Assessment Workbook 3 - TAE40116 Certificate IV

This Assessment Workbook 3 is designed for TAE40116 Certificate IV course. It covers the units of competency TAEASS401, TAEASS403, and TAEASS502. The workbook provides comprehensive assessment activities, processes, and validation techniques. It focuses on planning assessment activities, participating in assessment validation, and designing and developing assessment tools. Get access to this workbook for a complete understanding of assessment in the training and assessment field.

TAE40116 Certificate IV
in Training and
Assessment
Assessment Cluster
Version 2.3 Produced 21 September 2018
Copyright © 2018 Compliant Learning Resources. All rights reserved. No part of this publication
may be reproduced or distributed in any form or by any means, or stored in a database or retrieval
system other than pursuant to the terms of the Copyright Act 1968 (Commonwealth), without the
prior written permission of
Compliant Learning Resources
Assessment Workbook 3

Version control & document history
Date Summary of modifications made Version
04 September
2015
Version 1 for TAE40116 adapted
from TAE40110 resources 1.0
09 September
2016
Minor formatting updates made
throughout document
Added Knowledge Assessment item
– Part 2 Question 11
1.1
7 February 2017
Minor formatting updates made
throughout document
 Updated Questions
and Practical
Assessments to meet
External Validation
recommendations
1.2
13 June 2017
Updated Questions to meet the
External Validation
recommendations
Extracted Practicum to create
Skills Workbook
Added Knowledge Assessment
items –
Part 1 Question 11
Part Question 2 and 3
Added benchmarks to Project 3
2.0
24 June 2017 Added workplace pathway to
Project 1 2.1
21 November
2017 Added log in details for KA Part 4 2.2
21 September
2018
Updated the elements of
TAEASS401 and TAEASS403 2.3
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TABLE OF CONTENTS
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TABLE OF CONTENTS.............................................................................................................3
INTRODUCTION..........................................................................................................................5
WHAT IS COMPETENCY BASED ASSESSMENT........................................................5
THE BASIC PRINCIPLES OF ASSESSING NATIONALLY RECOGNISED
TRAINING.......................................................................................................................................6
THE DIMENSIONS OF COMPETENCY............................................................................8
REASONABLE ADJUSTMENT..............................................................................................9
THE UNITS OF COMPETENCY..........................................................................................11
CONTEXT FOR ASSESSMENT...........................................................................................13
ASSESSMENT REQUIREMENTS......................................................................................13
ASSESSMENT METHODS....................................................................................................15
RESOURCES REQUIRED FOR ASSESSMENT...........................................................17
INSTRUCTIONS TO STUDENT..........................................................................................18
ASSESSMENT WORKBOOK COVER SHEET..............................................................19
KNOWLEDGE ASSESSMENT..............................................................................................20
Part 1 – Competency-based assessments........................................................................................20
Part 2 – Assessment Tools...............................................................................................................28
Part 3 – Validation...........................................................................................................................38
Part 4 – Standards, Policies & Procedures.......................................................................................44
Part 5 – Workplace Health and Safety.............................................................................................46
PRACTICAL ASSESSMENTS...............................................................................................53
Instructions to Student.....................................................................................................53
Project 1: Develop Three Assessment Tools.......................................................................................54
Workplace Pathway.........................................................................................................................56
Step 1: Plan development of assessment tool............................................................................57
Step 2: Develop assessment tool.....................................................................................................63
Step 3: Review and trial assessment tool.....................................................................................65
Simulated Pathway..............................................................................................................71
CASE STUDY 1: Compliant Learning Resources........................................................................................72
Step 1: Plan development of assessment tool............................................................................75
Step 2: Develop assessment tool.....................................................................................................80
Step 3: Review and trial assessment tool.....................................................................................82
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PROJECT 2: PLAN AND ORGANISE ASSESSMENTS...........................................87
CASE STUDY 2: Makoto Miyagi....................................................................................87
Part 1: Training and Assessment Pathway..................................................................................88
Part 2: RPL Assessment Pathway....................................................................................................90
PROJECT 3: VALIDATE THREE ASSESSMENT TOOLS......................................93
CASE STUDY 3: Compliant Learning Resources.................................................93
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INTRODUCTION
Assessment is a difficult process – we understand this and have
developed a range of assessment kits, such as this, to facilitate a
seamless process for both the assessor and the learner being assessed.
There are a number of characteristics of assessment, ranging from
subjective assessment (which is based on opinions and feelings), to
objective assessment (which is based clearly on defined processes and
specific standards). Nearly all assessment involves a mixture of both
types of assessment because it is almost impossible to eradicate the
subjectivity humans carry into the process of assessing. The goal in
developing and implementing these assessment kits is to work towards
the objective end as far as possible and to reduce the degree of opinions
and feelings present.
WHAT IS COMPETENCY BASED ASSESSMENT
The features of a competency based assessment system are:
 It is focused on what learners can do and whether it meets the
criteria specified by industry as competency standards.
 Assessment should mirror the environment the learner will
encounter in the workplace.
 Assessment criteria should be clearly stated to the learner at the
beginning of the learning process.
 Assessment should be holistic. That is it aims to assess as many
elements and/or units of competency as is feasible at one time.
 In competency assessment a learner receives one of only two
outcomes – competent or not yet competent.
 The basis of assessment is in applying knowledge for some
purpose. In a competency system, knowledge for the sake of
knowledge is seen to be ineffectual unless it assists a person to
perform a task to the level required in the workplace.
 The emphasis in assessment is on assessable outcomes that are
clearly stated for the trainer and learner. Assessable outcomes
are tied to the relevant industry competency standards where
these exist. Where such competencies do not exist, the outcomes
are based upon those identified in a training needs analysis.
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Definition of competency
Assessment in this context can be defined as:
 The fair, valid, reliable and flexible gathering and recording of
evidence to support judgement on whether competence has been
achieved. Skills and knowledge (developed either in a structured
learning situation, at work, or in some other context) are assessed
against national standards of competence required by industry,
rather than compared with the skills and knowledge of other
learners.
THE BASIC PRINCIPLES OF ASSESSING
NATIONALLY RECOGNISED TRAINING
Developing and conducting assessment, in an Australian vocational
education and training context, is founded on a number of basic
conventions:
The principles of assessment
 Fairness
- The individual’s learner’s needs are considered in the
assessment process.
- Where appropriate, reasonable adjustments are applied by
the RTO to take into account the individual learner’s needs.
- The RTO informs the learner about the assessment process,
and provides the leaner with the opportunity to challenge the
result of the assessment and be reassessed if necessary.
 Flexibility
- Assessment is flexible to the individual learner by:
 reflecting the learner’s needs;
 assessing competencies held by the learner no matter
how or where they have been acquired; and
 drawing from a range of assessment methods and using
those that are appropriate to the context, the unit of
competency and associated assessment requirements,
and the individual.
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 Validity
- Any assessment decision of the RTO is justified, based on the
evidence of performance of the individual learner.
- Validity requires:
 assessment against the unit/s of competency and the
associated assessment requirements covers the broad
range of skills and knowledge that are essential to
competent performance;
 assessment of knowledge and skills is integrated with
their practical application;
 assessment to be based on evidence that demonstrates
that a learner could demonstrate these skills and
knowledge in other similar situations; and
 judgement of competence is based on evidence of
learner performance that is aligned to the unit/s of
competency and associated assessment requirements.
 Reliability
- Evidence presented for assessment is consistently
interpreted and assessment results are comparable
irrespective of the assessor conducting the assessment.
(from Standards for RTOs 2015, Table 1.8-1: Principles of Assessment)
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The rules of evidence
When collecting evidence there are certain rules that apply to that
evidence. All evidence must be valid, sufficient, authentic and current;
 Valid
- The assessor is assured that the learner has the skills,
knowledge and attributes as described in the module or unit
of competency and associated assessment requirements.
 Sufficient
- The assessor is assured that the quality, quantity and
relevance of the assessment evidence enables a judgement
to be made of a learner’s competency.
 Authentic
- The assessor is assured that the evidence presented for
assessment is the learner’s own work.
 Current
- The assessors is assured that the assessment evidence
demonstrates current competency. This requires the
assessment evidence to be from the present or the very
recent past.
(from Standards for RTOs 2015, Table 1.8-2: Rules of Evidence)
THE DIMENSIONS OF COMPETENCY
The national concept of competency includes all aspects of work
performance, and not only narrow task skills. The four dimensions of
competency are:
 Task skills
 Task management skills
 Contingency management skills
 Job role and environment skills
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REASONABLE ADJUSTMENT
Adapted Reasonable Adjustment in teaching, learning and assessment
for learners with a disability - November 2010 - Prepared by -
Queensland VET Development Centre
Reasonable adjustment in VET is the term applied to modifying the
learning environment or making changes to the training delivered to
assist a learner with a disability. A reasonable adjustment can be as
simple as changing classrooms to be closer to amenities, or installing a
particular type of software on a computer for a person with vision
impairment.
Why make a reasonable adjustment?
We make reasonable adjustments in VET to make sure that learners with
a disability have:
 the same learning opportunities as learners without a disability
 the same opportunity to perform and complete assessments as
those without a disability.
Reasonable adjustment applied to participation in teaching,
learning and assessment activities can include:
 customising resources and assessment activities within the training
package or accredited course
 modifying the presentation medium learner support
 use of assistive / adaptive technologies
 making information accessible both prior to enrolment and during
the course
 monitoring the adjustments to ensure learner needs continue to be
met.
Assistive / Adaptive Technologies
Assistive / adaptive technology means ‘software or hardware that has
been specifically designed to assist people with disabilities in carrying
out daily activities’ (World Wide Web Consortium - W3C). It includes
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screen readers, magnifiers, voice recognition software, alternative
keyboards, devices for grasping, visual alert systems, digital note takers.
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IMPORTANT NOTE
Reasonable adjustment made for collecting candidate assessment
evidence must not impact on the standard expected by the workplace, as
expressed by the relevant Unit(s) of Competency. E.g. If the assessment
was gathering evidence of the candidates competency in writing,
allowing the candidate to complete the assessment verbally would not be
a valid assessment method. The method of assessment used by any
reasonable adjustment must still meet the competency requirements.
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THE UNITS OF COMPETENCY
The units of competency specify the standards of performance required
in the workplace.
This assessment addresses the following units of competency from
TAE40116 Certificate IV in Training and Assessment:
TAEASS401 Plan assessment activities and processes
1. Determine the assessment approach
2. Prepare the assessment plan
3. Identify modification and contextualisation requirements
4. Develop the assessment instruments
TAEASS403 Participate in assessment validation
1. Prepare for validation
2. Participate in the validation of assessment tools
3. Contribute to validation outcomes
TAEASS502 Design and develop assessment tools
1. Determine the focus of the assessment tool
2. Design the assessment tool
3. Develop the assessment tool
4. Review and trial the assessment tool
This subject also partially addresses the requirements of:
TAEASS402 Assess competence
1. Prepare for the assessment
2. Gather quality evidence
3. Support the candidate
4. Make the assessment decision
5. Record and report the assessment decision
6. Review the assessment process
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TAELLN411 Address adult language, literacy and numeracy skills
1. Analyse LLN requirements.
2. Select and use resources and strategies to address LLN skill
requirements.
3. Use specialist support where required.
4. Evaluate effectiveness of learning support and assessment
strategies in addressing LLN requirements.
For complete copies of the above units of competency:
Download them from the TGA website: www.training.gov.au
https://training.gov.au/Training/Details/TAEASS401
https://training.gov.au/Training/Details/TAEASS402
https://training.gov.au/Training/Details/TAEASS403
https://training.gov.au/Training/Details/TAEASS502
http://www.training.gov.au/Training/Details/TAELLN411
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CONTEXT FOR ASSESSMENT
Gather evidence to demonstrate consistent performance in conditions
that are safe and replicate the workplace. Conditions must be typical of
those experienced in the training and assessment environment, and
include access to competency standards or accredited courses relevant to
the learning programs.
