Assessment Materials
TAEASS503A Lead assessment validation processes
1st Edition 2013

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Published by: Innovation and Business Industry Skills Council Ltd
Level 11, 176 Wellington Pde
East Melbourne VIC 3002
Phone: +61 3 9815 7000
Fax: +61 3 9815 7001
www.ibsa.org.au
First published: September 2013
First edition version: 1
Release date: September 2013

Candidate declaration
Your trainer/assessor is required to discuss the following matters with you. Tick the relevant box once the matter has been explained to you and you have acknowledged that you understand the advice provided by your trainer/assessor.
? purpose and outcomes of the assessment process
? relevant unit/s of competency
? recognition of prior learning
? appeals process
? confidentiality and security of information
? special needs/additional information
? signing of candidate declaration.
Candidate’s name Phone no.
Assessor’s name Phone no.
Assessment site
Assessment date/s Time/s
Date assessment arrangement was notified to the participant
Notification method
In signing this form the candidate acknowledges that the assessment process has been fully explained to them and they understand and agree to the assessment process as described above.
It is proposed that the assessment outlined will take place at times and locations mutually agreed between the candidate and the assessor.
Comments:
Candidate’s signature: Date:
Assessor’s signature: Date:

Table of contents
Getting Started 1
Introduction 2
Assessment Pathways 3
Assessment Tasks 4
Assessment Task 1: Monitor and support assessment practice 4
Assessment Task 2: Coordinate and lead validation sessions 8
Appendices 12
Appendix 1: Feedback form 12
Appendix 2: Validation templates 13

