2engaging enterprises/industry indeveloping and validating learningand assessment strategies

A u s t r a l i a nQ u a l i t yT r a i n i n gF r a m e w o r k

learningand

assessmentstrategies

resource guideThis Resource Guide provides further information and case studiesto help explain the process of developing, documenting andreviewing learning and assessment strategies, a requirement ofthe Australian Quality Training Framework Standards for RegisteredTraining Organisations. This Resource Guide also includes linksto other relevant sources of information.

part

This guide was developed by VETASSESS (Vocational Education and Training Assessment Services)with support from the Australian National Training Authority.

© Australian National Training Authority (ANTA), 2002Level 11, AMP Place10 Eagle StreetBRISBANE QLD 4000Phone: (07) 3246 2300, Fax: (07) 3246 2490

All rights reserved. This work has been produced initially with the assistance of funding providedby the Commonwealth Government through ANTA. This work is copyright, but permission is givento trainers and teachers to make copies by photocopying or other duplicating processes for usewithin their own training organisation or in a workplace where the training is being conducted.This permission does not extend to the making of copies for use outside the immediate trainingenvironment for which they are made, nor the making of copies for hire or resale to third parties.For permission outside of these guidelines, apply in writing to Australian National Training Authority.

The views expressed in this version of the work do not necessarily represent the views of ANTA.

Australian National Training Authority does not give warranty nor accept any liability in relation to thecontent of this work.

ISBN 1877 057 312Le

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101

Statement of Attainment Statement of Attainment means a record ofrecognised learning which, although fallingshort of an Australian Qualifications Framework(AQF) qualification, may contribute towards aqualification outcome, either as attainment ofcompetencies within a Training Package, partialcompletion of a course leading to a qualificationor completion of a nationally accredited shortcourse which may accumulate towards aqualification through Recognition of PriorLearning processes.

From AQTF Standards for RTOs

Strategic industry audit Strategic industry audit means the audit ofRegistered Training Organisations operating ina specific industry or industry sector targetedon the basis of identified risks relating to thatindustry or sector.

From AQTF Standards for RTOs

Training contractAn agreement outlining the training andassessment which forms part of a NewApprenticeship training contract and registeredwith the relevant State/Territory governmentdepartment or agency.

Training Package Training Package means an integrated set ofnationally endorsed competency standards,assessment guidelines and AustralianQualifications Framework qualifications for aspecific industry, industry sector or enterprise.

From AQTF Standards for RTOs

Training plan Training plan means a program of training andassessment which is required under anApprenticeship/Traineeship Training Contract.The Apprenticeship/Traineeship Contract isregistered with the appropriate State/Territorygovernment department or agency as may berequired by State/Territory legislation.

From AQTF Standards for RTOs

Unit of competency Unit of competency means the specification ofknowledge and skill and the application of thatknowledge and skill to the standard ofperformance expected in the workplace.

From AQTF Standards for RTOs

ValidationValidation involves reviewing, comparing andevaluating assessment processes, tools andevidence contributing to judgements madeby a range of assessors against the samestandards and documenting any action takento improve the quality and consistency ofassessment.

Derived from AQTF Standards for RTOs

This Resource Guide provides practitionerswithin the vocational education and training(VET) sector with a range of practical tools andresources for engaging with enterprises/industrywhen developing and validating learning andassessment strategies.

This guide features sixteen case studies thatreflect the wealth of good practice alreadytaking place throughout the training system.It is an optional resource that providesresources to support aspects of Standard 9of the Australian Quality Training FrameworkStandards for Registered Training Organisations.It does not carry the authority of the Standardand should not be read as definitive orprescriptive. Its intention is to be useful andto encourage consistent practice in responseto the Standard. However, its status as adviceonly should be clearly understood. The writingteam would like to thank the people whoparticipated and provided these examplesof good practice.

The writing team would also like to thankall the individuals and organisations whogenerously provided advice and their timeto review this guide.

foreword

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FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

OVERVIEW OF THIS GUIDE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1 ENGAGING ENTERPRISES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6The AQTF and enterprise engagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Benefits of enterprise engagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2 STRATEGIC ENTERPRISE/INDUSTRY ENGAGEMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Strategic engagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Barriers to enterprise engagement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Tips for facilitating enterprise/industry engagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14New Apprenticeships Agreements and the Training Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14Enterprise/industry engagement and the ACE sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Engaging other stakeholders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

3 DELIVERY AND ASSESSMENT STRATEGIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20What are delivery and assessment strategies?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20What information is included in delivery and assessment strategies? . . . . . . . . . . . . . . . . . . . . . 20How are delivery and assessment strategies developed?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22How are delivery and assessment strategies documented? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32How do delivery and assessment strategies relate to the endorsedcomponents and support materials of a Training Package? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

4 APPROACHES TO CONSULTATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41A range of approaches to consultation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41Joint decision making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43Partnership in shaping decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45Participation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47Proactive consultation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49Passive consultation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51Information sharing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53Capturing evidence of enterprise engagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54Reviewing the approach to consulting enterprises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

5 VALIDATING ASSESSMENT STRATEGIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56What must be validated? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56Who should be involved in the validation of assessment strategies? . . . . . . . . . . . . . . . . . . . . . 59When should validation occur?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59What documentation is needed? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60What approaches can be used to validate assessment strategies?. . . . . . . . . . . . . . . . . . . . . . . 61Selecting the appropriate validation strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71Planning validation activities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72Evaluating chosen validation approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

table of contents

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APPENDICES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76Appendix 1: Enterprise profile. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76Appendix 2: Enterprise “macro-level” requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78Appendix 3: Enterprise “micro-level” requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79Appendix 4: Sample qualification structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80Appendix 5: Delivery and assessment strategy outline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81Appendix 6: Evidence of consultation record template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85Appendix 7: Evidence of RTO training delivery and assessment strategies . . . . . . . . . . . . . . . . . . . 89Appendix 8.1:Planning proforma for validation approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90Appendix 8.2:Planning proforma for validation activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91Appendix 9:Validation approaches - review and evaluation template . . . . . . . . . . . . . . . . . . . . . . . . 92

GLOSSARY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

table of contents (cont . )

3

Enterprises are key consumers of the outputsof the national vocational education and training(VET) system. They employ the people whocomplete nationally recognised qualificationsand are major users of the assessment andtraining products and services offered byRegistered Training Organisations (RTOs). It isvery useful to engage with them in the processof developing quality assessment strategies inline with industry requirements and appropriatefor their needs. This builds confidence in theassessment decisions made by RTOs amongworkers, industry and the broader communityand enhances the standing of qualificationsdelivered through the national training system.

The focus of this guide is on the processes andtools that can be used in the development andvalidation of assessment strategies. Central tothese processes is effective engagementbetween RTOs, enterprises, industry and otherkey stakeholders. This can be achieved in anumber of ways, dependent upon what isappropriate for the RTO. The process ofengaging enterprises/industry is aboutconsulting and working closely with employersand end-users of the outputs of the trainingdelivery and assessment strategies. This maymean working with the training department ofa large multinational corporation to agree onappropriate strategies or with the owner of thelocal hairdressing salon that has employedthree apprentices. In some areas of VET it willbe less clear who the consumers of theoutputs are, for example, adult and communityeducation. It may also be necessary at times toconsult with other stakeholders in industry. Theflexible nature of the proposed models and thebroad range of case studies in this guide arerelevant to RTOs operating in a range of contexts.

The important contribution made byenterprises/industry is recognised in theAustralian Quality Training Framework (AQTF),Standards for Registered Training Organisations.

Standard 9.1b requires enterprise/industryconsultation in the development of assessmentstrategies.

This guide will provide RTOs with practicaladvice and assistance on engaging enterprisesand other stakeholders in the development ofdelivery and assessment strategies. Whileprimarily directed at RTO staff involved indeveloping assessment strategies, it may alsobe relevant for RTO personnel involved inworking with enterprises and industryorganisations, people involved in RTO auditingunder the AQTF, and industry representativesinterested in promoting stronger linkagesbetween enterprises/industry and RTOs.

Chapter One of the guide discusses thebenefits for participants, enterprises/industryand RTOs that stem from enterprises/industryparticipating in the development of RTOassessment strategies.

Chapter Two of the guide focuses on howRTOs can identify enterprises/industry andother stakeholders that may be involved inconsultation and validation activities. Thisincludes consideration of the importance ofenterprise/industry involvement, the level ofparticipation of other stakeholders and potentialbarriers, as well as ways of encouragingenterprise/industry involvement.

over v iew of th is guide

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Chapter Three of the guide describes the key

features of delivery and assessment strategies. It:

■ outlines the requirements in the AQTF forRTOs to establish delivery and assessmentstrategies for qualifications in their scope ofregistration

■ describes the information that must beincluded in delivery and assessment strategies

■ explains the process involved in developingdelivery and assessment strategies

■ explains how delivery and assessmentstrategies relate to the endorsed componentsand support materials of a Training Package

■ outlines different ways of documentingthese strategies.

Chapter Four of the guide identifies the

different approaches that RTOs can use

to engage enterprises and industry in the

development of assessment strategies. It:

■ outlines a framework for engagingenterprises/industry

■ provides RTOs with advice on selectingconsultation approaches for varying deliveryand assessment contexts

■ describes the approaches that differentRTOs have used to engage enterprisesand industry in the development of theirassessment strategies

■ describes how outcomes of consultationcan be used to inform the development ofdelivery and assessment strategies.

Chapter Five of the guide focuses on

assessment strategy validation. It is designed

to assist RTOs to:

■ explain the purpose of validation

■ identify the focus of validation activities

■ identify who should be involved in validationactivities

■ identify and select appropriate assessmentvalidation activities

■ review and maintain their approach toassessment validation.

This guide includes a range of case studies that

illustrate how different RTOs have engaged

with enterprises and industry to develop quality

delivery and assessment strategies. It also

includes a number of templates that RTOs can

use when engaging enterprises in developing

delivery and assessment strategies and

validating these strategies.

5

Enterprises engage with the training systembecause they expect that training will assistin achieving business objectives, such as:

■ acquiring new skills

■ bolstering productivity and profitability

■ improving production quality

■ staying ahead of the competition

■ addressing staff turnover and skill shortages

■ adapting to new technology and changes inwork practices

■ meeting quality system requirements

■ complying with regulatory and licensingrequirements

■ improving safety

■ keeping their customers through offeringimproved customer service.

Enterprises view delivery and assessment asbusiness tools. They want to be treated ascustomers and expect RTOs to respond totheir needs with the right product, accuratelydescribed, reasonably priced and professionallypresented.

In this environment, RTOs are expected tooffer workplace-oriented, demand-drivendelivery and assessment solutions that:

■ directly address enterprise needs

■ are informed by a knowledge of the enterpriseand the industry in which it operates

■ are sequenced to fit in with enterpriseproduction and work schedules

■ accommodate the needs of casual, shift andpart-time workers

■ reflect enterprise policy, procedures andwork practices

■ produce clear business outcomes

■ offer the benefits of national recognition.

Engaging with enterprises/industry andinvolving them in the development of theirassessment strategies will help to meetthese needs.

The form of engagement varies from onesituation to the next. In some contexts,enterprises/industry and RTOs may be workingin close partnerships where the enterprise hassignificant, direct input into the design of theRTO’s delivery and assessment solutions. Thisis typical of situations where an RTO has beencontracted by an enterprise to deliver aparticular service. In other contexts, the linksbetween the enterprise/industry and the RTOmay be more tenuous. For example, manyRTOs deliver fully off-the-job programs toschool leavers and other people who are notcurrently in employment. While the participantsmay not be employed, they are contributing tothe national skills pool from which enterprisesselect staff. Participants need to be sure thatthey have the appropriate skills, and employersneed to be confident that prospective employeescan perform at the required standard. RTOsoffering these programs need to consult withenterprises/industry and other stakeholdersto ensure that assessment strategies areappropriate. The form of engagement maybe less direct and rely on RTOs meeting withrelevant enterprises, conducting employersurveys or canvassing enterprise views on theprograms they offer.

1 . engaging enterpr ises

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While the form of engagement may vary, it iscritical that all RTOs involve enterprises/industryin the development of their assessmentstrategies. This ensures that the programsoffered by RTOs are appropriately targeted,provide participants with the skills andknowledge required by enterprises/industry andreflect current work practice and standards ofperformance. It also helps to build confidence inthe outputs of the national training system.

The AQTF and enterprise engagement

The AQTF is the nationally agreed qualityframework for the vocational education andtraining system in Australia. The key objectiveof the framework is to provide a basis for anationally consistent, high quality VET system.

The Standards of the AQTF are in two parts:

■ Standards for Registered TrainingOrganisations

■ Standards for State and TerritoryRegistering/Course Accrediting Bodies.

To gain and maintain registration to delivernationally recognised qualifications, RTOs mustmeet the Standards for Registered TrainingOrganisations.

Standard 9.1b of the Standards for RegisteredTraining Organisations requires RTOs to consultwith enterprises/industry in the development ofassessment strategies. This focus on engagingenterprises and other stakeholders ensuresthat RTO assessment strategies meet industryneeds.

Benefits of enterprise engagement

Many RTOs have longstanding relationshipswith enterprises, industry and otherstakeholders. These include:

■ RTO/enterprise partnerships for workplacedelivery

■ enterprise/industry involvement inassessment panels

■ enterprise/industry membership of coursecommittees

■ enterprise/industry involvement in the designof RTO delivery and assessment plans

■ enterprise/industry involvement in thepreparation of delivery and assessmentmaterials.

7

Traditionally, RTO/enterprise engagement hasbeen driven by the realisation that enterprises,RTOs and their clients benefit when enterprisesand RTOs collaborate on the development ofdelivery and assessment strategies.

Benefits for RTOs

Some of the benefits to RTOs ofenterprise/industry engagement include:

■ strengthening business networks andcontacts

■ ensuring that delivery and assessmentmaterials and processes reflectcontemporary work practices

■ confirming that performance standards areconsistent with enterprise requirements

■ providing up-to-date information for RTOtrainers and assessors

■ understanding the business culture withinenterprises

■ understanding the needs of small tomedium-sized enterprises

■ gathering information on the way in whichskills are developed and enhanced in theworkplace.

Experiences from the field

Benefits of engaging enterprises/industry

A private training provider has first-handexperience of the benefits that flow to RTOs,enterprises and trainees from effective industryengagement.

As an RTO specialising in the delivery oftraineeships, particularly in the furnishingindustry, this provider engages with its clientsin a very direct fashion when planning deliveryand assessment strategies.

Whenever an enterprise decides to employ atrainee, a consultant from the RTO visits theworkplace, meets with key staff and undertakesa review of the enterprise’s capacity to trainand assess. Through this process the RTO andthe enterprise identify which competencies toinclude in the training program, which aspectsof the program can be delivered and assessedon-the-job, and which support services, suchas language, literacy and numeracy support,may be required.

The key benefit of this process is that the RTOand the enterprise are able to shape a programthat meets the requirements of both theenterprise and the trainee and makes best useof the available resources. The RTO benefitsthrough gaining first-hand knowledge of theenterprise’s work practices that enable it tostay up to date with developments in theindustry. The trainee benefits through theestablishment of a clear plan that ensuresaccess to the best available delivery andassessment, whether this is provided onor off the job. The enterprise benefits throughgaining access to the skills it requires.

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Benefits for enterprises/industry

Some of the benefits to enterprises/industryof engagement with RTOs include:

■ keeping in touch with the latestdevelopments in delivery and assessment

■ understanding what the enterprise canexpect from people with competenciesand qualifications

■ influencing the way in which trainingis sequenced and delivered

■ influencing the way in which evidence iscollected and assessment decisions are made

■ gathering information on different trainingstrategies for the enterprise

■ gaining insight into whether it is preferableto hire people already trained, train themin-house or contract training services

■ accessing expertise and advice on ways ofmaking national training and qualificationsavailable for their staff

■ contextualising performance standards

■ closer integrating of enterprise policies,procedures and work practices with therelevant industry competency standards

■ better integrating of evidence collection andwork activities.

Benefits for candidates

Some of the benefits to candidates of RTOenterprises/industry engagement include:

■ increased confidence that the trainingdelivered meets the relevant standardsand enterprise requirements

■ increased likelihood that assessmentreflects the standard of performancerequired by enterprises

■ improved quality and consistency ofassessment, which improves portabilityand acceptance of qualifications

■ greater awareness and acceptance byenterprises of the qualifications issuedby RTOs

■ greater willingness of RTOs to acceptworkplace evidence presented bycandidates for assessment purposes

■ better understanding by employers of thedemands placed on candidates by RTOs

■ better understanding by RTOs of thedemands placed on candidates byenterprises/industry

■ more accurate information on the specialneeds of candidates.

9

Experiences from the field

Benefits of engaging enterprises/industry

A small regional RTO has built a reputation byworking with people who have been displacedby the closure of major industries, such as minesand steelworks. Consultation is undertakenaccording to the RTO’s own methodology(design, management, research, developmentand communication).

An annual festival that attracts heritage woodenboats from around Australia was the focus fora project for the Certificate IV in MuseumPractice. The event provided an opportunity for35 program participants between the ages of24 and 58 to develop a project in consultationwith local businesses, the local library and aregional museum and heritage centre. Tasksincluded commercial curation of shop windowsbased on the theme of heritage boating andtourism, performances, heritage tourismaward, events and exhibitions.

The project-based delivery mode meant thatthe cognitive and affective aspects of learningwere part of program delivery, review andassessment opportunities. Participantsdeveloped knowledge and skills throughworking on a project that included all aspectsof the units of competency for the relevantqualification. Providers developed strongsupport for the program because of itscommunity interest aspect.

The training program functioned as an integratedproject management system with participantslearning about self-management and teamworkas part of developing and delivering a project.Action-based learning was used to developknowledge through the process of planning,acting, observing and reviewing.

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In addressing the requirements in the AQTFStandards for Registered Training Organisationsfor enterprise/industry engagement, RTOscould identify the consultation strategies thatthey already have in place, examine theeffectiveness of these strategies and identifywhether the current strategies need to beenhanced. The decision to engageenterprises/industry results in benefits forcandidates, enterprises/industry and the RTO.

Strategic engagement

Selecting enterprises to engage

A strategic approach is one in which RTOsdirectly engage those enterprises/industrystakeholders that can add most value to theRTO’s assessment strategies. Consultationswith other stakeholders are then conducted toconfirm the outcomes of initial consultations,test ideas and gather additional information.They may involve direct contact, such asinterviews and focus groups, or indirectcontact, such as questionnaires, websitesurveys and literature searches.

The enterprises that are most likely to “addvalue” to an RTO’s assessment products andservices are those that employ or are likely toemploy people who are assessed by the RTO.These include enterprises that:

■ currently use the RTO’s delivery andassessment services

■ employ people who have been trained andassessed by the RTO

■ the RTO sees as desirable employers of itsgraduates

■ the RTO sees as potential future clients

■ have used the RTO’s delivery andassessment services in the past

■ operate in the industry area(s) identified inthe RTO’s scope of registration. In somecases these are easy to identify, for example,

a quarry in the extractive industry or a nurseryin the horticulture industry. In other cases,identifying appropriate enterprises maybe more difficult. For example, somequalifications are broad and cross allindustry boundaries. The Certificate II inBusiness, for instance, could be used byenterprises in any industry sector.

Experiences from the field

Adding value through enterprise/industryengagement

A large public provider delivers a range ofprograms to small and medium-sized enterprisesin the horticulture industry based on thestandards in the Horticulture Training Package.As these standards are designed to applyflexibly to all enterprises in the industry, theperformance criteria may not provide precisedescriptions of the required standard ofperformance. For example, a standard mayrequire candidates to identify a range of plantsor lay an area of paving, yet there is noindication of how many plants a candidateshould be able to identify or the size of thearea to be paved. This can lead to differencesin the way in which RTOs and enterprisesinterpret the standards.

To add enterprise value, the horticulture teamwithin the RTO commenced meetings withrepresentatives from horticulture enterprisesto gather enterprise views on the standards ofperformance required across the industry. Themeetings include representatives fromdifferent sectors of the industry, smaller andlarger businesses, and enterprises frommetropolitan and regional areas. While theenterprises that participate in these meetingsmay have different views, the RTO assessorsare able to use the meetings to identifystandards of performance that are generallyacceptable to the industry. As well as settingthe industry standard, this process hascontributed to greater consistency inassessment and improved communicationbetween the RTO and its enterprise clients.

2. st rategic enterpr ise/industr y engagement

11

Many RTOs choose to consult with largerenterprises when developing assessmentstrategies because they have specialist staffwho are able to participate in consultationprocesses and have operations that cut acrossseveral industry boundaries. For example, a largeretail enterprise is likely to have a dedicatedtraining manager and staff employed inadministration, logistics, training and informationtechnology as well as retail operations.

While larger enterprises are important andshould be consulted, RTOs should alsoconsider consulting smaller organisations.

Small and medium-sized enterprises (SMEs)employ over 80 percent of the Australianworkforce and RTOs that take a strategicapproach to enterprise engagement make surethat they canvass the views of SMEs whendeveloping their assessment strategies. Whenengaging SMEs, these RTOs take special careto ensure that consultations are purposeful,make minimal demand on the time andresources of the organisation and focus onmatters of interest to the enterprise.

Building relationships

As well as identifying the appropriateenterprise, RTOs that take a strategic approachto engagement also work on building strongrelationships with each business. The key rulesfor establishing such relationships include:

■ choosing the right person in the enterpriseto act as the contact between the RTO andthe enterprise — someone who hasinfluence and commitment

■ being flexible, that is, working within thetimeframe and constraints of the enterprise

■ ensuring regular contact with the enterpriseand being prepared to invest time indeveloping the relationship

■ establishing credibility through experience,knowledge, using the right language andproviding solutions to problems

■ recognising that different people in theenterprise have different expertise andthat being able to tap the expertise of bothmanagement and workers is critical foreffective engagement.

Refer to Training Package Assessment Guide 6:Assessment approaches for small workplacesfor further information on engaging smallworkplaces.

Barriers to enterprise engagement

While there is much to be gained from RTOsengaging enterprises in the development ofassessment strategies, there can be significantbarriers to business participation, especiallyamong SMES. In some cases these barriersrelate to the enterprise itself. These include:

■ human, financial and time constraints

■ concern about the enterprise’s capacity to“add value” to the RTO’s existing deliveryand assessment strategies

■ lack of confidence in the value of formaldelivery and assessment

■ mistrust of external providers.

In other cases, the barriers relate to the RTO.These include:

■ a failure to focus on the issues of directconcern to enterprises, which means thatconsultations may lack value for business

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■ inflexible consultation strategies, whichmeans that enterprises, especially SMEs,are unable to participate in meetings andother activities

■ inadequately developed business networks,which means that potential enterpriseparticipants are not identified or the sameenterprises keep being invited to participatein consultation and validation activities

■ the use of technical and jargon-ladenmaterials that exclude people who do nothave a background in training and education.

RTOs that successfully engage enterprisesrecognise these barriers and look for ways oflessening their impact. Some of the strategiesthat RTOs have adopted to minimise thesebarriers are highlighted in Figure 1.

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Figure 1: Ideas for engaging enterprises

Barriers to engagement Possible RTO responses

Human, financial and ■ Use short, concise consultation strategies.time constraints ■ Engage in purposeful consultation that focuses on

critical enterprise issues.■ Provide support services.

Enterprise capacity to add value ■ Provide evidence of impact of enterprise input on RTOdelivery and assessment.

■ Identify areas in which enterprise has capacity to add value.

Lack of confidence in formal ■ Use intermediaries with credibility.delivery and assessment ■ Provide evidence of impact of formal training on

enterprise performance.

Mistrust of external providers ■ Use informal/formal networks for referral.■ Provide honest, realistic estimates of time required for

consultation.

Lack of focus on business concerns ■ Structure consultations around key enterprise issues.■ Distinguish between macro issues, i.e., broad approach to

delivery/assessment and micro issues i.e. program level.

Inflexible consultation strategies ■ Conduct consultations at times that suit enterprises.■ Use direct and indirect consultation strategies.■ Use face-to-face consultations conducted on site.

Limited business networks ■ Use intermediaries to target enterprises and individuals.■ Target key influences, i.e., friends, suppliers, customers.

Technical and jargon-laden materials ■ Use plain English documentation.■ Provide targeted summaries of key documents.■ Provide information on key aspects of training system.

Tips for facilitating enterprise/industryengagement

Consultative RTOs view enterprise/industryengagement as part of the way in which theydo business. They are constantly seeking toextend their contacts with enterprises/industryand are looking for ways of engaging thesecontacts in developing their assessmentstrategies. Some of the strategies they useto engage enterprises/industry in theseactivities include:

■ approaching enterprises/industry that alreadyhave business relations with the RTO

■ explaining in straightforward terms why theenterprise’s/industry’s views on assessmentare needed

■ ensuring that consultations are purposefuland that outcomes are communicated backto the participating enterprises/industry

■ making sure that enterprises/industry benefitfrom participating in consultation activities

■ developing strong businesslike personalrelationships.

Some of the things that the RTOs do not do are:

■ restrict consultation to the sameenterprises/industry all the time

■ establish new committees or structureswhen existing groups or networks couldbe used for consultative purposes

■ conduct special purpose surveys whenadditional questions may be added toroutine customer satisfaction surveys.

These RTOs place a high value on engagingenterprises/industry. RTOs should recognisethat industries are made up of large, mediumand small enterprises and that at least some

enterprises, preferably a range of relevant largerand smaller enterprises, should be consulted.Advice from industry groups can also be usefulin developing assessment strategies.

New Apprenticeships Agreements andthe Training Plan

In the case of regulated training, a key aspectof RTOs and enterprises engaging is the formalagreement for regulated training, the TrainingAgreement. This agreement is between theapprentice/trainee and the employer. Attachedto all such agreements is a Training Plan. TheTraining Plan must by signed by the RTO aswell as the apprentice/trainee and the employer.The Training Plan must be completed andsubmitted with the “Training Program andApplication for Commonwealth Incentives forNew Apprenticeships” within three monthsof commencement of the employment of theapprentice/trainee. (Please note: this may notbe the case in all jurisdictions.)

The Training Plan should include:

■ the qualification being sought and a full listof competencies to be obtained to achievethat qualification. Depending on the TrainingPackage, the competencies to be chosencould be specified, or the rules of thequalification could allow for considerablechoice to meet the specific training needs ofthe enterprise and the individual apprentice.

■ the timeframe for achieving thecompetencies. This should be within therules of the Declared Vocation/ApprovedTraining Scheme, but they generally specifythat times may be varied to suit the needsof the employer and the individual, providingthey both agree.

■ the duration of training to be undertaken(nominal hours or appropriate equivalent).

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■ delivery modes to be employed — whetheron or off-the-job , online delivery etc.

■ details of times allocated outside normalwork duties and amount of time allocatedin specified locations.

■ parties responsible for the delivery andassessment of each competency (in certaincases the RTO may sub-contract componentsof the delivery and assessment to otherRTOs) — identifying the people responsible.

■ assessment details and arrangementsincluding methods and approaches.

■ a record of any recognition of prior learning(RPL) and cross-credit granted, recognisingthat it is a requirement that RPL is offeredand its arrangements explained in all cases.

Note that this list is a general statement ofrequirements. RTOs should check in all casesfor any variations that may apply in differentStates and Territories.

Enterprise/industry engagement and theACE sector

Adult Community Education (ACE) providers 1,like other RTOs, gain from engagingenterprises/industry in the development oftheir assessment strategies. However, manyof these providers are not as accustomed toworking with enterprises/industry as otherRTOs, and their relationships with industry arenot always as clear.

In many cases, ACE providers are deliveringmainstream VET programs and, consequently,enterprise/industry engagement is appropriate.

In other cases the relationship between theprovider, participants and enterprises/industryis not as apparent. For example, a neighbourhoodhouse offering “introduction to computers” tomature-age women or the “computer driver’slicence” to young school leavers may see its

aim as enhancing the individual’s computerliteracy. However, the program is also makingan important contribution to developing thenational skills pool. The significance of theseprograms in broadening the range of skillsavailable to enterprises is recognised by the keyplayers in the information technology industryincluding enterprises the Australian ComputerSociety, the Information Technology &Telecommunications Industry Training AdvisoryBody and the Information Technology Skills Hub.

Literacy and numeracy programs and preparatorycourses, such as the Certificates in GeneralEducation for Adults, are designed to empowercandidates, prepare them for future educationalopportunities and boost their employability. Indelivering these programs, ACE providers areexpanding the range of skills available toenterprises. Enterprises and other industrystakeholders have a direct interest in thequality and consistency of the outcomesof these programs.

Personal development, general interest andhobby courses are often viewed as not havingvocational outcomes and not relevant toindustry. This is really a matter of perspectivesince they could just as easily be viewed aspart of the community recreation industry.While there may be no immediate vocationalintention, there is an increasing nexus betweenthe activities that people engage in because ofinterest and their eventual occupation. Forexample, the personal development and mind-body-soul communities now constitute anidentifiable industry sector, at least sufficientlysubstantial and coherent to conduct exhibitionsand trade fairs on a regular basis.

Programs offered by ACE providers are ofconsiderable relevance and importance toenterprises and industry. The AQTFrequirement to consult with enterprises/industrycan be seen as an important opportunity toextend their existing community consultationprocesses and, in doing so, enhance both therelevance and impact of their programs.

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1 By ACE providers we refer to any providers that offer ACE programs, regardless of whether this is their primary business.We also acknowledge that some states/territories do not have specialist ACE providers.

Experiences from the field

Enterprise engagement and the ACE sector

A small community centre in Melbourne, asan Adult Community Education (ACE) provider,delivers a range of programs, consults withlocal industry and has established partnershipswith a number of local enterprises.

The centre engaged in a partnership with alocal employment services organisation to trainunemployed people to achieve a Certificate I orII vocational qualification. The partnership wassuccessful because the centre offered anaccessible venue for students and thesupervisory role that the centre had as theRTO in the arrangement was beneficial to bothparties. Via the centre, the employment servicesorganisation had direct access to trainedassessors and assessment administrationsupport. The centre offered the enterpriseflexible delivery, issued qualifications tocompetent students and committed its staffto the development of community projects.

“The only problem we’ve encountered whenconsulting with local enterprises and industry isthe amount of hidden workload associated withcoordination of partnership arrangements,”said the centre’s director. “Sometimesenterprises are not always clear about theexact training they want to provide for theirworkers, which can be very time consuming.As a small ACE provider we also find it hardto narrow our target groups for new business.This is difficult because we do not have anymarketing expertise. A positive outcome is thenumber of our students that go on to futureemployment — even from hobby courses.”

Engaging other stakeholders

RTOs can consider a wide range of otherstakeholders including trade unions, employerassociations and industry training advisory bodieswhen developing delivery and assessmentstrategies. By gathering the viewpoints ofthese groups, RTOs enhance the servicesthat they supply to enterprises through:

■ confirming that the RTO’s approach todelivery and assessment is consistent withadvice provided by peak enterprises and thepractices of other enterprises

■ providing information on how otherenterprises approach delivery and assessment

■ providing information on emergingdevelopments, trends and issues relatedto delivery and assessment in the industry

■ being up to date, informed about the broaderindustry in which the RTO’s enterpriseclients are operating and able to use the“language” of the industry

■ being aware of solutions that otherorganisations have applied to particularassessment and delivery problems.

RTOs that employ a strategic approach toengaging enterprises and other stakeholdersrecognise that, while some specific stakeholdersmust be consulted, the views of others may begathered through more indirect means. Theapproach that RTOs take to gathering theviews of particular stakeholders may beinfluenced by:

■ the capacity and willingness of thestakeholder to participate in RTOconsultative processes

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■ whether the stakeholder’s views on deliveryand assessment can be easily accessedthrough indirect means, i.e., website survey

■ the level of influence that the stakeholderhas within the industry

■ the level of involvement that the stakeholderhas in setting standards and other strategiesthat impact on delivery and assessment inthe industry

■ the level of interest that the stakeholder hasin industry delivery and assessment strategies

■ the stakeholder’s role in quality assurancewithin the industry

■ the cost and time involved in consulting thestakeholder.

The structure of industries and the way theyfunction vary considerably, so no one formulacan be applied to determine which stakeholdersRTOs should consult or the consultativeprocesses that should be used. For example,an RTO delivering apprenticeship programs inlicensed occupations would need to consultemployers and employees at enterprise level,but could also give consideration to consultingthe relevant regulatory authorities, trade unionsand employer associations. In other new andemerging industries, such as those ine-commerce or biotechnology, RTOs maydecide that it is important to consult withtechnical experts, government agencies andresearch centres as well as employers andemployees in key enterprises.

Experiences from the field

Engaging other stakeholders

A large public RTO involves enterprises andindustry in the development and outcomes ofthe Certificate IV in Property (Real Estate). TheRTO recruits teaching staff who have a highprofile in industry and who are representativeson various committees/reference groups, bringingindustry credibility, contacts and extensive currentknowledge and skills to the RTO. All teachershave the required Certificate IV in Assessmentand Workplace Training and are provided withadditional mentor support. The RTO alsoinvests in relationship marketing. As a result,industry contacts have actively promoted thecourses through seminars and mail-outs,resulting in a substantial increase in enrolments.

The RTO consults with other stakeholderswhen formulating delivery and assessmentstrategies. Staff conduct three industryreference group meetings throughout the yearto review all courses, and discussenterprise/industry, market trends and studentfeedback. With the introduction of the newTraining Package, the RTO also uses the realestate industry reference group meetings todevelop a training book for students and work-assessment tasks that reflect industry andTraining Package competency standards.

Students also undergo a thorough vocationalcareer assessment program. “This is amandatory component in over 85 percent ofcourses delivered by our faculty,” said an RTOrepresentative. “Industry benefits because thestudents are well matched to the organisationalculture when they first enter the workforce.Our dropout rates are lower and students havea higher level of motivation.”

There is a broad range of stakeholders thatRTOs may wish to engage in developing theirdelivery and assessment strategies. Some ofthe key industry groups are identified inFigure 2 on the following page.

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Figure 2: Key industry stakeholders

Stakeholder Reasons for engagement

Industry training advisory The national Industry Training Advisory Bodies (ITABs) are the best arrangements sources of advice on interpreting Training Package assessment

guidelines. A list of national ITABs may be found on the ANTA website.The ANTA website also provides links to all State and Territory TrainingAuthority websites. In many cases these bodies are the best sourceof advice on particular State/Territory regulatory requirements.

Broad industry associations Employers are represented by the following groups:

■ The Australian Chamber of Commerce and Industry is a goodsource of advice and information on broad employerrequirements. There are State, Territory and Local chambers thatrepresent employers including many small employers.

■ The Australian Industry Group is another broadly based employerorganisation (being the amalgamation of the former Chamber ofManufactures and Metal Trades Industry Association) with astrong membership in trade areas.

■ The Business Council of Australia tends to represent very largeemployers. The Council has regular input into national discussionson delivery and assessment, but detailed advice on RTO assessmentand delivery strategies would be better sourced direct frommember enterprises.

In general, these groups could be contacted for advice on broadand/or cross industry qualifications that do fall into any specificindustry category. This would include many business servicesqualifications.

Specific industry Virtually all industry sectors have specialist associations, such as theassociations Master Builders Association, representing the interests of employers.

RTOs developing delivery and assessment strategies in specificindustry sectors could seek input from the relevant group. However,many industry associations are also RTOs and may representcompetition or perceive some conflict of interest in offering advice onRTO delivery and assessment strategies. This should not deter RTOsfrom approaching these organisations since they have a clear role torepresent the interests and views of their members.

Trade unions Trade unions have a direct interest in RTO delivery and assessmentstrategies since they may impact on the standing and progression oftheir members and industrial agreements. RTOs could seek inputfrom the relevant trade union, at site or State level, regarding thedevelopment of delivery and assessment strategies.

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Stakeholder Reasons for engagement

Professional associations Professional associations represent the interests of practitionersand often have an interest in control of entry into their membership.Consequently, they are often consulted by RTOs on delivery andassessment strategies.

Regulatory agencies In cases where qualifications are subject to government regulation,consultation with the relevant regulatory body is advised. Examplesof these include the Australian Securities and InvestmentsCommission and the Australian Communications Authority.

Regulatory bodies may have legislative powers and be administeredby government agencies or they may be industry self-regulators.Many regulators now express their requirements in terms ofcompetencies. No RTO operating in a regulated area should planassessments without close consultation with the appropriate body.The preferred situation is to ensure that competency assessment isaligned with the regulatory requirements in the industry.

Government departments Apart from their regulatory function, many Federal, State and Localand agencies Government agencies are industries and employers in their own right.

The Commonwealth Public Service for example is a significant employer.However many other departments contract out services whilemaintaining a close interest in the standards of the services deliveredto the public. Other government departments have responsibility forpromoting industries and run numerous relevant programs. The easiestway to review the activities of these organisations is to browse theirwebsites.

Research and other While particular enterprises are the primary source of informationsources of information on about their own immediate needs, RTOs involved in developingenterprises/ industry assessment strategies may need to consider the outcomes of

research into industry development and trends.

The best source of information on research in vocational educationand training is the National Centre for Vocational Education Research.

There are many industry specific research organisations that oftenservice new and emerging industries. Good sources of informationon these sectors include the National Office on the InformationEconomy and Biotechnology Australia.

Community-based Community organisations (local organisations and representative peakorganisations bodies) have a direct and legitimate interest in their fields of concern.

If the qualification to be assessed concerns services to people withintellectual disabilities it would be highly appropriate to consult withthe National Council for Intellectual Disability about appropriateassessment strategies. Community organisations are also employersin their own right.

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What are delivery and assessmentstrategies?

All RTOs are required under the AQTF Standardsfor Registered Training Organisations to

“...develop and implement strategies for trainingdelivery and assessment for each TrainingPackage qualification and accredited coursewithin the RTO’s scope of registration.”

(Standard 9.1a)

These strategies describe RTO approachesto the delivery and assessment activities thatcandidates must undertake to achieve therelevant qualification. In establishing thesestrategies the RTO must ensure that it hasaccess to appropriate documentation, staffingand other delivery/assessment infrastructure.There is no requirement in this standard that theRTO adopt particular delivery and assessmentstrategies or use specific delivery andassessment resources.

In establishing the delivery and assessmentstrategies for each qualification within itsscope of registration the RTO should identify:

“...proposed target groups, delivery andassessment modes and strategies, assessmentvalidation processes and pathways.”

(Standard 9.1c)

To ensure that the outcomes meet the needsand requirements of industry, the assessmentstrategies to be used by the RTO:

“...must be developed in consultation withenterprises/industry “

(Standard 9.1b)

What information is included in deliveryand assessment strategies?

There are significant variations in the scale ofoperation, the business structure and the clientsand market segments serviced by differentRTOs. They will develop varying delivery andassessment strategies depending on theirclients’ needs and the environment in whichthey are operating.

However, in each of these situations, theinformation included in the documenteddelivery and assessment strategy mustat a minumum include the:

■ proposed target groups

■ modes and strategies of delivery andassessment

■ assessment validation processes

■ pathways.

The strategy is documented to provide a broadoutline of how delivery and assessment isstructured to meet the learners’ needs.

As illustrated in Figure 3 on the following page,an enterprise-based RTO and a public RTO maydeliver and assess the same qualification quitedifferently.

3. del iver y and assessment st rategies

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The enterprise-based RTO illustrated in Figure4 has structured and sequenced the deliveryand assessment strategies for the Certificate IIin Transport and Distribution (Warehousing) tomeet the skills formation needs of its logisticsarea. In this case, delivery is organised aroundmajor work activities and is sequenced to fit inwith the annual operations of the enterprise.For instance, stocktake training occurs in theperiod just before the major annual stocktake.In this case, “coaching” is the prime deliverymethod and assessment is focused on thesuccessful completion of particular work tasks.

The large public RTO, while offering the samequalification, has designed a set of delivery andassessment strategies to meet the needs of

off-the-job candidates. In this case, the trainingprogram comprises core modules that focus ongeneric work skills and elective modules thataddress industry specific skills. The sequencingof the program is determined through negotiationbetween the candidate and the programmanager. As the delivery is self-directed andthe RTO has a facility that enables differentcandidates to undertake different tasks at thesame time, candidates are able to structureprograms that suit their individual needs andinterests. In this case, the timing of assessmentis determined by the candidate and involvescompletion of set tasks including demonstrationof skills, problem-solving exercises and testingof underpinning knowledge.

Figure 3: Alternative delivery and assessment strategies

TDT20197 — Certificate II in Transport and Distribution (Warehousing)

Strategies Enterprise RTO Large public RTO(on-the-job enterprise specific program) (off-the-job program)

Program Units of competency presented in a Units of competency presented in a structure training program organised around key training program organised around core

work activities, i.e., stocktaking, despatch modules focused on generic work skills,operations and processing orders. i.e., OH & S, and elective modules focused

on industry specific skills, i.e., forklift.

Delivery Sequence of training is linked with timing Sequence of training is negotiated withtimetable of key work activities, i.e., stocktake individual candidates. Flexible scheduling

training is delivered in May to coincide and self-directed delivery enable with major annual stocktake. candidates to determine own schedules.

Delivery Delivery is fully reliant on-the-job with Self-directed, fully off-the-job delivery at mode competent workers “coaching” new specialist industry training facility.

workers.

Evidence- Evidence is gathered through candidates Evidence is gathered through completiongathering completing relevant workplace tasks and of set assessment tasks that include:techniques recording outcomes in an enterprise- ■ demonstration of skills

developed training record book. Successful ■ knowledge based testingcompletion of tasks verified by workplace ■ problem-solving exercises.coach.

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While the two RTOs will go about the deliveryand assessment in very different ways, bothconsider the following questions:

■ Who is the target group(s)?

■ What are the needs of this group?

■ What qualification will be offered? What isthe correct title and code for the qualification?

■ Which units of competency from thequalification will be offered? Do thesecomply with the qualification packagingrules in the Training Package?

■ How will the units of competency beorganised into a training program?

■ How will the training program be sequenced?

■ Which delivery modes will be used?

■ How will evidence be gathered for each unitof competency?

■ Which staff members will be responsiblefor delivery and assessment? Do they havethe required competencies according to theTraining Package and the AQTF Standardsfor Registered Training Organisations?Will they be available at the required times?

■ How will the evidence-gathering techniquesand tools and the evidence leading to thejudgement be validated?