ASSESSMENT REQUIREMENTS
The assessment requirements specify the evidence and required
conditions for assessment.
Each unit of competency can be unbundled to reveal four (4) key
assessment components:
1. Performance Evidence
- describes the subtasks that make up the element of the unit
2. Knowledge Evidence
- describes the knowledge that must be applied in understanding
the tasks described in the elements
3. Assessment Conditions
- describe the environment and conditions that assessments must
be conducted under
4. Performance Criteria
- describes the performance required in tasks, as well as
foundational skills, to demonstrate achievement of the outcomes
outlined in the elements
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The associated assessment methods in this workbook covers all of these
components as detailed in the matrix below:
Units of Competency
Assessment Activities
TAEASS401
TAEASS402
TAEASS403
TAEASS502
TAELLN411
Knowledge assessment    
Projects /Case Studies    
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ASSESSMENT METHODS
There are four (4) workbooks in this course. Three (3) of which are the
Assessment Workbooks and one (1) is the Skills Workbook. This is
Assessment Workbook 3.
Assessment Workbook
The Assessment Workbooks use the following assessment methods:
1. Knowledge Assessment - Written assessments to test students’
understanding of underpinning knowledge, concepts and/or
theories relevant to the units of competency included in this
subject
2. Projects/Case Studies - A task or activity completed according to
set instructions and guidelines to meet the requirements of the
relevant units
The Assessment Workbooks in this course are as follows:
Workbook 1 – Design Cluster
Workbook 2 – Delivery Cluster
Workbook 3 – Assessment Cluster
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Skills Workbook
The Skills Workbook contains the practical assessment which covers the
following units of competency in TAE40116 Certificate IV in Training and
Assessment:
 TAEASS402 Assess Competence
 TAELLN411 Address Adult Language, Literacy, and Numeracy
Skills
These practical assessment activities will be completed during your
Vocational Placement or in your workplace, once you have received
approval from the Vocational Placement Coordinator.
You should not commence with the Skills Workbook until you have
successfully completed the three (3) assessment workbooks and
have received feedback from your assessor.
The assessment method used in the Skills Workbook includes:
1. Practical Assessment – A practical assessment containing
instructions and activities that must be completed by the candidate
in a real workplace to demonstrate the skills relevant to the units of
competency included in this subject.
The skills workbook in this course is:
Assessment Cluster Skills Workbook
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RESOURCES REQUIRED FOR ASSESSMENT
Assessor to provide:
 Case studies and simulations
 Information about work activities, as necessary
Candidate will need access to:
 Computer with internet and email access and a working web
browser.
 Installed software: MS Word, MS Excel, Adobe Acrobat Reader.
 Two (2) volunteers to review assessment tool you will develop in
Project 1 Case Study 1. Ideally, the volunteers should be industry
experts, VET trainers, and or assessors.
 Two (2) volunteers to trial the assessment tool you will develop in
Project 1 Case Study 1.
 Templates needed to complete the assessment. These are already
provided in this workbook.
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INSTRUCTIONS TO STUDENT
This workbook is divided into two (2) categories: Knowledge Assessment
and Project/Case Studies.
The questions under Knowledge Assessments are all in a short answer
format. The longer questions requiring creative and analytical thought
processes are covered in the Project/Case Studies assessment. You
must answer all questions using your own words. However, you may
reference your learner guide and other relevant resources and learning
materials to complete this assessment.
Some questions cover processes you would likely encounter in a
workplace. Ideally, you should be able to answer these questions based
on the processes that are currently in place in your workplace. However,
if you do not currently have access to a workplace, then answer the
questions based on processes that should be implemented in a typical
workplace setting.
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ASSESSMENT WORKBOOK COVER SHEET
WORKBOOK: WORKBOOK 3
TITLE: Assessment Cluster
FIRST AND SURNAME:
PHONE:
EMAIL:
Please read the Candidate Declaration below and if you
agree to the terms of the declaration sign and date in
the space provided.
By submitting this work, I declare that:
 I have been advised of the assessment requirements, have
been made aware of my rights and responsibilities as an
assessment candidate, and choose to be assessed at this
time.
 I am aware that there is a limit to the number of
submissions that I can make for each assessment and I
am submitting all documents required to complete this
Assessment Workbook.
 I have organised and named the files I am submitting
according to the instructions provided and I am aware
that my assessor will not assess work that cannot be
clearly identified and may request the work be
resubmitted according to the correct process.
 This work is my own and contains no material written by
another person except where due reference is made. I am
aware that a false declaration may lead to the withdrawal
of a qualification or statement of attainment.
 I am aware that there is a policy of checking the validity
of qualifications that I submit as evidence as well as the
qualifications/evidence of parties who verify my
performance or observable skills. I give my consent to
contact these parties for verification purposes.
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Name : Signature: Date:
KNOWLEDGE ASSESSMENT
Part 1 – Competency-based assessments
1. Briefly explain how Vocational Education Training is considered a
competency-based system.
Vocational Education Training refers to the course of study and system that
plays a major role in preparing individuals for tasks that are based on
practical and/or manual activities. This kind of training is considered
imperative for competency owing to the fact that it allows the people to
constantly apply their skills and knowledge to enhance their standard of
performance that is needed in their workplace. Furthermore, the training
method relies on the ability of the learners to respond, process and receive
information, for achieving competency in their jobs, and also facilitates the
attainment of skills that are able to meet the industry standards.
2. How does competency-based assessment differ from other types of
assessments?
Competency-based assessment refers to the procedure where an assessor
works in collaboration with trainees, with the aim of collecting evidences of
competence, with the use of predetermined benchmarks that are already
provided by standards that are made up of national qualifications. It differs
from other assessments owing to the fact that it encompasses several steps
namely:
 Compilation of evidences for knowledge and skills
 Review of evidence by the assessor
 Identification of development needs
 On and off job learning
 Awarding qualification
Hence, the difference lies in the fact that this assessment process involves
two key components of skill and competency that are a major part of
learning process.
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3. Briefly explain how the competency standards are used as the basis
of qualifications.
Competency standards are performance specifications that are determined
by the industry and play an important role in describing the attitudes,
knowledge, and skills expected by workers in performing certain workplace
roles. They are used in the following ways:
 Act as building blocks for different activities in certification system
and competence-based training programs
 Used for certification, assessment, accreditation, and articulation
 Clustered for forming NVQ-J/CVQ
 Used for establishment for association between training system and
workplace
 Used for identification of training needs and conduction of labor
market analyses
 Helps in addressing skill gap, and promotes lifelong learning
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4. Consider the following components that make up the structure
of a unit of competency.
Discuss the information found in each component and explain
how this information is applied in a competency-based
assessment.
Guidance: an example has been provided for your reference.
Components
of a unit of
competency
Information found in this
component
How this information is
applied in competency-
based assessment activities
and processes
Application
Describes the purpose of
the unit relevant to how it
will be applied in the
workplace.
Information found in this
section could be used as
guidance in contextualising
the assessment to suit
relevant work roles.
Elements
Describes the steps that
must be performed, if the
person is competent in a
particular system
Information found in this
section can be used for
analysing the skill outcomes
that greatly contribute to
units and the skills that are
needed for work
performance
Performance
Criteria
Describes the way by
which competency can be
demonstrated in the
workplace
Information found in this
section can be used for
making the workers
understand the expected
level of performance
Foundation
Skills
Directs how trainers and
assessors can consider
information present in
Employability Skills
Summary where
competency unit is
packaged.
Information found in this
section can be used for
helping the workers realise
the skills and knowledge
that are expected of them
for high performance levels
Performance
Evidence
Provides material to
assessor and Registered
Training Organization
(RTO) on the ways of
demonstrating the
described competency
Information found in this
section can be used to make
the workers gain a sound
understanding of the
underpinning skills and
knowledge that must be
demonstrated for proving
their competence
Knowledge
Evidence
Recognizes what an
individual needs to identify
Information found in this
section can be used for
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for performing work in an
effective and informed
manner
helping then workers
effectively complete their
task
Assessment
Conditions
Describes situations when
competency must be
measured along with
variables such as,
necessary equipment or
assessment environment
Information found in this
section can make the
workers demonstrate
reliable performance under
situations that are safe
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5. Consider a candidate completing the requirements for TAEASS502.
What is the minimum evidence that the candidate must provide to
demonstrate his/her ability to complete the tasks outlined in the
elements and performance criteria of the unit?
 Develop at least three assessment tools that sustain dissimilar assessment
approaches, and report at least one competency unit.
 Must demonstrate necessary knowledge that helps in effective completion
of the task that is outlined in performance and element criteria
6. How do you determine the minimum standard for assessment the
student must meet to demonstrate his/her competency?
Guidance: Describe where and how to access this information.
 The assessment tools must comprise of tools that collect evidence,
reflect assessment principles and evidence rules, and associated
instructions
 The tool must address the contextual needs of varied environment
 Candidate must have knowledge of assessment principles and their
development
 Rules of evidence that are incorporated in the developed tools
 Competency dimensions and their incorporation in developmental
tools
 Training package components that are relevant to assessment tool
development
 Reasonable adjustment principles
The assessment requirements will be accessed from the training.gov.au
website, that contains details on the unit of competency
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7. Access the units TAEASS402 and TAEASS502 on training.gov.au
and identify the following:
(1)purpose of assessing candidates against the unit, and
(2) contexts of assessment for the units
Guidance:
 There are several ways to answer this question; however,
your answer must be consistent with the competency
standards of the unit.
 An example using unit TAEASS403 has been provided for
your reference.
Unit Purpose of assessment Contexts of assessment
TAEASS403
To assess the candidate’s skills and
knowledge required to
participate in an assessment
validation process
Assessment tasks must be relevant
to work roles performed by
assessors and workplace
supervisors with assessment
validation responsibilities
participating in, but not
necessarily leading, the process.
TAEAS
S40
2
To describe the knowledge
and skills compulsory for
implementation of an
assessment plan, and
collection of quality
evidence for assessing
capability of candidates
who use compliant
assessment tools.
The assessment can be
applied to trainers,
teachers, and assessors
in registered training
organisations (RTOs)
and initiatives and
people who deliver
assessment advisory
services.
TAEAS
S50
2
To make the assessors satisfy the
requirements that are
applicable to vocational
education and training
framework, legislation and
standards
The assessment tasks must
be related to the
knowledge and skills
obligatory for designing
and developing
assessment tools that
guide assortment of
quality evidence,
counting in their
submission in
summative, formative,
and acknowledgement of
prior learning (RPL)
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valuation.
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8. List the four dimensions of competency and how they are
incorporated in the development of assessment tools.
Guidance: describe where and how to access this information
Dimensions of
competency
How they are incorporated in the
development of assessment tools
Task skills Help in performing the job/task to the expected
standards.
Task
management
skills/variabl
es
Helps in performing more than one particular
thing at a time, while simultaneously
managing them.
Contingency
management
skills
Helps in responding suitably to indiscretions and
failures in routine in a workplace or job.
Role/Job
environment
skills/outcom
es
Helps the workers to deal with the expectations
and responsibilities of the workplace
environment.
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9. Briefly explain how units of competency are contextualised.
Guidance: For the purpose of this assessment, your responses must
align with contextualisation guidelines provided in the
implementation guide for the TAE Training and Education Training
Package.
The RTOs might contextualise different units of competency for reflecting
local skill needs. The process of contextualisation will also comprise of
amendments and/or additions to the units that suit specific learner
profiles, delivery methods, and specific enterprise necessities. The
contextualisation would also guarantee maintenance of honesty of
consequence of units of competency. Industry requirements stated in
job or training specifications will also be used for contextualizing units
of competency.
10. Match the training package components below to their correct
application in developing assessment tools.
a. Assessment guidelines
b. Qualifications framework
c. Competency standards
How Training Package Components are applied in the Development of
Assessment Tools
Qualific
ations
frame
work
It sets the outcome and level of performance required in the
assessment.
Compet
ency
stand
ards
It provides guidance to which units meet the requirements of
each qualification according to the set qualification level.
Assessm
ent
guidel
ines
It provides guidance on how assessment tasks can be
developed and contextualised to meet the assessment
requirements.
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11. From the options below, choose three (3) statements that
describe the relationship between the assessment context and the
assessment tools.
☒
The assessment context and conditions can help clarify the
target group and purpose of the assessment tool being
developed.
☐
Using familiar contexts and conditions in the assessment will
give the candidate an unfair advantage when completing the
assessment.
☒ The assessment context helps determine if an assessment
tool is suitable for a learner/group of learners.
☒
A candidate given an assessment tool that replicates their
workplace context will perform better than if they were
given an assessment tool with unfamiliar context.
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Part 2 – Assessment Tools
1. Match the following assessment methods to their correct
descriptions.
a. Portfolio
b. Questioning
c. Direct observation
d. Third-party evidence
Descriptions
Direct
observation
i. Candidate is assessed by the assessor real time in the
workplace or in a simulated environment. The purpose
of this method is gather first-hand evaluative
information from the candidate.
Portfolio
ii. Candidate collects work samples and validated pieces
of evidence that demonstrates performance and
completion of specific tasks. The purpose of this
method is allow the candidate to document their
competency and to provide physical evidence (e.g.
workplace documents completed) for assessment.
Questioning
iii. Generally most applicable to assessment of knowledge
evidence. The purpose of this method is to test the
underpinning knowledge of the candidate.
Third-party
evidence
iv. Observation by supervisors, trainers, team members,
etc. are documented and used by the assessor to
assess the candidate’s competence. The purpose of
this method is to provide supplementary evidence or
documentation of the candidate’s competency where
direct observation from an assessor is not possible.
Assessment Workbook 3Version No. 2.3 Produced 21 September 2018
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2. Below are different examples of assessment scenarios.
Determine the best assessment method from the following list
to use in each scenario.
a. Portfolio
b. Questioning
c. Direct observation
Scenario
Direct
observation
i. Candidate is required to physically demonstrate their
competency in preparing drinks using appropriate
methods as part of their assessment in SITHFAB004 -
Prepare and serve non-alcoholic beverages.
Questioning
ii. Candidate is required to demonstrate their knowledge
and understanding of work health and safety (WHS)
legislation and regulations.
Portfolio
iii. Candidate submitting a research report they
previously completed as part of their application for
recognition of prior learning in BSBRES401 – Analyse
and present research information.
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3. Select the assessment methods and instruments that would best
meet the following evidence-gathering opportunities:
Guidance: other assessment methods and instruments may be
applicable; However, for the purpose of this assessment, select
only the best answer from the options provided in the drop-down
lists below. An example has been provided for your reference
Evidence
gathering
opportunities
Assessment
methods
Assessment
instruments
Demonstrating
knowledge on the
different principles of
evidence
Questioning Written questionnaire
developing an
assessment instrument Project Templates
using two-way
communication and
feedback with the
candidate
Questioning Feedback form
RPL assessment Direct observation Project
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4. Briefly explain methods you can use to trial and review an
assessment tool:
Guidance: Give one (1) method for trialing and one (1) method for
reviewing assessment tools.
Assessment
tool quality
check
Example method
(Provide one (1) for each)
Reviewing an
assessment
tool
To utilise a checklist such as, assessment tool review
form that contains questions on purpose, location, time
taken, and validity
Trialling an
assessment
tool
To review them, conduct pilot testing with assessors and
trainers, and review WHS considerations for ensuring all
things are in accordance to the standards
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5. Briefly explain the purpose and context of RPL assessments.
Purpose of RPL
assessments
RPL refers to the contrast of the preceding learning
and knowledge of a beginner howsoever gained in
contradiction of the erudition consequences required
for a predetermined qualification, and receipt for
determinations of requirement of that meets the
necessities. RPL also involves assessment of the
learner for proving his/her capability against a
selected qualification. RPL is practiced in several
countries for an assortment of determinations, such
as standing of an individual in an occupation, trade
experiences, theoretical achievement, employment,
presentation management, vocation and progression
planning.
Some other purpose are given below:
 Identify current and prior learning
opportunities
 Recognises training progress and needs
 Component of vocational pathway or training
 Determination of literacy, language, and
numeracy needs
 Establishment of progress for qualification
 Measurement of work performance
 Classification of employees career progression
Context of RPL
assessments
RPL is normally performed by the following:
 Institutions/ workplaces/training providers in
combination with employment centres
 Organisations that vary in their strategies
 Registered moderators/assessors
Some of the context include:
 purpose of assessment
 person conducting the assessment
 evidence gathering opportunities
 environment where it is conducted
 relationship between learning activities and
competency standards
 apportioned fees or costs
 quality assurance mechanism
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6. Briefly explain the two guiding principles underlying the
context for reasonable adjustment in assessment activities:
a) inclusive practice
b) universal design
Inclusive
practice
Inclusive practice refers to the use of a plethora
of teaching strategies, with the aim of meeting
the individual requirements, and providing
knowledge involvements that:  are able to
take into account opposing learning classes or
preferences  distinguish the alterations
among learners  safeguard no one is omitted.
Universal
design
Universal design refers to the formulation and
design of specific instructional resources,
courses, and lessons to be available and
serviceable by learners with extensively
diverse upbringings and abilities.
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7. Which of the following describes applicable reasonable
adjustments:
☒
i. A Spanish candidate taking the qualification
‘10557NAT - Certificate IV in TESOL’ is having
difficulty completing the written assessment in English
and requests to take the assessment in Spanish.
☒
ii. A candidate having difficulty completing the written
assessment due to fractured wrists requests to take the
assessment verbally.
☐
iii. A candidate without access to qualified supervisors to
observe his/her performance requests to submit a video
recording of his performance to the assessor.
☐
iv. A candidate required to demonstrate performance of a
task does not have access to a qualified observer or
video recorder. He requests to submit a detailed
written report about the completed procedure.
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8. Match the following types of evidence to their correct
descriptions.
a. Direct evidence
b. Indirect evidence
c. Supplementary evidence
Description
Direct evidence i. Evidence observed and assessed by the
assessor first-hand
Indirect
evidence
ii. Evidence gathered through a third-party
observer and assessed by the assessor
Supplementary
evidence
iii. Other pieces of evidence that can indicate
relevant performance or completion of a
requirement
9. List the five (5) components of an assessment tool.
An assessment tool comprises of several components that ensure its
conduction in an efficient, reliable and valid manner. The five
components are:
 Context and circumstances of the assessment
 Task that needs to be administered to the learners
 Outline and agenda of the evidence that will be collected from the
learner
 Evidence criteria that will be used for exploring the performance
quality
 Recording, administration and reporting requirements
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10. Briefly explain the difference between assessment tools and
assessment instruments.
 An assessment tool refers to the whole set of certification wanted to
measure at one (or more) Unit(s) of Competency. Each valuation tool
comprises of 2 – 3 instruments, each of which support a range of
assessment methods (e.g. questioning and observation checklist). The
tool also comprises of management, recording and writing
requirements, and label the setting and circumstances of assessment.
 An assessment instrument is considered to be a portion of an
assessment tool. It comprises of checklists, other instruments and
orders needed for the conduction of a share of a competency-based
valuation (e.g. observation checklist, written test with answes, log
book, verbal interrogative instrument, etc). All instrument are able to
sketch the evidence the applicants need to source, and define the
evidence standards used to evaluate the excellence of performance.
11. Suppose you are to conduct a written assessment for the unit
BSBFIA401 in a classroom setting.
List three (3) resources needed to conduct the written assessment.
Indicate any costs or fees that are relevant to the assessment.
Guidance:
 Indicate how many of each resource is required and who
should provide them.
 For example: Assessment workbook – one/student (provided
by RTO)
 Workbook- to be performed by the student
 Exercise books
 Office equipment
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12. Discuss how an assessor can demonstrate cultural sensitivity
and equity considerations in assessment activities.
Provide two ways (2) for each.
Ways how you can demonstrate this
Cultural
sensitivity
1. Pay consideration to self-preconceptions
and biases, and ask questions, in place of
making expectations.
2. Nurture knowledge about diverse cultures.
Equity
consideratio
n
1. Consider the local and distributional impacts
that might vary across boundaries
2. Provide help to individuals who are falling
behind at their schools and reducing the year
repitition
13. From the list below identify three (3) types of evidence that can
be submitted for a recognition of prior learning assessment.
☒ i. observation record completed by the assessor for
the candidate
☐ ii. testimony from friends and family
☒ iii. certification from previous employers
☒ iv. portfolio of evidence
☒ v. workplace documents
Assessment Workbook 3Version No. 2.3 Produced 21 September 2018
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Part 3 – Validation
1. From the options listed, select two (2) reasons for carrying out
assessment validation.
☒ i. To ensure that assessment strategies meet the learning
needs of the students.
☒
ii. To ensure that assessment processes, assessment
resources and assessment outcomes follow the principles
of assessment and the rules of evidence.
☐ iii. To ensure that the training provider always provides
access to assessment outcomes when requested.
☐ iv. To ensure that only a few candidates are able to receive
competent marking.
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2. Describe different approaches to validation in the following stages
of an assessment:
Stage of
assessment Approaches to validation
Before
assessment
Training Package Working and Advisory Group ensures
whether the lecturers are working together for
development of the assessment tools for clusters and
units.
During
assessment
Quality assurance needs to be conducted by qualified
individuals or staff team members, who jointly have
appropriate qualifications. The assessment tools,
methods and processes would be compared, reviewed
and evaluated, besides ensuring that they are reliable
and valid.
After
assessment
Taking help from an external person such as, panel of
individuals for visiting the specific organization, with the
aim of judging the way the evidences of candidates have
been collected and arbitrated in contradiction of Unit(s)
of Competency. Alterations between the native and
external valuation judgements with then be either:
Deliberated and resigned consequently (i.e. if lead for
equability purposes); and/or Deliberated to classify
conducts in which developments to upcoming
assessment performs could be assumed (when conducted
for validation drives).
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3. The following are critical aspects of validation. In your own words,
describe each.
Your response must be between 100 – 150 words.
Critical
aspects
of
validation
Description
Reviewing
assessme
nt
practice
Validation helps in the determination whether the
assessment tools have created the envisioned evidence.
Validators have the responsibility of exploring the evidence
present in the sample, followed by determination of reliable,
valid, current, sufficient, and authentic. The process takes
into consideration the following aspects:
 Complains with assessment necessities of the training
products
 Ensuring adherence to principles of flexibility,
fairness, reliability, and validity
 Designing of the tool for producing sufficient, valid,
current and authentic evidence
 Appropriateness of the tool in terms of the difficulty
level of the errands to be achieved, in relation to the
expertise and acquaintance necessities of the unit
 Presence of adequate guidance regarding collection
of evidence from learners
 Outlining suitable reasonable changes that can be
made for collection of assessment evidence
 Adherence to the preferences of RTO assessment
system
Reviewing
assessme
nt
judgeme
nts
While conducting a review of the assessment judgements,
the validators should reflect whether the beginners’
assessment evidence:
 obeys the assessment preferences, in relation to
pertinent training product
 proves that the valuation was conducted with justice,
flexibility, cogency and reliability, and
 is lawful, sufficient, true and up-to-date.
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4. List the four principles of assessment and explain how each of
them is applied in validation of competency-based assessments.
Principles of
Assessment Application in validation
Reliability
If a specific valuation were completely reliable,
evaluators acting self-sufficiently using the similar
standards would reach similar judgment, in
relation to a certain work. In accordance to quality
assurance, values and equality, whilst knowing
that comprehensive objectivity is unbearable to
achieve, summative assessment is an objective
worth targeting for.
Fairness
Fair assessments are those that are designed in a
manner that does not prevent or stop learners
from completing them due to personal
characteristics.
Flexibility
Flexible assessments can effectively be used across a
plethora of sites of delivery and still be able to
meet the needs of the learner
Validity An assessment is valid when it explores the things it
intends to assess.
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5. List the four rules of evidence and explain how they are applied in
the validation of competency-based assessments.