Getting Started
The assessment activities in this booklet have been designed to allow you to provide evidence that demonstrates your competency in the unit TAEASS503A Lead assessment validation processes.
Your assessor will:
? negotiate assessment activities with you and help with their planning
? answer any questions you might have about the assessment
? assess your competency as required by the unit of competency, by making judgements about the evidence presented in line with the rules of evidence: validity, authenticity, currency and sufficiency
? give you feedback on the outcomes of the assessment process, both formative (as you go through learning and assessment processes) and summative (your final assessment – whether you are competent, or not yet competent)
? counsel you on the outcomes of the assessment including advising you of your right of appeal if you disagree with the assessment decision
? as appropriate, help you to address the health and safety requirements of the assessment setting and units of competency.
Some units of competency from the TAE10 Training and Education Training Package can be delivered and assessed with other relevant units. Have a look through the units you plan to undertake, as it might be possible to use holistic approaches to assessment. Work with your assessor to decide which assessment activities are appropriate for you.
Introduction
Assessment of this unit must demonstrate that you can lead assessment validation processes. You need to show that you have the skills and knowledge to:
? monitor assessment practice
? coordinate assessment validation activities.
You must provide evidence that you have:
? provided support to other assessors, including modelling good assessment and validation practice
? contributed positively to the work of assessors and others involved in carrying out assessments and validation
? taken responsibility for initiating, organising and facilitating assessment validation on at least three occasions
? used outcomes of validation and appeals to improve assessment practice.
This unit might be assessed individually or together with other units in the TAE10 Training and Education Training Package.
Taking a portfolio approach to assessment can make the assessment process more valuable for you and will often better reflect processes in the workplace. Using a portfolio approach you will gather your evidence together for this unit, and perhaps for other units, and submit it all together as a portfolio.
Helpful templates from the appendices of your Participant Workbook are available in Word format online at http://www.ibsa.org.au/tae10-resources .
Assessment Pathways
Assessment in Vocational Education and Training (VET) can be undertaken via three different pathways:
1. In a learning and assessment pathway, candidates for assessment attend learning sessions, participate in all activities and complete the assessments to a schedule usually arranged around the learning sessions. In this pathway candidates are usually guided by facilitators and have access to all resources, hard copy and online. The advantage of this pathway is the development of skills, sharing resources and networking with other people working in the VET sector.
2. In an assessment-only pathway, the assessment candidate does not attend learning sessions but completes the assessments and submits them to the assessor at pre-determined times.
3. In a skills recognition pathway, the assessment candidate does not usually attend learning sessions or complete assessments. Skills recognition is another form of assessment only pathway called Recognition of Prior Learning or RPL.
More about skills recognition, Recognition of Prior Learning (RPL) and credit transfer
You may be eligible for RPL if you have had work experience that allows you to meet the evidence requirements for units of competency included in qualifications from the TAE10 Training and Assessment Training Package. Your prior learning in each case is measured against the requirements of each competency.
Credit transfer
You may be eligible for a credit transfer if you have completed units of competency in a different qualification or at another educational organisation and those competencies are the same as, or deemed equivalent to, those in the qualification in which you plan to enrol.
Why apply for RPL?
RPL recognises that you may already have many skills that apply to the competencies in which you plan to enrol. It may mean you only need to participate in a learning program for the units of competency that are new to you, which may shorten the length of learning and assessment you have to do to achieve the qualification.
Assessment Tasks
Assessment Task 1: Monitor and support assessment practice
To demonstrate competency in this unit you must be able to provide evidence that you can work within an organisation’s systems and processes to systematically monitor assessment practice. You will need to provide support to other assessors including modelling good assessment and validation practice. You will also need to demonstrate that you can contribute positively to the work of assessors who are involved in carrying out assessments and validation. Finally, you will need to provide your assessor with a written or oral report outlining the process you have undertaken to monitor and support assessment practice.
Procedure
1. Identify a suitable organisation, such as an RTO you currently work at, within which to monitor and support assessment practice.
Note: A suitable organisation should:
? have policies and procedures to conduct assessment practices including assessment, validation, and moderation
? have procedures for record-keeping in connection with assessment
? be able to provide opportunity to work with and support a group of assessors from within your RTO or from other RTOs.
2. In accordance with organisational policies and procedures, including pre-existing organisational scheduling for monitoring activities, plan monitoring and/or support activities to be undertaken with your team. Plan, for example:
? meetings
? workshops
? presentations
? observations
? review of performance metrics and trainer/assessor KPIs, including record-keeping performance against standards
? review of documentation and records.
Note: If no pre-existing planning by the organisation exists, plan a schedule of meetings, sessions, training, etc. that shows a systematic approach such as regular planning, implementing, and taking action to deal with issues.
3. Follow your plan to monitor organisational performance with respect to:
? adherence to organisational policies and internal requirements
? how effectively and accurately the designated competency standards are being interpreted by assessors as the benchmarks for assessment
? validation practices
? how the principles of assessment are being applied in assessment practice
? assessors’ application of assessment tools
? how the rules of evidence are being applied in gathering evidence
? use of tools for assessment
? whether assessment is being conducted in accordance with the policies and procedures of the organisation’s assessment system
? whether assessment strategies and plans are adequate to meet requirements
? whether NSSC, regulatory, organisational, legal and ethical requirements are being met
? adherence to record-keeping requirements.
Note: Ensure you gather evidence of carrying out monitoring activities as per specifications (see next page).
4. Follow your plan to support organisational improvement, by modelling effective practice. For example:
? coach a colleague
? lead a discussion on improvement of practices
? show how tools, procedures, etc. may be modified to improve performance
? demonstrate skills.
Note: Ensure you gather evidence of carrying out support activities as per specifications (see next page).
5. Arrange for a feedback form to be completed by at least one of your work team at the end of the monitoring process.
Note: You may use the template included at Appendix 1 which you may modify as required, or use your own feedback form.
6. Prepare a written or oral report to be delivered to your assessor on the process you have undertaken to systematically monitor and support assessment practice in your organisation. Your report should include:
? a description of the organisational setting, for example, its mission/vision, goals, etc.
? a description of external obligations such as legal or regulatory obligations
? a description of organisational systems and processes such as policies and procedures dealing with assessment practice
? a description of the process you undertook to monitor and support assessment practice in an organisational setting
? a description of monitoring results gathered in Step 3 of this procedure
? analysis of record-keeping processes
? three recommendations to improve assessment practice, including at least one recommendation or advice given to improve record-keeping
? a reflection on your own support performance which is based on feedback you have received.
7. Submit all documentation as per specifications below. Keep copies for your records.
Specifications
Deliverables:
You will need to submit:
? a portfolio of evidence that includes:
? organisational policies and procedures for assessment and monitoring
? planning documents such as scheduling for monitoring activities
? evidence of monitoring and support (following planning as outlined above), for example:
– emails
– minutes of meetings, coaching, training sessions
– assessment tools with recommendations for change
– version controlled edits to record-keeping documents and/or procedures
? at least one completed feedback form from one of the participants at the end of monitoring process. This may be the template included at Appendix 1 which you may modify as required, or your own feedback form
? an oral or written report on the monitoring process undertaken. It should include:
? a description of the organisational setting, for example its mission/vision
? a description of external obligations such as legal or regulatory obligations
? a description of organisational systems and processes such as policies and procedures dealing with assessment practice
? a description of the process you undertook to monitor and support assessment practice in an organisational setting
? a description of performance results
? analysis of record-keeping processes
? three recommendations to improve assessment practice, including at least one recommendation or advice given to improve record-keeping
? reflection on your own support performance based on feedback received.
Quality:
Your assessor will be looking for evidence of:
? analysis and interpretation skills to analyse the effectiveness of the organisation's assessment processes, including validation
? communication skills to:
? influence others to improve assessment practice
? promote and implement quality standards (internal or external)
? leadership skills to influence and motivate others to continuously improve assessment practice
? team and group skills to:
? build relationships and networks with colleagues
? encourage, accept and utilise feedback
? knowledge of Australian regulatory requirements for assessment
? knowledge of the organisation's assessment system policies and procedures, including validation processes
? knowledge of different types of assessment tools, what are well-constructed assessment tools and why, what assessment methods and instruments work for what types of evidence
? knowledge of rules of evidence and why they are important, particularly in a validation context
? knowledge of assessment strategies and assessment plans and their components
? knowledge of the purpose and focus of carrying out validation, different approaches to assessment validation and the critical aspects of validation
? knowledge of legal, organisational and ethical responsibilities associated with the assessment system.
Adjustment for distance-based learners
No change required.