■ What infrastructure, such as documentation,equipment and facilities, will be requiredto support the delivery and assessmentstrategies? Does the RTO have verifiableaccess to the required infrastructure? Willit be available at the required times?

■ Which pathways are available for peoplewho undertake the qualification?

The answers to these questions will formthe basis of the RTO’s training delivery andassessment strategy. The purpose of thestrategy is to provide a clear and conciseoutline of how the RTO will “approach” and“resource” the delivery and assessment of therelevant qualification. While the RTO’s strategywill draw on the endorsed and supportmaterials in the relevant Training Package,these questions cannot be answered byreference to the Training Package alone. TheRTO must take into account a range of factorswhen determining its delivery and assessmentstrategy including client needs, workplacepolicies and procedures, resource availabilityand the capacity of enterprises to supportdelivery and assessment.

How are delivery and assessmentstrategies developed?

RTOs can develop delivery and assessmentstrategies in consultation with relevantenterprises and industry groups by takinginto account:

■ the needs of candidates

■ the requirements and practices ofenterprises and industry

■ the specifications in the relevant TrainingPackage

■ their own capacity as well as the capacity ofrelevant enterprises to provide delivery andassessment opportunities for candidates

■ the legislative regulations and requirementsof industry.

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This process usually involves eight key steps:

■ Step 1: Establish the delivery andassessment context.

■ Step 2: Identify participant and enterpriseneeds.

■ Step 3: Select the relevant qualification andunits of competency.

■ Step 4: Determine the structure, mode andsequence of delivery and assessment.

■ Step 5: Confirm staffing and infrastructurerequirements.

■ Step 6: Establish the assessment validationprocess.

■ Step 7: Document the delivery andassessment strategies.

■ Step 8: Validate the delivery andassessment strategies.

Step 1: Establish the delivery and assessmentcontext

The delivery and assessment context hasa significant impact on how RTOs engageenterprises and organise delivery andassessment. For example, RTOs deliveringprograms through “work based” pathways areusually able to engage enterprises in a directmanner. In such cases, RTOs normally haveready access to information on the enterprise’sbusiness objectives, policy and procedures andperformance standards. RTOs can integratethis material with the relevant competencystandards and tailor delivery and assessmentstrategies to meet enterprise requirements.However, RTOs delivering programs through“institutional” pathways often work with

people who are not in employment. This mayinclude school leavers, people returning to work,unemployed workers or those seeking to moveto a new occupation or industry sector. In thesecases, RTOs may need to engage withenterprises in more indirect ways, such asthrough course committees, industry visits andsurveys, and develop delivery and assessmentstrategies that are not reliant on candidateshaving access to a workplace.

Establishing the delivery and assessmentcontext is a critical first step in deciding howdelivery and assessment will be organised. Todo this RTOs could consider questions such as:

■ What need is the program intended toaddress?

■ Is this program directed at an enterprise, agroup of enterprises or a broader audience?

■ Will the program be offered through a“work-based” or “institutional” pathway?

■ Who should be consulted about thedevelopment of this program?

■ What is the best way to engage theseindividuals and organisations?

■ What are the characteristics of the likelyparticipants?

■ Will they be in employment?

■ Will they have access to workplaces?

■ What are the occupational health and safetyrequirements?

The key outcome of this stage is a cleardescription of the purpose of the program andthe delivery and assessment context.

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Step 2: Identify participant and enterprise needs

Having established the delivery and assessmentcontext, the RTO can then focus on identifyingthe needs of the participants and the relevantenterprises.

The first stage in this process involvesdeveloping an understanding of the particularenterprise, group of enterprises or industrywith which the RTO is working. In the caseof a single enterprise, this involves gatheringinformation on:

■ the nature of the enterprise

■ the market in which it operates

■ its key business objectives

■ the challenges confronting the enterprise

■ the skills held within the enterprise

■ the approach taken to staff training anddevelopment.

This information is often most easily obtainedby talking to key enterprise personnel (seetemplate Enterprise Profile — Appendix 1).Other techniques include:

■ face-to-face discussions

■ reading reports, news items, articles andother printed information

■ using formal questionnaires

■ conducting telephone interviews with keypersonnel

■ conducting a workshop with a range of keyinternal stakeholders (such a workshop willoften be a two-way activity providing theinternal stakeholders with insight intoTraining Packages and related assessmentrequirements, etc. while the RTO gainsinformation about the enterprise to aid inthe development of appropriate assessmentstrategies)

■ reviewing broader industry information,surveys and reports

■ consulting with industry experts on markettrends in the enterprise’s sector

■ consulting with relevant industry groups andassociations.

Building an understanding of the enterpriseenables RTOs to develop relationships with keypersonnel, identify how the enterprise operatesand establish skills-development requirements.

Having gathered this information, the RTO is ina better position to focus on the training deliveryand assessment requirements of the enterprise.This is often viewed as a two-stage process.The first stage focuses on establishing theenterprise’s “macro-level” requirements(see template Enterprise “macro-level”requirements — Appendix 2):

■ the broad areas in which training is required,e.g., customer service, OH & S, quality control

■ the training delivery mode, e.g., self-paceddelivery, coaching, learning syndicates

■ the enterprise and the RTO’scapacity/willingness to deliver and assess

■ customisation of the Training Package tomeet enterprise conditions

■ the sequencing of delivery and assessment

■ the recognition of prior learning

■ the situations in which simulation may/maynot be used in evidence gathering

■ evidence collection, i.e., collected byassessor/candidate

■ the ways of catering for candidates withspecial needs, e.g., literacy, numeracy anddisability.

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Once these matters are clarified, the secondstage involves identifying the enterprise’s “micro-level” requirements (see template Enterprisemicro-level requirements — Appendix 3) such as:

■ the specific competencies to be developedthrough the program

■ discussing and understanding the differentaspects of the units of competency

■ integrating enterprise operating proceduresand performance standards with therelevant industry competency standards

■ the design of assessment tools andprocesses

■ scheduling delivery and assessment activities

■ deciding which competencies will be deliveredand assessed on-the-job and off-the-job

■ establishing communication links betweenthe RTO and the enterprise

■ establishing record-keeping strategies

■ providing participants with information onthe program

■ appeals and reassessment.

The form that these discussions take will varydepending on the delivery and assessmentcontext. For example, in a work-based programinvolving a single RTO and a single enterprise,this information can be obtained through directcontact between the RTO and the enterprise,whereas an RTO delivering a publicly fundedprogram via an institutional pathway may haveto use more indirect ways of gathering thismaterial. This may be through:

■ visits to enterprises that may ultimatelyemploy the program participants

■ focus groups of relevant industry stakeholders

■ feedback obtained from employers who haveemployed graduates of previous programs

■ program advisory committees.

In addition, RTOs need to identify the expressedand potential needs of participants in theprogram. This involves identifying participants’:

■ work activities and performancerequirements

■ current skills — vocational and generic

■ skills-development needs

■ preferred learning styles

■ special needs.

This information may be obtained througha variety of sources, such as:

■ interviews with participants

■ interviews with employers or agenciesreferring participants to the program

■ the outcomes of initial assessments of theparticipants

■ reviews of previous programs conductedfor similar client groups.

The key outcome of this whole stage is aconcise overview of:

■ the nature of the enterprise

■ the enterprise’s preferred approach todelivery and assessment

■ the enterprise’s skills developmentrequirements

■ the participants’ needs.

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Step 3: Select the relevant qualification and unitsof competency

Having confirmed both participant and enterpriseneeds, the RTO next identifies the TrainingPackage, qualification and combination of unitsof competency that best meet these needs.This involves:

■ identifying the appropriate Training Package,qualifications and units of competency

■ interpreting and analysing the unit/s ofcompetency

■ checking the assessment guidelines to ensurethat proposed assessment approaches areconsistent with the advice provided in theTraining Package

■ checking the packaging advice in theTraining Package to ensure that the requiredcombination of units of competency ispermitted

■ reading the customisation guidelines in theTraining Package to identify what changescan be made to the qualification and unitsof competency to ensure that enterpriseand participant needs are met

■ identifying relevant support materials, suchas learner guides and assessment tools

■ confirming the selection of Training Package,qualifications and units of competency withthe enterprise, if appropriate.

As illustrated in Figure 4, the key outcome ofthis stage is a concise statement that identifiesthe Training Package, qualifications and units ofcompetency that best meet the participant andenterprise requirements (see template Samplequalification structure — Appendix 4).

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Figure 4: Sample qualification structure

Name of RTO Logistics Training Australia

Training Package Transport and Distribution

Title of Qualification TDT20197 — Certificate II in Transport and Distribution (Warehousing)

Delivery and assessment context

This qualification has been designed to meet the needs of participants seeking employment in thewarehousing industry. The qualification will be delivered entirely off-the-job at the RTO’s specialistlogistics facility.

Selection of units of competency:

Code Title of Unit of Competency

TDTD197A Shift materials safely

TDTD297A Use manual handling equipment

TDTE397A Participate in workplace communication

TDTE597A Carry out workplace calculations

TDTF197A Follow OH & S procedures

TDTF297A Conduct housekeeping activities

TDTG197A Work effectively with others

TDTA11G Package goods

TDTA1297A Pick and process order

TDTA1397A Receive goods

TDTA1497A Use product knowledge to complete work operations

TDTA2097A Replenish stock

TDTA2197A Dispatch stock

TDTA2297A Participate in stocktakes

TDTI297A Apply customer service skills

TDTD10A97 Operate a forklift

27

Step 4: Determine the structure, mode andsequence of delivery and assessment

Once the appropriate qualification andcombination of units of competency areidentified, the RTO establishes its specificdelivery and assessment strategy. This involvesmaking decisions about the:

■ structure of the training program

■ mode of delivery

■ evidence-gathering techniques and tools

■ sequence of delivery and assessment.

As illustrated in Figure 5, the units ofcompetency can be organised into a trainingprogram in a number of ways. Units ofcompetency are outcome statements thatdescribe particular aspects of work. RTOs may

choose to deliver and assess each unitindependently. However, this can lead tosituations where:

■ delivery and assessment strategies donot conform with the way in which workactivities are organised in an enterprise

■ too much evidence is collected asassessors and participants feel that it isnecessary to gather multiple items ofevidence for each unit of competency

In response to these issues, many RTOschoose to cluster the units of competency fordelivery and assessment purposes. As shownin Figure 5, units of competency may beclustered around key work activities or aroundkey areas of underpinning knowledge andrelated work activities.

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Figure 5: Alternative ways of structuring training program

Training program structure Example

Independent unit Each unit of competency is delivered and assessed independently.

Suitable for:assessment only pathwaysto recognise skills ofexisting workers

Work activity cluster Units of competency are clustered to correspond with specificwork activities.

Suitable for:work-based training

Project cluster Units of competency are selected and clustered to reflect thelearning and work activities that take place within a specificproject. For example, a community provider may establish aproject to build or restore a local facility, i.e., develop a wetlandsarea. A training program may be established for the peopleassociated with various aspects of the project, i.e., administration,construction and community relations. It could also includegeneral work related and literacy/numeracy training depending onthe needs of the client group.

Suitable for:a diverse range of skilldevelopment, i.e., Indigenouscommunity projects, regionalcommunity projects, complexproject, i.e., putting on a fete

29

Units of competency

AUM8011A Providecustomer service

Training program

AUM8011A Providecustomer service

Units of competency

TDTA1297APick and process

TDTA1197APackage goods

TDTE597ACarry out workplacecalculations

TDT1297BApply customerservice skills service

Training program cluster

Processing customerorders

Community

project

Literacy program

OH & S

Building skills

Community relationsskills

Administrationskills

Managing theenvironment

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Training program structure Example

Common knowledge cluster Key areas of underpinning knowledge are identified as beingcommon to a number of units of competency, for example,OH & S legislation and regulations. This material is delivered andassessed as a separate study. The application of this knowledgeis assessed in other components of the program that focus onspecific work activities. In this case, participants must successfullycomplete both components of the program to be deemed to becompetent in OH & S.

Suitable for:using underpinningknowledge, i.e., solving amaths problem, fluid flow

Knowledge and Key areas of underpinning knowledge are identified as beingapplication cluster common to a number of units of competency, for example

OH & S legislation and regulations. This material is delivered andassessed as a separate study. The application of this knowledgeis assessed in other components of the program that focus onspecific work activities. These comprise structured training and aperiod of work experience during which time candidates are ableto practise and refine their skills in live work situations. In thiscase, participants must successfully complete both componentsof the program to be deemed to be competent in OH & S.

Suitable for:traineeships and/orapprenticeships.

Underpinningknowledge module

Application modules

AUR10170A Servicebraking systemsAUR10166A Repairbraking systems

Work experience

Structured workexperience involvingservicing and repairingautomatic transmission

AUR07170A Servicetransmission (automatic)AUR07166A Repairtransmission (automatic)

OH & S legislation

Underpinningknowledge module

OH & S legislation

Application

Structured training inthe service and repairof automatictransmissions

31

As well as determining the program structure,the RTO needs to confirm the mode of deliveryand assessment.

Programs may be delivered through anycombination of on-the-job or off-the-job deliveryand use a variety of delivery modes such asself-paced instruction, facilitator-deliveredsessions, learning syndicates and work-basedlearning. There is no set mode of delivery. Theapproach selected may be influenced by factorssuch as:

■ the preferences of enterprises andparticipants

■ the learning style of participants

■ the availability of plant, facilities and equipment

■ the number and location of participants

■ the availability of qualified staff

■ the cost of delivering the program.

RTOs may choose to use any combination oftechniques for gathering the evidence neededto make assessment decisions. The key factorhere is that the units of competency form thebenchmarks for assessment, and the evidence-gathering techniques selected must enablecandidates to demonstrate that they have theknowledge and skills specified in the standards.The evidence-gathering techniques that areselected need to be documented and clearlylinked to the relevant unit or cluster of unitsof competency.

Having established the structure of theprogram, the delivery mode and the evidence-gathering techniques, the RTO establishes thesequence of delivery and assessment. Thismay be influenced by the:

■ enterprise production or business cycle

■ availability of key staff

■ availability of plant, facilities and equipment

■ time constraints on participants

■ need for participants to acquire prerequisiteknowledge or skills

■ sequence in which key work activities arenormally learned.

While competency-based delivery andassessment is not based on time, most programsoperate within time and resource restraints. Asa consequence the RTO can indicate an overalltimeframe for the program and determine thesequence of delivery and assessment. In somecases the sequence will need to be highlyflexible to take advantage of delivery andassessment opportunities that occur either onor off-the-job. However, in other cases, notablyin institutional pathways, the sequencing ofdelivery and assessment may be quite rigid,reflecting the need to access particular resourcesand staff. An example of how one organisationhas sequenced delivery and assessment isillustrated in Figure 6 on page 32.

Step 5: Confirm staffing and infrastructurerequirements

Having established the structure, mode andsequence of delivery and assessment, the RTOnow confirms that it has access to the staffingand infrastructure required to support theprogram.

The RTO must ensure that all training anddelivery staff involved in the program have therequired competencies as described in theAQTF Standards for Registered TrainingOrganisations and the relevant Training Package.

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In addition, the RTO needs to ensure that it hasverifiable access to the facilities, equipmentand trainng and assessment materials neededfor delivery and assessment. It is not necessaryfor the RTO to own the required resources, butit needs to show guaranteed access to therequired infrastructure (e.g., letter of agreementbetween a facility’s management and an RTO).In many cases, RTOs will use equipmentprovided by workplaces or will hire trainingrooms and other instructional equipment.

Step 6: Establish the assessment validation process

To ensure the consistency and quality ofassessment, RTOs are also required to validateassessment strategies. This involves reviewingthe assessment processes, tools and theevidence contributing to the judgements madeby a range of assessors. Various validationstrategies that RTOs can use are outlinedin chapter 5.

Step 7: Document the delivery and assessmentstrategies

It is a requirement that delivery and assessmentstrategies be documented in a form that clearlyshows the approach that the RTO will take tothe delivery and assessment of the qualification.This is discussed in more detail in the followingchapter.

How are delivery and assessmentstrategies documented?

Standard 9.1d of the AQTF Standards forRegistered Training Organisations states:

“The RTO must document the strategies referredto in Standards 9.1a on application forregistration and on extension of scope”.

(AQTF Standards for Registered TrainingOrganisations p.19)

This requirement may be met in a variety ofways. As illustrated in Figure 6, an RTO mayprepare a written statement that sets out itsdelivery and assessment strategies (see templateDelivery and assessment strategy outline —Appendix 5).

In this example, the RTO has establishedan assessment and delivery strategy for theCertificate II in Transport and Distribution(Warehousing) from the Transport andDistribution Training Package. The RTO hasprovided details on the:

■ qualification and units of competency to bedelivered and assessed

■ nature of the client group

■ delivery and assessment strategies includingthe alignment between the training programand the units of competency, the evidence-gathering techniques, the delivery modes andthe scheduling of assessment and delivery

■ ways in which evidence is gathered and theassessment is validated

■ staff and infrastructure required toimplement the program

■ pathways available to candidates whoundertake the qualification.

RTOs may document their delivery andassessment strategies a variety of ways. Ata minimum RTOs must provide documentedevidence that their strategies comply with therequirements of standard 9.1 of the AQTFStandards for Registered Training Organisations.To assist RTOs to meet this requirement,ANTA has released a publication entitledThe Evidence Guide for Registered TrainingOrganisations and Auditors — 2001. Thisdocument states:

33

“Evidence must include strategies for trainingdelivery and assessment for each TrainingPackage qualification and accredited coursewithin the RTO’s scope of registration.Evidence must also include:

■ assessment strategies developed inconsultation with enterprises/industry;

■ delivery and assessment strategies identifyingthe requirements of Standard 9.1c; and

■ documented strategies for training deliveryand assessment as part of the RTO’sapplication for registration or extensionof scope.”

(The Evidence Guide for Registered TrainingOrganisations and Auditors — 2001, p. 46)

Standard 9.1c states:

“The delivery and assessment strategiesreferred to in Standard 9.1c should indentifyproposed target groups, delivery andassessment modes and strategies, assmentvalidation processes and pathways.”

(AQTF Standards for Registered TrainingOrganisations p.19)

The following are samples taken from theEvidence Guide for Registered TrainingOrganisations and Auditors — 2001, that RTOscould provide to comply with Standard 9.1c:

■ client information outlining core andelective modules and how these will bedelivered/assessed

■ information to clients about the rangeof training/assessment options

■ plan identifying a range of availabledelivery/assessment methods to suita variety of needs, and evidence ofits implementation

■ demonstration of delivery and assessmentstrategies with clients

■ assessment activities/instruments

■ learning resources that use language andnumeracy in line with specified workplacerequirements

■ alternative assessment methods, use ofsupport staff and other examples of theprovision of support to individual clients

■ plans, agendas, meeting minutes thatindicate reviews of delivery and assessmentmaterials take place regularly

■ feedback from stakeholders on assessmentprocesses and resources

■ revised assessment processes indicatingaction taken to improve the quality andconsistency of assessment.

As illustrated in Figure 7 on page 37, one wayof presenting this information is to compile anevidence record. This lists documented evidencethat the RTO holds and identifies whereindividual items of evidence can be located ifrequired for registration or audit purposes.

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Figure 6: Sample delivery and assessment strategy — Option 1

Units or groups

of units of

competency

Units representoutcomes.Where thestrategy forachieving theoutcomesrequires groupingunits, indicatethis and treatthem together.

Indicate anyspecialrequirementsof the groupor particularindividuals,such asreasonableadjustment

If staff are notfully qualifiedfor thequalification,indicate thestaff personsupervising

On/off the job,projects,distance,online etc.

Learner guides,notes, logbooks, videos,project guides,assessmentresources etc.

Evidence plan,observation,oral questions,written tests,projects,demonstration,portfolio, RPL.

Target group

of learners

Staff to be

involved

Delivery

modes

Training

resources

Assessment

methods/

evidence

gathering

Notes:

Duration

of program

Actual plannedduration of formalactivites (notnominal hours)

Plan of face-to-face contact,schedule of onlinecontact etc.

In the case ofonline, indicatemethod ofaccessing site.

Select from range:

benchmarking,networks, fieldtesting, leadassessor,independentvalidator. SeeFig. 10.

Facilities andequipmentsuitable to deliverymethod andevidence-gatheringapproaches

Schedule

of sessions

Locations

of sessions

Validation

approaches

Infrastructure

requirements

Notes:

35

Figure 6: Sample delivery and assessment strategy — Option 2

Name of RTO Logistics Training Australia Page 1 of 4

Delivery period 1.1.2002 — 31.12.2005

Code and title

of qualification TDT20197 — Certificate II in Transport and Distribution (Warehousing)

Units of Code Title Core/Elective

competency

TDTD197A Shift materials safelyTDTD297A Use manual handling equipmentTDTE397A Participate in workplace communicationTDTE597A Carry out workplace calculationsTDTF197A Follow OH & S proceduresTDTF297A Conduct housekeeping activitiesTDTG197A Work effectively with othersTDTA11GA Package goodsTDTA1297A Pick and process orderTDTA1397A Receive goodsTDTA1497A Use product knowledge to complete work operationsTDTA2097A Replenish stockTDTA2197A Dispatch stockTDTA2297A Participate in stocktakesTDTI297A Apply customer service skillsTDTD10A97 Operate a forklift

Client(s) The key clients for this qualification are potential new entrants to the industrywho require a broad orientation to the industry. This group may include:■ school leavers ■ unemployed workers■ recent migrants ■ those wishing to gain entry to a different industry sector.

