TAE40116 Certificate IV Training and Assessment Practical Workbook

This TAE40116 Certificate IV in Training and Assessment workbook provides comprehensive materials for understanding and applying competency-based assessment principles. It covers key aspects such as the principles of assessment, rules of evidence, dimensions of competency, and reasonable adjustments for learners with disabilities. The workbook includes knowledge assessments covering competency-based assessments, assessment tools, validation processes, standards, policies, procedures, and workplace health and safety. Additionally, it features practical assessments including projects focused on developing assessment tools, planning and organizing assessments, and validating assessment tools through case studies. The document emphasizes the importance of fair, valid, reliable, and flexible assessment practices within the Australian vocational education and training context, aligning with national standards of competence required by industry.

TAE40116 Certificate IV
in Training and Assessment
Assessment Cluster

Assessment Workbook
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Version No. 3.0
Produced
Version control & document history
Summary of modifications made Version
Version 1 for TAE40116 adapted
from TAE40110 resources 1.0
Minor formatting updates made
throughout document
Added Knowledge Assessment item –
Part 2 Question 11
1.1
Minor formatting updates made
throughout document
 Updated Questions and
Practical Assessments to
meet External Validation
recommendations
1.2
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
Added workplace pathway to Project 1 2.1
Added log in details for KA Part 4 2.2
Updated the elements of
TAEASS401 and
TAEASS403
2.3
Minor revisions in Knowledge
Assessment items [Part 2 Q3 and Q8,
Part 3 Q3, Part 5 Q8]
Minor revisions in instructions in certain
parts of Projects 1,2 and 3
2.4
Changes in the font style and color in the
grey form boxes. 2.5
Updated instructions to remove
references to intranet. 2.6
Revised Case Study 1
submission
requirements
2.7

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Updated instructions in Case Study 2
Part 1. 2.8
Updated Project 1 Evidence Checklist 2.9
Updated instructions for Project 2 for
clarity. 2.10
Updated instructions and guidance in
Knowledge Assessment items –
Part 1 Question 9
Part 2 Question 4
Part 4 Question 1
Part 5 Question 6
3.0

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TABLE OF CONTENTS
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TABLE OF CONTENTS.........................................................................................................4
INTRODUCTION....................................................................................................................6
WHAT IS COMPETENCY BASED ASSESSMENT...........................................................6
THE BASIC PRINCIPLES OF ASSESSING NATIONALLY RECOGNISED
TRAINING
....................................................................................................................................................
7
THE DIMENSIONS OF COMPETENCY............................................................................9
REASONABLE ADJUSTMENT..........................................................................................10
THE UNITS OF COMPETENCY........................................................................................12
CONTEXT FOR ASSESSMENT.........................................................................................14
ASSESSMENT REQUIREMENTS......................................................................................14
ASSESSMENT METHODS..................................................................................................16
RESOURCES REQUIRED FOR ASSESSMENT..............................................................18
INSTRUCTIONS TO STUDENT.........................................................................................19
ASSESSMENT WORKBOOK COVER SHEET................................................................20
KNOWLEDGE ASSESSMENT............................................................................................21
Part 1 – Competency-based assessments..............................................................................21
Part 2 – Assessment Tools....................................................................................................29
Part 3 – Validation................................................................................................................39
Part 4 – Standards, Policies & Procedures............................................................................45
Part 5 – Workplace Health and Safety..................................................................................47
PRACTICAL ASSESSMENTS.............................................................................................55
Instructions to Student.......................................................................................................55
Project 1: Develop Three Assessment Tools...........................................................................56
Workplace Pathway..............................................................................................................58
Step 1: Plan development of assessment tool .................................................................... 59
Step 2: Develop assessment tool.......................................................................................65
Step 3: Review and trial assessment tool...........................................................................67
Simulated Pathway.............................................................................................................73
CASE STUDY 1:..............................................................................................................74

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Step 1: Plan development of assessment tool .................................................................... 77
Step 2: Develop assessment tool.......................................................................................82
Step 3: Review and trial assessment tool...........................................................................84
PROJECT 2: PLAN AND ORGANISE ASSESSMEN TS ..............................................90
CASE STUDY 2: Makoto Miyagi ....................................................................................90
Part 1: Training and Assessment Pathway ........................................................................ 91
Part 2: RPL Assessment Pathway ..................................................................................... 93
PROJECT 3: VALIDATE THREE ASSESSMENT TOOLS...........................................96
CASE STUDY 3:.................................................................................................................96

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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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THE BASIC PRINCIPLES OF ASSESSING
NATIONALLY RECOGNISED TRAINING
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.
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:
 customizing 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 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
11 Determine the assessment approach11 Prepare the assessment plan11 Identify modification and contextualisation requirements11 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