Rules of
evidence Application in validation
Valid Assessments must relate to capability being measured,
and it should match the capability.
Current The evidences must be up-to-date and appropriate for
supporting a skill claim.
Authenti
c
The evidences must belong to learners and not any other
individuals.
Sufficien
t
Evidence quantity must be suitable so the assessor has
adequate material to make a decision
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6. List two (2) obligations of assessors when conducting or
participating in validation activities, under applicable
legislation and/or standards.
 Meeting the requirements for vocational competency
 Meeting the requirements of the contemporary industry skills
Assessment Workbook 3Version No. 2.3 Produced 21 September 2018
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Part 4 – Standards, Policies & Procedures
Compliant Training Services
Provided in the link below is the Training and Assessment Strategy
(TAS) of Compliant Training Services for the course TAE40116.
Compliant Training Services TAE40116 TAS
username: learner password: studyhard
Review the TAS and answer the questions that follow.
1. Briefly explain the following Compliant Training Services
policies and procedures:
Compliant Training
Services policies
and procedures
Explanation
Prerequisites/Entry
Requirements of
the course
There are no prerequisite or co-requisite for this
course. Only requirements for this course is that
the participant must be able to show vocational
competency.
Delivery and
Assessment Staff
Requirements
Requirements for Delivery and assessment
staff are:
 Possessor of valid assessor and trainer
qualification
 Have present professional development
 Recent vocational experience.
 Possessor of Valid Vocational
Qualifications
RPL Policy
This policy appropriately recognised any
prior informal and formal training, work
experience, learning and other life
experiences. It will ensure the rapid
progress of student through the unit.
Licensing,
Legislative,
Regulatory or
Certification
Considerations
There is no direct link between qualification
and licensing, legislative and regulatory
requirements. If required relevant
information regarding qualification and
licensing, legislative and regulatory
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requirements will be specified by the
competency unit.
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2. Match the following principles of assessment to their
definitions/characteristics.
a. Fairness
b. Flexibility
c. Validity
d. Reliability
The definitions below are taken and adapted from Table 1.8-1:
Principles of Assessment, of the Standards for RTOs 2015.
b. i. The learner’s needs are considered in the
assessment process.
d.
ii. Assessments against the unit/s of competency and
the associated assessment requirements cover the
broad range of skills and knowledge that are
essential to competent performance.
a.
iii. Evidence presented for assessment is consistently
interpreted and assessment results are comparable
irrespective of the assessor conducting the
assessment.
c. iv. The assessment reflects the learner’s needs
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Part 5 – Workplace Health and Safety
1. Complete the following information about workplace health and
safety:
Notifiable
incidents are:
Notifiable incidents are:
 If an employee does not use proper protective
gear like helmet, ear plug or clothing
 Manhandling of heavy machinery or operating
heavy machinery without safety guards.
 Operating damaged heavy machinery
 Employee not following
Notifiable
incidents
relate to:
Incidents which could give rise to illness or
injury or could have resulted in an illness or
injury.
If a notifiable
incident
occurs the
model WHS
Act sets out
that:
Employees present during the incident have to
inform their supervisor immediately. Along
with that they have to fill out their statement
in Hazard Report Form.
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2. Consider the following:
Scenario
You are going to conduct an assessment for the unit CPPCLO3036
– Clean at heights using an assessment tool in your organisation
where the candidate is instructed to demonstrate the safe use of
bosun chair, as shown in the photo below.
From the options given below, choose three (3) steps that will help
ensure the proper maintenance and safe use of the equipment
described in the scenario.
☒ ii. Immediately report any signs of damage found on the
equipment and remove it from service.
☒ iii. Regularly inspect the bosun chair and its rigging before and
after use, and record the results of the inspection.
☐ iv. Report signs of damage on the equipment, but do not
remove it from service.
☐ v. Conduct the assessment with the candidate without
inspecting the bosun chair or its accompanying straps.
☒ v. Before conducting the assessment, consult the instructions
for use from the manufacturer to ensure that maintenance
and use of the equipment is correct.
Assessment Workbook 3Version No. 2.3 Produced 21 September 2018
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3. Consider the following:
Scenario
You are going to conduct an assessment for the unit
CPPCLO3036 – Clean at heights using an assessment tool
in your organisation where the candidate is instructed to
demonstrate the safe use of a bosun chair.
There are no further instructions available to you or the
candidate, so you decide to read the instructions for use
from the manufacturer before conducting the assessment.
It states that:
 The unit must be withdrawn from use 7 years after the
manufacture date.
After inspecting the labels on the unit, you discover that
although the bosun chair does not show any visible signs of
wear, it is already meant to be withdrawn from service. You
determine that this assessment activity is too hazardous for
the candidate to complete.
Discuss the procedures you must follow to report this hazard.
Guidance: Your responses must be based on the procedures for
reporting hazards in place in your organisation OR in an
organisation you are familiar with.
Procedures that can be followed are mentioned below:
 The instrument will be removed from the inventory immediately.
 A verbal report will be delivered to the immediate supervisor.
 Related Hazard report form has to be completed
 Raising the issue at the proper authority for necessary actions.
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4. Answer the following questions about WHS responsibilities
relevant to emergency procedures:
Who holds the
duty to
prepare an
emergency
plan for the
workplace?
Persons conducting a business or undertaking
(PCBUs) are responsible for the preparation of
emergency plan for the workplace.
What must be
included in
the
emergency
procedures?
(list two)
Two must have emergency procedures are:
 Detailed floor plan indicating exits,
assembly points and location of fire
extinguisher.
 Navigations and indicators which clears
indicates the location of first aid, fire
extinguisher and assembly points.
5. From the options below, choose three (3) activities involved in the
maintenance of relevant equipment as identified in the ‘How to
Manage Work Health and Safety Risks’ code of practice.
☒ i. inspection of equipment
☐ ii. not assessing the control-measures set in place
☒ iii. repair and replacement of damaged equipment
☐ iv. identifying damage found on the equipment without
notifying the relevant personnel
☒ v. setting up control-measures that are suitable for the
work environment
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6. Answer the following questions about WHS responsibilities
relevant to personal protective equipment:
What is a
personal
protective
equipment?
Personal Protective Equipment is a type of equipment
which protects its user against the safety and health
risk at workplace. Example: helmets, protective
clothing, protective eyeglass, gloves etc.
When can
Personal
Protective
Equipment be
used?
Personal Protective Equipment should be used
as a last resort. Measures and safeguards
must be taken to negate the hazard issues
regarding the environment. Personal
Protective Equipment should be used when
hazards are unavoidable.
When should
PPE be
provided?
PPE should be provided during both the training
and the actual workplace environment.
What is the role
of the
assessor in
facilitating
the use of
PPE in a
training
environment?
The role of the assessor in facilitating the use of
PPE in a training environment are:
 To anticipate the probable situations or
risk factors which might cause illness or
injury.
 Take measurements against those
situations to minimize the chance of
occurrence for those risk factors
What are the
maintenance
requirements
for personal
protective
equipment?
Maintenance requirements for personal
protective equipment are:
 Must be cleaned and stored in the proper
conditions as required by the
instruments
 Regular monitoring for any damage or
safety issues.
 Using right and accurate replacement
parts
 Periodic cleaning and use of the PPE
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7. Complete the following table about sources of WHS
information:
Safe Work Australia
leads the development of national policy to
improve work health and safety and workers’
compensation arrangements across Australia
Model WHS Laws
forms the basis of the WHS Acts being enacted
across Australia to harmonise work health and
safety law.
WHS Regulations and
Codes
set out more detailed requirements to support the
duties in the Model Work Health and Safety
(WHS) Act.
Model Codes of
Practice
are practical guides to achieving the standards of
health, safety and welfare required under the
Work Health and Safety (WHS) Act and the WHS
Regulations in a jurisdiction.
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8. Review the hazard reporting procedure below and answer the questions that follow:
False True or False: Only WHS officers are authorised to take action in resolving hazard
identified.
Assess if it is safe to take
action What must an assessor do first if a hazard is identified in the assessment venue?
Complete a hazard form What must an assessor do if the hazard identified has not been resolved after taking
action to resolve it?
Assessment Workbook 3 Version No. 2.1 Produced 24 June 2017
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PRACTICAL ASSESSMENTS
Instructions to Student
This workbook contains all the instructions you need to complete the
practical assessment requirements relevant to this cluster.
This practical assessment will assist your completion of the assessment
activities relevant to the requirements of the units covered in this
workbook:
UNIT Assessment Requirements
TAEASS502
Design and develop
assessment tools+
develop three (3) assessment tools that support
different assessment methods, and address at least
one unit of competency each
TAEASS401
Plan assessment
activities and
processes
Plan and organise five (5) assessments
- Three (3) assessments (training and
assessment pathway)
- Two (2) RPL assessments (RPL pathway)
TAEASS403
Participate in
assessment
validation
Participate in three (3) validation sessions
These requirements will be addressed through the following projects:
 Project 1: Develop three assessment tools
- must cover three different units of competency
 Project 2: Plan and organise assessment for five candidates
- two of which must be RPL assessments
- assessments must be within the VET context against at least one endorsed or
accredited unit of competency
- development of two assessment instruments covering two units (different
from the units used in Project 1)
 Project 3: Participate in three validation sessions
Assessment Workbook 3 Version No. 2.1 Produced 24 June 2017
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PROJECT 1:
Develop Three Assessment Tools
Project Overview
This project requires you to develop three (3) assessment tools, each
covering at least one (1) different unit of competency.
The development of each assessment tool is divided into three parts:
Part 1: Plan development of assessment tool
Part 2: Develop the assessment tool
Part 3: Review and trial the assessment tool
This project can be completed through a real workplace or simulated
scenario. Instructions for both pathways are provided below, choose the
pathway that best suits your needs. If you have any concerns or queries,
please direct them to your assessor.
Before proceeding, select the pathway you will be
completing this project through:
☐ Workplace
☐ Simulated
Note: You must only select one (1).
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Instructions to Workplace Supervisor
Dear Workplace Supervisor,
Thank you for allowing the candidate to complete this Project in your
workplace. This Project requires the candidate to develop three (3)
assessment tools for at least one (1) unit of competency each.
Please read the candidate instructions that follow. You will be asked to
sign and date the following:
 Supervisor Consent Form
The Supervisor Consent Form documents that you have given
the candidate permission to conduct the Project tasks in
your workplace. It also states that candidates must be given
access to and permission to submit, organisational
documents relevant to the Project.
 Supervisor Declaration Forms
There are also Supervisor Declaration Forms for you to
complete in Step 1, and at the end of Step 3.
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Workplace Pathway
Project Requirements
To complete this project, you will need access to the following
resources:
 access to a client and/or clients to be assessed against three
(3) different units of competency, where one (1) must
require assessment through RPL
 consent forms completed by the candidate and your
workplace supervisor
Guidance: You must submit these to your assessor before
proceeding with the project. Follow the prompts provided to
you in the instructions.
 assessment tool development documentation
Guidance: You can submit documentation from your
organisation as long as they contain the requirements for
the assessment. The information you require to complete
the project will be outlined for you in the candidate
instructions.
Where the information required is not included in your
workplace documentation, please fill in the necessary
templates provided to you in this workbook.
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Step 1: Plan development of assessment tool
Part 1: Analyse the requirements of the assessment
a) Have your client/s and workplace supervisor sign and date the
consent forms provided in the link below.
TAE40116 Forms and Templates
Download “Workplace Consent Form Candidate,”
“Workplace Consent Form Supervisor”
Username: learner Password: studyhard
Once completed, submit these to your assessor. Save your
Consent Forms as,
Client
 WP_ConsentFormC1,
 WP_ConsentFormC2,
and so on.
Supervisor
 WP_ConsentFormSup
Note: to avoid confusion, you are referred to as the trainee
assessor in the Consent Forms. Briefly explain this to your
supervisor and client before asking them to complete their
respective Consent Forms.
