
• the application of different assessment methods and tools involving a range of assessment activities and events
• demonstration of two-way communication and feedback
• how judgement was exercised in making the assessment decision how and when assessment outcomes were recorded and reported
• completion of assessment records/reports in accordance with assessment system - legal/organisational ethical requirements
• how the assessment process was reviewed and the review outcomes documented

Integrated assessment means that:

This unit can be assessed alone or as part of an integrated assessment activity involving relevant units in the TAA04 Training and Assessment Training Package. Suggested units include but are not limited to:

• TAAASS401C Plan and organise assessment
• TAAASS403B Develop assessment tools
• TAAASS404B Participate in assessment validation
• TAADES401B Use Training Packages to meet client needs.