Conduct Competency Based Assessment...Introduction: Conduct Competency Based Assessment Competency...

TR-TEV-303C-1 Conduct Competency Based Assessment

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ADVANCED CERTIFICATE IN

RETAIL SUPERVISION

Competency Unit – Elective

Module No: TR-TEV-303C-1 Competency Category: Training Evaluation Competency Level: Advanced Certificate Delivery Hours: 14 hours Version: 1.0 Effective Date: July 09

Conduct Competency Based Assessment



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Competency Unit: Conduct Competency Based Assessment

TR-TEV-303C-1

This unit will equip participants with the competencies required in conducting a competency based assessment. The competency elements covered in this competency unit are:

CE1: Prepare for Conduct of Assessment CE2: Prepare Candidate for Assessment CE3: Carry Out Conduct of Assessment

Introduction: Conduct Competency Based Assessment

Competency is the Knowledge, Skills or Attributes (KSA) that are required to perform the activities of a given role or fulfil a particular job function effectively The concept of competency focuses on what is expected of an employee in the workplace rather than on the learning process. Competency based assessment is a structured process for gathering evidence about an individual performance with respect to a set of competency standards. It is a confirmation that an individual can perform to the standards expected in the workplace, as expressed in the competency standards. Competency based assessment have 3 characteristics:

Criterion Referenced: Candidates are assessed against industry standards or benchmarks

Evidence Based: The evidence may be demonstrated or produced by the candidate for gathering by the assessor

Participatory: Candidates are involved in the assessment process The 5 dimensions of competency are:

1. Task Skills – the requirement to perform individual tasks

2. Task Management Skills – the requirement to manage a number of different tasks within the job

3. Contingency Management Skills – the requirement to respond to problems, breakdowns and changes in routine



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4. Job and Role Environment Skills – the requirement to deal with the responsibilities and expectations of the workplace, including working with others

5. Transfer Skills – the requirement to transfer the skills and knowledge to new situations

5 Dimensions of Competency for driving a car

Dimensions of Competency

Tasks / Functions

Task

Driving a Car

Task Management Skills

Management of brake, clutch, accelerator, checking of odometer, side mirrors

Contingency Management Skills

Pedestrian “running “onto path, flat tyre

Job and Role Environment Skills

Reading of road signs, traffic signals

Transfer Skills

Paved road, cross country conditions

Type of Assessment Competency based assessment is the process of collecting evidence and making judgments on whether or not competency has been achieved. It’s an outcome based assessment on whether a person has reached the appropriate level of competency i.e. has achieved the competency standard.

The various type of Assessment includes: Formative Assessment This term is used for assessment which assists and supports learning by providing feedback about learner’s performance and provides opportunities for the learner to put the feedback into action over a period of time. Summative Assessment The purpose of this type of assessment is to determine whether you have reached competency, or achieved learning outcomes, for the purpose of recognition, classification or certification usually following the end of a training programme.



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Diagnostic Diagnostic Assessment can be used to help determine education and training needs. Assessment takes place prior to the start of formal teaching for determining learning gaps and strategies for bridging these gaps.

Diagnostic assessment is commonly used in relation to literacy and numeracy eg. WPLN (Workplace Literacy and Numeracy).

Skills Recognition Assessment can be used to recognize competency gained through experience (Recognition of Prior Learning (RPL)), life experience, or informal or related training, so the candidate may gain entry or credits in recognized courses, or for classification within industry/enterprise.

Principles of Assessment

The below listed principles of assessment must be addressed in the development of assessment tools, conduct of assessment, and in the design, establishment and management of the assessment process.

Validity

A valid assessment assesses what it claims to assess; evidence collected is relevant to the activity and demonstrates that the performance criteria have been met.

Reliability

Reliability refers to the consistency of the interpretation of evidence and the consistency of assessment outcomes. Reliable assessment shows consistent results even when assessment is conducted by different assessors, at different time or contexts to the same candidate.

Flexibility

Flexibility in assessment allows for assessment either on or off the job and at mutually convenient times and situations:

Flexibility applies to the process – not the standard

Fairness Assessment is fair if it is equitable to all groups, does not disadvantage candidates and take into account the characteristics of the person being assessed



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Components of a Competency Standard Competency Standards define the competencies required for effective performance in the workplace. They are expressed in outcome terms and have a standard format and are developed by industry for industry and endorsed through WDA. Components of a competency standard (for Retail Industry) include:

Competency Category

Store Operations

Support Services

Merchandising and Marketing

Sales and Customer Service Competency Unit is a group of tasks, which make up the function of a job – the broad description of the competence, e.g Perform Point of Sale Operations Competency Elements

The tasks performed in a function Performance Criteria

What people do in completing a task properly Underpinning Knowledge

The knowledge that the learner need to know and understand as it influences how the task is performed

Range and Contexts

The specific factors within the enterprise or workplace, which affect people’s ability to perform the tasks

Evidence Sources

The evidence sources assist with the assessment of the unit by describing the context for the assessment, the critical aspects of the unit and the evidence required to establish competency



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Assessment Methods

Explains how the candidate will be assessed. Assessment of candidate may occur in a number of different methods:

Methods of Assessment

This table shows you some of the advantages and disadvantages of different methods of assessment and some of the practical things you need to remember when choosing a certain method.