Before beginning the project, you must ensure that your
workplace supervisor has read your instructions for this
Project and that you have briefed your supervisor that they
must sign the Supervisor Declarations provided here.
b) Access and review your clients’ profile, assessment plan or training
needs analysis documentation, and the relevant unit requirements
from training.gov.au
Note: at least one (1) of your clients must require assessment
through RPL
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c) Access your organisation’s assessment tool planning template, the
information provided in your clients’ profile/assessment
plan/training needs analysis will help you complete the relevant
documentation. You must submit one (1) assessment tool planning
template for each unit of competency. Determine the focus of the
assessment tool by completing the required information in the
assessment tool planning documentation.
Note: Before submitting your organisation’s assessment tool
planning template, please ensure that it includes the following
information:
 the unit of competencies to be covered by each
assessment tool
 the target group of candidates
 the purpose of the assessment tool
 the assessment pathway the candidate will take
 context in which the assessment tool will be used
 industry contacts
 industry requirements
 contextualisation guidelines
 other related documentation to inform assessment tool
development
 methods, instruments, and context of the assessments
If your organisation’s assessment tool planning template does
not include the information outlined above, please complete
the Assessment Tool Development Planning Template
provided in this workbook.
TAE40116 Forms and Templates
Download “Assessment Tool Development Planning Template”
Username: learner Password: studyhard
Note: If you choose to complete the Assessment Development
Planning Template provided in this workbook, you are not
required to complete parts 3 and 4 of this form. You can leave
these two parts blank for submission.
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d) Before proceeding to the next part of the assessment, you must
discuss and confirm the following details with your client/s:
 the unit/s of competency they will be assessed against, and
 their assessment pathway of choice
Note that if the client/s chooses to undergo RPL
assessment, you must take note of the evidence they can
submit. This information can help you as you develop
the assessment tools and instruments in Step 2.
You must have your workplace supervisor confirm that this has
been done by having them sign the declaration form below.
The names of the client/s present during the discussion and
confirmation session must be listed here.
Note, that during this activity, you will also be assessed for your
oral communication skills. You must be able to demonstrate
the following in your discussion with your supervisor:
 active listening,
 comprehension of client requirements, and
 appropriate use of grammar, vocabulary, and
pronunciation.
The declaration below is for your workplace supervisor to
complete, you must ensure that this form has been completed,
signed and dated before submission.
Supervisor Declaration
By signing this declaration, I am confirming that the candidate
discussed and confirmed the details of the assessment with the
client/s in my presence before proceeding with the project.
I am also confirming that the candidate demonstrated active
listening, adequate comprehension, and the appropriate use of
grammar, vocabulary, and pronunciation during our session.
Supervisor’s Name: Signature:
Position:
Date Signed:
Contact Number: Email Address:
Name of Client/s:
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e) Before moving to Step 2, review and analyse your determined
assessment methods and instruments against the requirements of
the unit with your supervisor. You must discuss and confirm the
accuracy of your information with your supervisor, including any
conflict/s between the client’s requirements and the unit
requirements. Revise your assessment tool development plan
according to your supervisor’s recommendations before
submission, if necessary.
Note, that during this activity, you will also be assessed for your
oral communication skills. You must be able to demonstrate
the following in your discussion with your supervisor:
 active listening,
 comprehension of client requirements, and
 appropriate use of grammar, vocabulary, and
pronunciation.
The declaration below is for your workplace supervisor to
complete, you must ensure that this form has been completed,
signed and dated before submission.
Supervisor Declaration
By signing this declaration, I am confirming that the candidate
discussed and confirmed the details of the assessments with me
before proceeding with the project.
I am also confirming that the candidate demonstrated active
listening, adequate comprehension, and the appropriate use of
grammar, vocabulary, and pronunciation during our session.
Supervisor’s Name: Signature:
Position:
Date Signed:
Contact Number: Email Address:
f) Once completed, save your assessment planning tool as
 [UNIT CODE – ATDP]
 [UNIT CODE – ATDP]
 [UNIT CODE – ATDP]
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Part 2: Design the assessment tool
a) Access your organisation’s competency mapping template, and
complete one (1) for each full unit of competency.
Use the information provided in the unit of competency and
assessment requirements to complete the competency mapping
template. Create a separate mapping competency mapping
document for each unit of competency. You should have three (3)
competency mapping documents at the end of this step.
b) When determining the most suitable methods of assessment for
the client/s consider the following questions:
 Who is your learner cohort?
 Who will collect the evidence?
 Where and how will the assessment be conducted?
 How will the assessment outcomes be recorded and
distributed to the candidates?
You should have already accessed this information in Part 1, and
discussed these with your supervisor. If necessary, discuss and
reconfirm these details with your workplace supervisor.
Note: Before submitting your organisation’s competency mapping
template, ensure that it includes the following:
 elements
 performance criteria
 performance evidence
 knowledge evidence
 assessment criteria
 assessment items and methods, you planned, that are
mapped to performance criteria, performance evidences,
knowledge evidences, and assessment criteria.
If your organisation’s competency mapping template does not
include the information outlined above, please complete the
Competency Mapping Template provided in this workbook.
TAE40116 Forms and Templates
Download “Competency Mapping Template”
Username: learner Password: studyhard
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c) Look at the assessment methods and instruments you plotted in
the assessment tool planning document, and map them against the
relevant performance criteria, performance evidence, knowledge
evidence, and assessment criteria. Ensure that the assessment
methods and instruments meet the requirements of the unit, if
necessary revise the assessment methods and instruments you
plotted earlier.
Note: The assessment methods you select must also meet the
principles of assessment, while the assessment instruments must
support the collection of evidence that meets the rules of evidence.
d) Once completed save your competency mapping template as:
 [UNIT CODE] – CMP
 [UNIT CODE] – CMP
 [UNIT CODE] – CMP
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Step 2: Develop assessment tool
Develop the assessment instruments
a) Access and review the assessment instrument templates
available to you in your workplace. For any questions and
concerns, direct them to your workplace supervisor or your
assessor.
When reviewing the assessment instrument templates, consider
the assessment pathway the client/s wants to take. For
instance, if the client/s wants to be assessed through the RPL
pathway you can create assessment instruments that will
allow them to present evidence of their current competency.
b) Use these templates to develop assessment instruments that
support the collection of evidence required by the unit.
Remember to provide clear and specific instructions to both
the candidate and assessor when using or administering the
assessment instrument.
The assessment tasks must address the requirements of the unit,
including:
 performance criteria
 performance evidence
 knowledge evidence
 assessment conditions, and
the client’s needs.
Where necessary, add further guidance to ensure that the
assessment tools reflect the principles of assessment and the
rules of evidence.
c) When developing assessment instruments, consider the
following:
 assessment system policies and procedures
 storage and retrieval needs
d) Return to the competency map you completed in Step 1 and
look at the assessment tasks mapped in the assessment
instruments, ensure that the tasks meet the unit
requirements. If necessary, revise the competency map to
meet any changes you make.
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e) Note that each assessment instrument must include clear and
specific instructions for,
 the administration of the assessment
 submission (for the student)
 marking, including guides and benchmark answers (for the
assessor only)
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f) Save each assessment instrument using the filename:
 [UNIT CODE] – instrument1
 [UNIT CODE] – instrument2
 [UNIT CODE] – instrument3, etc.
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Step 3: Review and trial assessment tool
Part 1: Review the assessment tools.
a) Find two (2) volunteers to participate in the review of the
assessment tool. Ideally, find people who are:
 Relevant industry experts
 Other trainers and assessors
You must facilitate the review of the assessment tools. This can
be done through video conference or face-to-face session, etc.
with the volunteers as long as you are able to demonstrate the
following during the session:
 active listening
 comprehension of assessment requirements
 appropriate use of grammar, vocabulary, and
pronunciation
b) Provide a copy of the assessment tool and the assessment map to
your volunteers. Have them review the assessment tool and the
assessment map using the review form linked below:
TAE40116 Forms and Templates
Download “Assessment Tool Review Form”
Username: learner Password: studyhard
Note: Ensure that your volunteers have signed and dated the
declaration section, and provided their contact details. Your
assessor may contact your volunteers to confirm their
responses or feedback when necessary.
c) Save the completed assessment tool review forms using the
filenames:
 [UNIT CODE]-ATR1
 [UNIT CODE]-ATR2
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Part 2: Amend the assessment tools as needed
a) Based on the outcome of the review you completed in part 1,
amend the assessment tool as needed.
b) On the space provided below, list the changes you made to the
assessment tools following the outcome of your review.
Unit Code Assessment Instrument
Write the filename/s of the
assessment instrument
Amendments
Outline the amendments you have
done on the document
c) Save the amended assessment instruments, using the same
filenames, and adding the prefix “.v2” (for version 2).
Guidance: For example, one of the unit of competencies you
created an assessment for is BSBCMM401 Make a
presentation, the original document has the file name:
BSBCMM401-instrument1, while the amended document
should have the file name: BSBCMM401-instrument1.v2
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Part 3: Trial the assessment
a) Find two (2) volunteers to trial the assessment. Ideally, find
volunteers who have similar characteristics to, and levels of ability
of, the target learner group.
b) Facilitate the assessment for the volunteers, following the
assessment procedures intended in the administration of the
assessment tool.
You must facilitate the review of the assessment tools. This can
be done through video conference or face-to-face session, etc.
with the volunteers as long as you are able to demonstrate the
following during the session:
 active listening
 comprehension of assessment requirements
 appropriate use of grammar, vocabulary, and
pronunciation
c) Once completed, collect their feedback using an assessment
evaluation form. If your organisation has its own assessment
evaluation form, you can submit these as long as they include the
following:
 a space for the clients to rate the assessment and the
candidate’s performance,
 a space for the clients to leave their comments or feedback
for the candidate, and
 a declaration section for the volunteers to sign that states
that confirms that all of their rating of your performance
reflected in the feedback form are accurate and true, and
that they observed your oral communication skills to be
adequate.
If your organisation’s forms do not include the above, you can
submit the Assessment Evaluation Form provided in this
workbook.
TAE40116 Forms and Templates
Download “Assessment Workbook Evaluation Form”
Username: learner Password: studyhard
Note: To avoid confusion, you are addressed as the trainee
assessor in the Assessment Evaluation Form. Briefly explain
this to your volunteers before asking them to complete the
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form. Ensure that your volunteers have signed and dated the
declaration section, and provided their contact details. Your
assessor may contact your volunteers to confirm their
responses or feedback when necessary.
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d) Submit the completed feedback forms using the filenames:
 [UNIT CODE]-ATFF1
 [UNIT CODE]- ATFF2
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Part 4: Make final amendments
a) Based on the feedback from the trial you completed in step 3,
amend the assessment tool as needed.
b) On the space provided below, list the changes you made to the
assessment tools following the outcome of your review.
Unit Code Assessment Instrument
Write the filename/s of the
assessment instrument
Amendments
Outline the amendments you have
done on the document
c) Save the amended assessment instruments, using the same
filenames, and adding the prefix “.Final”.
Guidance: For example, one of the unit of competencies you
created an assessment for is BSBCMM401 Make a
presentation, the original document has the file name:
BSBCMM401-instrument1.v2, while the amended document
should have the file name: BSBCMM401-instrument1.Final
Supervisor Declaration
By signing this declaration, I am confirming that the candidate
completed all of the tasks outlined in the Workplace Pathway
Instructions for Project 1.