Delivery and Duration

assessment The program is delivered over a period of twenty weeks.arrangements

Organisation

The sixteen units of competency in the qualification have been organised into anoff-the-job training program that comprises three “general work skills” modulesand four “industry-specific skills” modules.

The program is organised so that candidates are provided with background informationon general skills such as OH & S in the “general work skills” modules and aregiven the opportunity to apply these skills in the “applied industry skills” modules.

For example, TDTF197A Follow OH & S Procedures appears in both the generalwork skills module — occupational health and safety — and the applied industryskills module — forklift operations.

It is only when the candidate successfully completes both modules that he or she isdeemed competent in the unit of competency TDTF197A Follow OH & S procedures.

The alignment between the units of competency and the training programappears on the following page.

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Name of RTO Logistics Training Australia Page 2 of 4

Delivery and Alignment with units of competency

assessment

arrangements Program Area Unit(s) of Competency

(continued)

General work skills Occupational health and safety TDTF197A

Workplace communications TDTE397A and calculations TDTE597A

TDTI297A TDTG197A

Materials handling TDTD297A TDTD197A

Applied industry skills Processing orders TDTA11GA TDTA1497A TDTA1397 TDTA1297ATDTI297A

Handling stock TDTA2097A TDTA2197A

Stocktaking TDTF297A TDTA2297ATDTE397ATDTG197A TDTE597A

Forklift operations TDTD10A97TDTF197A

Delivery modes

This program is delivered entirely off-the-job at the organisation’s Logistics SkillsTraining Centre through a combination of face-to-face trainer-led theory classesand practical sessions involving small-group and individual activities.

Candidates are provided with training manuals for each module, which include allmaterials used in the training sessions, assessment materials (other than tests)and reference materials.

Evidence-gathering techniques — the numbers on this chart refer to thedocumented evidence-gathering techniques that are used in each module.

Program area A B C D E F G H

Occupational health and safety 1 2Workplace communications and calculations 3 4Materials handling 5Processing orders 6 7Stocktaking 8 9Handling stock 10 11Forklift operations 12 13

KEY A Demonstration C Interview E Role play G Written testB Questioning D Scenario — F Case study H Critical incident

problem solving — fault finding report

37

Name of RTO Logistics Training Australia Page 3 of 4

Schedule

Delivery and The training program is conducted over a twenty-week period. The shaded areasassessment show the weeks in which particular modules are delivered.arrangements

(continued)The numbers refer to scheduled evidence-gathering techniques. These numbersindicate:

■ when the evidence-gathering technique will take place, i.e., evidence-gatheringtechnique 3 occurs in week 3

■ the module that is being assessed, e.g., evidence-gathering technique 3is focused on workplace communications and calculations

■ the type of evidence-gathering technique, e.g., by referring to the table ofevidence-gathering techniques it can be seen that technique 3 is an interview.

Week Program structure

1 Workplace Occupationalcommunications health and safetyand calculations 1

2 Materials handling 2

3 3

4 5 Handling stock

6

7 10

8 Processing orders 11

9 4

10

11 6

12 Stocktaking

13

14 7 Forklift operations

15 8

16

17 9

18 12

19

20 13

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Name of RTO Logistics Training Australia Page 4 of 4

Program area Staff Delivery/ Competencies of staff

Assessment

Technical Assess

Occupational health Julie Smith D&A X Xand safety Tom Fredericks D&A X X

Workplace Julie Smith D&A X Xcommunications and Toni Mizzi D&A X Xcalculations

Materials handling Tom Fredericks D&A X X

Processing orders Murray Goldhart D&A X X

Stocktaking Gordon Coles D&A X X

Handling stock George Smithers D&A X X

Forklift operations George Smithers D&A X X

The processes used to validate assessment in this program are:

■ Program manager meets with representatives from enterprise clients on anannual basis to check that the performance standards required in the programare consistent with industry practice.

■ Program manager convenes annual meeting of assessment panel, whichcomprises subject specialists in OH & S, communications and warehousingand one enterprise representative, to review evidence-gathering tools.

■ External facilitator conducts two moderation meetings attended by all assessors.The first meeting, held in week two of the program, confirms the evidence-gathering techniques and the required standards of performance. The secondmeeting, held one week after the program, focuses on reviewing assessmenttools and decisions.

All staff, including full-time, part-time and casual staff involved in the delivery andassessment of this qualification, have direct access to the current version of therelevant Training Package, including the appropriate units of competency,assessment guidelines and qualification structure.

All staff, including full-time, part-time and casual staff involved in delivering theprogram, have access to trainer, assessor and candidate support materialsrelevant to their areas of delivery and assessment.

All assessors have access to print and electronic copies of the assessment toolsthat are used in this program.

The RTO has access to staff and training/assessment resources to meet therequirements of candidates with special needs and has an assessment processthat incorporates reasonable adjustment procedures.

The RTO has reviewed the equipment and facility requirements for each unit ofcompetency in the qualification and guarantees that it has access to the plant andequipment needed to implement the program.

All candidates who undertake the Certificate II in Transport and Distribution(Warehousing) are provided with advice on employment and training options. Asthe program includes two additional units of competency at Certificate II level thesemay be counted towards the Certificate III in Transport and Distribution under thequalification packaging rules in the current version of the Transport and DistributionTraining Package.

Delivery and

assessment staff

Assessment

validation

process

Infrastructure

requirements

(A tick indicatesthat the RTO hasthe requiredinfrastructure.)

Pathways

Program manager’s endorsement:

Date:

✓

✓

✓

✓

✓

39

Figure 7: Record of documented evidence of RTO delivery and assessment strategies

Name of RTO

Qualification

Name of RTO contact person Telephone

This organisation can provide the following documented evidence to show that it has developedtraining delivery and assessment strategies for this qualification that comply with Standard 9.1of the Australian Quality Training Framework.

TYPE OF EVIDENCE YES LOCATION OF EVIDENCE

(Note: delete any information in this

table not required by your organisation.)

CLIENT NEEDS

Surveys, research reports, statistical informationon needs of client groups ■■

Customised delivery and assessmentstrategies to meet client needs ■■

CLIENT INFORMATION

Outline of program structure and delivery/assessment strategies ■■

Client information on delivery/assessment options ■■

DELIVERY AND ASSESSMENT PLANS

Delivery plan and evidence of implementation ■■

Assessment plan and evidence of implementation ■■

ENTERPRISE/INDUSTRY CONSULTATION

Meeting minutes/notes to indicate enterprise/industry consultation in development ofassessment strategies ■■

Letters acknowledging enterprise/ industryinvolvement in development of assessmentstrategies ■■

DELIVERY AND ASSESSMENT MATERIALS

Delivery materials ■■

Assessment materials ■■

REVIEW PROCESSES

Plans, agendas, minutes that indicatereview of assessment and/or delivery materials ■■

Plans, agendas, minutes that indicatereview of assessment and/or delivery process ■■

Revised assessment processes indicatingaction taken to improve quality andconsistency of assessment ■■

Stakeholder feedback on assessment processes ■■

OTHER

■■

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Step 8: Review the delivery and assessmentstrategies

Validation involves reviewing, comparing andevaluating assessment processes, assessmenttools and the evidence contributing to judgementsmade by a range of assessors against thesame competency standards.

How do delivery and assessment strategiesrelate to the endorsed components andsupport materials of a Training Package?

The delivery and assessment strategiesdeveloped by RTOs must relate to the endorsedcomponents of the relevant Training Packageor an accredited course, when the area is notcovered by a Training Package. “Assessmentactivities/instruments” in the form of supportmaterials, can constitute evidence ofassessment strategies and may be used forthat purpose. For example, the purpose of adelivery strategy is to provide an approach orvehicle through which the candidate can acquirethe competencies identified in the relevantqualification. Similarly, the assessment strategiesare designed to enable the candidate toprovide evidence, whether this is collected bythe assessor or the candidate, which showsthat the candidate has attained the competenciesidentified in the relevant standards.

Some RTOs will incorporate the support materialsdeveloped to facilitate the implementation of aTraining Package into their delivery andassessment strategies. For example, an RTOmay decide to use a set of nationally developedassessment tools or the training resources inthe relevant ANTA developed Toolbox, as partof its assessment and delivery strategy.Alternatively, some RTOs may decide to developtheir own assessment and delivery resources.

It may not be necessary for the RTO to providecopies of the full suite of assessment anddelivery tools it will use when registering orseeking to extend its scope of registration. TheRTO should provide evidence that it has anestablished delivery and assessment strategy.One way of doing this is to provide a statement,as illustrated in Figure 6, that outlines theRTO’s approach. This identifies, but does notinclude, the specific delivery and assessmentmaterials — learner guides, assessment tools,record books etc. that will be used in thedelivery and assessment of the qualification.

41

The AQTF Standards for Registered TrainingOrganisations require RTOs to consult withenterprises/industry when developingassessment strategies. The quality and valueof these consultations will be influenced by:

■ commitment of RTOs and enterprises/industryto the consultation process

■ enterprises/industry that are involved

■ techniques used to engage enterprises/industry

■ amount and quality of informationenterprises/industry are given

■ form and language in which informationis provided.

The intensity and scope of consultation will beinfluenced by factors such as:

■ the number of enterprises and/or otherstakeholders involved

■ the level of risk associated with theassessment

■ whether the assessment focuses onenterprise-specific or industry-widecompetencies

■ whether the candidates being assessedare employed by the relevant enterprises

■ the commercial sensitivity of the aspectof work being assessed

■ the cost of the consultative process.

A range of approaches to consultation

As illustrated in Figure 8, a range of approachescan be used by RTOs in consulting withenterprises/industry. The approaches they selectreflect both the RTO’s and the enterprise’s

commitments to engagement and their levelof involvement in decision making. Approachessuch as “joint decision making”, involve ahigher level of enterprise/industry involvementin decision making and participation in theconsultation process than others.

Principles of consultation

Regardless of the approach adopted to consultingenterprises, RTOs should ensure that:

■ purposes of the consultation are explainedin clear, concise and simple terms

■ enterprises involved in consultations aretreated as significant stakeholders

■ consultations are open, genuine and asbroad and deep as is practical

■ skills, resources and perspectives comingfrom enterprises are acknowledged

■ people involved are given adequateexplanations, information and time to respond

■ enterprises are provided with modelsand alternatives to consider and are notexpected to do the work of the RTO

■ people consulted are speaking on their ownbehalf or with the endorsement of theirenterprises

■ meaning of unclear responses is clarified

■ views obtained in the consultation processare reported accurately and incorporatedin RTO assessment strategies, whenappropriate

■ records of all consultation activities aredocumented and stored appropriately.

4. approaches to consultat ion

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Figure 8: Alternative approaches to consultation

High level of

involvement of

enterprises in

decision making

High level of

enterprise

participation,

ownership

Joint Decisions are made by the RTO but reflectdecision the views and solutions negotiated andmaking agreed with enterprises.

Partnership The RTO seeks to build a genuine sensein shaping of shared responsibility with enterprises.decisions It creates opportunities for sharing and

exchanging diverse views and incorporatesthem into the development of assessmentstrategies.

Participation The RTO creates opportunities forenterprises to formulate group views andtakes these into account when developingassessment strategies.

Proactive The RTO segments its enterprise clients andconsultation builds contacts with networks of interested

people. It actively seeks the views of thesegroups in response to specific questionsand promotes dialogue with these groupsabout their concerns and those of theirconstituencies.

Passive The RTO collects group and individual viewsconsultation in response to surveys, notices and invitations.

It records the responses and uses theinformation to inform the development ofassessment strategies.

Information The RTO ensures that clear, accurate andsharing comprehensive information about their

assessment strategies is made publiclyavailable and attempts to collect informationabout the needs, interests and concerns ofenterprises and industry parties. No significantdialogue is involved.

Adapted from a model devised by the Australianand New Zealand Food Authority

RTO makes the

decisions with

low or minimal

enterprises/

industry input

Low level of

enterprise

participation,

ownership

43

This is not to suggest that there is a hierarchyof approaches with “joint decision making”necessarily being more effective or desirablethan “information sharing”. Different approachessimply indicate that contexts may requiredifferent approaches to consultation. Forexample, “joint decision making” is highlysuited to environments where the RTO isproviding enterprise-based delivery andassessment services for a particular business.In this situation the enterprise has a high stakein the delivery and assessment strategies andwill want to ensure that RTO’s assessmentstrategies are clearly benchmarked againstenterprise procedures and that assessment isconducted in a way that meets enterpriserequirements and work practices. In thissituation there is a very direct relationshipbetween the RTO and the enterprise.

Some RTOs will employ different approachesfor consulting enterprises/industry on differentprograms that they offer. For example, a large,multi-sector RTO may adopt a “partnerships”approach when consulting enterprises on thedevelopment of assessment strategies for usein enterprise-based workplace trainingprograms. However, the same RTO may adopta “passive consultation” approach whenplanning the assessment strategies for anoff-the-job training program delivered to schoolleavers. In other cases, RTOs may use a rangeof approaches to gather the views of differententerprises about the same program. Forexample, an RTO may combine “informationsharing” and “proactive consultation” to gaina broad range of enterprise views on theassessment strategies used in a particularprogram or qualification. By combining thetwo approaches, the RTO gains the views ofenterprises that are willing to participate in anetwork while providing those who are eitherunable or unwilling to join the network with a

way of providing input into the RTO’s decisionmaking process. Each of these approaches toconsultation provides a legitimate way ofgathering the views of enterprises on RTOassessment strategies. The important questionfor the RTO is which approach best meets itsown needs and those of its enterprise clients.

Following are detailed explanations of the sixapproaches to consultation identified in Figure 8.

Joint decision making

Description

In this approach, decisions about the RTO’sassessment strategies are made by the RTObut reflect the views and solutions negotiatedand agreed with enterprises/industry. Thisapproach assumes a high level ofenterprises/industry involvement in decisionmaking and should produce a high level ofenterprises/industry ownership and confidence inthe assessment strategies developed by the RTO.

Consultation strategies

The consultation strategies that the RTO mightuse with this approach include:

■ enterprises/industry specific, targeted directcommunications based on knowledge ofthe enterprises/industry and its needs

■ personal contact by phone and email,followed up by visits at times convenient tothe enterprises to conduct interviews, focusgroups and presentations

■ joint working groups comprising RTO andenterprises/industry staff.

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Application

This approach is most suited to consultationsbetween an RTO and and enterprises/industryon the development of an assessment strategyfor use within the enterprise.

When to use

This approach is particularly suited to situationswhere small RTOs or specialist units within largerRTOs are contracted to provide delivery andassessment solutions for individual enterprises.

Issues/considerations

RTOs should be responsive toenterprises/industry needs and requirementsand have delivery and assessment expertise.

RTOs are advised to ensure that both theirstaff and the relevant enterprise personnelunderstand the advantages of utilising nationallyrecognised training and the flexibility it offers.

The approach is time- and resource-intensiveand could be chosen by the RTO for liaisonwith companies with which they want toestablish strategic alliances.

Case studies

Following the endorsement of the FinancialServices Training Package, a private providerwas engaged by a prominent insurance groupto develop and implement a workplaceassessment strategy across the organisation.This case study looks at the RTO and enterpriseviews on the resulting enterprise engagement.

Experiences from the fieldIndustry perspective

The RTO was approached by the insurancegroup because of its experience in workingwith enterprises and conducting workplaceassessments. The project involved thedevelopment of an assessment strategy to beimplemented for 700 staff across the organisation.

Key issues for the enterprise were to:

■ set a national training benchmark for staff

■ establish a consistent approach toassessment that has integrity and credibility

■ design assessment procedures and toolsspecific to the organisation and theworkplace context

■ have both internal “content experts” and stafffrom the RTO in the workplace to conductassessments and to interpret the insuranceunits of competence in the business context

■ ensure quality procedures were followed byboth parties

■ establish training pathways within theorganisation that allow for recognition ofskill, gap training and the issue of nationallyrecognised qualifications.

Both parties worked together to develop aflexible, cost-effective, resource-efficient anduncomplicated approach to workplaceassessment. Decisions were made at regularmeetings, considering matters such as whento consult with staff, how to communicatewith staff, the resources to use, the length oftime the assessment should take, whatevidence to gather, and the desired outcomes.

Enterprise staff were very satisfied with theirengagement with the RTO. The RTO wasresponsive to the organisation’s businessneeds and able to provide additional services,such as assessor training for staff. Enterprisestaff felt supported by management as a resultof the process and are reaping the rewardsfrom this commitment to training. This approachhas reduced the enterprise’s overall trainingcosts as it now has internal assessors who canassist in implementing the recognition processin consultation with its RTO.

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Experiences from the field

RTO perspective

The RTO thoroughly researched the enterpriseand the insurance industry at the onset. “Ourmain objective was to add value to our client’sbusiness goals while issuing a qualification,”said the RTO’s director. “We needed tounderstand what they were already doingwell and build on their best practices.”

The parties conducted information sessionsand over 700 individual consultations forenterprise staff with each staff memberreceiving a customised assessment planner.RTO staff “lived” at the enterprise offices forthe life of the initial assessments, learning theclient’s systems, interacting with staff andconducting assessments at appropriate times.Moderation meetings with all assessors atinterstate branches ensured a consistentassessment approach was maintained. Holistic,customised assessment tasks were created forthe enterprise using current procedures andreal work tasks.

The RTO continues to invest resources for themaintenance of the assessment approach. Itconducts annual assessments to ensure thatstaff members’ competence is maintained.Assessment tools can be downloaded from theRTO website for enterprise assessors toensure the consistency and quality ofassessments. The success of the joint decisionmaking process has cemented a long-termrelationship between the parties.

“We see the RTO as a strategic businesspartner rather than a contractor,” said theclient’s national human resources manager.“The traineeship system, together with theselection of a reputable RTO, provides theperfect foundation for developing a learningenvironment.”

Partnership in shaping decisions

Description

In this approach, the RTO seeks to build agenuine sense of shared responsibility withits enterprises/industry clients. It createsopportunities for sharing and exchangingdiverse views and incorporates them into thedesign of assessment strategies. While theRTO makes the decisions, it sees theenterprises/industry as active partners indecision making. This approach produces ahigh level of enterprises/industry confidencein the RTO’s assessment strategies.

Consultation strategies

The consultation strategies that the RTO mightuse with this approach include:

■ direct communications withenterprises/industry to establish theirrequirements

■ personal contact with follow up by visitsto conduct interviews, focus groups andpresentations

■ making contact through existing forums,conferences, committees and networks

■ building relationships with people inindustry representative groups

■ providing targeted information to meetparticular business needs and tailoringprograms to the specific context.

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Application

This approach is most suited to situationswhere RTOs are involved in customisingqualifications to meet enterprises/industryrequirements.

RTOs operating in a particular industry orlocality may establish a network of enterprisesand other industry stakeholders (or utilise anexisting network where appropriate) to canvassenterprise needs and ensure that they are metthrough the RTO’s current program offerings orby customising these offerings to suitparticular needs.

When to use

This approach is useful when RTOs have adefined set of industry qualifications on theirscope of registration that relates to an easilyidentifiable group of enterprises in a region.

Issues/considerations

This approach implies a fairly stable set ofrelationships that, once established, shouldensure the industry needs are met. Theseconsultation strategies can become too set andrely on individuals who do not always sharetheir information widely.

Experiences from the field

A large food-processing company approached alocal RTO to design and establish training andassessment systems for its processing staff.

During two years of collaboration, more than100 workers received skills recognition for theircompetencies, providing an opportunity to mapthe training needs of the workforce. The RTOutilised this information to develop a plan forproviding training where gaps existed. Includedin this strategy was the development ofenterprise specific resources, including TrainingRecord Books, learning guides and assessmenttools. Trainees were encouraged to gatherevidence as they carried out their normalemployment activities.

There were many positive aspects to thistraining program and a number of issues thatrequired resolution. These included:

■ language and culture: Approximately 90percent of the workforce spoke very littleEnglish and possessed limited numeracyskills; interpreters assisted during trainingsessions, and observation checklistsovercame some language barriers astrainees demonstrated competency duringworkplace activities.

■ changing pathways: As workers moved fromCertificate I to Certificate II level training,significant time was needed to map the skillsrequired in each area and provide a matchto suitable competencies from all electivesin the Food Processing Training Package.

■ ownership of materials: The RTO developedresources that were customised with thecooperation and assistance of enterprisesupervisors; this work was largely carried outas a delivery obligation by the RTO; however,the resources now comprise commerciallysensitive material, and the issue of intellectualproperty ownership is still being resolved.

This partnership has been a challenge for allinvolved. However, many successful workplacedelivery strategies and models have beendeveloped. The specialist skills and knowledgeprovided by the enterprise have highlighted thenecessity for a sound knowledge andunderstanding of workplace requirements. Fromthe RTO perspective, this has been a valuablelearning experience providing the foundationfor future negotiations for work-based delivery.

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Experiences from the field

A partnership between a regional RTO andvarious mining sites ensures that there is aconsistent approach to assessment across oneState mining sector.

The revised Mining Act and Training Packagehas put the onus of developing delivery andassessment strategies onto the mining industryinstead of the RTO. The mining sector isdeveloping the resources and the contractedRTO for the sector acts as the “quality check”to ensure that delivery and assessmentstrategies match Training Package competencies.

Because of the mining sites’ experience intraining over many years, they can developeffective assessment and training strategiesthat are site-specific. Staff from the RTOregularly visit all sites and interact with themanagers, trainers and learners to ensure theyare all satisfied with their workplaceassessment process.

“The key to success when dealing with themining industry is not to tell industry what todo, but instead to inform them of what theRTO can do for them,” said the RTO manager.“We’ve organised meetings with miningrepresentatives to help them understand theimplications of the new AQTF and to setcompetency benchmarks using the currentTraining Package standards. All assessmentsare done on the job so we need to be clearabout what we are assessing and whatperformance level is competent in accordancewith workplace standards. Because of ourgreat relationship with industry, we are ableto work through these issues together faceto face on the various mining sites.”

Participation

Description

The RTO creates opportunities for enterprisesto formulate group views and takes these intoaccount when developing assessment strategies.

Consultation strategies

The consultation strategies that the RTO mightuse with this approach include:

■ meeting with representative bodies,councils, consultative groups, committeesand networks to conduct discussions andrevise positions regarding delivery andassessment strategies

■ engaging in informal enterprise networks

■ participating in enterprises/industryconferences, seminars and workshops

■ preparing discussion papers forconsideration by enterprise networks

■ calling for representations, submissions andformal responses.

Application

An RTO may convene a forum or use sessionsof an existing committee, council or State bodyto consider and canvass issues around thestructuring of delivery and assessment.

When to use

This approach is useful in cases wherequalifications have a broad application acrossseveral industries and are being delivered in arange of locations beyond a specific enterpriseor region.

Issues/considerations

While this is a convenient and cost-effective,way of engaging with enterprises/industry, itmay not involve the right people, or the peoplewho will have direct knowledge about the waythe competencies are acquired and theassessments conducted.

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Experiences from the field

A private RTO specialising in hospitality engageslocal, national and international industry bodiesand enterprises to participate in the developmentof its business and training objectives. It hasvarious structures for enterprises/industryconsultation including:

■ a Board of Directors, comprising industryrepresentatives, that focuses on the generaloperation of the RTO to ensure it meetsindustry needs

■ a ten-member advisory board, comprisingCEOs from tourism and hospitalityorganisations and industry representativeswho have worked internationally, that offersstrategic direction and provides industry advice

■ affiliations with international networks thatprovide the RTO with the opportunity tolearn about international trends and commonphilosophy in curriculum development fortourism and hospitality courses.

The RTO promotes training activitiesinternationally through annual prospectus,mail-outs and a website. Representatives inoverseas locations promote the school atinternational education forums and conferences.The RTO alumni are very active and providecurrent feedback on the industry and theprogress of their international careers.

The Principal of the RTO advises RTOsoperating in an international context to becomeinvolved in the industry. “Start your involvementat a local level and then establish internationalnetworks,” he said. “An RTO must demonstratethat it wants to help industry achieve businessobjectives. Then it will reap the rewards of aneffective relationship with industry.”

Experiences from the field

A private RTO specialising in design, visualisation,fashion design and interior decoration claims asustained 100 percent employment rate forstudents in relevant industry employment,often before their graduation. In addition, thefashion and interior design industries regularlycall on this RTO as a surrogate employmentagency.

Consultation with enterprises/industry is anongoing and mutually beneficial process for theRTO, with activities including:

■ engagement in activities such as designcompetitions, fashion parades, direct projectrecruitment and establishment of high-profileindustry placements for students

■ cross-sector education and institutionalaffiliations including formal representationfrom industry on course developmentcommittees and affiliations with universities,schools, Industry Training Advisory Bodiesand the relevant Board of Studies

■ recruitment of staff members, who areoften industry practitioners running theirown design studios and businesses, withcurrent industry knowledge

■ course advisory panel meetings thatdevelop learning and assessment strategiesin consultation with industry, ensuring thatassessment tasks reflect workplace contexts.

“Education is a natural part of industrydevelopment,” said the Director of Educationat the RTO. “We are fortunate to haveestablished great industry networks thatensure our training programs are gearedto genuine workplace opportunities.”

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Proactive consultation

Description

The RTO segments its enterprises/industryclients and builds contacts with networks ofinterested people. It actively seeks the viewsof these groups in response to specificquestions and promotes dialogue with thesegroups about their concerns and the concernsof their constituencies.

Consultation strategies

The consultation strategies that the RTO mightuse with this approach include:

■ directly communicating with key enterprisepersonnel and “industry leaders”

■ facilitating and participating in enterprisenetworks

■ establishing and conducting focus groupsof enterprise and RTO staff

■ distributing information through newslettersand websites

■ making presentations at conferences andforums and seeking feedback

■ appointing and allocating staff with specificenterprises/industry liaison responsibilities.

Application

This approach is particularly suited to situationswhere RTOs offer a range of qualifications,such as all the qualifications in a TrainingPackage, to a group of enterprises and requireinput and feedback to develop and review theirassessment strategies.

When to use

This approach works well where RTOs havethe expertise and capacity, including the staff,networks and infrastructure, to engage“industry leaders” and enterprises across anindustry, industry sector or region.

Issues/considerations

A key issue is ensuring that the contactsand relationships are purposeful, and theinformation gained through consultationsinforms the development of the RTO’sassessment strategies and its qualityimprovement cycle.

Case studies

A State Industry Training Advisory Body (ITAB)has taken an active role in facilitating RTOenterprise engagement on a range of issues,including the development of workplaceassessment strategies associated with theimplementation of the industry’s TrainingPackages. A regional RTO has been successfulin proactively consulting with enterprises/industryin the community services sector. A smallprivate training provider has also soughtenterprises/industry consultation to enhanceits business operations.

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Experiences from the field

One State ITAB has taken a proactive stancein facilitating communication in its industry bybuilding strong relations with virtually all relevantRTOs and enterprises operating across theState.

The ITAB has established an ongoing seriesof workshops to facilitate RTO enterpriseengagement. These workshops, attendedby RTO and enterprise staff, are normallyorganised around a key theme and provide aforum to share views and experiences aboutkey issues associated with the implementationof the industry’s Training Packages. A recentmeeting focused on the assessmentrequirements in the AQTF and how RTOs cancomply with the standards in a cost-effectivemanner. A key issue discussed was the rolethat enterprises could play in RTO assessmentvalidation processes. This involved considerationof the purpose of validation, enterprise andRTO attitudes about the value of validation, andhow enterprises might work with RTOs to addvalue to validation activities.

The ITAB provides a forum in which RTOs andenterprises can speak openly and frankly abouttheir concerns and needs in relation to deliveryand assessment. Through this process RTOsand enterprises develop a better understandingof each other’s requirements and pursuepractical forms of RTO enterprise engagement,such as the collaborative development ofassessment tools.

Experiences from the field

A campus of a large RTO has established asuccessful venture with the local communityservices sector. A shortage of availablevocational placements for students in theregion meant that an alternative assessmentscenario had to be devised.

In consultation with the students, theCommunity Services Coordinator devised anindustry-focused project. An “IndependentLiving Kit”, developed by the group, wasdesigned to assist young people who leavehome for the first time. In the beginning, itwas difficult to engage industry support for theinitiative. However, once the benefits of the kitwere communicated to industry, local groupswere supportive and keen to offer theirsuggestions on structure, content andproduction of the resource.

The production of the “Independent Living Kit”was so successful that local youth groups willuse the resource with their members. The localCity Council and the State Department of Healthhave funded further production of the kit fordistribution to youth organisations statewide.

The success of the kit proved to industry thecommitment and passion the RTO’s studentshave for the community services industry.Since the launch of the resource, enterprisesand industries have been easily engaged tosupport the development of assessmentstrategies for the RTO’s community servicesprograms, and many other community-basedprojects have been successfully undertaken.

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Experiences from the field

A small not-for-profit training provider withexpertise in online learning, flexible deliveryand the development of Training PackageToolboxes has established effective consultationprocesses with industry and enterprises.

The RTO’s success at engaging and consultingwith enterprises/industry has been due to theexperience and networking contacts of staff.Industry representatives are appointed toadvise on assessment practices and therelevant competencies required by industry.External industry representatives annuallyreview student work to ascertain quality andadvise the RTO on which students should begranted study scholarships. The RTO also runsan internal consultation process where a panelof staff reviews student results and verifiesassessment outcomes. And where possible,the RTO seeks the appropriate consultantservices to ensure that its business practicesare compliant with the AQTF.

The RTO has established strong links with astatewide curriculum reference committee,curriculum development groups, relevant ITABsand a range of industry representatives.

“We have been successful in engagingenterprises/industry because we talk commonsense to them,” said the director of the RTO.“We build a relationship with them and look athow we can add value to each other’s businessoperations. It’s also very important to be astraightforward communicator, to be honestand to develop trust between the two parties.”

Passive consultation

Description

The RTO collects individual and group viewsin response to surveys, notices and invitations.It records these responses and uses theinformation in the development and reviewof its assessment strategies.

Consultation strategies

The consultation strategies that the RTO mightuse with this approach include:

■ collecting information on enterprises/industryneeds from published industry sources suchas journals and websites

■ establishing processes to capture andanalyse information from enterprises/industryand candidates including customersatisfaction data, complaints and appeals

■ creating opportunities for enterprises/industryto offer general input and feedback onassessment strategies through invitingcomment via websites and other informalmeans

■ using targeted questionnaires and surveys.

Application

As part of their quality processes, RTOsregularly collect information from surveysof employer satisfaction. This can captureinformation about the validity of assessmentoutcomes, the aspect that usually concernsemployers the most.

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When to use

This approach is suited to situations whereRTOs are servicing a large number ofenterprises and there are different levels ofinvolvement, such as in off-the-job delivery.

Issues/considerations

Surveys are major sources of quantitativeinformation on employer requirements. However,care should be taken in interpreting these data(be aware of sample size, reliability, design,randomness and structure of the questionnaire).Structuring assessment strategies around whatmost appear to want may be a useful startingpoint but this needs to be supported by moreforms of direct consultation. To maximiseresponse rates, surveys should be short andsuccinct and make minimal imposition on thetime and resources of enterprises. A furtherissue is ensuring that the information obtainedaids in the development of the RTO’sassessment strategies and its qualityimprovement cycle.

Case study

A public RTO employs a range of approachesto engage enterprises in the development andreview of its assessment strategies. One aspectof its approach involves systematically gatheringand analysing feedback from enterprises andusing this to inform continuous improvement.

Experiences from the field

The RTO’s success in the VET in Schools sectoris based on a tiered consultation process. Oneaspect of this approach involves gatheringfeedback from relevant enterprises, ITABs,Group Training Companies, RTOs, neighbouringschools, teachers, students and parents on itsdelivery and assessment strategies.

Through this consultation process the RTO isable to:

■ establish specialised networks within eachindustry area

■ customise student delivery and assessmenttasks to suit enterprise needs

■ maximise the benefits students receivefrom work placements

■ validate the value of the VET in Schoolsprograms with industry support

■ gather feedback on its delivery andassessment strategies through annualsurveys with industry, employers, teachers,students and parents

■ keep up to date with current industrydevelopments

■ maintain assessment consistency and quality

■ work to improve the development ofassessment resources in consultation withenterprises.

“Industry wants to see how they can benefitfrom their involvement with a VET in Schoolsprovider and it is our job as an RTO to do this”,said the VET Development Officer at the RTO.“We’ve found that it is essential to have amutually beneficial and trusting relationshipbetween industry employer, the schoolcoordinator and the student.”

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Information sharing

Description

In this approach the RTO ensures that clear,accurate and comprehensive information onits assessment strategies is made availablepublicly and attempts to collect informationabout the needs, interests and concerns ofenterprises/industry but does not necessarilyengage enterprises/industry in dialogue onthese matters.

Consultation strategies

The consultation strategies that the RTO mightuse with this approach include:

■ publishing brochures, manuals and websitesincluding detailed information about theRTO’s assessment strategies; thesecommunication channels can also be usedto solicit feedback on the RTO’s strategies

■ advertising delivery and assessmentservices to potential clients

■ preparing and distributing regularnewsletters and inviting feedback

■ preparing and distributing discussion papersand surveys

■ preparing and distributing marketing andinformation materials

■ making presentations at conferences andseminars.

Application

This approach is particularly suited to situationswhere there is a broad range of enterprisesthat the RTO is attempting to engage, andthere are different levels of contact betweenthe RTO and its actual and potential clients.

When to use

Every organisation engages in promotionalactivity. RTOs that can explain their deliveryand assessment strategies in accessible wayshave a competitive advantage in thetraineeship market.

Issues/considerations

Enterprises/industry will only engage with thispublished material if it seems directly relevantto them. While making materials available inhighly attractive forms can increase thelikelihood of engagement, it can never beassumed that enterprises/industry haveactually been engaged.

Case study

A metropolitan Adult Community Education(ACE) provider has established effective waysof sharing information with enterprises/industryto seek feedback and validate assessmentstrategies.

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Experiences from the field

The RTO sees the benefits of consulting withindustry and has successfully achieved thisthrough its literacy program. RTO staff consultwith peak literacy bodies, attend literacyconferences and forums and have establishedliteracy committees and networks to ensurethat programs align with the nationalbenchmark and deliver the opportunity for avariety of vocational pathways for students.Links with local TAFEs and the RTO’s ownrelevant departments have also been establishedto assist students to continue their educationat the completion of their literacy course.

Information on the literacy program is postedon the youth network website for students toaccess and special “interface classes” havebeen established to bring literacy and ESLstudents together to learn and exchangeinformation and ideas.

The RTO has also undertaken an industryconsultancy project providing language, literacyand numeracy awareness workshops thatassist RTOs to meet the AQTF requirements,particularly those relating to Standards 6, 7,8 and 9.

The Manager of Quality Assurance at theRTO says that the organisation is alreadyimplementing effective ways to consult withindustry. However, she believes the challengefor the RTO is to maintain effective records ofthe consultation procedures they implementwith industry. “This is where we may need toimprove in order to fully comply with Standard9 of the AQTF,” she said.

Capturing evidence ofenterprise/industry engagement

RTOs must be able to substantiate that theyhave met the AQTF requirements for engagingenterprises/industry in the development oftheir assessment strategies. To do this, RTOsmust have documented evidence of enterpriseengagement. This evidence may take a varietyof forms including:

■ names of enterprise staff involved inconsultations including details of theirpositions, organisations and contact details

■ details of what they were consulted aboutand their responses

■ copies of information sent andpresentations made to those consulted

■ minutes or other records of any formalgroup consultations conducted

■ copies of correspondence with thesepeople that is relevant to this purpose

■ letters and any documents showing thatthose consulted support the proposedassessment strategies

■ documents showing that the RTO’sassessment strategies have been adaptedin response to enterprise consultation

■ information derived from surveys, researchand statistical reports.

One way of capturing and recording this evidenceis to establish and maintain an evidence recordthat simply lists the items of evidence held bythe RTO and where it may be located. Asample evidence of consultation record isprovided as Appendix 6.

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9.1d of the AQTF Standards for RegisteredTraining Organisations states:

The RTO must document the strategiesreferred to in Standard 9.1a on applicationfor registration and on extension to scope.

9.1b of the AQTF Standards for RegisteredTraining Organisations states:

The assessment strategies referred toin Standard 9.1a must be developed inconsultation with enterprises/industry.

It follows that RTOs need to devise practical,cost-effective ways of organising theirdocumentary evidence of enterprises/industryconsultation.

Reviewing the approach to engagingenterprises

RTOs should regularly review their consultingapproaches. In conducting reviews, RTOsshould consider the following questions:

■ Are the right enterprises consulted?

■ Are the right staff within the enterpriseconsulted?

■ Are the right stakeholders representedin advisory groups?

■ Do the enterprises consulted haveappropriate input into the RTO’s decisionmaking processes?

■ Is an adequate cross-section of enterprisesbeing consulted? Are the views of small,medium and large enterprises beingconsidered?

■ Are the consultations focused on the rightissues?

■ Are the consultations generating usefulinformation?

■ Is the information gathered being used toimprove the RTO’s assessment strategies?

■ Was the documentation of consultationsadequate?

■ How have the improvements to theassessment strategies been documented?

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In practice, many RTOs already engageenterprises/industry and other stakeholders inboth the development and validation of theirassessment strategies. They realise thateffective validation processes ensure thattheir assessment strategies meet the needsof clients, are benchmarked against relevantstandards and provide outcomes that areaccepted by enterprise and other key industrystakeholders. These processes build theconfidence of RTO staff involved in conductingassessments and serve to enhance industryacceptance of the outcomes of the nationaltraining system.

The AQTF Standards for RTOs require all RTOsto validate their assessment strategies through:

... reviewing, comparing and evaluating theassessment processes, tools and evidencecontributing to judgements made by a rangeof assessors against the same competencystandards*, at least annually.

* These may be internal processes with stakeholderinvolvement or external validations with other providersand/or stakeholders.

and to

... document any action taken to improve thequality and consistency of assessment.

Depending on the scope of registration, an RTOmay validate several qualifications together. Insome cases, it may be appropriate to validateat a level below that of a single qualification.

The key benefit of assessment validation isthat it facilitates consistent and validassessment. More specifically, validationactivities:

■ confirm that the needs of clients(candidates, enterprises and industry) are met

■ facilitate assessor professional development

■ enable enterprises and other stakeholdersto contribute to RTO assessment processes

■ provide a means of gathering feedbackand identifying ways of improving RTOassessment processes

■ facilitate consistent interpretation ofcompetency standards

■ allow for the evaluation of the technicalquality of the evidence-gathering technique(s)

■ promote discussion about aspects of theassessment process, such as reasonableadjustment

■ foster the development of informalnetworks and the exchange of information

■ provide for the development of benchmarkperformance standards.

What must be validated?

Standard 9.2 of the AQTF Standards forRegistered Training Organisations requiresRTOs to validate assessment strategies byreviewing, comparing and evaluating theassessment processes, tools and evidencecontributing to judgements made by a range ofassessors against the same standards at leastannually.

5. val idat ing assessment st rategies

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Validating the assessment process

The assessment process is the agreed seriesof steps that the candidate undertakes withinthe enrolment, assessment, recording andreporting cycle. The process must meet therequirements of Standard 8 of the AQTFStandards for Registered Training Organisations.The key steps in the assessment processusually include:

■ establishing the assessment context

■ preparing the candidate

■ planning and preparing the evidence-gathering process

■ collecting the evidence and making thejudgement

■ providing feedback on the assessment

■ recording and reporting the result

■ reviewing the assessment process

■ participating in the reassessment andappeals process.

The assessment process can be validated bycomparing the policies, procedures andprocesses of one RTO with another.

Validation of assessment tools

An evidence-gathering or assessment toolcomprises:

■ the instrument(s) — the specific questionsor activities developed from the selectedassessment method(s) to be used for theassessment (a profile of acceptableperformance and the decision making rulesfor the assessor may also be included)

■ procedures — the information/instructionsgiven to the candidate and/or the assessorregarding conditions under which theassessment should be conducted andrecorded.

The validation of evidence-gathering/assessmenttools is designed to ensure the quality andvalidity of the tools before their use. Theprocess builds consistency by ensuring thatassessment tools meet specified criteria intheir development.

It is crucial that tools used to gather evidenceare based on an accurate interpretation of thecompetency standards and use appropriatemethods for gathering evidence that enablethe assessor to make an informed judgementon the candidate’s competence.

The validation of evidence-gathering/assessmenttools is a process designed to ensure that thetools reflect the requirements of the relevantTraining Package, are able to be applied in arange of practical settings and meet the RTO’squality standards.

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The validation process may include:

■ expert review of the evidence-gathering/assessment tools by individualswith expertise in assessment and therelevant Training Package

■ field or pilot testing of the assessment toolswith groups of assessors and candidates

■ peer review of the tools by assessors in therelevant industry

■ “workshopping” the tools with assessorsand other key stakeholders in the relevantindustry sector.

The validation of the evidence-gathering/assessment tools may involve anumber of approaches. Regardless of theapproaches used, a review should generatefeedback about the usefulness of the tool andany required changes. The evaluation shouldensure that the assessment tool:

■ is benchmarked against the current versionof the relevant Training Package(s)

■ was developed in consultation with industryand has been effectively trialled

■ facilitates assessment practices that arereliable, valid, flexible, consistent and fair

■ incorporates clear, concise and accurateadvice to assessors on how it should be used

■ takes into account the need for reasonableadjustment in the assessment process

■ supports assessment processes that areinclusive and non-discriminatory

■ represents good value for money

■ is of a production quality ensuring that thetool is durable, attractive to the candidateand assessor and fit for purpose

■ can be successfully implemented in therelevant enterprise or RTO, taking intoaccount the characteristics of the candidates,assessors and the assessment context.

Assessment tools that carry the ANTA qualitylogo have been evaluated against the criteriaabove. This means that an independentevaluator has checked them for consistencywith these points.

Validating the evidence contributing to thejudgement made by assessors

Assessors may judge evidence that is drawnfrom a range of sources. The evidence maybe collected by the assessor, the candidateor a third party, such as a workplace supervisor.It can be a mix of current and past evidence.Whatever the approach, the focus should beon gathering evidence that is valid, sufficient,current and authentic, “quality evidence”.It is important to ensure that the evidencerequirements of the relevant Training Packageare met, and this should be monitored regularly.

The implications of inconsistent and poorjudgements can include:

■ confidence in the AQF qualifications and/orstatements of attainment between RTOs willbe undermined

■ employers and employees will not readilyaccept AQF qualifications and/or statementsof attainment

■ candidates may be treated unfairly.

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Ensuring the validity and reliability ofjudgements will improve the consistencyof outcomes and build confidence in thequalifications issued through the vocationaleducation and training system.

However, to make a judgement or inferenceabout a candidate’s competence can be acomplex process. It requires assessors to have:

■ current skills and knowledge of the broaderindustry practice (or access to another personwith those skills and knowledge, such as anindustry expert, who will agree to assistwith the design and/or conduct of theassessment)

■ a common understanding of the assessmentrequirements as set out in the relevantTraining Package

■ a common interpretation of the unit(s) ofcompetency being assessed.

Validation activities should focus on providingopportunities for assessors to check, confirmand discuss their interpretation of the standards,the evidence requirements and the basis onwhich they make assessment decisions.

Who should be involved in the validationof assessment strategies?

The footnote to Standard 9.2 in the AQTFStandards for Registered Training Organisationsstates that validation processes:

... may be internal processes with stakeholderinvolvement or external validations with otherproviders and/or stakeholders.

Validation activities may be internal processesmanaged by the RTO. To ensure that theneeds of candidates and enterprises/industryare met, RTOs should provide for theinvolvement of external stakeholders.

External validation activities involve personnelfrom RTOs and external organisations. Theseprocesses may include specialist assessors,external validators and representatives ofrelevant industry bodies.

When should validation occur?

Validation can take place before, during andafter assessment. It can occur at one, two orall of these times.

Validation before assessment may concentrate on:

■ the interpretation of the unit(s) ofcompetency to be assessed

■ the development of a common understandingof the standard to be achieved

■ the identification of the evidence required

■ evidence-gathering/assessment tool design.

Validation during assessment may concentrate on:

■ the performance of the candidateundertaking the assessment

■ the evidence collection process

■ the role of the assessor in it.

Validation after assessment may concentrate on:

■ the effectiveness of the assessment tool(s)and the assessment process

■ the standard of performance achieved

■ the validity of the evidence collected

■ the accuracy and consistency of theassessment judgement.

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Undertaking validation through all stages of theassessment process can be a costly process.The RTO can choose whether validationactivities will cover all stages or focus onparticular stages of the assessment process.

The checking of tools, evidence requirementsand benchmarks of performance usually occurseither before or after assessment takes place.Validation during the assessment process isless common.

What documentation is needed?

Regardless of the validation approach used,it is vital that RTOs maintain records of theirvalidation processes to satisfy the requirementsof Standard 9.2 in the AQTF Standards forRegistered Training Organisations which statesthat RTOs must:

... document any action taken to improve thequality and consistency of assessment.

It is important that any records are filedappropriately so that they can be easilyaccessed if required. The forms of evidencethat show validation has taken place may include:

■ records of meetings where validation iscovered (course committees, assessornetworks, moderation, peer review etc):

• agendas, minutes, reports of outcomes,action plans, memos, emails etc.

■ feedback from clients including:

• candidate and/or employer satisfactionsurveys

• notes recording feedback from face-to-face or telephone interviews

• letters or other written material

■ position descriptions for specialist or leadassessors

■ terms of reference for assessment panelsor similar committees

■ records of reviews or samples of evidencecollected for assessment including:

• feedback to candidates

• comments from specialist assessors ortechnical experts

• notes from moderation meetings

■ internal audits/RTO self-assessmentregarding the assessment process

■ records of benchmark activities such as:

• visits to other RTOs or organisations

• exchange activities (personnel,documentation, resources etc)

■ records of professional developmentactivities or similar mechanisms that focuson improving assessment strategies

■ examples of materials used in reviewing,comparing and evaluating tools, such as:

• quality criteria, review checklists

■ materials and guidelines for developing andvalidating evidence gathering tools including:

• guidelines for designing evidence-gathering tools

• templates

• exemplars/samples

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■ records of changes made to evidence-gathering tools:

• samples of early drafts and final toolsshowing improvement (be aware ofversion control)

• reports/review sheets on changes madeto tools.

These are only suggested forms of evidence,and many other examples may be added tothis list.

What approaches can be used to validateassessment strategies?

There are many approaches that RTOs can useto validate assessment strategies. These include:

■ assessor networks

■ assessment panel

■ assessment tool bank

■ bank of assessment exemplars andbenchmarks

■ benchmark

■ client satisfaction surveys

■ field testing, trialling and piloting

■ independent validator

■ information for assessors

■ internal audits

■ lead assessor

■ mechanisms to support professionaljudgement

■ mentoring

■ moderation meetings

■ peer review

■ professional development

■ RTO self-assessment

■ sampling

■ specialist assessor

■ team assessment.

This list is neither exhaustive or mandatory.Figure 9 provides an alphabetic list of thevalidation approaches described in theseguides and identifies which approaches aremost suited to validating the differentcomponents of RTO assessment strategies.

Figure 10 provides a brief description of eachof these approaches as well as links to otherguides in the series that contain more detailedinformation.

Guide 8: Strategies for ensuring consistency inassessment and Guide 10: Quality assuranceguide for assessment provide detailedinformation on most of the approaches listedabove. These guides include:

■ a description of the approach and its purpose

■ how the approach can be used

■ benefits of using the approach

■ issues to consider

■ snapshot case studies and examples fromthe field where relevant

■ templates and suggested guidelines whereappropriate.

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Figure 9: Suggested approaches for validating components of the assessment strategy

Components of the assessment

strategy to be validated

Assessment Assessment Evidence Assessment

process tools judgement

Approaches for validation A B C D

Assessor networks X X X X

Assessment panel X X X X

Assessment tool bank X

Bank of assessment exemplarsand benchmarks X X

Benchmarking X X X

Client satisfaction surveys X X

Field testing, trialling and piloting X

Independent validator X X X X

Information for assessors X X X

Internal audits X X X X

Lead assessor X X X X

Mechanisms to support professionaljudgement X X

Mentoring X X X

Moderation meetings X X X X

Peer review X X X X

Professional development X X X X

RTO self-assessment X X X X

Sampling X X X

Specialist assessor X X X

Team assessment X X X

Adapted from: Guide 7: Assessment using partnership arrangements (page 31)and Guide 10: Quality assurance guide for assessment (page 10)

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Figure 10: Description of validation approaches and sources of evidence

Approach Description Links

Assessment

panel

Assessment panels have a variety of functions, dependingon the needs of the organisation(s) and the assessmentprocess. These may include:

■ reviewing assessment processes

■ interpreting and promoting a common understanding ofunits of competency and Training Package requirements

■ determining reasonable adjustment

■ critiquing and signing off assessment tools

■ developing benchmarks or assessment exemplars

■ overseeing professional development for assessors

■ providing a network of mentors and coaches for assessors.

The focus of the assessment panel may be on higher levelstrategic and policy matters or more practical and operationalissues. Wherever possible, panels should include relevantindustry representatives, such as employers, unions,industry organisations and industry regulators.

Guide 8:Strategies forensuringconsistency inassessment

■ Assessmentpanel p.20

Assessment

tool bank

An assessment tool bank is a collection of evidence-gatheringtools and techniques that are developed and shared amonga group of assessors and/or RTOs. The establishment of anassessment tool bank:

■ supports development of a shared understanding of theTraining Package and in particular the specific unit(s) ofcompetency being assessed

■ encourages collective development of assessment toolsthat will tend to produce higher quality assessment products

■ facilitates the critiquing and validation of assessment tools

■ ensures that a quality control procedure is applied to theselection of tools for inclusion in the bank

■ reduces cost, minimises waste and avoids duplication ofeffort in the development of tools.

Guide 8:Strategies forensuringconsistency inassessment

■ Assessmenttool bank p.54

Guide 10: Qualityassurance guidefor assessment

■ Appendix Fcontains a peerreviewchecklist forassessmenttools.

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Approach Description Links

Assessor

networks

Assessor networks are groups of individuals involved in VETassessment who come together to develop and extend theirprofessional practice. Such networks vary in focus, size,structure and level of organisation. Assessor networkscontribute to consistency by providing a forum in whichassessors can build a shared understanding of Training Packagesas well as the assessment requirements of the AQTF.

When assessor networks are focused on a specific industrysector, Training Package or qualification, they offer anenvironment in which assessors can validate assessmentpractices. This may be achieved through assessorsexchanging ideas about the meaning of specific competencystandards, the evidence requirements, the ways ofgathering evidence and the basis on which assessmentdecisions are made.

Guide 8:Strategies forensuringconsistency inassessment

■ Assessornetworks p.44

■ Mentoring forassessors p.86

Guide 9:Networking forassessors

Bank of

assessment

exemplars and

benchmarks

The development of a bank of assessment exemplars enablesassessors to access samples of candidate work that areconsidered to be exemplary.

The bank may be developed with the input of industry groups,professional associations or industry regulators. The assessmentexemplar bank may be collaborative and informal in natureor highly structured and commercial.

Guide 8:Strategies forensuringconsistency inassessment

■ Bank ofassessmentexemplarsand tools p.57

Benchmarking Benchmarking involves:

■ making comparisons with other organisations to identifyor create areas for improvement

■ identifying superior performance and/or practices andadopting them within a specific RTO.

The two major forms of benchmarking include:

■ performance benchmarking (comparison of performancebetween a number of organisations against a number ofagreed measures)

■ process benchmarking (comparison of theirprocedures/processes as well as performance).

Guide 10: Qualityassurance guidefor assessment

■ Benchmarkingp.26

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Approach Description Links

Client

satisfaction

survey

A client satisfaction study involves gathering informationfrom candidates, employers and other end users of theassessment process. Information sought from clients mayrelate to any aspect of the assessment process. Some areasof inquiry may include:

■ assessment planning

■ provision of information to candidates

■ reasonable adjustment

■ evidence collection

■ feedback to candidates

■ assessment decision making

■ reassessment and appeal processes

■ provision of information on pathways following theassessment process

■ participation in assessment review processes.

Guide 8:Strategies forensuringconsistency inassessment

■ Candidatesatisfactionstudy p.76

Field testing,

trialling and

piloting

Field testing, trialling or piloting of evidence gathering toolsand related materials should be a part of the validationprocess. Assessors can determine whether the tools areappropriate for the context, gather quality evidence andmeet the needs of the enterprises/industry and the candidates.Feedback from candidates and enterprises/industrypersonnel should be used to refine and enhance the tools.Trialling may also be useful for other components of theassessment strategy.

Guide 10: Qualityassurance guidefor assessment

■ Appendix Fcontains apeer reviewchecklist forassessmenttools

Lead assessor The lead assessor has responsibility for developing,managing and monitoring strategies that ensure consistencyin assessment. The lead assessor may be the direct linemanager of the assessors or may occupy a position withprofessional responsibility for fostering consistency in theassessment process and outcomes but without directsupervisory responsibility for the assessors.

The appointment of a lead assessor provides a clearorganisational focus on the importance of achievingconsistency in assessment. The lead assessor hasresponsibility for all validation processes, ensuring thedevelopment of a shared understanding and themaintenance of consistent practice by the assessors.

Guide 8:Strategies forensuringconsistency inassessment

■ Lead assessorp.26

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Approach Description Links

Independent

validator

An independent validator reviews and validates theassessments that are performed within or across RTOs. Thevalidation of assessment tools may also be part of the role.

The appointment of an independent validator is designed toensure the impartiality and fairness of the assessment process.An independent validator would not be from the organisationor unit delivering the training and/or assessment service.

Ideally, the validator will have high-level assessment andtechnical skills, industry knowledge and experience inconducting assessments within the relevant industry.

Guide 8:Strategies forensuringconsistency inassessment

■ Independentvalidator p.31includes asample taskdescription.

Information for

assessors

Information for assessors is material produced by RTOs tosupport quality assessment practice. It commonly coversthe assessment policy and assessment procedures, andguidelines for various components of assessment. Part ofthe information for assessors may take the form of a codeof practice for assessors. This may be governed by theState or Territory registering body requirements. Informationto assessors can be in print or electronic form.

Providing specific information to assessors is a major qualityassurance mechanism and an effective communicationstrategy between the organisation and the assessor. Inparticular, assessor information:

■ develops mutual understanding of RTO policy andprocedures

■ enhances consistency and assessment practice.

Guide 8: Strategiesfor ensuringconsistency inassessment

■ Guidelines tointerpret unitsof competencyp.60

■ Guidelines onthe collectionand judgementof evidencep.63

■ Guidelines forconductingassessmentsp.80

Guide 10: Qualityassurance guidefor assessment

■ Guidelines forgathering thirdparty evidencep.32

■ Simulatedassessmentguidelinesp.54

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Approach Description Links

Internal audits

(see also RTOself-assessment)

Audit means a systematic, independent and documentedprocess for obtaining evidence to determine whether theactivities and related outcomes of a training organisationcomply with the AQTF Standards for Registered TrainingOrganisations.

Under Standard 1.4, RTOs are required to conduct aninternal audit of their compliance with the Standards andpolicies and procedures mentioned in Standard 1.1a. Thismust take place at least once a year and can be done using:

■ internal audit or

■ self-assessment of equal rigour.

Guide 10: Qualityassurance guidefor assessment

■ Internal auditsp.38

■ Appendix Kcontains amodel plan —internal auditplanningprocess.

■ Appendix Lcontains aninternal auditchecklisttemplate.

Moderation

meetings

Moderation is a process that involves assessors in discussingand reaching agreement about assessment processes andoutcomes in a particular industry or industry sector. Assessorsdevelop a shared understanding of the requirements ofspecific Training Packages, including the relevant competencystandards and assessment guidelines, the nature of evidence,how evidence is collected and the basis on whichassessment decisions are made.

Moderation meetings may be conducted within an RTO(referred to as internal moderation), or across a range ofdifferent RTOs offering delivery and assessment servicesin the same industry or industry sector (called externalmoderation). External moderation meetings may beconvened by a number of different organisations.Moderation meetings may involve:

■ moderation of assessment processes and procedures

■ moderation for verification of assessment outcomes.

Guide 8:Strategies forensuringconsistency inassessment

■ Moderationmeetings p.36

Guide 10: Qualityassurance guidefor assessment

■ Appendix Fcontains apeer reviewchecklist forassessmenttools.

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Approach Description Links

Mechanisms

to support

professional

judgement

Professional judgement involves an assessor makinga judgement about competence based on:

■ evidence gathered

■ interpretation and understanding of the unit of competency

■ breadth and depth of experience working with theStandards they are assessing against

■ thorough understanding of current industry practice.

In the assessment decision, an assessor is required to infercompetence. To minimise errors of judgement it is wise toestablish a set of guidelines or strategies to support assessors’professional judgements. RTOs and assessors should establishand implement strategies to ensure that the assessmentdecision/process is transparent and credible, such as:

■ written information about common pitfalls or errors thataffect judgement

■ open and ongoing communication between assessors

■ self-assessment

■ networking

■ professional development workshops for assessors

■ ongoing contact with industry

■ using assessment panels or teams

■ mentoring and coaching.

Guide 10: Qualityassurance guidefor assessment

■ Mechanismsto supportprofessionaljudgement p.40

■ Simulatedassessmentguidelines

Guide 8:Strategies forensuringconsistency inassessment

■ Assessornetworks p.44

■ Guidelines tointerpret unitsof competencyp.60

■ Guidelines onthe collectionand judgementof evidencep.63

■ Guidelines forconductingassessmentsp.80

■ Mentoring forassessors p.86

Mentoring for

assessors

Mentoring involves the pairing of a more skilled orexperienced person with a lesser skilled or experienced one,with the agreed upon goal of having the lesser skilledperson develop specific competencies.

Mentoring strategies may be either formal or informal. Theymay involve pairing an inexperienced assessor with:

■ an experienced assessor who is a member of anassessor network

■ an experienced industry assessor who may be in theworkforce or recently retired

■ an experienced assessor from within the same oranother RTO.

Guide 8:Strategies forensuringconsistency inassessment

■ Assessornetworks p.44

■ Mentoring forassessors p.86

■ Specialistassessors p.89

■ Leadassessors p.26

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Approach Description Links

Peer review Peer review involves assessors observing each other at work,then providing structured and specific feedback. Thesestrategies can be either formal or informal. It may involvepairing a more experienced assessor with a less experiencedassessor. Peer review can involve an evaluation of the:

■ assessment planning interview with the candidate

■ evidence-gathering tools

■ conduct of the assessment

■ evidence collected

■ assessment judgement

■ feedback provided to the candidate.

Guide 10: Qualityassurance guidefor assessment

■ Appendix Fcontains aPeer reviewchecklist fortools.

Guide 8:Strategies forensuringconsistency inassessment

■ Mentoring forassessors p.86

■ Leadassessors p.26

Professional

development for

assessors

Professional development is the means by which assessorsacquire, develop and maintain the competencies to carry outquality assessment within the VET sector. It also includesthe ways in which assessors maintain knowledge ofchanges in policy, practice and research that may impacton their assessment processes.

Assessors’ skills and understanding of competence andcompetency-based assessment are crucial to the overallassessment process. Professional development will ensurethat assessors continue to conduct valid, reliable, fair,flexible and cost-effective assessments.

There are many activities that can assist assessors todevelop their skills. These include:

■ assessor networks

■ job rotation

■ mentoring and coaching

■ internal validation activities

■ peer review

■ project teams, working parties and committees

■ workplace visits and “return to industry” programs

■ RTO-structured professional development activities

■ formal or informal programs of further study andprofessional reading.

Guide 10: Qualityassurance guidefor assessment

■ Ongoingprofessionaldevelopmentp.44

Guide 9:Networking forassessors

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Approach Description Links

RTO self-

assessment

(see also internalaudit)

Self-assessment is a disciplined process that identifiesstrengths and opportunities for improvement of theassessment system.

Under Standard 1.4, RTOs are required to conduct aninternal audit of their compliance with the Standards andpolicies and procedures mentioned in Standard 1.1a. Thismust take place at least once a year and can be done usinginternal audit or self-assessment of equal rigour.

Guide 10: Qualityassurance guidefor assessment

■ RTO self-assessmentp.50

Sampling Sampling involves reviewing a random selection ofassessments conducted in an organisation to ensure thatthe planning and preparation, the conduct, the recordkeeping and reporting, and the review and evaluation of theassessments were undertaken in line with the policy of theorganisation, the requirements of the relevant TrainingPackage and the needs of the candidate.

Sampling may be conducted both within and across RTOs.

Guide 8:Strategies forensuringconsistency inassessment

■ Sampling p.71includes achecklist forreviewing asamplingexercise.

Specialist

assessor

Specialist assessors are individuals with high-level skills andexperience in both assessment and a specific technical area.In addition to meeting the assessor requirements of theAQTF Standards for Registered Training Organisations theytypically have formal qualifications and experience in theirparticular industry area.

The use of specialist assessors can enhance assessmentconsistency through ensuring that assessment decisions aremade by a relatively limited number of people who have “deep”knowledge of the industry and the assessment process.

Guide 8:Strategies forensuringconsistency inassessment

■ Assessornetworks p.44

■ Mentoring forassessors p.86

■ Specialistassessorsp.89

■ Leadassessors p.26

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Approach Description Links

Team

assessment

Team assessment involves two or more people comingtogether to undertake an assessment and to make anassessment decision. Team assessment is an effectivestrategy for checking assessments. Information in the formof a code of practice for assessors or clear guidance on theroles and responsibilities of the members is necessary toquality assure the outcomes of team assessments.

Standards 7.3 (a) and (b) of the AQTF Standards forRegistered Training Organisations must be met in teamassessments, regardless of the number of members inthe team.

Guide 10: Qualityassurance guidefor assessment

■ Teamassessmentp.56

Guide 8:Strategies forensuringconsistency inassessment

■ Specialistassessor p.89

■ Lead assessorp.26

Selecting the appropriate validationstrategies

It is not intended that RTOs and assessorsshould implement all of the approachesprovided in this guide. However, it should be agoal for RTOs to implement as many validationapproaches as practicable over time as part ofa continuous improvement process. It isimportant that strategic decisions are madeabout which approaches are used and in whatways they are used. The decisions made aboutwhich approaches to adopt will be dictated by:

■ business considerations: These include theorganisation’s quality systems, strategicplanning processes, market share, industrysector and issues relating to client satisfaction.

■ resource considerations: Consider staffing,financial, physical resources and timecommitments (also consider the cost ofestablishment, operation and maintenanceof the system).

■ RTO context: Consider the type, size,location and complexity of the RTO and theenterprises/industry involved.

■ regulatory requirements: These couldinclude licensing requirements,State/Territory legislative requirements,State/Territory registering body requirements.

Some approaches require considerable effortand/or resources to implement and mightinitially be considered to be relatively expensive(for example, conducting team assessments).This “cost” must be balanced against thebenefits achieved by implementing theapproach. If it is highly effective in terms ofincreasing confidence or validity, then the costis warranted. Remember that while the costsof initiating a validation approach may be high,the ongoing costs will be well covered by thelong-term benefits to the organisation. Thecost of not pursuing specific approaches maybe greater than the cost of implementingthem. Ultimately, consideration must be givento the degree of risk involved in getting anassessment judgement wrong. Pick the mix ofapproaches that will ensure compliance withthe AQTF and State/Territory requirements,give a sense of confidence about assessmentand provide the best value for money.

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Planning validation activities

Validation requires:

■ strategic planning that may cover anextended period of assessment

■ effective coordination and managerialcommitment to the concept

■ a clear and agreed purpose and process

■ a process that meets the needs of theassessors and stakeholders and matchesthe resources available

■ determination of the most appropriatevalidation techniques to use

■ determination of the stage within theassessment process where validationactivity will be focused

■ identification of personnel involved in theprocess including consideration of:

• the capacity and willingness of keystakeholders to participate in thevalidation process

• professional development and/or trainingin validation for assessors

• the costs associated with establishing,operating and maintaining the validationprocess including the recognition of thereasonably high demands in relation totime, human and other resources

■ records to be maintained that provideevidence of validation process and outcomes

■ a procedure for reviewing the validationapproaches including:

• feedback from candidates,enterprise/industry and other stakeholders

• the positive and negative impacts oncurrent activities.

All these issues need to be considered whenselecting the most appropriate validationapproaches for the RTO. Figure 11 is a tooldesigned to assist RTOs in determining whichapproaches are appropriate for validatingdifferent components of the assessmentstrategy. Figure 12 is a tool provided to helpRTOs focus on which validation approaches maybe useful. The issues raised in the previoussection need to be considered when determiningthe most appropriate approach for the RTO.

Once the RTO has determined the mostappropriate approach to use, it is advisable toinvest time in planning the implementation ofthese activities. Such a plan would include:

■ a description of the activity and its purpose

■ the period of time over which the activitywill be conducted

■ who will be involved and their roles andresponsibilities

■ resources required

■ record-keeping requirements.

To assist RTOs with this process, a planningtool has been included as Appendix 8.1 andAppendix 8.2. Appendix 8.1 describes how touse the tool and Appendix 8.2 is a blank template.

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Figure 11: Sample planning tool

Validation Description of activities Timing Responsibility Resources Record-keeping

approach required requirements

1. Peerreview

Develop a set of qualitycriteria to use whenevaluating existingevidence gathering tools.Part of the process willinvolve getting feedbackthrough face to faceinterviews with a sampleof candidates andsupervisors.

Feb.—Apr.approx8 weeks

2 staffmembers:John FormosaandAnne McKenzie

All existingtools

1/2 dayx 8 weekstimerelease foreach staffmember

■ Sample ofdraft toolswith edits

■ Qualitycriteriachecklist

■ Summaryof feedbackfromcandidates/supervisors

■ Summarysheet ofstrengths/weaknessesof tools forprofessionaldevelopmentworkshop inMay

2.Moderationmeeting

Results and sampleevidence (student workand portfolios) to bediscussed at monthlystaff meeting (onequalification per meeting).

2 hrs amonth

Programmanager tocoordinate.Individual staffto supplymaterials.

Sampleevidence,recordingsheets

Minutes ofmeetingincluding actionplan fordocumentingrequired action

Write in thevalidationactivitiesyou will beusing.

Describe how you aregoing to evaluate each ofthe validation activities.

Indicatethedate(s)thereviewwill takeplace.

Name theperson(s) whowill beresponsible forevaluating thevalidationactivities.

Describewhichresourcestheseactivitieswill need,forexample,people,time,physicalresources.

Identify whatrecords needto be kept ofthe review andwhat form thesewill take, forexample,recordingsheets, feedbacksheets.

Adapted from: Guide 7: Assessment using partnership arrangements (pp. 56, 58 and 60)and Guide 10: Quality assurance guide for assessment (Appendix A [1], page 64)

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Do all the assessors employed by orworking in partnership strategies withyour RTO follow the RTO’s assessmentpolicies, procedures and processes?

■■ Internal audit■■ RTO self-assessment■■ Team assessment■■ Moderation meetings■■ Information for assessors

■■ Lead assessor■■ Mentoring ■■ Peer review■■ Assessor networks■■ Independent validator

Figure 12: Tool to help RTOs focus on which validation approaches may be useful

Questions to consider Approaches that could be useful (tick relevant boxes)

Assessment processes

How do your policies, procedures andprocesses compare with other RTOs?

■■ Benchmarking■■ Assessor networks

■■ Assessment panel■■ Client satisfaction survey

Are you confident that the tools used byassessors:■ are based on the current version of

the Training Package and an accurateinterpretation of the competencystandards?

■ use appropriate methods forgathering evidence?

■ were developed in consultation withindustry and have been effectivelytrialled?

■ facilitate assessment practices thatare reliable, valid, flexible, consistentand fair?

■ incorporate clear, concise andaccurate instructions/advice tocandidates and assessors?

■ take into account the need forreasonable adjustment in theassessment process?

■ support assessment processes thatare inclusive and non-discriminatory?

■ are able to be successfullyimplemented and take into accountthe characteristics of the candidates,assessors and the assessment context?

■■ Peer/expert review■■ Lead assessor■■ Moderation meetings■■ Assessment tool bank■■ Assessor networks■■ Bank of assessment

exemplars andbenchmarks

■■ Benchmarking

■■ Field testing, trialling andpiloting

■■ Independent validator■■ Moderation meetings■■ Professional

development■■ Sampling■■ Specialist assessor

Is the evidence collected:■ current, valid, reliable, sufficient and

authentic?■ based on the correct interpretation of the

unit(s) of competency being assessed?

■■ Bank of assessmentexemplars andbenchmarks

■■ Assessment panel

■■ Sampling■■ Internal audit ■■ Information for assessors

Do the assessors making theassessment decision have:■ a common understanding of the

assessment requirements as set outin the relevant Training Package?

■ current skills and knowledge of thebroader industry practice?

Do the assessment judgements meetthe needs of the candidate andenterprise/industry?

■■ Mechanisms to supportprofessional judgement

■■ Team assessment ■■ Assessor panels

■■ Assessor networks■■ Independent validator■■ Moderation meetings■■ Specialist assessor

■■ Client satisfaction surveys

Evidence gathering/assessment tools

Evidence leading to the judgement

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Evaluating chosen validation approaches

Once a decision has been made about whichapproaches to use, the RTO should think aboutevaluating how they will work when they arefirst implemented. In other words, theevaluation of validation approaches must beplanned. This does not need to be acomplicated process. Figure 13 provides anexample of a worked template that is includedas Appendix 9 (Validation approaches — reviewand evaluation template). This template couldbe used to gather feedback from thoseinvolved in the validation activities. Theproforma can be customised to suit the

particular requirements of the RTO. LargeRTOs could provide a form for each validationactivity or program area. Smaller RTOs may beable to provide a record of all validationactivities on one form.

As each validation approach is reviewed, theRTO should decide how approaches can beimproved. This will assist in determining whatactions need to be taken and could form partof the internal audit/self-assessment that RTOsare required to undertake as part of compliancewith the AQTF Standards for RegisteredTraining Organisations.

Figure 13: Validation approaches — evaluation outcomes form

Validation Outcome of review activities Follow-up action for continuous

approach improvement

Moderationmeeting

Four assessors were asked to get togetherand work out how the evidence theycollected for a new qualification that theywere assessing compared. All agreed thatsome guidelines need to be developed forhandling the portfolios of evidence.

Jo and Alex will work together withsome of the workplace supervisors toput together samples of the documentsbeing included in portfolios. Exemplarmaterials will be developed from thesesamples. Completion and trialling duringthe next in-service training.

Assessmenttools

Approval process for tools implementedand quality criteria established.

Agreement that the quality of the toolshas improved. However, feedback fromsome assessors indicates concernregarding innovative practice and timetaken for the approval process. Issueswill be discussed at next assessornetwork meeting.

Identifywhichvalidationapproacheswere usedand whichwerereviewed.

Outline the outcomes of the reviewprocess. What did you find when youevaluated the approaches to validation?

From the findings of your review, whatcan you improve in your validationapproach? What changes can you maketo do it better? How will you make thechanges? When should the changes bemade? This form should be kept to useas evidence in your internal audit.

Adapted from: Guide 7: Assessment using partnership arrangements (pp. 56, 58 and 60)and Guide 10: Quality assurance guide for assessment (Appendix A [1], p. 64)

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appendices

Appendix 1: Enterprise profile

Name of enterprise

Name and position of key contact

Contact details

BACKGROUND NOTES

■ What is the key role of this enterprise?

■ What are the key objectives of this enterprise?

■ What are the main activities of the enterprise?

■ Who is the key decision maker in the enterprise?

■ What is the basis of competition in this industry?

■ What changes have taken place in this enterprise?

■ What changes have taken place in this industry?

■ What are the current and future trends in thisenterprise and industry?

■ What is the industrial relations situation for thisenterprise and industry?

BUSINESS SKILLS

■ How many people are employed in this enterprise?What are their characteristics in terms of employmentbasis, duration of employment and skill level?

■ Are there any categories of employees for which itis difficult to obtain the right skills, knowledge andattitudes?

■ What is the skill hierarchy in the enterprise?

■ Is there any cross-skilling in the enterprise?

■ How does the enterprise attempt to maintain theskills and knowledge that give it a competitive edge?

■ What knowledge and skills contribute most to thesuccess of the enterprise?

■ Which staff members possess these skills andknowledge?

■ What are the current and future skill needs of theenterprise?

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BUSINESS LEARNING NOTES

■ How did the enterprise acquire its current skillsand knowledge?

■ How does the enterprise acquire new skills,knowledge and ways of working?

■ From which activities have employees learntthe most?

STRUCTURED TRAINING

■ Do people in this enterprise access structured training?

■ How valuable has the enterprise found structuredtraining?

■ What training infrastructure exists in the enterprise?

ASSESSMENT

■ Does the enterprise assess the skills and knowledgeof its employees?

■ If so, what is the purpose of the assessment?

■ If so, how is the assessment organised?

■ If so, does the assessment lead to national recognition?

■ Are nationally recognised qualifications important inthis enterprise?

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Appendix 2: Enterprise “macro-level” requirements

Name of enterprise

Name and position of key contact

Contact details

Date of consultation

KEY DISCUSSION AREAS NOTES

Key skill development areas

Training delivery mode

Enterprise capacity to deliver and assess

RTO capacity to deliver and assess

Customisation of the Training Package

Sequencing of delivery and assessment

Recognition of prior learning

Use of simulation in evidence gathering

Evidence collection

Catering for candidates with special needs

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Appendix 3: Enterprise “micro-level” requirements

Name of enterprise

Name and position of key contact

Contact details

Date of consultation

KEY DISCUSSION AREAS NOTES

Competencies to be developed through the program

Integrating enterprise operating procedures withcompetency standards

Integrating enterprise performance standards withcompetency standards

Competencies delivered and assessed on-the-job

Competencies delivered and assessed off-the-job

Scheduling delivery and assessment activities

Assessment tools and processes

Record keeping

Appeals and reassessment

Communication between RTO and enterprise

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Appendix 4: Sample qualification structure

Name of RTO

Training Package

Title of Qualification

Delivery and assessment context

Selection of units of competency:

Code Title of Unit of Competency

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Appendix 5: Delivery and assessment strategy outline

Name of RTO Page 1 of 4

Delivery period

Code and title

of qualification

Units of Code Title Core/Elective

competency

Client(s)

Delivery and Duration

assessment The program is delivered over a period of ......arrangements

Organisation

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Name of RTO Page 2 of 4

Delivery and Alignment with units of competency

assessment

arrangements Program Area Unit(s) of Competency

(continued)

Delivery modes

Evidence-gathering techniques

Program area A B C D E F G H

KEY A Demonstration C Interview E Role play G Written testB Questioning D Scenario — F Case study H Critical incident

problem solving — fault finding report

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Name of RTO Page 3 of 4

Delivery and Schedule

assessment

arrangements

(continued)

Week Program structure

1

2

3

4

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

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Name of RTO Page 4 of 4

Program area Staff Delivery/ Competencies of staff

Assessment

Technical Assess

and safety

The processes used to validate assessment in this program are:

■

■

■

■

■

■

Delivery and

assessment staff

Assessment

validation

process

Infrastructure

requirements

(A tick indicatesthat the RTO hasthe requiredinfrastructure.)

Pathways

Program manager’s endorsement:

Date:

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Appendix 6: Evidence of consultationrecord template

Appendix 6 is a template to assist RTOs toeffectively record the different types ofevidence they may have from many differentsources regarding consultations with

enterprises/industries. It is a way of organisingexisting documentation of evidence byproviding a key to its location. It may also actas a prompt about the range of activities thatmay constitute evidence of consultation.(Discard any components not applicable.)

Department Qualification(s)

Sources of industry information used: (delete those not applicable)

Staff or contracted personnel currently employed in industry Yes No

Engaged in design of Yes No Experience of staff currently employed in theassessment approaches? industry used in the following ways:

Numbers of staff involved

Engaged in design of learning Yes No For details see the following sources:programs?

Numbers of staff involved (eg Address on server of minutes of aplanning session held with casual staff)

Allied industry experts available for particular purposes (projects) Yes No

Industry advice/ Yes No Experience of allied industry experts used inexpertise sought the following ways:

Engaged in design of learning Yes Noprograms

Engaged in design of Yes No For details see the following sources:assessment approaches

Numbers of staff involved (eg Location of report that acknowledgesthe input of particular industry experts)

Staff visits to industry sites Yes No

Industry advice/expertise Yes No Input from enterprise personnel soughtsought by visiting staff and used:

Engaged in design of learning Yes Noprograms

Yes No

Engaged in design of Yes No For details see the following sources:assessment approaches

Numbers of staff involved (eg Diaries of staff members conductingindustry visits)

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Partnerships with enterprises/industry associations for Yes No

particular purposes (eg projects)

Industry advice/expertise Yes No Names of projects involving partnerships withsought particular enterprises and/or industry

associations:

Engaged in design of learning Yes Noprograms

Engaged in design of Yes No For details see the following sources:assessment approaches

Numbers of staff involved (eg Project files server location)

Response(s) to enterprise requests for advice/service Yes No

Request received Yes No The following enterprises had requests foradvice/service:

Need/problem identified Yes No

Solution developed in Yes No For details see the following sources:consultation with enterprise(s)

Number of staff involved Yes No (eg Log of phone inquiries)

Industry representatives on governing bodies Yes No

Approval of governing body Yes No The following enterprises/industry sought associations represented:

Engaged in design of learning Yes Noprograms

Engaged in design of Yes No For details see the following sources:assessment approaches

Numbers of meetings where (eg File location of minutes and board papers,relevant issues discussed including membership record)

Industry representatives on course consultative committees Yes No

Approval of consultative Yes No The following enterprises/industry committee sought associations represented:

Engaged in design of learning Yes Noprograms

Engaged in design of Yes No For details see the following sources:assessment approaches

Numbers of meetings where (eg File location of minutes and papersrelevant issues discussed including attendance records)

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Participation in informal industry networks Yes No

Feedback sought relevant to Yes No Participation in the following informal assessment strategies network activities:

Feedback received relevant to Yes Noassessment strategies

Adjustments to delivery/ Yes No For details see the following sources:assessment activities

Number of informal networks (eg Folder of letters of thanks from industryoperating people)

Industry views canvassed in surveys Yes No

Questions on delivery/ Yes No The following surveys conducted: assessment strategies included

Useful information generated Yes Nofrom this source

Adjustments to delivery/ Yes No For details see the following sources:assessment activities

Numbers of enterprises (eg Published survey results in Annual Report)responding

Complaints/appeals recorded and acted upon Yes No

Issues in complaints/appeals Yes No Complaints/appeals on the following issues:identified

Useful feedback gained Yes No

Incorporated into delivery/ Yes No For details see the following sources:assessment approaches

Numbers of incidents (eg Log of complaints kept by assignedrecorded person)

Participation in other formal industry networks Yes No

Feedback sought relevant to Yes No Participation in the following forums: assessment strategies

Feedback received relevant to Yes Noassessment strategies

Adjustments to delivery/ Yes No For details see the following sources:assessment activities

Number of forums (eg Email folder containing invitations toparticipating forums and their programs)

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Industry informed about delivery and/or assessment strategies Yes No

Information distributed Yes No Types of media used to distribute information through various media on delivery/assessment strategies to

enterprises and/or industry:

Included opportunity for Yes Nofeedback

Useful feedback received Yes No For details see the following sources:and used

Numbers of responses from (eg Available locations of current courseindustry sources directories)

Other sources of enterprises/industry input and advice Yes No

Other sources of enterprise/ Yes No Outline of other sources used: industry information

Feedback gained on delivery/ Yes Noassessment strategies

Information used to amend Yes No For details see the following sources:approaches

Numbers of such sourcesutilised

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Appendix 7: Evidence of RTO training delivery and assessment strategies

Name of RTO

Qualification

Name of RTO contact person Telephone

This organisation can provide the following documented evidence to show that it has developedtraining delivery and assessment strategies for this qualification that comply with Standard 9.1of the Australian Quality Training Framework.

TYPE OF EVIDENCE YES LOCATION OF EVIDENCE

(Delete any information in this table not required

by your organisation.)

CLIENT NEEDS

Surveys, research reports, statistical informationon needs of client groups ■■

Customised delivery and assessmentstrategies to meet client needs ■■

CLIENT INFORMATION

Outline of program structure and delivery/assessment strategies ■■

Client information on delivery/assessment options ■■

ASSESSMENT AND DELIVERY PLANS

Delivery plan and evidence of implementation ■■

Assessment plan and evidence of implementation ■■

ENTERPRISE/INDUSTRY CONSULTATION

Meeting minutes/notes to indicate enterprise/industry consultation in development ofassessment strategies ■■

Letters acknowledging enterprise/ industryinvolvement in development of assessmentstrategies ■■

ASSESSMENT AND DELIVERY MATERIALS

Delivery materials ■■

Assessment materials ■■

REVIEW PROCESSES

Plans, agendas, minutes that indicatereview of assessment and/or delivery materials ■■

Plans, agendas, minutes that indicatereview of assessment and/or delivery process ■■

Revised assessment processes indicatingaction taken to improve quality andconsistency of assessment ■■

Stakeholder feedback on assessment processes ■■

OTHER

■■

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Appendix 8.1: Planning proforma for validation approaches

Validation Description of activities Timing Responsibility Resources Record-keeping

approach required requirements

1.

2.

3.

Write in thevalidationactivitiesyou will beusing.

Describe how you aregoing to evaluate each ofthe validation activities.

Indicatethedate(s)thereviewwill takeplace.

Name theperson(s) whowill beresponsible forevaluating thevalidationactivities.

Describewhatresourcestheseactivitieswill need,forexample,people,time,physicalresources.

Identify whatrecords to bekept of thereview andwhat form thesewill take, forexample,recordingsheets, feedbacksheets, etc.

Adapted from: Guide 7: Assessment using partnership arrangements (pp. 56, 58 and 60)and Guide 10: Quality assurance guide for assessment (Appendix A [1], page 64)

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Appendix 8.2: Planning proforma for validation activities

Validation Description of activities Timing Responsibility Resources Record-keeping

approach required requirements

1.

2.

3.

4.

Adapted from Guide 10: Quality assurance guide for assessment (Appendix A [2], p. 65)

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Appendix 9: Validation approaches — review and evaluation template

Validation Outcome of review activities Follow-up action for continuous

approach improvement

1.

2.

3.

4.

5.

Filing details: ________________________________________________________________________________________

__________________________________________________________________________________________________________________________________________________________________

________________________________________________________________________________________________________________________________________

________________________________________________________________________________________________________________________________________

________________________________________________________________________________________________________________________________________

________________________________________________________________________________________________________________________________________

Adapted from Guide 10: Quality assurance guide for assessment (Appendix B, p. 66)

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This glossary was compiled for use in theTraining Package Assessment Guides.

AccreditationAccreditation means the process of formalrecognition of a course by the State or Territorycourse accrediting body in line with the AQTFStandards for State and TerritoryRegistering/Course Accrediting Bodies.

From AQTF Standards for RTOs

Accredited courseAccredited course means a structured sequenceof vocational education and training that leadsto an Australian Qualifications Frameworkqualification or Statement of Attainment.

From AQTF Standards for RTOs

Appeal process A process whereby the person being assessed,or other interested party, such as an employer,may dispute the outcome of an assessmentand seek reassessment.

From Training Package for Assessment andWorkplace Training

AssessmentAssessment means the process of collectingevidence and making judgements on whethercompetency has been achieved to confirm thatan individual can perform to the standardexpected in the workplace as expressed inthe relevant endorsed industry/enterprisecompetency standards or the learningoutcomes of an accredited course.

From AQTF Standards for RTOs

Assessment context The environment in which the assessment willbe carried out. This will include physical andoperational factors, the assessment systemwithin which assessment is carried out,opportunities for gathering evidence in a numberof situations, the purpose of the assessment,who carries out the assessment and the periodof time during which it takes place.

From Training Package for Assessment andWorkplace Training

Assessment guidelines Assessment guidelines are an endorsedcomponent of a Training Package whichunderpins assessment and which sets out theindustry approach to valid, reliable, flexible andfair assessment. Assessment guidelinesinclude the assessment system overview,assessor requirements, designing assessmentresources, conducting assessment andsources of information on assessment.

From AQTF Standards for RTOs

Assessment judgementAssessment judgement involves the assessorevaluating whether the evidence gathered iscurrent, valid, authentic and sufficient to makethe assessment decision. The assessmentjudgement will involve the assessor in usingprofessional judgement in evaluating theevidence available.

Assessment materialsAssessment materials are any resources thatassist in any part of the assessment process.They may include information for the candidateor assessor, assessment tools or resources forthe quality assurance strategies of theassessment system.

Assessment methodAssessment method means the particulartechnique used to gather different types ofevidence. This may include methods ortechniques such as questioning, observation,third party reports, interviews, simulations andportfolios. Also see Evidence gathering technique.

Assessment plan An assessment plan is a document developedby an assessor that includes the elements andunits of competency to be assessed, when theassessment will occur, how the assessmentwill occur, the assessment methods to be usedand the criteria for the assessment decision.Also see Evidence plan.

From Training Package for Assessment andWorkplace Training

glossar y

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Assessment processThe assessment process is the agreed seriesof steps that the candidate undertakes withinthe enrolment, assessment, recording andreporting cycle. The process must best suit theneeds of all stakeholders and be both efficientand cost-effective. The agreed assessmentprocess is often expressed as a flow chart.

Assessment strategyAssessment strategy means the approachto assessment for each qualification, or partthereof, within the Registered TrainingOrganisation’s scope of registration.

Assessment system An assessment system is a controlled andordered process designed to ensure thatassessment decisions made in relation tomany individuals, by many assessors, in manysituations are consistent, fair, valid and reliable.

From Training Package for Assessment andWorkplace Training

Assessment toolAn assessment tool contains both theinstrument and the instructions for gatheringand interpreting evidence:

■ instrument(s) — the specific questionsor activity developed from the selectedassessment method(s) to be used for theassessment. (A profile of acceptableperformance and the decision making rulesfor the assessor may also be included.)

■ procedures — the information/instructionsgiven to the candidate and/or the assessorregarding conditions under which theassessment should be conducted andrecorded.

Also see Evidence gathering tool.

Audit Audit means a systematic, independent anddocumented process for obtaining evidence todetermine whether the activities and relatedoutcomes of a training organisation complywith the Standards for Registered TrainingOrganisations.

From AQTF Standards for RTOs

Australian Qualifications Framework(AQF) Australian Qualifications Framework (AQF)means the policy framework that defines allqualifications recognised nationally in post-compulsory education and training withinAustralia. The AQF comprises titles andguidelines, which define each qualification,together with principles and protocols coveringarticulation and issuance of qualifications andStatements of Attainment.

From AQTF Standards for RTOs

Australian Quality Training Framework(AQTF) Australian Quality Training Framework (AQTF)means the nationally agreed qualityarrangements for the vocational educationand training sector agreed to by the MinisterialCouncil.

From AQTF Standards for RTOs

CandidateA candidate is any person presenting forassessment. The candidate may be:

■ a learner undertaking training in aninstitutional setting

■ a learner/worker undertaking training ina workplace

■ a learner/worker wanting their skillsrecognised

■ or any combination of the above.

Competency The specification of knowledge and skill andthe application of that knowledge and skill tothe standards of performance required in theworkplace.

From Training Package for Assessment andWorkplace Training

95

Competency standardCompetency standards define the competenciesrequired for effective performance in theworkplace. Standards are expressed inoutcome terms and have a standard formatcomprising unit title, unit descriptor, elements,performance criteria, range statement andevidence guide. Also see Unit(s) of competency.

From Training Package for Assessment andWorkplace Training

Client Client means learner, enterprise or organisation,which uses or purchases the services providedby the Registered Training Organisation.

From AQTF Standards for RTOs

Clustering The process of grouping competencies intocombinations which have meaning andpurpose related to work functions and needsin an industry or enterprise.

Adapted from Training Package forAssessment and Workplace Training

Collaborative assessment arrangementsFormal collaborative assessment arrangementsinvolve written agreements between aRegistered Training Organisation (RTO) andother organisations or RTOs. Thesearrangements enable the partners to share formutual benefit their resources, effort, time,cost, responsibility and expertise. Partnershiparrangements are regulated by the AQTFStandards for Registered Training Organisationsunder Standard 1.6. See also Partnerships.

Informal collaborative arrangements refer toassessors and candidates working together,in partnership, in the assessment process.

CustomisationCustomisation is the addition of specificindustry or enterprise information to endorsednational competency standards to reflect thework of a particular industry or workplace or toimprove the standards’ relevance to industry.

Delivery and assessment strategies Delivery and assessment strategies meansdelivery and assessment strategies for eachqualification, or part thereof, within theRegistered Training Organisation’s scope ofregistration.

From AQTF Standards for RTOs

Dimensions of competencyThe concept of competency includes allaspects of work performance and not onlynarrow task skills. The four dimensions ofcompetency are:

■ task skills

■ task management skills

■ contingency management skills

■ job/role environment skills.

From Training Package Developers’ Handbook

ElementAn element is the basic building block of theunit of competency. Elements describe thetasks that make up the broader function or job,described by the unit.

From Training Package for Assessment andWorkplace Training

EndorsementEndorsement means the formal process ofrecognition of Training Packages undertakenby the National Training Quality Council.

From AQTF Standards for RTOs

Evaluation Evaluation includes all the activities relatedto the registration of a training organisationto determine whether it meets, or continuesto meet, all the requirements of the AQTFStandards for Registered Training Organisationsnecessary for registration. Evaluation mayinclude review of past performance, review ofcomplaints and other feedback, risk assessment,examination of documentation, conduct ofaudit, consideration of audit reports and otherrelevant activities in relation to the organisation.

From AQTF Standards for RTOs

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Evidence and ‘quality’ evidenceEvidence is information gathered which, whenmatched against the performance criteria,provides proof of competency. Evidence cantake many forms and be gathered from anumber of sources. Assessors often categoriseevidence in different ways, for example:

■ direct, indirect and supplementary sourcesof evidence

■ evidence collected by the candidate orevidence collected by the assessor

■ historical and recent evidence collected bythe candidate and current evidencecollected by the assessor.

Quality evidence is valid, authentic, sufficientand current evidence that enables the assessorto make the assessment judgement.

Evidence gathering techniquesEvidence gathering technique means theparticular technique or method used to gatherdifferent types of evidence. This may includemethods or techniques such as questioning,observation, third party reports, interviews,simulations and portfolios.

Also see Assessment method.

Evidence gathering toolAn evidence gathering tool contains both theinstrument and the instructions for gatheringand interpreting evidence in an assessmentprocess:

■ instrument(s) — the specific questionsor activity developed from the selectedassessment method(s) to be used for theassessment (a profile of acceptableperformance and the decision making rulesfor the assessor may also be included)

■ procedures — the information/instructionsgiven to the candidate and/or the assessorregarding conditions under which theassessment should be conducted andrecorded.

Also see Assessment tool.

Evidence guide The evidence guide is part of a unit ofcompetency. Its purpose is to guide assessmentof the unit of competency in the workplaceand/or a training environment. The evidenceguide specifies the context of assessment, thecritical aspects of evidence and the requiredor underpinning knowledge and skills. Theevidence guide relates directly to theperformance criteria and range statementdefined in the unit of competency.

From Training Package for Assessment andWorkplace Training

Evidence planAn evidence plan is a document developedby an assessor, often in collaboration with thecandidate and the supervisor or technicalexpert. It includes the units of competency tobe assessed, details of the type of evidence tobe collected, information regarding who is tocollect the evidence and the time period fordoing so.

Also see Assessment plan.

Flexible learning and assessment Flexible learning and assessment means anapproach to vocational education and trainingwhich allows for the adoption of a range oflearning strategies in a variety of learningenvironments to cater for differences inlearning styles, learning interests and needs,and variations in learning opportunities(including online).

From AQTF Standards for RTOs

Holistic/integrated assessmentAn approach to assessment that covers theclustering of multiple units/elements fromrelevant competency standards. This approachfocuses on the assessment of a ‘whole of job’role or function that draws on a number of unitsof competency. This assessment approach alsointegrates the assessment of the application ofknowledge, technical skills, problem solvingand demonstration of attitudes and ethics.

Adapted from Training Package forAssessment and Workplace Training

97

Industry Training Advisory Bodies(ITABs) National and State/Territory bodies comprisingrepresentation from the industry partiesresponsible for the development, review andimplementation of competency standards ingiven industries.

From Training Package for Assessment andWorkplace Training

Internal auditInternal audit means audits conducted by oron behalf of the organisation itself for internalpurposes.

From AQTF Standards for RTOs

Key competency Employment related general competencies thatare essential for effective participation in theworkplace.

From Training Package for Assessment andWorkplace Training

ModerationModeration is a process which involvesassessors in discussing and reachingagreement about assessment processes andoutcomes in a particular industry or industrysector. This enables assessors to develop ashared understanding of the requirements ofspecific Training Packages, including therelevant competency standards and assessmentguidelines, the nature of evidence, howevidence is collected and the basis on whichassessment decisions are made.

Mutual recognition Mutual recognition applies nationally and means:

1. The acceptance and application of thedecisions of a registering body that hasregistered a training organisation, or acourse accrediting body that has accrediteda course, by another registering body orcourse accrediting body, without therebeing any further requirement for a processbeyond the initial process, including:

a. the recognition and application by theregistering body of each State or Territoryof the decisions of the registering body ofother States and Territories in relation tothe registration of, imposition of sanctionson, including the cancellation ofregistration of training organisations; and

b. the recognition and application by thecourse accrediting body of each State orTerritory of the decisions of the courseaccrediting body of other States andTerritories in relation to the accreditationof courses where no relevant TrainingPackage exists;

2. The recognition by State and Territoryregistering bodies of the decisions of theNational Training Quality Council inendorsing Training Packages.

3. The recognition and acceptance by aRegistered Training Organisation of AustralianQualifications Framework qualifications andStatements of Attainment issued by otherRegistered Training Organisations, enablingindividuals to receive national recognition oftheir achievements.

From AQTF Standards for RTOs

Nationally recognised training Nationally recognised training means trainingand assessment, delivered by a RegisteredTraining Organisation, which meets therequirements specified in nationalindustry/enterprise Training Packages oraccredited courses where no relevant TrainingPackage exists.

From AQTF Standards for RTOs

Nationally Recognised Training (NRT) logo Nationally Recognised Training logo means thelogo used to signify that training and assessmentproducts and services meet the requirementsagreed under the National Training Framework.

From AQTF Standards for RTOs

National Training FrameworkNational Training Framework means the systemof vocational education and training that:

■ applies nationally

■ is endorsed by the ANTA Ministerial Council

■ is made up of the Australian Quality TrainingFramework and endorsed Training Packages.

From AQTF Standards for RTOs

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National Training Information Service(NTIS) National Training Information Service (NTIS)means the National Register for recordinginformation about Registered TrainingOrganisations (RTOs), Training Packages andaccredited courses. Information held on theNTIS is searchable and publicly accessible viathe Internet. The NTIS contains comprehensiveinformation on endorsed Training Packageswhich have been approved by Ministers andincludes full details of competency standards;a listing of National Training Quality Council notedsupport materials with contact source; detailsof Australian Qualifications Framework (AQF)accredited courses/qualifications; and contactdetails and scope of registration of all RTOs.

From AQTF Standards for RTOs

National Training Quality Council (NTQC) National Training Quality Council (NTQC) meansthe body established by the ANTA MinisterialCouncil as a Committee of the ANTA Board. Inrelation to quality assurance arrangements inthe vocational education and training systemthe NTQC has a role in:

■ providing advice on the operation of, andany necessary change to, the AustralianQuality Training Framework (AQTF);

■ providing information and advice to Stateand Territory recognition authorities on theimplementation of the AQTF; and

■ providing to the ANTA Board, forincorporation in the Board’s reports to theANTA Ministerial Council (including theAnnual National Report), information andadvice on the operation of the AQTF in eachState and Territory, including by providingsuch independent advice on State/Territoryregistration, audit and related processesand related Commonwealth processesas deemed necessary by the NTQC.

From AQTF Standards for RTOs

New Apprenticeships New Apprenticeships means structured trainingarrangements, usually involving on- and off-the-job training, for a person employed under anapprenticeship/traineeship training contract.

From AQTF Standards for RTOs

Non-compliance Non-compliance means failure to comply withone or more of the AQTF Standards forRegistered Training Organisations.

From AQTF Standards for RTOs

PartnershipsFormal partnership assessment arrangementsinvolve written agreements between aRegistered Training Organisation (RTO) andother organisations or RTOs. Partnershiparrangements enable the partners to sharefor mutual benefit their resources, effort, time,cost, responsibility and expertise. Thesearrangements are regulated by the AQTFStandards for Registered Training Organisationsunder Standard 1.6. See also Collaborativeassessment arrangements.

Informal partnership arrangements refer toassessors and candidates working togetherin the assessment process.

Performance criteria Evaluative statements which specify whatis to be assessed and the required level ofperformance. The performance criteria specifythe activities, skills, knowledge andunderstanding that provide evidence ofcompetent performance for each element.

From Training Package for Assessment andWorkplace Training

Period of registration Period of registration means the period forwhich a Registered Training Organisation isregistered. The period of registration is fiveyears (unless cancelled or suspended).

From AQTF Standards for RTOs

QualificationQualification means, in the vocationaleducation and training sector, the formalcertification, issued by a Registered TrainingOrganisation under the Australian QualificationsFramework (AQF), that a person has achievedall the requirements for a qualification asspecified in an endorsed national TrainingPackage or in an accredited course.

From AQTF Standards for RTOs

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Quality Quality means the ability of a set of inherentcharacteristics of a product, system or processto fulfil requirements of customers and otherinterested parties.

From AS/NZS ISO 9000: 2000 in the AQTFStandards for RTOs

Range statementPart of a competency standard, which sets outa range of contexts in which performance cantake place. The range helps the assessor toidentify the specific industry or enterpriseapplication of the unit of competency.

From Training Package for Assessment andWorkplace Training

Reasonable adjustment The nature and range of adjustment to anassessment tool or assessment method whichwill ensure valid and reliable assessmentdecisions but also meet the characteristicsof the person(s) being assessed.

Adapted from Training Package forAssessment and Workplace Training

Reassessment An assessment activity initiated as a result ofan appeal against the outcome of a previousassessment.

From Training Package for Assessment andWorkplace Training

Recognition processRecognition process is a term that coversRecognition of Prior Learning, Recognition ofCurrent Competency and Skills Recognition.

Recognition of Current CompetencySee Recognition of Prior Learning.

Recognition of Prior Learning (RPL) RPL means recognition of competenciescurrently held, regardless of how, when orwhere the learning occurred. Under theAustralian Quality Training Framework,competencies may be attained in a numberof ways. This includes through anycombination of formal or informal training and

education, work experience or general lifeexperience. In order to grant RPL the assessormust be confident that the candidate iscurrently competent against the endorsedindustry or enterprise competency standards oroutcomes specified in Australian QualificationFramework (AQF) accredited courses. Theevidence may take a variety of forms and couldinclude certification, references from pastemployers, testimonials from clients and worksamples. The assessor must ensure that theevidence is authentic, valid, reliable, currentand sufficient.

From AQTF Standards for RTOs

Records of assessmentThe information of assessment outcomes thatis retained by the organisation responsible forissuing the nationally recognised Statementof Attainment or qualification.

From Training Package for Assessment andWorkplace Training

Registration Registration means the process of formalapproval and recognition of a training organisation,by a State or Territory registering body, inaccordance with the Standards for RegisteredTraining Organisations and the Standards forRegistering/Course Accrediting Bodies.

From AQTF Standards for RTOs

Registered Training Organisation (RTO) Registered Training Organisation (RTO) meansa training organisation registered in accordancewith the Australian Quality Training Framework,within a defined scope of registration.

From AQTF Standards for RTOs

Registering body State or Territory registering body means thebody responsible under the State or Territoryvocational education and training legislation anddecision making framework for all the processesrelating to the administration of the registrationof training organisations including theimposition of sanctions.

From AQTF Standards for RTOs

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Renewal of registration Renewal of registration means the subsequentregistration of a Registered Training Organisationfollowing an evaluation, conducted prior to theexpiry of a registration period, of a RegisteredTraining Organisation against the requirementsof the AQTF Standards for Registered TrainingOrganisations.

From AQTF Standards for RTOs

Reporting assessment outcomes The different ways in which the outcomesof assessment processes are reported to theperson being assessed, employers and otherappropriate personnel or stakeholders.Assessment outcomes may be reported in avariety of ways including graded, non-graded,statistical or descriptive reporting systems.

From Training Package for Assessment andWorkplace Training

Risk management Risk management means the systematicapplication of management policies, proceduresand practices to the tasks of identifying, analysing,evaluating, treating and monitoring risk.

From AQTF Standards for RTOs

Sanctions Sanctions means any action imposed fornon-compliance with the AQTF Standards forRegistered Training Organisations, including:

a. the imposition of specific conditions onregistration (which can cover any aspectof registration including the RegisteredTraining Organisation’s scope, location ortype of delivery and assessment activities);

b. amendment of registration (including areduction in the scope of registration);

c. suspension of registration; and

d. cancellation of registration.

From AQTF Standards for RTOs

Scope of registration Scope of registration means the defined scopefor which a training organisation is registeredthat identifies the particular services andproducts that can be provided. A RegisteredTraining Organisation may be registered toprovide either:

a. training delivery and assessment services andproducts and issue Australian QualificationsFramework (AQF) qualifications andStatements of Attainment; or

b. assessment services and products andissue AQF qualifications and Statementsof Attainment.

The scope of registration is further defined byAQF qualifications and/or endorsed units ofcompetency.

From AQTF Standards for RTOs

Self-assessmentSelf-assessment is a process that allowscandidates being assessed to collect andprovide evidence on their own performancesagainst the competency standards. Self-assessment is often used as a pre-assessmenttool to help the candidate and assessor todetermine what evidence is available andwhere the gaps may be.

SimulationSimulation is a form of evidence gathering thatinvolves the candidate in completing or dealingwith a task, activity or problem in an off-the-jobsituation that replicates the workplace context.Simulations vary from recreating realisticworkplace situations such as in the use offlight simulators, through the creation of roleplays based on workplace scenarios to thereconstruction of a business situation on aspreadsheet. In developing simulations, theemphasis is not so much on reproducing theexternal circumstance but on creating situationsin which candidates are able to demonstrate:

a. technical skills

b. underpinning knowledge

c. generic skills such as decision making andproblem solving

d. workplace practices such as effectivecommunication.

Skills RecognitionSee Recognition process.

This guide was developed by VETASSESS (Vocational Education and Training Assessment Services)with support from the Australian National Training Authority.

© Australian National Training Authority (ANTA), 2002Level 11, AMP Place10 Eagle StreetBRISBANE QLD 4000Phone: (07) 3246 2300, Fax: (07) 3246 2490

All rights reserved. This work has been produced initially with the assistance of funding providedby the Commonwealth Government through ANTA. This work is copyright, but permission is givento trainers and teachers to make copies by photocopying or other duplicating processes for usewithin their own training organisation or in a workplace where the training is being conducted.This permission does not extend to the making of copies for use outside the immediate trainingenvironment for which they are made, nor the making of copies for hire or resale to third parties.For permission outside of these guidelines, apply in writing to Australian National Training Authority.

The views expressed in this version of the work do not necessarily represent the views of ANTA.

Australian National Training Authority does not give warranty nor accept any liability in relation to thecontent of this work.

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Statement of Attainment Statement of Attainment means a record ofrecognised learning which, although fallingshort of an Australian Qualifications Framework(AQF) qualification, may contribute towards aqualification outcome, either as attainment ofcompetencies within a Training Package, partialcompletion of a course leading to a qualificationor completion of a nationally accredited shortcourse which may accumulate towards aqualification through Recognition of PriorLearning processes.

From AQTF Standards for RTOs

Strategic industry audit Strategic industry audit means the audit ofRegistered Training Organisations operating ina specific industry or industry sector targetedon the basis of identified risks relating to thatindustry or sector.

From AQTF Standards for RTOs

Training contractAn agreement outlining the training andassessment which forms part of a NewApprenticeship training contract and registeredwith the relevant State/Territory governmentdepartment or agency.

Training Package Training Package means an integrated set ofnationally endorsed competency standards,assessment guidelines and AustralianQualifications Framework qualifications for aspecific industry, industry sector or enterprise.

From AQTF Standards for RTOs

Training plan Training plan means a program of training andassessment which is required under anApprenticeship/Traineeship Training Contract.The Apprenticeship/Traineeship Contract isregistered with the appropriate State/Territorygovernment department or agency as may berequired by State/Territory legislation.

From AQTF Standards for RTOs

Unit of competency Unit of competency means the specification ofknowledge and skill and the application of thatknowledge and skill to the standard ofperformance expected in the workplace.

From AQTF Standards for RTOs

ValidationValidation involves reviewing, comparing andevaluating assessment processes, tools andevidence contributing to judgements madeby a range of assessors against the samestandards and documenting any action takento improve the quality and consistency ofassessment.

Derived from AQTF Standards for RTOs

2engaging enterprises/industry indeveloping and validating learningand assessment strategies

A u s t r a l i a nQ u a l i t yT r a i n i n gF r a m e w o r k

learningand

assessmentstrategies

resource guideThis Resource Guide provides further information and case studiesto help explain the process of developing, documenting andreviewing learning and assessment strategies, a requirement ofthe Australian Quality Training Framework Standards for RegisteredTraining Organisations. This Resource Guide also includes linksto other relevant sources of information.

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