Method Type of evidence

Advantages Disadvantages Practical considerations

Multiple Choice

Underpinning knowledge, understanding of principles

Consistency and reliability

Assesses ability to recognize and eliminate rather than understanding, difficult to use for problem solving and higher order thinking.

Difficult to write, although once prepared, cheap and efficient to use; can be used for large groups.

Short answer/ essays and reports

Understanding and application of knowledge

Tests more complex skills, higher order thinking and problem solving

May assess language/literacy skills as well as knowledge, difficult to reliably assess

Can assess groups, time consuming to process

Oral questioning/ descriptive - inquisitive dialogue

Underpinning knowledge, interpersonal skills, and thinking processes

Flexible, allows for immediate feedback, enhances access and equity, can be integrated with performance

Difficult to standardize, need to plan expected responses which can be verified as recorded evidence

Can be used with observations to simulate realistic workplace dialogue

Performance/ product

Task skills, productivity, quality of product

Direct assessment, can be done on-job or under simulated environment

Can be expensive, does not test underpinning knowledge

Needs well constructed guide, possible logistical difficulties



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Portfolios/ samples of work

Prior learning, task skills

Cost effective, can provide evidence gathered over a period of time

Authenticity and currency, may assess organizational or presentation skills

Candidate may need advice and support to collect sufficient evidence of different types

Projects/ assignments problem solving

Workplace competence

Directly relevant to enterprise needs, integrated assessment

Authenticity, may assess other skills

Time consuming to plan and assess, resources need to be available

Self/collaborative assessment

Prior learning, learning gaps

Encourages self-direction of learners, helps 'critical reflection'

Learners may need practice

Helpful for self-evaluation of learner to determine readiness for formal assessment

LA1:

You may used the WSQ Assessment Plan that has been formulated by you under ACTA TR-TEV-302C-1, Develop A Competency Based Assessment or

Utilise your organisation modules under WSQ Competency Standard (CS) or CS handed out by the Trainer

Based on the CS:

Identify the various components of the CS

Identify one CE & corresponding PC(s) that you will used for LGA 1, 2, 3 and FA

Identify the appropriate data that will you include in development of Evidence gathering plan, Assessment method(s), Assessment Record ,



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1.0 Confirm Details of Assessment Plan with Relevant Stakeholders

. Assessment plays an important part in the learning process. Assessments informs progress and guide learning which can be used in all sorts of ways to measure outcomes and success for the learner/s, trainer, course or training provider 1.1 Details of Assessment Plan

The assessment plan is a document developed by the assessor for identifying the requirements of the whole assessment process.

The purpose of the assessment plan is to:

1. Set out how the course will be assessed and to detail the assessment events, processes and instruments that will be used. The end result of the assessment process is a determination of Competent / Not Yet Competent

2. Serve as a guide to trainers in their delivery and assessment of the course. This is particularly important if there are several trainers undertaking the delivery of the course

3. Serve as the basis upon which to develop advice for trainees as to how the course will be assessed and what they will have to do to be assessed as ‘Competent’. (The assessment plan should not be provided in full to trainees but a suitable summary of the assessment programme should be provided, usually in the form of : “Instructions to Candidate”

4. Clarify for trainers, trainees, auditors and clients (companies, employers) what a competent person can do and how we establish that these criteria have been met. It also allows us to clearly advise unsuccessful trainees as to where they did not meet assessment requirements

5. Provide a safeguard to show that the assessment is based upon, closely connected to, and structured around the Competency Units – in other words, that it is competency-based

CE1: Prepare for Conduct of Assessment



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An assessment plan should include the following components:

1.2 Evidence Requirements

Evidence is the term for information that is gathered for supporting the assessment decision. There are 3 Types of evidence:

A correctly set up buffet table, A satisfied customer

How to set up the buffet table, How service is deliver to customer

Knowledge of setting buffet table, Knowledge of organization service standard

Forms of Evidence Techniques of gathering evidence

Direct = Show Me Observation of performance under real or stimulated work conditions eg. Changing a tyre

Indirect = Tell Me Answers to :

Interview

Oral Presentations

Written Test

Supplementary = Other Sources 3rd party reports eg testimonials, work reports from supervisor

Documentations of achievements i.e certificates

Videos of activities completed

Work samples i.e projects

PRODUCT

PROCESS

KNOWLEDGE



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1.3 Resources Requirements

The resources required for conducting the assessment must be made available, be safe and in good working conditions.Resources required for conduct of assessment include:

1.4 Set Up Requirements

Setting up of assessment site should be planned and done properly for creating a conducive and appropriate assessment environment. The environment being established will influence the performance of the candidates.

The assessment venue should possess the following factors:

Safety – Ensure venue is hazard-free

Comfort – Conducive temperature, acceptable noise level

Convenience – Accessible for candidates

Adaptable – For aligning to different assessment method eg, role play,

written test

Organisational, Industry, Legal Requirements

Organisational requirements include:

Standard Operating Procedures (SOP)

Processes

Systems

Policies

Industry Requirements include:

Industry standards

Code of Practices

• Tools and equipment • Materials • Furniture • Technology (computers / programs) • Personal protective equipment (PPE) • Assessment instruments • Manuals/specifications • Documents/forms • Specialist support • Technical support



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Legal Requirements include:

Copyright Act

Workplace Safety and Health Act

Consumer Protection (Fair Trading) Act

1.5 Relevant Stakeholders

The assessment plan should be confirmed by all relevant stakeholders as it involves the needs of the organisation.

The stakeholders may include:

Line Manager

Supervisor

Assessment Manager

Subject Matter Experts (SME)

1.6 Ensuring Availability of Assessment Tools

Assessor need to identify and prepare the types of assessment tools needed for effective conduct of assessment. Using appropriate tools ensures that:

The assessment adhere to Principles of Assessment

Sufficient evidence is collected for making a sound judgement of competency

Assessment tools are tested and ready for use

Assessment tools may include:

Assessor

Assessment Checklist

Observation Guides

Interview Questions

Template for 3rd party report

Guidelines / Instructions for candidates

Assessment Record

Candidate

Worksheets or Test Papers

Role Play Scripts

Scenarios

Case Study Notes

Guidelines for Report / Presentation



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LGA 1: CE1 Prepare for Conduct of Assessment Covering

PC1.1: Confirm details of assessment plan with relevant stakeholders

PC1.3: Ensure the set up of assessment site is in accordance with assessment plan

and workplace safety and health guidelines

PC1.4: Ensure the assessment tools required for assessment are available for use

NAME: NRIC:

Class Batch / Project Code: Date:

ASSESSMENT PLAN SPECIFICATION

WSQ Framework: Competency Category:

Competency Unit:

Competency Code:

Competency Element:

Organisation:

Prepared by:

Date:

Assessment Plan Version No:

Date of Next Review: 1st February 20XX

1. Purpose of

Assessment

2. Identification of

Stakeholders

This part should be completed before the start of your Final Assessment (FA). You will need the deliverables from this LGA 1 for your FA.

Refer to the Competency Standard that you have selected in LA1

You may use the template provided or design an appropriate template that suit CBA module requirements.

Fill in relevant data in the blank spaces provided should you choose to use the template provided



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3. Performance

Criteria to be

assessed

4. Context of

Assessment

5. Other

Assessment

Criteria:

(Organisational

/ ethical/ legal

requirements)

6. Assessment

Record

Keeping and

Reporting

Process



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LISTING OF ASSESSMENT TOOLS

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

LISTING OF ASSESSMENT RESOURCES

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.



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The creation of a conducive environment is necessary for a successful assessment. Assessor should promote a climate of trust with the candidate via courtesy, respect and impartiality of age, ethnicity, gender or other personal characteristics. The use of appropriate verbal and non-verbal communication techniques by the assessor will help to generate rapport and help the candidate feel at ease. Assessor may communicate through:

Active listening

Questioning techniques

Tone, Pace, Clarity of voice

Appropriate body language

2.1 Explain the Purpose and Context of Assessment The candidate should be informed on the purpose, context and process of the assessment which may include:

Diagnosing performance

Awarding of a qualification

Confirming progress in learning

Confirming competency with a view for career advancement

Recruitment

Recognition of prior learning (RPL) The context of the assessment identifies the specific factors which may include:

Operating environment, including the workplace, types of tools, equipment and materials used, tasks to be performed, types of people candidate interacts with and problems faced

Organisational requirements such as assessment and human resource systems, procedures, policies, processes and documents

Relevant legislative requirements such as safety, hygiene guidelines, Employment Act, Copyright Act

Industry requirements such as Code of Practice, industry standards and practices, regulations

CE2: Prepare Candidate for Assessment



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2.2 Explain the Process of Assessment The assessment methods, process and criteria(s) must be made known to the candidate for ensuring his understanding of: How he will be assessed This will enable him to prepare and perform the identified skills or tasks as per the performance criteria. The assessment requirements and process include:

Assessment group size

Number of assessors

Phases of assessment

Location, timing and duration of assessment Instructions / materials / resources to be provided

Assessment methods Assessment Tools

Types of evidence to be gathered

How evidence will be collected

Criteria for making assessment decision

Recording procedure

Adjustments to assessment procedures based on candidate special needs Candidate’s rights and process of appeal to the assessment outcome

An assessor needs to seek feedback from the candidate for ensuring his understanding of the whole process and make justifiable adjustments as needed.

2.3 Identifying and Addressing Candidate’s Special Needs Assessors need to consider the characteristics of candidates being assessed and confirm with candidate on any special needs he may have and explain how those needs will be addressed during the assessment. For example, a foreign candidate who may have difficulty with local lingo during conversation. Candidate’s special needs may include:

Language, literacy and numeracy skills

Intellectual impairment or disability

Medical condition

Physical ability

Differences in learning progress

Religious and spiritual observances

Cultural background

Educational background

Age / Gender



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Addressing special needs by making reasonable adjustments, this may include:

Adjustment to assessment process taking into account candidates’ language, literacy and numeracy requirements

Provision of support services such as reader, interpreter

Use of adaptive technology or special equipment

Flexible assessment sessions to allow for fatigue or administering of medication

Adjustment to physical environment or venue

Adjustment to proposed assessment methods/tools

Consideration relating to age and/or gender

Considerations relating to cultural beliefs, traditional practices, religious observances

Assessor must maintain the integrity of the Assessment when addressing candidate special need.

2.3 The Appeal Process The appeal process is a process whereby the candidate or other interested party such as an employer may dispute the outcome of the assessment being conducted. Appeal process differs between Approved Training Organisation (ATO).

Its part of an assessor responsibility to inform candidate of his right of appeal prior to the commencement of the assessment. An appeal may be lodged based on:

Assessment was not carried out in accordance with the assessment plan

Assessment decision was made incorrectly

Assessment process was unfair or invalid Assessor should discuss with the candidate on the procedure, cost of an appeal pertaining to the organisation when situations of an appeal arises.

LA2: What is your organisation Appeal Process?



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2.4 Creating a Conducive Assessment Environment

Assessor should explain clearly the assessment requirements to the candidate being assessed by applying effective communication techniques.

Effective communication and presentation techniques include:

1. Active Listening

Concentrating on candidate message and resist distractions

Keep open mind to other’s ideas

2. Questioning Techniques

Open

Closed

Probing

Reflection

3. Positive Body Language

Maintaining eye contact

Gestures

Postures

Facial Expressions

Personal Space

4. Tonality of Speech

Volume

Tone

Pace

Pitch

Pronunciation

5. Feedback

Used for ensuring the message is understood and to verify everything that is being spoken



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LGA 2: CE2:Prepare Candidate for Assessment Covering

PC2.1: Explain the purpose and context of assessment to candidate

PC2.2: Brief candidate on the assessment requirements and process, including clear

instructions on the assessment to be taken

PC2.3: Brief candidate on his rights and process of appeal to the assessment

outcome

PC2.4: Communicate in a clear and supportive manner to create a conducive

assessment outcome

PC2.5: Confirm with candidate on any special needs he may have and explain how

those needs will be addressed during the assessment

PC2.6: Seek feedback from candidate and clarify his understanding of the

assessment requirements

NAME: NRIC:


BRIEFING CHECKLIST FOR ASSESSOR

BEFORE ASSESSMENT

Introduction

1.

Yes /No

2.

Yes /No

3.

Yes /No

4.

Yes /No

Context

This is a continuation from LGA 1. This part should be completed before the start of your Final Assessment (FA). You will need the deliverables from this LGA 2 for your FA.


You may need to refer to the completed worksheets of LGA1


Fill in relevant data in the blank spaces provided should you choose to use the template provided.

Fill in relevant data in the blank spaces provided



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1.

Yes /No

2.

Yes /No

3.

Yes /No

4.

Yes /No

5.

Yes /No

6.

Yes /No

7.

Yes /No

Others

1.

Yes /No

2.

Yes /No

3.

Yes /No

4.

Yes /No

5.

Yes /No

DURING ASSESSMENT

1.

Yes /No

2.

Yes /No

3.

4..

Yes /No

5.

Yes /No

AT THE END OF ASSESSMENT

1.

Yes /No

2.

Yes /No

3.

Yes /No



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4.

Yes /No

5.

Yes /No

6.

Yes /No

7.

Yes /No

8.

Yes /No

9.

Yes /No



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An assessor must fully understand the assessment plan prior to the conduct of the assessment. This is important as the plan will provides guidance on the assessment tools, methods, process and the type of evidence (direct, indirect or supplementary) to be gathered.

3.1 Code of Practice for Assessors Care must be taken to conduct assessment practices that do not perpetrate possible workplace discriminatory practices. As well, assessors must not use the assessment to coerce personal or professional favours or to gain economic advantage from the person/s being assessed or potential client groups.

Conflict of interest sometimes arises for assessors. Under these circumstances, the conflict should always be declared. Potential forms of conflict of interest in the assessment process and/or outcome may include:

A pre-established, personal relationship between the assessor and the person being assessed

Financial implications for the assessor

Assessment specialists have developed an international code of ethics and practice (The National Council for Measurement in Education i.e. NCME). The Code of Practice below is based on the international standards:

1. The differing needs and requirements of the person(s) being assessed, the local enterprise(s) and/or industry are identified and handled with sensitivity

2. Potential forms of conflict of interest in the assessment process and/or

outcomes are identified and appropriate referrals are made, if necessary

3. All forms of harassment are avoided throughout the planning, conducting, reviewing and reporting of the assessment outcomes

4. The rights of the candidate(s) are protected during and after the assessment

5. Personal or interpersonal factors that are not relevant to the assessment of competency must not influence the assessment outcomes

6. The candidate is made aware of rights and processes of appeal

7. Evidence that is gathered during the assessment is verified for validity, reliability, authenticity, sufficiency and currency

8. Assessment decisions are based on available evidence that can be produced and verified by another assessor

CE3: Carry Out Conduct of Assessment



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9. Assessments are conducted within the boundaries of the assessment system policies and procedures

10. Formal agreement is obtained from both the candidate(s) and the assessor that the assessment was carried out in accordance with agreed procedures

11. Assessment tools, systems, and procedures are consistent with equal opportunity legislation

12. The candidate is informed of all assessment reporting processes prior to the assessment

13. The candidate is informed of all known potential consequences of decisions arising from an assessment, prior to the assessment

14. Confidentiality is maintained regarding assessment results

15. Results are only released with the written permission of the candidate(s)

16. The assessment results are used consistently with the purposes explained to the candidate

17. Self-assessments are periodically conducted to compare current competencies against the competencies for assessors

18. Professional development opportunities are identified and sought

19. Opportunities for networking amongst assessors are created and maintained

20. Opportunities are created for technical assistance in planning, conducting and reviewing assessment procedures and outcomes

3.2 Use of Assessment Plan and Tools to Guide Conduct of Assessment Assessments instruments and tools will be required to conduct the assessment planned. Some of the instruments and tools that may be used include:

Assessment Plan

Performance Criteria Checklists to serve as reporting mechanism for several Performance Criteria that may be achieved through the use of different assessment methods

Evidence Sources Checklist to serve as a reporting snapshot of the types of evidence gathering that may be used.

Others (as per ATO SOPs)



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3.3 Process of Conducting Assessment Assessment activities are reflective of the Competency Elements and Performance Criteria of the unit/s covered. The assessment activities should reflect the following:

Assessment against the Competency Unit/s must cover the broad range of skills and knowledge

Assessment should integrate knowledge and skill with their practical application

Evidence should, if possible, be gathered on a number of occasions and in a range of contexts, using different assessment methods

Assessment involves the collection of evidence which will be used for making a judgement on whether the candidate is competent as measured against the performance criteria. The evidence collected and the decision on competency status must all:

Meet the assessment criteria as stipulated in the assessment plan

Meet the dimensions of competency

Meet the Rules of Evidence

Meet the organisational and industrial standards

3.1 Collecting Evidence of Competency

Assessment of competency should involve demonstration of competence in the various dimensions of competency and involve a variety of evidence types, where possible.

At least one form of direct evidence should be considered to make a judgement on the practical performance component of the competencies, for example, observation of a simulated performance. Supplementary and indirect forms of evidence should be used, where possible for supporting of direct evidence. Evidence must be gathered from a range of contexts that will enable a fair and reliable judgement about the participant’s competence. The assessment process and collection of evidence must be valid, reliable, flexible, and fair while the evidence collected must also be valid, sufficient, current and authentic.

Evidence gathering methods should be culturally inclusive and take into account the language, literacy and numeracy skills of the participant.

Reasonable adjustments may be considered for participants with physical and/or sensory disabilities or learning difficulties.

Evidence of competency must include workplace safety and health and other legislative aspects of the job.



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3.3.2 Evaluate / Judging Gathered Evidence

Assessors should abide by the principles of rules of evidence for greater transparency when evaluating the evidence being collected during the conduct of assessment.

Next, the assessor needs to judge the evidence against the criteria. Evidence needs to be collected until a sound judgement of competency can be established.

The Rule of Evidence state that evidence of competence must possess the following characteristics:

Valid Evidence

Evidence of competence must cover the broad range of knowledge and skills required to demonstrate competence. Assessors need to ensure that the evidence meets the specified criteria of the standards. Evidence should also match or reflect the type of performance that is being assessed.

Sufficient Evidence

This relates to the amount of evidence. Assessors must collect enough evidence to satisfy that the candidate is competent across all competency elements taking into account the contexts for application of the skills / knowledge required in performing the Competency Unit.

Evidence should be collected from multiple sources and at different time where possible.

Does the evidence relate to a unit of competence? Does the evidence reflect the five dimensions of competency? Does the evidence address the key competencies?

Does the evidence cover the full range of performance identified in the unit of competency?

Does the evidence show competence over a period of time? Does the evidence show competence in a range of contexts?



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Current Evidence

An assessor needs to determine the currency of the evidence of competence.

Authentic Evidence

Assessors need to be sure that the evidence is the candidate’s own work. To determine authenticity, validation of the evidence by a third party may be necessary

3.4 Recording Assessment Results All assessment outcomes must be recorded immediately and accurately on the prescribed forms or checklists. Candidate will be graded “Competent (C)” when:

The evidence meets the performance criteria

Indirect or supplementary evidence (eg. oral questioning) is used to support decision when there is a lack of evidence.

The candidate must have all the criteria’s stipulated in the Competency Unit marked as “Competent” before he is awarded an overall “Competent” for the unit. Candidate will be awarded “Not Yet Competent (NYC)” when:

There is a lack of evidence

Nil support from indirect or supplementary evidence It’s important to be detailed on the reasons for awarding NYC as it will serve as reference in case of appeal from the candidate. Upon recording all outcomes of the assessment, the assessor needs to conduct a feedback session on the candidate’s performance. The assessor is required to ensure he has signed all assessment records and overall summary report, before asking the candidate to read, check and sign his / her acceptance of the assessment results.

Does the evidence show that the candidate can currently perform the competence while working?

Is the evidence benchmarked against industry standards?

Is the evidence the candidate own work? Are the qualifications, references and licenses presented by the

candidate authentic documents?



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For ensuring a fair and valid process, an assessor must maintain confidentiality of the assessment outcomes and ensure only authorised personnel have access to the assessment results.

3.5 Addressing Limitations in Obtaining and Evaluating Evidence Situations may occur where an assessor is faced with particular limitations of evidence. Limitations may arise from:

Unable to get evidence of competence

Fault in the design of assessment tools

Assessment criteria are not clearly spell out

Assessment instructions are not clearly provided

Assessment activities are not integrated

Insufficient time provided for assessment

Questions are not clearly designed Model/suggested answers which are too limited

When faced with limitations, an assessor should consult the following personnel for guidance or clarifications: Curriculum Developer

Assessment Plan Developer

Assessment Manager

Management Representative of assessment centre

More experienced assessor

Candidate’s superior, human resource manager

Assessor may also work beyond the limitations of evidence by conducting an oral interview with the candidate. For example: Inability of getting evidence from written assignment may arise from misinterpretation of questions or language proficiency. Here, the assessor will have to ask the candidate questions in order to acquire evidence of the competency gaps.

3.6 Conducting Feedback Session Effective feedback session enable an assessor to provide a clear and constructive discussion with the candidate on his / her performance (strengths and areas for improvement) and outcome of assessment. This will assist the candidate to know the performance gaps and strategies to overcome these gaps.



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Feedback should be conducted in a constructive manner supported by appropriate verbal and non verbal communications techniques.

Assessor must be sensitive to the candidate’s emotions especially when awarding ‘NYC” status. Minimise confrontations with the candidates by using tact and diplomacy and provision of suggestions on overcoming performance gaps.

Where the assessment decision is being challenged, assessor should advise candidate of available reassessment or appeal procedures. Assessment dispute must be reported to the appropriate Management Representative of the ATO.

3.7 Reviewing and Reporting Assessment Process An assessment system comprises of structures and processes of the ATO which includes the following:

Assessment policies and procedures

Assessment tools

Assessment resources

Assessors and other personnel

Funding arrangements Reviewing and maintaining your assessment process is of great importance. For example, out of date or irrelevant assessment plans will undermine the whole assessment process. Reviewing the assessment event and evaluating the process and outcomes is an important role of the assessor who should ensure that the needs of the people involved, as well as the needs of the organization are met. A checklist may be use for reflecting over the conducted assessment. For full coverage, the checklist will include the various phase of the assessment i.e. before, during and end of the assessment.

Why conduct a review?

Review of assessment process ensure consistency, relevancy of assessment procedure decisions and performance standards and that any discrepancies and inconsistencies are acted upon. Reviewing assessment plan and process may include:

Practicality of assessment criteria

Need for simplifying assessment tools

Clarity of instructions to assessor / candidate

Need of adding other appropriate resources to reflect real workplace environment



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Need of changing the assessment method e.g. from simulation to real work/real time or from written test to oral test

Need of providing more simulations to gather the evidence of candidate’s competence

Need of increasing the types of evidence

Need of modifying the assessment duration

Need of modifying the questions and/or model answers / solutions The assessor needs to ensure the following is taken into account when reviewing the assessment activity:

Candidate’s feedback on the assessment activity is sought for obtaining outside ideas on the assessment system

Both positive and negative features experienced in conducting the assessment are covered

Suggestions for improving the assessment process are recorded

The assessor needs to provide the justifiable feedback on the assessment process to appropriate personnel, who may include:

Curriculum Developer

Assessment Plan Developer

Assessment Manager

Management representative of Assessment Centre Depending on the findings of the reports, modifications may be made to the assessment plan or procedures to make the assessment more productive and effective.



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LGA 3: Evidence Gathering Plan, Assessment Record, Role Play Script, Oral Questions Documents

NAME: NRIC:


EVIDENCE GATHERING PLAN

Competency Unit:

Competency Element:

Performance

Criteria

:

Assessment

Method

Types of Evidence :

Product , Process,

Knowledge

Forms of Evidence:

Direct; Indirect;

Supplementary

Evidence

Requirement

(Outcome)

Direct Evidence:

Product:

Process:

Supplementary

Evidence:

This is a continuation from LGA 1, LGA2. This part should be completed before the start of your Final Assessment (FA). You will need the deliverables from this LGA 3 for your FA.


You may need to refer to the completed worksheets of LGA1, LGA2


Fill in relevant data in the blank spaces provided should you choose to use the template provided.



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ROLE PLAY SCRIPT FOR

Competency Category:

Competency Unit:

Competency Element:

Reference Number:

Instructions to Candidates

Role Play Scenario

Role Play Scenario Covering

CE:

PC PC PC PC



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ASSESSMENT RECORD FOR


Competency Unit:

Competency Code:

Name: _________________________________ Assessment Date: _____________

Organization: ________________________________ Program: _______________

ROLE PLAY OBSERVATION CHECKLIST

Competency Element:

ASSESSMENT CHECKLIST

PERFORMANCE CRITERIA

OUTCOMES/EVIDENCE C NYC COMMENTS

”



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FINAL ASSESSMENT OUTCOME

This candidate has been assessed as

COMPETENT (C)

NOT YET COMPETENT (NYC)

Assessor Name: _______________________________________

Assessor Signature: _______________________________________

Candidate Name: _______________________________________

Candidate NRIC: _______________________________________

Candidate Signature: _______________________________________

(By signing, the candidate is agreeing to accept the assessment outcome.)

Comments:



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ORAL QUESTIONS FOR


Competency Unit:

Competency Element:

Reference Number:


Performance Criteria Suggested Questions & Suggested Responses



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Advanced Certificate in Retail Supervision

Competency Category: Training Evaluation


Competency Code: TR-TEV-303C- 1


As part of the assessment, each candidate is required to:

i. Complete LGA1, LGA2, LGA3 requirements

ii. Perform a Role Play in the FA (Final Assessment).

iii. Each candidate will be asked several oral questions in the FA (Final Assessment) to check on their understanding of the contents covered in the module.

iv. Candidate will be considered competent when all the learning outcomes/ evidences are fulfilled as per assessment checklist.

ii Role Play

1. Candidates will be given 20 minutes to perform the below role play scenario:

In this scenario, you will perform the role of an Assessor. You will be required to make use of the materials and resources prepared by you for conducting a competency based assessment.

You will be required to perform the following CE:

CE1: Prepare for assessment

CE2: Prepare candidate for assessment

CE3: Carry out conduct of assessment

================================================================

2. Candidate will carry out Role Play using the Assessment Plan and relevant

documents that has been developed in LGA1, LGA2, LGA3

3. The Role Play will be conducted in pair of 2 personnel; one person will play the role of an assessor and the other will play the role of a candidate undergoing assessment. After which, both parties will shift role.

4. Should there be a requirement of additional parties for the enactment of Role Play; candidate must inform the Assessor of the requirement.

5. Candidate is required to make use and submit the following at the end of the Final Assessment session for proof of evidence:

LGA1

LGA2

LGA3



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iii Oral Questioning

Candidates will have 15 minutes for the oral questioning session. Candidates will be considered competent if they can answer the questions correctly without prompting.



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SUPPLEMENTARY NOTES



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Instruction to Candidate 考生指示 Module Title 能力单元 : __________________________________________

Module Reference No 单元编号 : __ _____________________________________

Trainer(s) 导师名字 : __________________________________________

Candidate Acknowledgement 考生认可 Tick (✔)

1. The assessment’s purpose, process and duration were clearly explained

评估的目的，过程和时间有清楚的解释.

2. The appeal procedure was clearly explained. (Please read reverse page)

上诉程序有清楚的解释 (请读反面页)

3. The assessor had checked for my special needs.

考官有检查我的特殊需要

4. At least 75% attendance was met.

至少达到 75 ％出席率

Candidate Name 考生名字:

NRIC No 身份证:

Class Batch No 班级:

Assessor Name 评估员名字: Date of assessment 评估的日期:

Candidate Signature 考生签名:

Date 日期:



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Appeal Process against “Not Yet Competent’’ status awarded

不同意“尚未具能力”成绩的上诉程序

Student to submit appeal form

within 3 days after release of

result

考生应在成绩公布的三天內递

交上诉表格.

Apply for

Appeal at $10

付$10 以申请上诉

SARC committee

review

SARC 委员会重

新回顾 Appeal Successful

上诉成功

Award

SOA

发出奖状

SARC committee offers re-

assessment at $10

SARC 委员会提供重新评估($10)

Repeat the module at non-subsidy

rate

重覆单元(没有津贴)

Appeal not successful 上诉不成功

OR 或



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Name: _________________________________ Assessment Date: _____________

Organization: ________________________________ Program: _______________

ROLE PLAY ASSESSMENT CHECKLIST

Competency Element 1 – Prepare for Conduct of Assessment




1.1 Confirm details of

assessment plan with relevant stakeholders

Able to confirm details of assessment plan which may include: Evidence, resources set up requirements Organisational , industry and legal requirements

Able to confirm

assessment plan with relevant stakeholders that may include:

Line manager, supervisor, assessment manager, subject matter expert / specialist

1.3 Ensure the set up

of assessment site is in accordance with assessment plan and workplace safety and health guidelines

Able to ensure the set

up of assessment site is in accordance with assessment plan and workplace safety and health guidelines eg Workplace Safety & Health guidelines

”

1.4 Ensure the

assessment tools required for assessment are available for use

Able to ensure the

assessment tools required for assessment are available for use which



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may include: Observation guides, interview questions, worksheets / test papers, questionnaires, role play scripts, scenarios, case study notes, template for third party report, assessment checklists, guidelines / instructions for report and presentation

Competency Element 2 – Prepare Candidate for Assessment




2.1 Explain the purpose

and context of assessment to candidate

Able to explain the purpose of assessment to candidate which may include: Diagnosing performance, awarding qualification, confirming progress in learning, confirming competency, recruitment, education or training needs, recognition of prior learning (RPL)

Able to explain the context of assessment to candidate which may include: Operating and organizational requirements, Relevant legislative and industry requirements

2.2 Brief candidate on

the assessment requirements and process, including clear instructions on the assessment to be taken

Able to brief candidate on the assessment requirements and process, including clear instructions on:

Provision of types of materials and physical resources, Types of evidence for gathering, Method of evidence gathering, duration of assessment

2.3 Brief candidate on

his rights and process of appeal to the assessment outcome

Able to brief candidate on his rights and process of appeal to the assessment s outcome



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2.4 Communicate in

a clear and supportive manner to create a conducive assessment environment

Able to communicate in a clear and supportive manner to create a conducive assessment

environment by: Use of appropriate verbal and non -verbal language, active listening, questioning technique

2.5 Confirm with

candidate on any special needs he may have and explain how these needs will be addressed during the assessment

Confirm with candidate on any special needs he may have that include: Language difficulty, intellectual impairment / disability, medical condition, differences in learning progress, religious and spiritual observances, age / gender and cultural background

Explain how these needs will be addressed during the assessment which may include: Adjustment to assessment taking into account: Candidates language, literacy and numeracy requirements, Adjustment to physical environment / venue, proposed assessment methods / tools Considerations relating to age / gender / cultural, traditional and religious practices, fatigue / medication Provision of support services i.e reader or interpreter Use of adaptive technology or special equipment



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2.6 Seek feedback

from candidate and clarify his understanding of the assessment requirements

Able to seek feedback from candidate and clarify his understanding of the assessment requirements by: Effective listening and questioning skills, observation of body language

Competency Element 3 – Carry out Conduct of Assessment ASSESSMENT CHECKLIST



3.1 Use assessment

plan and tools to carry out the conduct of assessment

Able to use assessment plan and tools to carry out the conduct of assessment that include:

Evidence, resources set up requirements Organisational , industry and legal requirements

Observation guides, interview questions, worksheets / test papers, questionnaires, role play scripts, scenarios, case study notes, template for third party report, assessment checklists, guidelines / instructions for report and presentation

3.2 Use evidence

gathered to decide if the relevant criteria are met and make assessment decision

Able to use evidence gathered to decide if the relevant criteria are met and make assessment decision through : Evidence collected must meet assessment criteria as stipulated in the assessment plan Evidence collected must meet the Rules of Evidence



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3.5 Record assessment

outcomes promptly and accurately in accordance with assessment system, policies and procedures

Able to record assessment outcomes promptly and accurately in accordance with assessment system, policies and procedures

3.6 Provide clear and

constructive feedback to candidate regarding assessment decision and advice on how performance can be overcome

Provide clear and constructive feedback to candidate regarding assessment eg: Outcome of assessment Identification of performance gap Suggestion for overcoming areas of identified performance gaps

ORAL QUESTIONING ASSESSMENT CHECKLIST

Competency Element 1 – Prepare for Conduct of Assessment




1.2 Ensure resources

stipulated in the assessment plan are available, safe and in proper working conditions

Able to ensure

availability of resources which may include : Tools and equipments, materials, furniture, technology, personal protective equipment (PPE), assessment instruments, manuals, assessment instruments, documents and forms, specialist and technical support

Competency Element 3 – Carry out Conduct of Assessment




3.3 Deal with

limitations of evidence required, where necessary

Able to deal with limitations of evidence required, where necessary such as :



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Unable to get evidence of competence Fault in design of assessment tool Unclear assessment criteria Non provision of assessment criteria Non integration of assessment activities Insufficient time for assessment Unclear designed questions Too limited model / suggested answers

3.4 Comply with Code

of Practice for Assessors when conducting assessment and making assessment decisions

Able to comply with Code of Practice for Assessors when conducting assessment and making assessment decisions eg : Protection of rights of candidates Avoidance of conflict of interest etc,

3.7 Review

assessment plan and process and provide feedback to appropriate personnel for modification, if required

Review assessment plan and process which may include: Practicality of assessment criteria Need of simplifying assessment tools Clarity of instructions to assessor / candidate Need of adding other appropriate resources to reflect real workplace environment Need of changing assessment method Need of providing more stimulations Need of increasing types of evidence Need of modifying duration of assessment Need of modifying questions / model answers

Provide feedback to appropriate personnel for modification who may include:

Curriculum Developer Assessment Plan Developer Assessment Manager Management representative of Assessment Centre



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FINAL ASSESSMENT OUTCOME

Organization: _________________________________ Date: _____________

This candidate has been assessed as

COMPETENT

NOT YET COMPETENT

Assessor Name: _______________________________________

Assessor Signature: _______________________________________

Candidate Name: _______________________________________

Candidate NRIC: _______________________________________

Candidate Signature: _______________________________________

(By signing, the candidate is agreeing to accept the assessment outcome.)

Comments: ________________________________________________________

_________________________________________________________________

_________________________________________________________________

_________________________________________________________________



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Assessment Summary Record Competency Unit/Code : Conduct Competency Based Assessment / TR-TEV-303C-1 Assessment Duration : 35 minutes

Candidate Name

NRIC Number

Competency

Element

Assessment Method

Indicate “C” or “NYC”

Overall Result “C” or “NYC”

Date

Assessor

Name

Assessor Signature

WA RP OQ

1. – Prepare for conduct of assessment

2 – Prepare candidate for assessment

3 – Carry out conduct of assessment



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This candidate has been assessed as COMPETENT in the Unit: Conduct Competency Based Assessment NOT YET COMPETENT in the Unit: Conduct Competency Based Assessment Candidate Assessor Name (As in NRIC) Name Candidate Assessor Signature Signature Date: Date:

By signing, the candidate is agreeing to accept the assessment outcome

Feedback on outcome by Assessor/Candidate:

Conduct Competency Based Assessment...Introduction: Conduct Competency Based Assessment Competency...

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