Supervisor’s Name: Signature:
Position:
Date Signed:
Contact Number: Email Address:
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At the end of this project you must submit the following documents:
Document Unit Code 1 Unit Code 2 Unit Code 3
Assessment
Tool
Development
Plan for each
unit:
[UNIT CODE]-
ATDP
[UNIT CODE]-
ATDP
[UNIT CODE]-
ATDP
Competency
Map for each
unit:
[UNIT CODE]-
Competency Map
[UNIT CODE]-
Competency Map
[UNIT CODE]-
Competency Map
Assessment
Instruments
for each
unit:
[UNIT CODE]-
instrument1
[UNIT CODE]-
instrument1
[UNIT CODE]-
instrument1
Two
accomplishe
d
Assessment
Tool Review
for each
unit:
[UNIT CODE]-
ATR1
[UNIT CODE]-
ATR2
[UNIT CODE]-
ATR1
[UNIT CODE]-
ATR2
[UNIT CODE]-
ATR1
[UNIT CODE]-
ATR2
If applicable,
amended
instruments
after the
review:
[UNIT CODE]-
instrument1.V2
[UNIT CODE]-
instrument1.V2
[UNIT CODE]-
instrument1.V2
Two
accomplishe
d
Assessment
Trial
Feedback
Form for
each unit:
[UNIT CODE]-
ATFF1
[UNIT CODE]-
ATFF2
[UNIT CODE]-
ATFF1
[UNIT CODE]-
ATFF2
[UNIT CODE]-
ATFF1
[UNIT CODE]-
ATFF2
If applicable,
amended
instruments
after the
trial:
[UNIT CODE]-
instrument1.Final
[UNIT CODE]-
instrument1.Final
[UNIT CODE]-
instrument1.Final
Other documents that you must submit for assessment:
 Client and Workplace Supervisor Consent Forms
 Assessment Plans
You must submit one (1) assessment plan for each candidate you
will be creating the assessment tool and instruments for, save
the files as:
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o Client1 – AP[UNIT CODE]
o Client 2 – AP[UNIT CODE], etc.
Note that if the assessment plan does not contain all the
information required in Step 1, you can also submit a copy of
the Client’s Profile or a copy of a Training Needs Analysis
completed for the candidates/learner group.
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Simulated Pathway
For the simulated pathway, the relevant forms and templates will be
provided to you to document your performance, note that these may
not meet the standard documentation used in your workplace.
You will be required to complete the tasks in this project through the
details provided in the Case Study below. Specific information about
the task will also be provided through the Role Play with your assessor.
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CASE STUDY 1: Compliant Learning Resources
Compliant Learning Resources (Compliant) is known for leading
the way in the development of Quality Learning and Assessment
Resources for high demand qualifications in Australia’s
Vocational Education and Training (VET) sector. Compliant’s
design and development process focuses on:
 Real World Simulations that Enhance the Adult Learning
Experience
 Industry Relevant Learning Resources
 Training Package Compliant Assessment tools
 Rigorous Validation to Ensure You Get Through Audit
You may read more about Compliant Learning Resources by
clicking on the logo below:
(Username: learner Password: studyhard)
Scenario:
Abigail is working as a Junior Instructional Designer for Compliant
Learning Resources. ABC Training Services, a long-time client of
Compliant, has just placed an order for three assessment tools,
one for each of the following units:
1. BSBITU101 - Operate a personal computer
2. BSBITU102 - Develop keyboard skills
3. BSBITU201 - Produce simple word processed documents
These units will be used in ABC’s Certificate I in Business course.
Danah Roberts is the Training Manager of ABC Training Services.
She is the contact person for this project. Below is her email
outlining the specifications of the project.
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From: [e-mail]
To: [e-mail]
Subject: Design Specifications
Hi Abigail,
It was lovely meeting you the other day to discuss this new project.
As agreed, we have arranged for Compliant Learning Resources to develop
the assessment tools for the following units:
1. BSBITU101 - Operate a personal computer
2. BSBITU102 - Develop keyboard skills
3. BSBITU201 - Produce simple word processed documents
I would like you to develop one assessment tool for each unit.
Should you have any questions or concerns, please don’t hesitate to send
me an email, or call me at 1234567890.
I look forward to seeing the finished resources!
Cheers,
Danah Roberts
ABC Training Services
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For this project, you will be playing the role of Abigail. Your task is to
develop three (3) assessment tools according to the specifications of
the client, and in compliance with Compliant Learning Resources’
relevant standards, policies, procedures and quality guidelines.
The development of each assessment tool must follow the steps
outlined below:
Step 1: Plan development of assessment tool
Step 2: Develop assessment tool
Step 3: Review and trial assessment tool
Follow the instructions and prompts provided to you below, and
complete the templates accordingly.
For the purpose of this assessment, your assessor will play the role of
Danah Roberts, the Training Manager of ABC Training Services. Should
you have any questions or concerns about the task, you may direct
them to your assessor.
Note, that during this activity, you will also be assessed on your oral
communication skills. To complete this assessment, you must book a
call with your client (assessor) to confirm the requirements required to
complete your “Development Planning Template”. During this
conversation you must satisfactorily demonstrate the following skills:
 active listening,
 comprehension of client requirements, and
 appropriate use of grammar, vocabulary, and pronunciation.
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Step 1: Plan development of assessment tool
Part 1: Analyse the requirements of the assessment
a) Download the Assessment Tool
Development Planning Template provided
in the link below:
TAE40116 Forms and Templates
Download “Assessment Tool Development Planning Template”
Username: learner Password: studyhard
b) Access the relevant unit requirements
from https://training.gov.au, and review
them.
c) Your assessor will play the role of the
client, Danah Roberts, the training
manager of ABC Training Services. You
must contact the client and discuss with
them the requirements of the assessment.
The information the client provides to you
will help you complete Part 1 of the
Assessment Development Planning
Template.
Note, that during this activity, you will also be assessed for your
oral communication skills. To complete this assessment, you
must book a call with your assessor. You must demonstrate
the following to achieve a ‘yes’ mark in the assessment
criteria:
 active listening,
 adequate comprehension, and
 appropriate use of grammar, vocabulary, and
pronunciation.
d) Review and analyse the client requirements against the
requirements of the unit with your client. Discuss with the
client if there are conflict/s with their requirements against
the requirements of the unit.
e) Determine the focus of the assessment tool by completing
the first part of the Planning Template provided. You must
create one (1) Assessment Planning Template for each unit.
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An example is provided below for your reference:
Note: You will be asked to complete Part 2 of the Assessment
Tool Development Planning Template, after completing Part 1
read the next set of instructions before completing Part 2. You
are not required to complete Parts 3 and 4 of the Assessment
Tool Development Planning Template.
Part I: Assessment Tool Focus
Target group of candidates
Guidance: List and
describe the target
group of candidates that
will be completing this
assessment tool
Participants in this program are predominantly:
 People who are presently employed, or wish to be employed in
accounting job roles with duties such as.
 Operational reporting
 Producing non-complex management reports including
compiling budget information
 Compiling data for job costing reports
 Supervising the operation of computer-based financial systems
 Classifying, recording and reporting accounting information
 Maintaining inventory records
 Managing a small office
 Ensuring relevant legal requirements are adhered to
Purpose of the assessment tool
Guidance: determine the
specific skills and
knowledge assessed by
the tool
To assess the candidate’s skills and knowledge required to prepare,
document and manage budgets and forecasts, and encompasses
forecasting estimates and monitoring budgeted outcomes.
Assessment pathway
Guidance: Select the
pathway appropriate for
the client requirements
Training and Assessment
RPL
If client would like to be assessed through RPL, identify the evidence the
candidate can present. Select all that apply.
Statement of Attainment
References from former employers
References from clients
Work Samples (please specify)
________________________
________________________
________________________
Others (please specify)
__________________
__________________
__________________
Context in which the
assessment tool will be used
Guidance: determine the
environment in which
the assessment will be
To be conducted in a safe environment where evidence gathered
demonstrates consistent performance of typical activities experienced in
the accounting field of work and include access to: common office
equipment, technology, software and consumables.
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carried out, including
real or simulated
workplace
Assessment tool will provide instructions to complete the assessment in a
workplace environment or in a simulated environment.
Industry contacts
Guidance: List at least
two industry contacts,
individuals or
organisations, to conduct
industry consultations
with.
Felicia Flock – PwC Associate, Operational Consulting
Kelly Kegan – Diploma of Accounting, Trainer and Assessor, ABC
Training Services
Mathew Morgan – Senior Accountant, Accountability Now
Industry requirements
Guidelines: List specific
application/s of the unit
relevant to the industry
requirements
The unit has application to job roles that have responsibility for
managing budgets and forecasts such as accountants and chief financial
officers.
Contextualisation guidelines
Guidance: refers to
relevant training
package or accredited
course contextualisation
guidelines
Assessment must ensure competency is demonstrated in the context of
the financial services work environment and conditions.
Other related documentation
to inform assessment tool
development
Guidance: may include
but are not limited to:
information from the
competency standards
about:
 resources
required for
assessment
 assessment
context
 appropriate
assessment
methods
Assessment must ensure access to and the use of a range of common
office equipment, technology, software and consumables.
Method of assessment used to assess practical skills and knowledge will
include:
 evaluating an integrated activity which combines the elements
of competency for the unit or a cluster of related units of
competency
 verbal or written questioning on underpinning knowledge and
skills which may include formal examinations
 setting and reviewing workplace projects and business
simulations
 evaluating samples of work
 accessing and validating third party reports.
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Part 2: Design the assessment tool
a) Download the Competency Mapping Template provided in the
link below:
TAE40116 Forms and Templates
Download “Competency Mapping Template”
Username: learner Password: studyhard
b) Complete a competency map for each of the following units of
competency:
BSBITU101 Operate a personal computer
BSBITU102 Develop keyboard skills
BSBITU201 Produce simple word processed
documents
Use the information provided in the unit of competency and
assessment requirements.
c) Create a separate competency map document for each unit of
competency. You should have three (3) competency mapping
documents at the end of this step. Save each document using the
filename: [UNIT CODE]-Competency Map You do not need to fill
in the Assessment Method fields for now, you will come back to
that in the next step of this Project.
d) Review and analyse the unit of competency and assessment
requirements
e) Determine the most suitable methods for assessment. Consider
the following:
a. Who is your learner cohort?
b. Who will collect the evidence?
c. Where and how will the assessment be conducted?
d. How will the assessment outcomes be recorded and
distributed to the candidates?
This information has been provided to you through your
conversation with your client (assessor) in the Part 1. If
necessary, contact your client to reconfirm these details.
f) Once you’ve decided on the assessment methods you will use in
the assessment tool, determine the assessment instruments you
will use to collect assessment evidence.
Note: The assessment methods you select must meet the principles
of assessment, while the assessment instruments must support
the collection of evidence that meets the rules of evidence.
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g) Complete the second part of the Planning Template you
downloaded in Part 1. An example is provided below for your
reference:
By this time, you have already completed the necessary parts of the
Assessment Tool Development Plan. Save the completed
document using the filename: [UNIT CODE]-ATDP
Note: You are not required to complete Parts 3 and 4 of the
Assessment Tool Development Plan.
Part 2: Assessment Tool Design
Assessment methods
Guidance: select
assessment
methods to be
used for the
assessment tool
Assessment instruments
Guidance: list at least two
different assessment
instruments for each
selected assessment
method, to provide
options for collection of
evidence
Assessment context
Guidance: indicate the
context in which the
assessment will take
place, and how the
assessment
instruments will be
administered
Direct observation Observation form
Video recording
Observation in a workplace/
Observation in a simulated work
environment in a classroom
Product based
methods
Reports
Presentations
Case study
Projects
Portfolio
Questioning Questionnaire (written)
Questionnaire (oral)
Written questions (multiple
choice, True or False,
and short answer tests)
Oral examination
Third-party
evidence
Others:
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Step 2: Develop assessment tool
Develop the assessment instruments
a) Develop the assessment instruments that support the collection
of evidence required by the unit.
Note: Remember to provide clear and specific instructions to
both the candidate and assessor for the use or
administration of the assessment instrument. Add further
guidance if necessary, to ensure that the assessment tools
reflect the principles of assessment and the rules of
evidence.
b) Templates for different types of assessment instruments are
provided in the link below:
TAE40116 Forms and Templates
See list for Assessment Instruments
Username: learner Password: studyhard
c) Edit the templates as needed to meet the requirements of the
assessments
When reviewing the assessment instrument templates,
consider the assessment pathway the client/s wants to take.
For instance, if the client/s wants to be assessed through the
RPL pathway you can create assessment instruments that
will allow them to present evidence of their current
competency.
d) Develop the assessment tasks to address all the requirements of
the unit:
a. Performance criteria
b. Performance evidence
c. Knowledge evidence
d. Assessment Conditions
e) When developing the assessment tasks, consider relevant:
 assessment system policies and procedures
 storage and retrieval needs
Consider the candidate’s needs when developing the
assessment tasks.
f) Using the competency map you completed in Part 1, map each
assessment task to the corresponding unit requirement it is
addressing. An example is provided for you below:
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g) Each assessment instrument must include clear and specific
procedures for the assessor and the candidate
a. For the administration of the assessment
b. Submission instructions (for the student)
c. Marking guide and benchmark answers (for the assessor
only)
h) Save each assessment instrument using the filename:
[UNIT CODE]-instrument1, [UNIT CODE]-instrument2, etc.
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Step 3: Review and trial assessment tool
Part 1: Review the assessment tools.
a. Find two volunteers to participate in the review of the
assessment tool. Ideally, find people who are:
 Relevant industry experts
 Other trainers and assessors
You must facilitate the review of the assessment tools. This can
be done through video conference or face-to-face session,
etc. with the volunteers as long as you are able to
demonstrate the following during the session:
 active listening
 usage of appropriate grammar, vocabulary, and
pronunciation
 adequate comprehension
b. Provide a copy of the assessment tool and the assessment
map to your volunteers. Have them review the assessment
tool and the assessment map using the review form linked
below:
TAE40116 Forms and Templates
Download “Assessment Tool Review Form”
Username: learner Password: studyhard
Note: Your volunteers must sign and date the declaration
found at the end of the Assessment Tool Review Form for
their feedback to be considered valid. They must also
provide their contact details in case your assessor will need
to call for confirmation.
c. Save the completed assessment tool review forms using the
filenames:
- [UNIT CODE]-ATR1
- [UNIT CODE]-ATR2
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Part 2: Amend the assessment tools as needed
a) Based on the outcome of the review you completed in step 1,
amend the assessment tool as needed.
b) On the space provided below, outline the amendments you’ve
done on the assessment tools.
Unit Code Assessment Instrument
Write the filename/s of the
assessment instrument
Amendments
Outline the amendments you have
done on the document
c) Save the amended assessment instruments, using the same
filenames, and adding the prefix “.v2” (for version 2).
For example, if you amended instrument 1 from the BSBITU101
assessments, the original document would have the filename:
‘BSBITU101-instrument1’, while the amended document will have the
filename: ‘BSBITU101-instrument1.V2’.
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Part 3: Trial the assessment
a) Find two volunteers to trial the assessment. Ideally, find
volunteers who have similar characteristics to, and levels of
ability of, the target learner group.
b) Facilitate the assessment for the volunteers, following the
assessment procedures intended in the administration of the
assessment tool.
You must facilitate the review of the assessment tools. This can
be through video conference or face-to-face session, etc.
with the volunteers as long as you are able to demonstrate
the following during the session:
 active listening
 usage of appropriate grammar, vocabulary, and
pronunciation
 adequate comprehension
c) Once completed, seek their feedback using the Assessment Trial
Feedback form provided below:
TAE40116 Forms and Templates
Download “Assessment Trial Feedback Form”
Username: learner Password: studyhard
Before wrapping up the trial, ensure that your volunteers have
signed and dated the declaration section, and provided their
contact details. Your assessor may contact your volunteers
to confirm details when necessary.
d) Submit the completed feedback forms using the filenames:
- [UNIT CODE]-ATFF1
- [UNIT CODE]- ATFF2
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Part 4: Make final amendments
a) Based on the feedback from the trial you completed in step
3, amend the assessment tool as needed.
b) On the space provided below, outline the amendments
you’ve done on the assessment tools.
Unit Code Assessment Instrument
Write the filename/s of the
assessment instrument
Amendments
Outline the amendments you have
done on the document
c) Save the amended assessment instruments, using the same
filenames, and adding the prefix “.Final”.
For example, if you amended instrument 1 from the BSBITU101 assessments,
following the recommendations from the trial feedback, the amended
document will have the filename: ‘BSBITU101-instrument1.Final’.
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At the end of this project you must submit the following documents:
Document BSBITU101 BSBITU102 BSBITU201
Assessment
Tool
Development
Plan for each
unit:
BSBITU101-ATDP BSBITU102-ATDP BSBITU201-ATDP
Competency
Map for each
unit:
BSBITU101-
Competency Map
BSBITU102-
Competency Map
BSBITU201-
Competency Map
Assessment
Instruments
for each
unit:
BSBITU101-
instrument1
BSBITU102-
instrument1
BSBITU201-
instrument1
Two
accomplishe
d
Assessment
Tool Review
for each
unit:
BSBITU101-ATR1
BSBITU101-ATR2
BSBITU102-ATR1
BSBITU102-ATR2
BSBITU201-ATR1
BSBITU201-ATR2
If applicable,
amended
instruments
after the
review:
BSBITU101-
instrument1.V2
BSBITU102-
instrument1.V2
BSBITU201-
instrument1.V2
Two
accomplishe
d
Assessment
Trial
Feedback
Form for
each unit:
BSBITU101-
ATFF1
BSBITU101-
ATFF2
BSBITU102-
ATFF1
BSBITU102-
ATFF2
BSBITU201-
ATFF1
BSBITU201-
ATFF2
If applicable,
amended
instruments
after the
trial:
BSBITU101-
instrument1.Final
BSBITU102-
instrument1.Final
BSBITU201-
instrument1.Final
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PROJECT 2:
PLAN AND ORGANISE ASSESSMENTS
This project is divided into two parts:
Part 1: Training and Assessment Pathway
- Plan and organise assessments via the training and
assessment pathway
Part 2: RPL Assessment Pathway
- Plan and organise assessments via the RPL assessment
pathway
You will be provided with a case study to perform all the tasks included in
this project. The case study will include all the instructions and
information you need to complete this project.
CASE STUDY 2: Makoto Miyagi
Makoto Miyagi was an Automotive Technology Teacher in Tokyo for
seven years. He moved to Australia with his family two years ago. In
the last two years, he focused on developing his English communication
skills, and completing his qualification for AUR40616 Certificate IV in
Automotive Electrical Technology. He aims to work as an automotive
electrical technology trainer in Australia.
He is now working on his TAE40116 Certificate IV in Training and
Assessment course.
Makoto had just completed the lectures and workshops for the design
cluster which covers the following units:
 TAEDES401 Design and develop learning programs
 TAEDES402 Use training packages and accredited courses to meet client
needs
 TAELLN411 Address adult language, literacy and numeracy skills
Makoto is ready to take the assessment tasks for these units and has
requested to take the assessments on the following dates:
- 7 July 20xx* - TAEDES401
- 14 July 20xx* - TAEDES402
- 21 July 20xx* - TAELLN411
*20xx is current year
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Part 1: Training and Assessment Pathway
This part is divided into three steps:
 Review and analyse the assessment requirements
 Prepare an assessment plan for each of the units
 Identify modification and contextualisation requirements for
existing assessment tools
To assist you in the completion of these steps, use the Assessment Plan
Template provided in the link below:
TAE40116 Forms and Templates
Download “Assessment Plan Template”
Username: learner Password: studyhard
Note, that during this activity, you will also be assessed for your oral
communication skills. To complete this assessment, you must book a
call with your assessor. You must demonstrate the following to achieve
a ‘yes’ mark in the assessment criteria:
 active listening,
 adequate comprehension, and
 appropriate use of grammar, vocabulary, and pronunciation.
Before completing the assessment plan, you must contact your assessor
to confirm:
 the purpose, context, and details of the assessment, and other
information needed to complete the ‘Background of Assessment’
field in the Assessment Plan Template.
You are also provided with Makoto’s student profile to help get a
better picture of Makoto’s assessment needs.
Name: Makoto Miagi Start Date:
Qualification Code: TAE40116 End Date:
Course Title: Certificate IV in Training and Assessment Status: Active
Course Packaging
Cluster Unit Code Unit Name Status
Design
Cluster
TAEDES401 Design and develop learning programs
TAEDES402 Use training packages and accredited courses to meet
client needs
TAELLN411 Address adult language, literacy and numeracy skills
Delivery
Cluster
TAEDEL401 Plan, organise and deliver group-based learning
TAEDEL402 Plan, organise and facilitate learning in the workplace
BSBCMM401 Make a presentation
Assessment
Cluster
TAEASS401 Plan assessment activities and processes
TAEASS402 Assess competence
TAEASS403 Participate in assessment validation
TAEASS502 Design and develop assessment tools
Student Profile
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Core Skills
Summary of ACSF alignment of learner’s skills
CommentsLevel
1
Level 2 Level 3 Level 4 Level 5
Learning 
Identifies personal strengths and
weaknesses in different contexts
and seeks to develop skills and
knowledge in areas of need
Reading 
Makes content predictions on the
basis of prior knowledge of the
subject and emerging
understanding of text structures
Writing 
Refers to dictionary to check
spelling or vocabulary choices;
Extends key vocabulary to include
personal details of self, family and
relevant others, most aspects of
everyday life and other vocabulary
of personal significance
Oral
Communication 
Begins to provide key information
relevant to an exchange;
Uses simple questions and
instructions in order to exchange or
obtain goods or services, or gather
and provide information
Numeracy 
Interprets and comprehends a
range of everyday mathematical
information that is embedded in
familiar and routine texts
NOTES
Makoto is an expert in his field, auto mechanics. He’s been an automotive instructor in
Japan for 7 years, and has been running his own shop for 3 years. He moved to Australia
two years ago and is seeking to get employment facilitating relevant workshops in a local
RTO in Brisbane. Although technically very qualified in training and his field of expertise,
Makoto has some language and communication challenges. He was able to complete
most of his requirements for his AUR40616 Certificate IV in Automotive
Electrical Technology qualification via RPL assessment.
You must complete one (1) assessment plan for each unit of
competency and have three (3) files ready for submission at the end of
this project. Once completed, save the Assessment Plans using the
following filenames:
 AssessmentPlan TAEDES401
 AssessmentPlan TAEDES402
 AssessmentPlan TAELLN411
After completing the assessment plans submit them to your assessor
for review and approval. Revise the assessment plans as needed
according to your assessor’s advice until approved. Your final
submission for this part of the project must include your assessor’s
signature on the approval section of each of the plans.
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Part 2: RPL Assessment Pathway
The next cluster after the Design Cluster is the Delivery Cluster.
After reviewing the requirements for the units included in the
delivery cluster, Makoto believes he can complete the following
units via the RPL pathway:
a. TAEDEL401 Plan, organise and deliver group-based
learning
b. BSBCMM401 Make a presentation
Makoto has requested to take the assessments on the following dates:
- 3 August 20xx *– TAEDEL401
- 10 August 20xx *– BSBCMM401
*20xx is current year
Part 2 is divided into two tasks:
Task 1: Complete the two RPL Assessment Plans for Makoto (one for
each unit: TAEDEL401 and BSBCMM401)
To assist you in the completion of this task, use the RPL Assessment
Plan Template provided in the link below:
TAE40116 Forms and Templates
Download “RPL Assessment Plan Template”
Username: learner Password: studyhard
You may edit the plan as needed to address the assessment
requirements of each unit. You are required to complete one RPL
Assessment Plan for each unit:
 TAEDEL401 Plan, organise and deliver group-based learning
 BSBCMM401 Make a presentation
Once completed, save the RPL Assessment Plan using the following
filenames:
 RPLPlanTAEDEL401
 RPLPlanBSBCMM401
Note, that during this activity, you will also be assessed for your
oral communication skills. To complete this assessment, you
must book a call with your assessor. You must demonstrate the
following to achieve a ‘yes’ mark in the assessment criteria:
 active listening,
 adequate comprehension, and
 appropriate use of grammar, vocabulary, and
pronunciation.
Submit the assessment plans to your assessor for review and
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approval. Revise the assessment plans as needed according to your
assessor’s advice until approved. Your final submission for this part
of the project must include your assessor’s signature on the
approval section of the plan.
Task 2: Contextualise the RPL Assessment Instruments for Makoto
This task requires you to contextualise the RPL Assessment
Instruments for Makoto. You will need to consider Makoto’s
previous work and learning experiences, and review them against
the unit requirements.
To assist you in completing this task, follow the steps outlined below:
1) Create an assessment map for each of the following units:
a. TAEDEL401 Plan, organise and deliver group-based
learning
b. BSBCMM401 Make a presentation
Use the RPL Assessment Mapping Template provided in the link
below:
TAE40116 Forms and Templates
Download “RPL Assessment Mapping Template”
Username: learner Password: studyhard
2) As you complete the maps, review the unit requirements and
start planning the evidence documents that Makoto could submit
to show competence in each of the unit criteria.
Save the RPL Assessment Maps using the following filenames:
 RPLMapTAEDEL401
 RPLMapBSBCMM401
3) Download the RPL Assessment Template provided on the link
below and contextualise the instructions to fit Makoto’s RPL
Assessment Needs:
TAE40116 Forms and Templates
Download “RPL Assessment Template”
Username: learner Password: studyhard
Fill in the “Evidence Required” section of the form and describe the
different workplace evidence that Makoto could submit for his
RPL assessment. Make sure to consider Makoto’s previous work
and learning experience.
Check the following implementation guides for any advice relevant
to contextualisation needs you identified for Makoto:
TAE Implementation Guide
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Download “TAE Training and Education Implementation Guide”
Username: learner Password: studyhard
BSB Implementation Guide
Download “BSBv2_Implementation_Guide.pdf
RPL Assessment Instrument:
4) On your assessment map, make sure you map each requirement
(PCs, PEs, KEs and Assessment Conditions) to an evidence
document. Write the corresponding documents on the column
headings, and then tick the boxes that match the evidence
documents to the unit requirements that they address:
Assessment Map:
Note that each unit requirement MUST have a corresponding evidence
document to demonstrate the candidate’s competence.
5) Once completed save the two RPL Assessment Instruments and
two RPL Assessment Maps using the following filenames:
Document Filename
RPL Assessment Map for
TAEDEL401 RPLMapTAEDEL401
RPL Assessment for TAEDEL401 RPLAssessment TAEDEL401
RPL Assessment Map RPLMapBSBCMM401
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BSBCMM401
RPL Assessment for
BSBCMM401 RPLAssessment BSBCMM401
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PROJECT 3:
VALIDATE THREE ASSESSMENT
TOOLS
CASE STUDY 3: Compliant Learning Resources
Compliant Learning Resources has hired you to conduct external
validation on three of their resources. You’ve been tasked to
complete three validation sessions, one for each of the following
assessment tools:
 Validation Session 1:
 BSBWHS201 Contribute to health and safety of self and
others
 Validation Session 2:
 CHCDIS007 - Facilitate the empowerment of people with
disability
 Validation Session 3:
 BSBITU306 - Design and produce business documents
Provided in the link below are all the resources you will need to
complete this task.
TAE40116 Forms and Templates
See list of Validation Documents
(Username: learner Password: studyhard)
As an external validator for Compliant Learning Resources, you are
required to comply with the following policies and procedures
relevant to validation activities:
 All communications between the external validator and
Compliant Training Services employees regarding the validation
or the validation outcomes must be documented in the validation
communication log (the communication log template is provided
in the validation documents).
Guidance: For the purpose of this assessment, your trainer/assessor will play the
role of the Compliant Training Services supervisor overseeing this validation
exercise. All communications between you and your trainer/assessor via email
or phone relevant to the validation exercise must be logged in the validation
communication log.
 External validators must use the validation tools provided by
Compliant learning resources:
 Competency Mapping Tool
 Validation Reporting Tool
 Validation Checklist
 Validation Communication Log
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Note, that during this activity, you will also be assessed for your oral
communication skills. To complete this assessment, you must book a
call with your assessor. You must demonstrate the following to achieve
a ‘yes’ mark in the assessment criteria:
 active listening,
 adequate comprehension, and
 appropriate use of grammar, vocabulary, and pronunciation.
Detailed instructions are outlined in the steps provided below:
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Step 1: Prepare for validation
 Discuss and confirm the purpose, context and scope of the
validation process with your client (Compliant Learning
Resources).
Guidance: for the purpose of this assessment, your trainer/assessor will
play the role of the client. Should you need to discuss or confirm any
details of the validation process, you may contact your assessor. Make
sure to document all communications related to the validation activity
on the validation communication log as indicated in Compliant’s
validation policies.
 Arrange the materials required for the validation activities
Guidance: all the materials that you will need in the validation sessions
are provided to you in the case study. To document your completion of
this step, you are also provided with a validation checklist which is
included in the validation documents provided by Compliant Learning
Resources. You are required to complete the checklist for each of the
validation session you complete.
 Check that all the documents you will be using in the validation
are correct
Guidance: check that you have all the resources required for assessment
(templates, forms, case study materials, etc.) and that you have the
correct versions of the documents you will be validating
 You are given three assessment tools. You are required to
complete one validation session for each assessment tool.
 Analyse the relevant units of competency. Use the competency
mapping tool provided by Compliant Learning Resources to
outline the assessment requirements of the units you will use for
the validation.
 Take note that at the end of this task, you will be required to
submit the following documents:
 Evidence documents for Validation Session 1:
 Competency map for BSBWHS201 (use filename: BSBWHS201-
CM)
 Validation report for BSBWHS201 (use filename: BSBWHS201-
VR)
 Validation checklist for BSBWHS201 (use filename:
BSBWHS201-VC)
 Evidence documents for Validation Session 2:
 Competency map for CHCDIS007 (use filename: CHCDIS007 -
CM)
 Validation report for CHCDIS007 (use filename: CHCDIS007 -
VR)
 Validation checklist for CHCDIS007 (use filename: CHCDIS007
-VC)
 Evidence documents for Validation Session 3:
 Competency map for BSBITU306 (use filename: BSBITU306-
CM)
 Validation report for BSBITU306 (use filename: BSBITU306-
VR)
 Validation checklist for BSBITU306 (use filename: BSBITU306-
VC)
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Step 2: Validate the assessment tools
The validation of the assessment tools involves two parts:
Part 1: ensuring that all the unit requirements are addressed by
the assessment tool.
This involves checking each unit requirement against the tasks in
the assessment tools. The purpose of this is to ensure that the
assessment tool will facilitate the students’ demonstration of all
the knowledge and skills required by the unit/s of competency.
To do this, use the validation mapping template you prepared in
step 1. Map each unit requirement (PC, PE, KE, and AC) to the
assessment tasks that would allow the students to demonstrate
their competency in each of them.
For your reference, an example of a validation map is provided
below:
Once you have completed mapping the tools against the unit
requirements, save the competency mapping documents using
the filenames:
 Competency map for BSBWHS201 (use filename: BSBWHS201-CM)
 Competency map for CHCDIS007 (use filename: CHCDIS007 -CM)
 Competency map for BSBITU306 (use filename: BSBITU306-CM)
Part 2: ensuring the assessment tools meet other compliance
requirements
This involves checking the assessment tools against other relevant
industry and legislative standards for compliance. This includes
but are not limited to:
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 Ensuring the tools meet the principles of assessment and rules of
evidence
 Ensuring that the context and conditions of assessment include
clear instructions for the assessor and the candidate
 Ensuring that the assessment decision-making rules and
benchmarks are clear and enable consistent outcomes
 Ensuring that recording mechanisms are clear and allow for
sufficient information to be recorded
These requirements are all outlined in the validation reporting tool
provided by Compliant Learning Resources.
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Step 3: Complete the validation report tool
A full report of your validation outcomes must be reflected in the
validation report tool. You must submit one (1) validation reporting tool
for each validation session you conduct.
Follow the steps provided below to complete the validation reporting
tool accurately.
1. Complete the first page of the validation reporting tool.
Tick which documents you will be submitting along with the
validation reporting tool. Specify the following:
 the number of the Assessor Guide for the unit, and
 the version number of the Competency Mapping Tool
A completed sample is provided for you below.
Validated by: Your Name Date: Date
completed
Subject Name: Design and develop learning programs
Assessment Tool: Assessor Guide Number of
units:
1
Unit(s) of
Competency:
TAEDES401 Design and develop learning programs
The following materials must be attached or enclosed with this form:
Assessor Guide 4
Competency Mapping Tool(s)- Version No. 1.0
Relevant Unit(s) of Competency
2. Assessor Guide/Candidate Instructions
Read the criteria in the column ‘Type of information.’ Where
the assessment tool meets the criteria, tick the box. Where
the assessment tool does not meet the criteria, leave the box
unticked and write a detailed comment on what could be
done to improve the tool. A completed sample is provided to
you in the spaces provided on the following page.
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Assessor Guide/Candidate Instructions
Major
component
Type of information Comments
The context Unit(s) of Competency being
assessed is outlined in candidate
instructions
The context for assessment has
been explained eg:
“Evidence should be gathered
in your workplace wherever
possible, However a
simulated workplace has
been provided where no
workplace currently exists.”
Context for assessment is not
explained. Add to instructions in
Practical Assessments to address
this.
3. Validation Report
Under the ‘Issues arising in regards to Units of Competency
and Compliance,’ note any issues that you come across in
your validation and identify whether these are a minor,
moderate or critical error.
Tag an issue as:
 Minor – Add to continuous improvement register, if you
spot the following:
o Minor grammatical errors
o Spelling errors
o Typos
o Formatting errors
 Moderate – Add to continuous improvement register, if you
spot the following:
o Confusing student instructions and benchmarks
o Version control not consistent throughout the
document
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o No wrong answers for multiple choice knowledge
assessments
 Critical – Immediate rectification required, if you spot the
following:
o Performance Evidence, Knowledge Evidence and
Performance Criteria are not addressed in the
assessment tool
o Mapped as full in the assessment tool but is only a
partial, or isn’t mapped at all
o No benchmarks, or insufficient benchmarks
For further guidance, consult with your assessor. A completed
sample is provided for you below.
Issues arising in regards to Units of Competency
and Compliance Select Issue Type and Action
Question 9 does not have sufficient benchmarks Critical – Immediate rectification
required
Grammatical errors in Question 1 Minor – Add to continuous
improvement register
4. Suggestions for improving the tool
You must provide at least one (1) suggestion for improving
each of the three (3) assessment tools you are validating.
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Validation Session 1: BSBWHS201
Validated against: Choose an item.
Discuss the summary of your validation findings here:
Click here to enter text.
Validation Session 2: CHCDIS007
Validated against: Choose an item.
Discuss the summary of your validation findings here:
Click here to enter text.
Validation Session 3: BSBITU306
Validated against: Choose an item.
Discuss the summary of your validation findings here:
Click here to enter text.
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Help Compliant Learning Resources improve their assessment tools by
recording your recommendations on the feedback link below:
Note: You must lodge at least one (1) feedback on the resources you
validated here.
Upon completing the form, a copy of
your responses will be emailed to you.
Submit this to your assessor (use filename: Validation Feedback)
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CLICK HERE

Step 4: Contribute to validation outcomes
To complete this assessment, you must book a call with your
assessor to discuss the findings of your validation and any
recommendations you might have to improve the assessment
instrument. The outcomes of your conversation must be recorded in your communication log.
The forms below can guide your conversation with your assessor. Write a
summary of your findings in the spaces provided below. Your
responses must include a discussion on the quality of the
assessment and recommendations for the improvement of the
assessment.
Note, that during this activity, you will also be assessed for your oral
communication skills. To complete this assessment, you must book a
call with your assessor. You must demonstrate the following to achieve
a ‘yes’ mark in the assessment criteria:
 active listening,
 adequate comprehension, and
 appropriate use of grammar, vocabulary, and pronunciation.
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This declaration is for your assessor to complete
Declaration
By affixing my signature below, I am declaring that the candidate was able to
discuss their validation findings and recommendations with me over the
phone and that I was able to assess their demonstration of adequate oral
communication skills during our conversation.
Assessor’s Name: Assessor’s Signature:
Date Completed:
End of Document