Edition 72, November 2009

Assessing units of competency

Assessment is a critically important aspect of any registered training organisation's (RTO) business. To operate, an RTO needs to understand and meet their requirements in relation to assessment as set under the Australian Quality Training Framework (AQTF).

For RTOs who are delivering units of competency or qualifications which have a licensing outcome, the assessment process takes on even greater importance. Not only are RTOs required to meet the AQTF requirements, they also need to ensure their assessment process meets any requirements set by the relevant licensing authority. This article aims to give an overview of assessment and the requirements that RTOs have when assessing a unit of competency, including those which have a licensing outcome.

What is Assessment?

Assessment is the process of collecting evidence and making judgements on whether competency has been achieved to confirm that an individual can perform to the standard expected in the workplace. The standard is described in the relevant endorsed industry/enterprise competency standards of a training package or an accredited course.

The assessment process is used to determine whether people are either 'competent' or 'not yet competent' against the agreed industry standards. A person who is 'not yet competent' against any standard can undertake further study or training and be assessed again.

What are assessments used for?

The most obvious use for assessment is to determine whether someone is competent and has the specific skills and knowledge to do the job; this could also lead to the attainment of a qualification. However, because the competency standards described in training packages are industry-agreed benchmarks, assessment can be used for other purposes on the job. For example, classifications in industrial awards are sometimes linked to competency standards.

Assessments may also be used to determine whether or not a person can be issued with a licence to work in a specific job role.

What are the AQTF requirements in relation to assessment?

Standard 1.5 of the AQTF Essential Standards for Registration states that it is a requirement that 'assessment, including Recognition of Prior Learning (RPL): 

  1. meets the requirements of the relevant Training Package or accredited course
  2. is conducted in accordance with the principles of assessment and the rules of evidence
  3. meets workplace and, where relevant, regulatory requirements.'

Condition 3 of the AQTF Conditions of Registration also provides that:

  • 'The RTO must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements that re relevant to its operations and its scope of registration. It must ensure that its staff and clients are fully informed of requirements that affect their duties or participation in vocational education and training.'

This means an RTO needs to have in place processes to ensure that the assessment tools they use are fully mapped to the performance criteria in unit of competency. Additionally, RTOs will also need to ensure that regulator/licensing authority requirements are incorporated into the process.

If an RTO were to solely base its assessment of the unit on an assessment instrument that does not cover all the performance criteria in a unit of competency, then the RTO would not comply with the AQTF. Similarly, if the RTO were not to comply with the requirements set by the licensing/regulatory authority then it would not comply with the AQTF.

Assessing with mandated assessment tools

In certain circumstances an RTO will be required to assess a unit of competency using a mandated assessment tool.

This is sometimes the case with units of competency or accredited courses which have a licensing outcome. In some instances this requirement to use a set assessment is explicitly stated in the training package or accredited course, such as the Course in the Transport of Dangerous Goods, the High Work Licensing Units of Competency and the Courses in Loadshifting.  In other instances it may not be stated in the training package but is outlined by the licensing or regulatory authority in the agreement that it has with the RTO or in other licensing authority guidelines.

When using a mandated assessment instrument the onus still remains on the RTO to ensure that both the regulator and AQTF requirements are met when assessing using the instruments.

It is good practice and an AQTF requirement that an RTO always undertake a mapping process of any assessment tool to ensure what is being used does cover all aspects of the training package. This is done to ensure the RTO is meeting its requirements under the AQTF.

However, if the RTO determines that there is a gap, the RTO will need to develop supplementary assessment tool to assess what is not covered in the mandated assessment instrument to ensure the RTO complies with the AQTF.

Who can conduct assessments?

Only qualified assessors working with a registered training organisation can conduct assessments leading to a national (Australian Qualifications Framework) qualification or statement of attainment.

The National Quality Council policy on Training and assessment competencies to be held by trainers and assessors, states that that a person conducting assessment must be able to demonstrate vocational competences at least to the level being assessed and:

(i) hold the following three competencies from the Training and Assessment Training Package (TAA04):

a) TAAASS401A Plan and organise assessment
b) TAAASS402A Assess competence
c) TAAASS404A Participate in assessment validation, or

(ii) be able to demonstrate equivalent competencies to all three units of competency listed in (i), or

(iii) hold the following competencies from the superseded Training Package for Assessment and Workplace Training (BSZ98):

a) BSZ401A Plan assessment,
b) BSZ402A Conduct assessment, and
c) BSZ403A Review assessment, or

(iv) be able to demonstrate that prior to 23 November 2005 they had been assessed as holding equivalent competencies to all three units of competency listed in (iii) above.

If a person does not have the assessment competencies as outlined in the National Quality Council policy determination and the relevant vocational competencies at least to the level being assessed, one person with all the assessment competencies listed in the determination and one or more persons who have the relevant vocational competencies at least to the level being assessed may work together to conduct the assessments.

In a licensed area, the licensing authority or regulator may also require trainers/assessors to be specifically approved with the licensing authority. This licensing authority requirement then becomes an AQTF requirement under the Conditions of Registration. In order to comply with the AQTF, RTOs will need to demonstrate they comply with both the AQTF requirements and the licensing authority requirements.

 How are assessments conducted?

Assessment under the national vocational education and training system is quite different from the formal examinations and tests most people remember from their school days. Evidence is gathered to demonstrate competence in the skills and knowledge required by the units of competency.

Common types of assessment methods used by assessors to gather evidence include: 

  • answers to questions
  • training records
  • work records
  • samples of work
  • observation
  • demonstrations
  • simulations and role plays.

The evidence used in assessment depends on the requirements of the particular units of competency and the preferences or needs of the person being assessed. Each case is unique.

The registered training organisation responsible for assessing people's competencies should devise an assessment plan for each student, apprentice or trainee. Students and, where appropriate, industry should be involved in the development of the assessment plan. The plan should incorporate recognition of prior learning and any reasonable adjustment that may be required.

Because work activities draw on the skills described in a number of units of competency, teachers and trainers can utilise holistic assessment methods to assess a range of units simultaneously.

Assessment can take place on the job or off the job. However, as applying skills in the workplace is a key facet of vocational education and training, most evidence should ideally be gathered as the student performs work duties, whether in the workplace or in a simulated work environment.

What is meant by assessing a learner in a simulated work environment?

Assessments conducted in a simulated work environment must replicate the conditions and outcomes encountered in a workplace, as noted in the unit(s) of competency. In some cases this may refer to the actual physical resources, such as assessing an apprentice changing engine oil in a motor vehicle. In other cases this may refer to the interpersonal dynamics of the workplace, such as assessing a manager's ability to conduct an interview to review work performance. It may refer to a combination of both.

The assessor will need to fully analyse the unit(s) of competency being assessed and make a judgment regarding the adequacy of a simulated work environment.

Content within the evidence guide and the range statement of each unit of competency will help the assessor determine the conditions of a valid simulated work environment.

NOTE: In some instances a training package may state that certain competency standards can only be assessed in an actual workplace setting. In addition, licensing authorities may set requirements about realistic simulated environments.

What is moderation?

Moderation is a process which involves assessors discussing and reaching agreement about assessment processes and assessment outcomes in a particular industry or industry sector.

This process enables assessors to develop a shared understanding of the requirements of specific training packages, including the relevant units of competency and assessment guidelines, the nature of evidence, how evidence is collected and the basis upon which assessment decisions are made to ensure that assessments are valid, reliable, flexible and fair.

How does moderation work?

There is no single model for moderation.

Moderation involves assessors working in collaboration to review, compare and evaluate their assessment process and their assessment outcomes, in relation to the same unit/s of competency. This includes validating assessment methods/tools, the evidence that was collected using these assessment methods/tools and the interpretation of that evidence to make a judgement of competence.

There may be variation in assessors' judgments, but moderation works to ensure that the margins of variation are minimal. In the case of licensing authority mandated assessment tools the RTO will need to submit the results and evidence to the relevant licensing authority so they can be addressed.

Why is moderation so important?

The vocational education and training system is a national system, based on nationally developed qualifications and units of competency. Moderation is important to ensure that the outcomes of these qualifications and units of competency are consistent across all registered training organisations. This will assist to ensure that industry has confidence in the training and assessment outcomes from the vocational education and training system.

Moderation also provides the opportunity for professional development of assessors and the improvement of assessment products and services.

This page was generated on 10 December, 2009

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