ASSESSMENT INFORMATION for students
Throughout your training we are committed to your learning by providing a training and assessment framework that ensures the knowledge gained through training is translated into practical on the job improvements.
You are going to be assessed for:
Your skills and knowledge using written and observation activities that apply to the workplace.
Your ability to apply your learning.
Your ability to recognise common principles and actively use these on the job.
All of your assessment and training is provided as a positive learning tool. Your assessor will guide your learning and provide feedback on your responses to the assessment materials until you have been deemed competent in this unit.
HOW YOU WILL BE ASSESSED
The process we follow is known as competency-based assessment. This means that evidence of your current skills and knowledge will be measured against national standards of best practice, not against the learning you have undertaken either recently or in the past. Some of the assessment will be concerned with how you apply your skills and knowledge in the workplace, and some in the training room as required by each unit.
The assessment tasks have been designed to enable you to demonstrate the required skills and knowledge and produce the critical evidence to successfully demonstrate competency at the required standard.
Your assessor will ensure that you are ready for assessment and will explain the assessment process. Your assessment tasks will outline the evidence to be collected and how it will be collected, for example; a written activity, case study, or demonstration and observation.
The assessor will also have determined if you have any special needs to be considered during assessment. Changes can be made to the way assessment is undertaken to account for special needs and this is called making Reasonable Adjustment.
What happens if your result is ‘Not Yet Competent’ for one or more assessment tasks?
Our assessment process is designed to answer the question “has the desired learning outcome been achieved yet?” If the answer is “Not yet”, then we work with you to see how we can get there.
In the case that one or more of your assessments has been marked ‘NYC’, your trainer will provide you with the necessary feedback and guidance, in order for you to resubmit your responses.
What if you disagree on the assessment outcome?
You can appeal against a decision made in regards to your assessment. An appeal should only be made if you have been assessed as ‘Not Yet Competent’ against a specific unit and you feel you have sufficient grounds to believe that you are entitled to be assessed as competent. You must be able to adequately demonstrate that you have the skills and experience to be able to meet the requirements of units you are appealing the assessment of.
Your trainer will outline the appeals process, which is available to the student. You can request a form to make an appeal and submit it to your trainer, the course coordinator, or the administration officer. The RTO will examine the appeal and you will be advised of the outcome within 14 days. Any additional information you wish to provide may be attached to the appeal form.
What if I believe I am already competent before training?
If you believe you already have the knowledge and skills to be able to demonstrate competence in this unit, speak with your trainer, as you may be able to apply for Recognition of Prior Learning (RPL).
Assessor Responsibilities
Assessors need to be aware of their responsibilities and carry them out appropriately. To do this they need to:
Ensure that participants are assessed fairly based on the outcome of the language, literacy and numeracy review completed at enrolment.
Ensure that all documentation is signed by the student, trainer, workplace supervisor and assessor when units and certificates are complete, to ensure that there is no follow-up required from an administration perspective.
Ensure that their own qualifications are current.
When required, request the manager or supervisor to determine that the student is ‘satisfactorily’ demonstrating the requirements for each unit. ‘Satisfactorily’ means consistently meeting the standard expected from an experienced operator.
When required, ensure supervisors and students sign off on third party assessment forms or third party report.
Follow the recommendations from moderation and validation meetings.
How should I format my assessments?
Your assessments should be typed in a 11 or 12 size font for ease of reading. You must include a footer on each page with the student name, unit code and date. Your assessment needs to be submitted as a hardcopy or electronic copy as requested by your trainer.