Assessment Task 2: Coordinate and lead validation sessions
As part of your assessment for this unit of competency, you need to develop a portfolio of evidence to show that you have initiated, organised and facilitated three assessment validation activities. You will also need to evaluate the validation process that you undertake and plan to implement recommendations. You will need to provide your assessor with a written or oral report outlining the process you have undertaken to coordinate and lead validation sessions.
Procedure
1. Identify a suitable organisation, such as an RTO where you currently work, within which to coordinate and lead three validation sessions.
Note: You may (and are encouraged to) use the same organisation you used in Assessment Task 1.
2. Undertake research into validation processes including at your workplace and best practice. Use at least two sources of information. Use, for example organisational policies and procedures, regulatory standards, and validation guidance published by the old NQC and now hosted by the NSSC.
3. Plan three validation activities in accordance with organisational and regulatory requirements. Consider (and document for your report or portfolio of evidence):
? the purpose, focus and context of the validation session, for example, to look at assessment tools for a particular unit of competency, or to address an identified area of risk in assessment practice
? approaches to validation, for example, researching, analysing and reviewing assessment tools
? participants to attend
? dates and timelines for sessions, meetings, support activities
? materials and resources required (such as appeals documentation), including the research, preparation process undertaken
? validation documentation that will be used. You may use the templates included in Appendix 2, forms from your own practice environment, or download the forms from ‘Validation and moderation implementation guide templates’, available through the NSSC: http://www.nssc.natese.gov.au/ nqc_archive/nqc_publications/publications .
4. Consider validation activities in the context of risks to the organisation. Undertake and document a risk assessment and analysis to determine the purpose, focus and context of the validation activities. Amend planning in Step 3 in accordance with risk assessment as necessary.
5. Follow your planning to initiate, coordinate and lead three assessment validation activities. Conduct the three validation activities in line with regulatory guidelines, and organisational, legal and ethical requirements.
Note: Collect evidence for your portfolios of holding the sessions as per specifications (see page 11).
6. Provide guidance to participants in the assessment process. For example:
? provide suggestions to improve or smooth the process
? discuss and critique assessment tools against objectives of assessment and training strategies
? define and explain complex terms and concepts for participants such as ‘rules of evidence’, ‘principles of assessment’, ‘face validity’, ‘construct validity’
? encourage input
? work to gain commitment from others for the validation process
? support useful contributions by others such as feedback to improve the process
? facilitate positive outcomes of sessions.
Note: Collect evidence for your portfolio such as session minutes, or third party reports/testimonials.
7. Finalise and process validation documentation in accordance with organisational and legal requirements with respect to:
? record-keeping and storage
? presenting results to designated people.
8. Based on the validation process you have undertaken, develop three practical recommendations to improve validation in the organisation.
9. Develop a plan to implement your recommendations. Include timelines for activities, resources, responsible people, etc.
10. Compile a report to be delivered to your assessor (written or oral) that includes:
? a description of the process you undertook to coordinate and lead three validation sessions in an organisational setting
? risk analysis and assessment, including an explanation of the significance of risks to the organisation and any measures planned or taken to reduce level of risk
? purpose, focus and context of the validation sessions
? a discussion on alternative approaches to validation considered
? a description of validation documentation that was used (include actual documentation in your portfolio)
? a description of how you supported participants throughout the validation process (include evidence of this in your portfolio)
? a description of organisational and legal obligations
? a description of how you have or will satisfy all organisational and regulatory requirements
? three recommendations resulting from the three validation activities that will be forwarded to the appropriate authority
11. Submit all documentation as per specifications below. Keep copies for your records.
Specifications
Deliverables:
You will need to submit:
? a portfolio, including:
? planning documentation such as:
– planned validation sessions, dates and timelines
– participants
– resources
? related policies and procedures
? records or evidence of support including:
– session minutes
– third party reports and testimonials
? completed documentation that is finalised in accordance with the assessment system, legal and organisational procedures
? validation documentation gathered for the sessions
? implementation plan for recommended improvements.
? an oral or written report on the monitoring process undertaken. It should include:
? a description of the process you undertook to coordinate and lead three validation sessions in an organisational setting
? risk analysis and assessment
? purpose, focus and context of the validation sessions
? a discussion on approaches to validation considered
? a description of alternative validation documentation that was used (include in your portfolio)
? a description of how you supported participants throughout the validation process
? a description of organisational and legal obligations
? a description of how you have or will satisfy all organisational and regulatory requirements.
? three recommendations resulting from the three validation activities that will be forwarded to the appropriate authority
? reference to two source documents related to research into validation processes.
Quality:
Your assessor will be looking for evidence of:
? analysis and interpretation skills to analyse the effectiveness of the organisation's assessment validation process
? communication skills to:
? influence others to complete quality validation sessions
? promote and implement quality standards
? evaluation skills to evaluate validation processes and determine and implement improvements
? leadership skills to:
? influence and motivate others in validation sessions
? gain commitment to validation processes and make recommendations to improve processes
? literacy skills to prepare required documentation and information for those involved in the assessment validation process
? problem-solving skills to reliably evaluate practical solutions to validation issues
? research skills to use a range of source documents to access information for validation
? team and group skills to:
? build positive relationships with colleagues to facilitate validation
? encourage, accept and utilise feedback to improve validation processes
? knowledge of Australian regulatory requirements for assessment
? knowledge of the organisation's assessment system policies and procedures, including validation processes
? knowledge of different types of assessment tools, what are well-constructed assessment tools and why, what assessment methods and instruments work for what types of evidence
? knowledge of rules of evidence and why they are important, particularly in a validation context
? knowledge of the purpose and focus of carrying out validation, different approaches to assessment validation and the critical aspects of validation
? knowledge of different activities and tools for validation
? knowledge of legal, organisational and ethical responsibilities associated with the assessment system.
Adjustment for distance-based learners
No change required.

Appendices
Appendix 1: Feedback form
[Modify the form as required]
Name (optional): Date:
Summarise the activities you participated in with the assessment candidate:
The candidate motivated me to participate in activities by:
The activities led me to change my assessment practice by:
I suggest the following changes to the activities I participated in:
Appendix 2: Validation templates
Assessment validation plan
Name of RTO:
For qualification or course:
For time period:
Assessment facilitator:
Units of competency Assessors Validation activity Date

Assessment validation participant record
Name of RTO:
Qualification:
Assessment validation activity:
Date:
Name of participating assessor Site

Follow-up action required:

Assessment validation preparation checklist
RTO:
Qualification/unit:
Date:
Assessment validation strategy Comments
What types of assessment are used?
Do groups of assessors meet to compare process, tasks, tools and judgements? If yes, how often?
Is there any sampling of assessments for the qualification to check for consistency? How is this done?
Is there an assessment panel or expert team in operation for this qualification? How does it work?
Is there industry involvement in the assessment process? How does it work?
Is there a monitoring or mentoring system in place for new assessors? How is the process documented?
Is feedback collected from candidates about the assessment process? How is the feedback used?
Has there been any benchmarking of assessment processes or tools for this qualification? Where is the information kept?
Does anyone carrying out assessment for this organisation participate in assessor networks?
What professional development activities are provided that focus on improving assessment processes?
What other methods are used by assessors of this qualification to validate the assessment processes?
Assessment validation materials cover sheet
Use this template as a cover sheet for assessment tools and tasks to provide a consistent way of presenting materials for validation.
Unit of competency or benchmark:
Elements and performance criteria addressed
Oral instructions given to the candidate before, during or after assessment
Conditions of assessment (for example, context, time, assistance, materials required)
Other comments (for example, adjustments, marking guide, etc.)
Assessment validation checklist
Use this checklist to form the basis of discussions at a validation meeting about an assessment task, tool or strategy.
Name of assessment instrument, tool or strategy:
Unit/s of competency:
Component of task, tool or strategy Yes/No Comments
Mapping to unit/s of competency
Target group
Instructions and conditions are clearly identified
The activity addresses the evidence requirements of the unit of competency or benchmark
Evidence guides or assessment checklists are available to assist in decision-making
The activity is suitable for a variety of assessment contexts
Tool, task or strategy allows for evidence that is:
? valid
? sufficient
? current
? authentic.
Tool, task or strategy allows for the collection of evidence that is reliable.
Assessment evidence moderation
Use this template to form the basis of discussions to determine whether the evidence collected for a particular unit of competency meets the requirements.
Unit of competency:
Description of evidence provided:
Date:
Evidence criteria Yes/No Comments
Valid
Is the evidence provided relevant to the unit of competency (or benchmark)?
Have a variety of assessment strategies been used?
Are skills and knowledge assessed in an integrated way?
Sufficient
Is the evidence provided sufficient for a judgement of ‘competent’?
What additional evidence is required?
Current
Is the evidence consistent with that from other assessments?
Can any inconsistencies between this evidence and other evidence about the candidate be explained?
Authentic
Can you verify that the evidence provided is the work of the candidate?
Comments about the evidence:

Assessment validation report
Validation of:
Date conducted:
Participants:
Summary of outcomes:
Recommendations for improvements:
Actions to be taken: Person responsible: By date:

Follow up meeting to be held on: