Key assessment policy requirements

Key assessment policy requirements for RTOs are summarised under the following 14
headings.

1. Assessment benchmarks
Endorsed industry/enterprise competency standards form the benchmarks for assessment.
Competency standards comprise units of competency contained in training packages or
accredited courses. Assessment guidelines within endorsed training packages provide the
framework for assessment of the units of competency for the relevant industry or enterprise.
All assessors must be familiar with the full content of competency standards and training
packages against which they assess.

2. National recognition
National recognition is a feature of the AQTF which allows an RTO that is registered in one
state or territory to operate in another without having to undergo a further registration
process. Qualifi cations and statements of attainment issued by any RTO are to be
accepted and recognised by all other RTOs. (This was previously referred to as ‘mutual
recognition’.)

As part of the national recognition obligation, RTOs must have appropriate credit transfer
arrangements. Credit transfer is an arrangement where a standard level of credit or formal
recognition is given to an individual who has previously achieved competence in a training
or education environment.

3. RPL
The Australian Qualifi cations Framework, First Edition July 2011 defi nes recognition of prior
learning (RPL) as:
an assessment process that involves assessment of an individual’s relevant prior learning
(including formal, informal and non-formal learning) to determine the credit outcomes of an
individual application for credit.
Reproduced with the permission of the Department of Industry,
Innovation, Science, Research and Tertiary Education.

4. Qualified assessors
RTO staff must be competent at the functions they perform in relation to training and
assessment. The RTO must be able to demonstrate that trainers and assessors have the
required competencies for the work they undertake, as well as evidence of how assessors
maintain relevant industry experience.

The NSSC has determined that as of 1 July 2013, trainers must be able to demonstrate:
• vocational competencies at least to the level being delivered and assessed;
• how they are maintaining industry currency and their competence, and how they are
continuing to develop their VET skills and knowledge; and
• that they have the minimum qualifi cation – the TAE40110 Certifi cate IV in Training and
Assessment or are able to demonstrate equivalent competencies.
Assessors must be able to demonstrate:
• their industry currency and vocational competencies at least to the level being delivered
and assessed;
• how they are continuing to develop their VET knowledge and skills, and maintain their
industry currency and competence as an assessor; and
• that they hold the TAE Assessor Skill Set or equivalence of competencies.
For more information, including on persons delivering training under supervision, go to
www.nssc.natese.gov.au/news_and_events and select ‘NSSC Communiqué 3 – December
2011’.

5. Informing clients
Information on assessment procedures, appeals procedures and RPL arrangements,
including fees and charges and any support services need to be provided to clients before
enrolment.

The RTO’s marketing and advertising identify training and assessment services that lead to
an AQF qualifi cation or statement of attainment (within their scope of registration)
separately from any other training or assessment services (such as community education).

6. Fees
RTOs need to ensure that they have fair and reasonable fees, and refund policies for all
modes of training delivery and assessment. Information on these policies may be provided
to clients, before enrolment, in clear and accessible language and through a range of
methods, eg website information, fl iers, advertising material, information sessions.

7. Delivery to overseas students

If RTOs are involved in the delivery of training and assessment services to overseas clients,
they must also comply with the requirements of the Commonwealth Register of Institutions
and Courses for Overseas Students (CRICOS).

The Australian Skills Quality Authority (ASQA) is the national regulator for Australia’s VET
sector. This government authority regulates courses and training providers to ensure that
nationally approved quality standards are met. Western Australian RTOs which deliver
courses interstate or overseas are required to register with ASQA. Go to www.asqa.gov.au .

8. Assessment plans
RTOs should ensure that assessment plans are developed and provided to all students
before their assessment. Students may appeal if they believe that the assessment has not
been carried out in accordance with the assessment plan.

In the event of an appeal by the student, the assessment plan will be a key source
document.

Workplace-based assessment must be negotiated between the RTO, the employer and the
student. The RTO must ensure that any assessments occurring in the workplace are
conducted in an environment with the appropriate facilities. (See ‘3. Workplace assessment
checklist’ in Part B of Section 4.)

9. Principles of assessment
Assessment principles state that assessments must be valid, reliable, fl exible and fair.
Assessors must ensure that assessment decisions involve the evaluation of sufficient
evidence to enable a judgement to be made on the student’s competence.
Validity refers to the extent to which the interpretation and use of an assessment outcome
can be supported by evidence. An assessment is valid if the assessment methods and
materials refl ect the elements, performance criteria and critical aspects of evidence in the
evidence guide of the unit(s) of competency, and if the assessment outcome is fully
supported by the evidence gathered.
Reliability refers to the degree of consistency and accuracy of the assessment outcomes;
that is, the extent to which the assessment provides similar outcomes for students with
equal competence at different times or places, regardless of the assessor conducting the
assessment.

If assessments are both valid and reliable, then they should be consistent across RTOs as
well as within an RTO.

Reliable and valid assessments share a number of characteristics, including:

• assessing all four dimensions of competency;
• using a process which integrates required knowledge and skills with their practical
application for a workplace task, ie holistic assessment;
• being based on evidence gathered on a number of occasions and in a range of contexts;
• covering both on-the-job and off-the-job components of training; and
• providing for the recognition of competencies no matter how or when they have been
acquired.

Flexibility refers to the opportunity for students to negotiate certain aspects of their
assessment, eg timing, with their assessor. All students should be fully informed (through
the assessment plan) of the purpose of assessment, the assessment criteria, the methods
and tools used, and the context and timing of the assessment.
Fair assessment does not advantage or disadvantage particular students or groups of
students.
This may mean that assessment methods are adjusted for particular students (such as
those with disabilities or cultural differences) to ensure that the methods do not
disadvantage them because of their situation. An assessment should not place
unnecessary demands on students which may prevent them from demonstrating
competence. For example, an assessment should not demand a higher level of English
language or literacy than that required to perform to the workplace standard outlined in the
competencies being assessed. (See ‘1. Checklist for principles of assessment – validity,
reliability, fl exibility and fairness’ in Part B of Section 4.)

There are legislative requirements that the principle of ‘reasonable adjustment’ be applied
in the design of assessments. The assessment process should not prevent any persons
from demonstrating their competence, skills or knowledge because the design of the
assessment failed to take account of their limitations. Refer to the Department’s
2013 publication Reasonable adjustment: A guide to working with students with disability.

Assessment materials must also:

• comply with the relevant training package assessment guidelines;
• provide for holistic assessment, ie use a process that integrates knowledge and skills
with their practical application in a workplace task;
• cover all four dimensions of competency;
• target the correct qualifi cation level;
• cover relevant employability skills facets; and
• be able to be customised. (See ‘1. Checklist for principles of assessment – validity,
reliability, fl exibility and fairness’ in Part B of Section 4.)

10. Equity
RTOs need to ensure that access and equity principles are used in assessment as well as
in training. The following guiding principles of the Building diversity and equity in training
2010 –2018: Equity is everybody’s business policy should be adhered to.

 Substantive equality in training

Within the training sector, some individuals need to be treated differently in order to
provide them with equality of access with the potential for equal outcomes.
 Explicit recognition and response
Explicit consideration and incorporation of the needs of individuals and communities must
occur within the design, funding and evaluation of programs and delivery of services to
maximise outcomes for individuals and to provide transparency and accountability.
 Accessible learning and career pathways
Pathways in and out at different points in the learning continuum and lifespan must exist
to facilitate personal, educational, training and employment transitions.
 Engagement through promotion
Training opportunities must be presented in a way that allows priority groups to be
aware of available opportunities and assure them of their capability to participate.
As well as meeting the requirements specifi ed in the relevant training packages,
assessment methods and materials should be holistic, fair and fl exible. They should not
include any language, literacy or numeracy requirements at levels greater than those
outlined in the competency standards being assessed.

Strategies for supporting and assessing workplace, distance and online students may be
developed, implemented and reviewed to ensure continuous improvement.
(See ‘4. Assessment planning checklists’ in Part B of Section 4.)

11. Reporting and recording results

It is the responsibility of the assessor to keep a record of the evidence presented by the
student which enables the assessment decision to be made.
Qualifi cations and statements of attainment must identify the units of competency the
student has attained, as well as meeting the other requirements noted in the 2011 first
edition of the Australian Qualifi cations Framework. Qualifi cations and statements of
attainment can be issued only for areas within the scope of delivery of the RTO.

Logos must be used in accordance with the Department of Innovation, Industry, Science,
Research and Tertiary Education (DIISRTE) Nationally Recognised Training (NRT) logo
specifi cations when issuing qualifi cations or statements of attainment and when marketing
or advertising the training and assessment activities of the RTO.

RTOs in WA must also comply with the guidelines for the use of the Training Accreditation
Council (TAC) logo.

12. Student feedback and appeals processes

RTOs should ensure that students are provided with feedback that includes details of the
assessment outcome, the reasons for the outcome, recommendations for further training,
and the appeal and reassessment options.

RTOs should have an appeals process in place which allows students to challenge the
assessment decision and be reassessed. A reasonable, non-refundable fee may be
charged by the RTO to discourage frivolous appeals but it should not be so high that it
prohibits appeals altogether.

It is the responsibility of the assessor undertaking the assessment to ensure that, in the
event of an appeal, the evidence is kept in suffi cient detail to enable an assessment
decision to be reviewed. This could involve keeping a summary of the evidence presented
by the student. (See ‘4. Evidence requirements’ in Part A of Section 4.)

13. Continuous improvement and documentation

Assessment systems, like all other aspects of RTO operations, should incorporate ongoing
monitoring and improvement processes. In particular, RTOs should develop processes to
enhance the consistency of assessments, such as assessor moderation forums,
consultation with industry, and professional development for assessors. Moderation forums
should involve a range of assessors and other stakeholders. Recommendations and actions
taken may be documented. These processes should be linked to the organisation’s review
processes, such as an internal audit.

RTOs’ assessment processes should include quality assurance procedures for assessment
processes and instruments. These processes should be comprehensive and up-to-date.
(See the Department’s 2013 publication A guide to continuous improvement of assessment
in VET.)

Processes to ensure the currency of accredited course documents, training packages and
learning and assessment materials need to be implemented and all materials need to be
evaluated on a regular basis.

RTOs should develop learning and assessment strategies which clearly detail the
core/elective units of competency being assessed, the client target group, the delivery and
assessment modes, pathways, customisation of assessments and assessment validation
processes. This should be done for each qualifi cation, skill set or single unit of competency
listed on the RTOs’ scope, where full qualifi cations are not offered.

14. Policy compliance for publicly funded RTOs

Publicly funded RTOs must comply with relevant policies.