How long should my answers be?
The length of your answers will be guided by the description in each assessment, for example:
Type of Answer Answer Guidelines
Short Answer 4 typed lines = 50 words, or
5 lines of handwritten text
Long Answer 8 typed lines = 100 words, or
10 lines of handwritten text = 1/3of a foolscap page
Brief Report 500 words = 1 page typed report, or
50 lines of handwritten text = 11/2foolscap handwritten pages
Mid Report 1,000 words = 2 page typed report
100 lines of handwritten text = 3 foolscap handwritten pages
Long Report 2,000 words = 4 page typed report
200 lines of handwritten text = 6 foolscap handwritten pages
How should I reference the sources of information I use in my assessments?
Include a reference list at the end of your work on a separate page. You should reference the sources you have used in your assessments in the Harvard Style. For example:
Website Name – Page or Document Name, Retrieved insert the date. Webpage link.
For a book: Author surname, author initial Year of publication, Title of book, Publisher, City, State
assessment guide
The following table shows you how to achieve a satisfactory result against the criteria for each type of assessment task. The following is a list of general assessment methods that can be used in assessing a unit of competency. Check your assessment tasks to identify the ones used in this unit of competency.
Assessment Method Satisfactory Result Non-Satisfactory Result
You will receive an overall result of Competent or Not Yet Competent for the unit. The assessment process is made up of a number of assessment methods. You are required to achieve a satisfactory result in each of these to be deemed competent overall. Your assessment may include the following assessment types.
Questions All questions answered correctly Incorrect answers for one or more questions
Answers address the question in full; referring to appropriate sources from your workbook and/or workplace Answers do not address the question in full. Does not refer to appropriate or correct sources.
Third Party Report Supervisor or manager observes work performance and confirms that you consistently meet the standards expected from an experienced operator Could not demonstrate consistency. Could not demonstrate the ability to achieve the required standard
Written Activity The assessor will mark the activity against the detailed guidelines/instructions Does not follow guidelines/instructions
Attachments if requested are attached Requested supplementary items are not attached
All requirements of the written activity are addressed/covered. Response does not address the requirements in full; is missing a response for one or more areas.
Responses must refer to appropriate sources from your workbook and/or workplace One or more of the requirements are answered incorrectly.
Does not refer to or utilise appropriate or correct sources of information
Observation/Demonstration All elements, criteria, knowledge and performance evidence and critical aspects of evidence, are demonstrated at the appropriate AQF level Could not demonstrate elements, criteria, knowledge and performance evidence and/or critical aspects of evidence, at the appropriate AQF level
Case Study All comprehension questions answered correctly; demonstrating an application of knowledge of the topic case study. Lack of demonstrated comprehension of the underpinning knowledge (remove) required to complete the case study questions correctly. One or more questions are answered incorrectly.
Answers address the question in full; referring to appropriate sources from your workbook and/or workplace Answers do not address the question in full; do not refer to appropriate sources.
Practical Activity All tasks in the practical activity must be competed and evidence of completion must be provided to your trainer/assessor.
All tasks have been completed accurately and evidence provided for each stated task. Tasks have not been completed effectively and evidence of completion has not been provided.
Attachments if requested are attached Requested supplementary items are not attached
Assessment cover sheet
Assessment Cover Sheet
Student’s name:
Assessors Name: Date:
Is the Student ready for assessment? Yes No
Has the assessment process been explained? Yes No
Does the Student understand which evidence is to be collected and how? Yes No
Have the Student’s rights and the appeal system been fully explained? Yes No
Have you discussed any special needs to be considered during assessment? Yes No
The following documents must be completed and attached
? Written Activity Checklist
The student will complete the written activity provided to them by the assessor.
The Written Activity Checklist will be completed by the assessor. S NYS
? Third Party Report
The student will demonstrate a range of skills and the supervisor/ assessor will observe where appropriate to the unit.
The Observation Checklist will be completed by the supervisor/assessor. S NYS
? Multiple Choice Checklist
The student will answer a range of questions
The Questioning Checklist will be completed by the assessor. S NYS
I agree to undertake assessment in the knowledge that information gathered will only be used for professional development purposes and can only be accessed by the RTO:
Overall Outcome ?Competent ?Not yet Competent
Student Signature: Date:
Assessor Signature: Date:
Result and Feedback
Feedback to Student:
Overall Outcome ?Competent ?Not yet Competent
Assessor Signature: Date:

written activity
For this assessment you will need to perform the following tasks. These tasks will need to be completed and submitted in a professional, word processed, format. Each task must be 1000 words minimum in length.
Task 1
Your task is to choose 1 person who could be employed by your company and complete the following:
Allocate their work load and tasks (please discuss their roles and their performance measures for at least 3 tasks)
Then you are to discuss how you would assess their performance for each of the listed tasks and discuss the measures used to assess
Then you are to discuss how you would manage follow up discussing all aspects from developing a performance improvement plan to termination
Task 2
For this task you must research and answer each of the following questions in your own words:
Outline relevant legislative and regulatory requirements
Outline relevant awards and certified agreements
Explain performance measurement systems utilised within the organisation
Explain unlawful dismissal rules and due process
Describe staff development options and information

Written Activity Checklist
Written Activity Checklist
For this assessment, the student must complete the written activity.
The written activity is a stand-alone activity that will allow the student to display the required knowledge and skills that are essential when deciding overall competency.
Student’s name:
Assessor’s name:
Did the Student provide evidence of their ability to: Has the student satisfactorily completed the written activity?
Yes No
Your task is to choose 1 person who would be employed by your company and complete the following:
Allocate their work load and tasks (please discuss their roles and their performance measures for at least 3 tasks) ? ?
Then you are to discuss how you would assess their performance for each of the listed tasks and measures are discussed ? ?
Then you are to discuss how you would manage follow up discussing all aspects from developing a performance improvement plan to termination ? ?
For this task you must research and answer each of the following questions in your own words:
Outline relevant legislative and regulatory requirements ? ?
Outline relevant awards and certified agreements ? ?
Explain performance measurement systems utilised within the organisation ? ?
Explain unlawful dismissal rules and due process ? ?
Feedback to Student:
Result ? Satisfactory ? Not Yet Satisfactory
Assessor’s Signature: Date:

third party report
Supervisor Instructions:
For this assessment, the student must complete the activity.
The practical activity is a stand-alone activity that will allow the student to display the required knowledge and skills that are essential when deciding overall competency. Please sign and date this checklist to evidence the student having completed the task.
Student Instructions:
Arrange a time to complete the activity and have your supervisor observe you undertaking the activity. You should submit the completed and signed checklist with your assessment for this
unit of competency.
The following task must be demonstrated in conditions that are safe and replicate the workplace. Noise levels, production flow, interruptions and time variances must be typical of those experienced in the tax (financial) advice services field of work and include access to:
Office equipment, technology, software and consumables
Relevant legislation, regulations and codes of practice
Your task is to manage people performance in a workplace environment over a period of time. In order to demonstrate your ability to manage performance you will be required to consistently and effectively:
Consult with relevant stakeholders to identify work requirements, performance standards and agreed performance indicators
Develop work plans and allocate work to achieve outcomes efficiently and within organisational and legal requirements
Monitor, evaluate and provide feedback on performance and provide coaching or training, as needed
Reinforce excellence in performance through recognition and continuous feedback
Seek assistance from human resources specialists where appropriate
Keep records and documentation in accordance with the organisational performance management system
To provide evidence of the above you are to choose one person and complete the following activities:
Determine the work they are required to do
Develop a work plan for the person ensuring work is allocated efficiently and in a cost effective manner
Confirm the performance standards required
Discuss performance standards with the person
Conduct a risk analysis
Design a performance management and review process for this person
Discuss the performance management and review process with the person to ensure they understand
Conduct a performance management activity with this person after you have monitored their performance over time
Provide feedback to the person about their performance
Discuss poor performance with relevant people
Provide coaching and mentoring and support services as required
Document the persons performance
Develop a performance improvement and development plan for the person with assistance as required
Provide recognition when performance is excellent
Provide counselling for the person when performance does not improve and implement disciplinary processes where necessary
Terminate staff as required
Where these steps are not possible to demonstrate (such as terminating a person) you should provide a procedure that outlines how this process would take place.

third Pary report
*Multiple copies of the checklist will need to be printed if the observation is to be observed more than once.
Observation/Demonstration Checklist
The observation/demonstration checklist is used by the supervisor/assessor to observe the student demonstrating the application of the required skills and knowledge. For details on how to conduct and contextualise for competency, please refer to the section on contextualisation above.
*The supervisor/assessor needs to ensure that they take detailed notes on the performance of the student in the comments section provided.
Student Name:
Supervisor/Assessor Name:
The student is able to demonstrate competency by: Yes No How and where actions were observed:
Your task is to manage people performance in a workplace environment over a period of time. In order to demonstrate your ability to manage performance you will be required to consistently and effectively:
Consult with relevant stakeholders to identify work requirements, performance standards and agreed performance indicators
Develop work plans and allocate work to achieve outcomes efficiently and within organisational and legal requirements
Monitor, evaluate and provide feedback on performance and provide coaching or training, as needed
Reinforce excellence in performance through recognition and continuous feedback
Seek assistance from human resources specialists where appropriate
Keep records and documentation in accordance with the organisational performance management system
To provide evidence of the above you are to choose one person and complete the following activities:
Determine the work they are required to do
Develop a work plan for the person ensuring work is allocated efficiently and in a cost effective manner
Confirm the performance standards required
Discuss performance standards with the person
Conduct a risk analysis
Design a performance management and review process for this person
Discuss the performance management and review process with the person to ensure they understand
Conduct a performance management activity with this person after you have monitored their performance over time
Provide feedback to the person about their performance
Discuss poor performance with relevant people
Provide coaching and mentoring and support services as required
Document the persons performance
Develop a performance improvement and development plan for the person with assistance as required
Provide recognition when performance is excellent
Provide counselling for the person when performance does not improve and implement disciplinary processes where necessary
Terminate staff as required
Where these steps are not possible to demonstrate (such as terminating a person) you should provide a procedure that outlines how this process would take place.
Details of Students Performance:
Feedback Given to Student:
Result ? Satisfactory ? Not Yet Satisfactory
Supervisor/Assessor Signature Date:

Multiple choice Questions
Answer the following questions and submit with your assessment.
Highlight which of the following personnel must be fully trained in the performance management system so that they understand how to complete their areas of responsibility.
(A) Managers
(B) Team members
(C) Human resource specialists
(D) All of the above
Performance monitoring is concerned with following up on team member’s work to gather information as to what they’re doing, if they have enough resources, if there are any issues and what they’re excelling at. This can be done via which of the following methods:
(A) Checking the CCTV footage
(B) Watching what they do on the 1st of each month
(C) Analysing KPI results
(D) Asking them if they have done a good job
Johari Window, created by Luft and Ingham (1950), is used to help team members understand the value of self-disclosure, and encourage team members to give and accept feedback. The leader should look to increase which of the four areas?
(A) The Arena
(B) The Blindspot
(C) The Facade
(D) The Unknown
Poor performance cannot be ignored. It must be identified and communicated accordingly. Who should be informed in order to correct poor performance and also stretch team members to work to their full potential?
(A) Customers
(B) The entire team
(C) Management
(D) The individual team member
Coaching can take many forms. A well-documented method of coaching on the job is the GROW method. What does GROW stand for?
(A) Goal, Realistic, Options, Way forward
(B) Goal, Reality, Options, Written
(C) Goal, Reality, Obstacles, Way forward
(D) Goal, Reward, Options, Way forward
Performance should be documented. When a team member is terminated on the basis of their performance, these records will be used if the case is brought to the fair claims tribunal. Which of the following records should be kept?
(A) Performance review forms
(B) Coaching forms
(C) Counselling notes
(D) All of the above
The performance review is concerned with discussing performance against the responsibilities and goals set. When conducted properly performance reviews can result in real benefits to both the organisation and the team member. Which of the following guidelines should be applied when conducting performance reviews?
(A) Argue, look to find a common ground
(B) Discuss behaviour that you have not directly observed.
(C) Make the review process about remuneration.
(D) Finish with measurable outcomes and a clear direction for the next review.
Managing poor performance is one of the biggest challenges leaders face in business today. With increased litigation cases it is imperative that leaders get it right. Support services may be required in some cases. Support services may include:
(A) All of the following
(B) Time with manager to help better understand desired performance standards.
(C) Human resource specialists for issues beyond management control.
(D) Professional counselling services.
A performance counselling session is conducted to help the team member understand the performance gap, reiterate the required performance standard and put a plan in place to rectify the poor performance. According to Cole (2005), counselling should follow which of the three different phases?
(A) Exploration, Understanding, Addressing
(B) Exploration, Understanding, Action
(C) Explaining, Understanding, Addressing
(D) Explaining, Understanding, Action
It is lawful for an employer to dismiss an employee if it is a genuine redundancy or if the dismissal is consistent with the Small Business Fair Dismissal Code or if the dismissal would not be considered.........?
(A) Harsh, Unintentional or Unreasonable
(B) Harsh, Unethical or Unreasonable
(C) Harsh, Unjust or Unreasonable
(D) Harsh, Understandable, Unreasonable

multiple choice questions Checklist
Multipe Choice Questions Checklist
The assessor needs to indicate the outcome for each question in the checkbox provided.
Student’s name:
Assessor’s name:
The assessor must provide evidence with the assessment tool. For written questions, the assessor must provide the student’s original written responses. Satisfactory response
Yes No
1 Highlight which of the following personnel must be fully trained in the performance management system so that they understand how to complete their areas of responsibility. ? ?

2 Performance monitoring is concerned with following up on team member’s work to gather information as to what they’re doing, if they have enough resources, if there are any issues and what they’re excelling at. This can be done via which of the following methods: ? ?

3 Johari Window, created by Luft and Ingham (1950), is used to help team members understand the value of self-disclosure, and encourage team members to give and accept feedback. The leader should look to increase which of the four areas? ? ?

4 Poor performance cannot be ignored. It must be identified and communicated accordingly. Who should be informed in order to correct poor performance and also stretch team members to work to their full potential? ? ?

5 Coaching can take many forms. A well-documented method of coaching on the job is the GROW method. What does GROW stand for? ? ?

6 Performance should be documented. When a team member is terminated on the basis of their performance, these records will be used if the case is brought to the fair claims tribunal. Which of the following records should be kept? ? ?

7 The performance review is concerned with discussing performance against the responsibilities and goals set. When conducted properly performance reviews can result in real benefits to both the organisation and the team member. Which of the following guidelines should be applied when conducting performance reviews? ? ?

8 Managing poor performance is one of the biggest challenges leaders face in retail today. With increased litigation cases it is imperative that leaders get it right. Support services may be required in some cases. Support services may include: ? ?

9 A performance counselling session is conducted to help the team member understand the performance gap, reiterate the required performance standard and put a plan in place to rectify the poor performance. According to Cole (2005), counselling should follow which of the three different phases? ? ?

10 It is lawful for an employer to dismiss an employee if it is a genuine redundancy or if the dismissal is consistent with the Small Business Fair Dismissal Code or if the dismissal would not be considered.........? ? ?

Feedback to Student:
Result ? Satisfactory ? Not Yet Satisfactory
Assessor’s Signature:

Date: