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

ADVANCED CERTIFICATE IN
RETAIL SUPERVISION
Competency Unit – Elective

Conduct Competency Based Assessment

Module No: TR-TEV-303C-1

Competency Category: Training Evaluation
Competency Level: Advanced Certificate
Delivery Hours: 14 hours
Version: 1.0
Effective Date: July 09

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Competency Unit: Conduct Competency Based Assessment

TR-TEV-303C-1

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

CE1: Prepare for Conduct of Assessment

CE2: Prepare Candidate for Assessment

CE3: Carry Out Conduct of Assessment

Introduction: Conduct Competency Based Assessment

Competency is the Knowledge, Skills or Attributes (KSA) that are required to

perform the activities of a given role or fulfil a particular job function effectively

The concept of competency focuses on what is expected of an employee in the

workplace rather than on the learning process.

Competency based assessment is a structured process for gathering evidence

about an individual performance with respect to a set of competency standards.

It is a confirmation that an individual can perform to the standards expected in the

workplace, as expressed in the competency standards.

Competency based assessment have 3 characteristics:

 Criterion Referenced: Candidates are assessed against industry standards

or benchmarks
 Evidence Based: The evidence may be demonstrated or produced by the
candidate for gathering by the assessor
 Participatory: Candidates are involved in the assessment process

The 5 dimensions of competency are:

1. Task Skills – the requirement to perform individual tasks

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

tasks within the job

3. Contingency Management Skills – the requirement to respond to problems,

breakdowns and changes in routine

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

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

5 Dimensions of Competency for driving a car

Dimensions of Competency Tasks / Functions

Task Driving a Car

Task Management Skills Management of brake, clutch, accelerator,

checking of odometer, side mirrors

Contingency Management Skills Pedestrian “running “onto path, flat tyre

Job and Role Environment Skills Reading of road signs, traffic signals

Transfer Skills Paved road, cross country conditions

Type of Assessment

Competency based assessment is the process of collecting evidence and making

judgments on whether or not competency has been achieved. It’s an outcome based
assessment on whether a person has reached the appropriate level of competency
i.e. has achieved the competency standard.

The various type of Assessment includes:

Formative Assessment
This term is used for assessment which assists and supports learning by providing
feedback about learner’s performance and provides opportunities for the learner to
put the feedback into action over a period of time.

Summative Assessment
The purpose of this type of assessment is to determine whether you have reached
competency, or achieved learning outcomes, for the purpose of recognition,
classification or certification usually following the end of a training programme.

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

Diagnostic assessment is commonly used in relation to literacy and numeracy eg.

WPLN (Workplace Literacy and Numeracy).

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

Principles of Assessment

The below listed principles of assessment must be addressed in the development of

assessment tools, conduct of assessment, and in the design, establishment and
management of the assessment process.

Validity

A valid assessment assesses what it claims to assess; evidence collected is relevant

to the activity and demonstrates that the performance criteria have been met.

Reliability

Reliability refers to the consistency of the interpretation of evidence and the

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

Flexibility

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

Flexibility applies to the process – not the standard

Fairness

Assessment is fair if it is equitable to all groups, does not disadvantage candidates

and take into account the characteristics of the person being assessed

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Components of a Competency Standard

Competency Standards define the competencies required for effective performance

in the workplace. They are expressed in outcome terms and have a standard format
and are developed by industry for industry and endorsed through WDA.
Components of a competency standard (for Retail Industry) include:

Competency Category

 Store Operations
 Support Services
 Merchandising and Marketing
 Sales and Customer Service

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

Competency Elements

 The tasks performed in a function

Performance Criteria

 What people do in completing a task properly

Underpinning Knowledge

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

Range and Contexts

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

Evidence Sources

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

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Assessment Methods

 Explains how the candidate will be assessed. Assessment of candidate may

occur in a number of different methods:

Methods of Assessment

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

Type of Practical
Method Advantages Disadvantages
evidence considerations

Assesses ability to
Difficult to write,
recognize and
Underpinning although once
eliminate rather than
knowledge, Consistency prepared, cheap and
Multiple Choice understanding,
understanding and reliability efficient to use; can
difficult to use for
of principles be used for large
problem solving and
groups.
higher order thinking.

Tests more May assess

Short answer/ Understanding complex skills, language/literacy Can assess groups,
essays and and application higher order skills as well as time consuming to
reports of knowledge thinking and knowledge, difficult process
problem solving to reliably assess

Flexible, allows
Underpinning for immediate Difficult to
Oral questioning/ knowledge, feedback, standardize, need to Can be used with
descriptive - interpersonal enhances plan expected observations to
inquisitive skills, and access and responses which can simulate realistic
dialogue thinking equity, can be be verified as workplace dialogue
processes integrated with recorded evidence
performance

Direct
Task skills, assessment, Can be expensive, Needs well
Performance/ productivity, can be done does not test constructed guide,
product quality of on-job or under underpinning possible logistical
product simulated knowledge difficulties
environment

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Cost effective, Authenticity and Candidate may need

can provide currency, may advice and support to
Portfolios/ Prior learning,
evidence assess collect sufficient
samples of work task skills
gathered over a organizational or evidence of different
period of time presentation skills types

Directly relevant
Time consuming to
Projects/ to enterprise
Workplace Authenticity, may plan and assess,
assignments needs,
competence assess other skills resources need to be
problem solving integrated
available
assessment

Encourages Helpful for self-

self-direction of evaluation of learner
Self/collaborative Prior learning, Learners may need
learners, helps to determine
assessment learning gaps practice
'critical readiness for formal
reflection' assessment

LA1:
 You may used the WSQ Assessment Plan that has been formulated by you under
ACTA TR-TEV-302C-1, Develop A Competency Based Assessment or
 Utilise your organisation modules under WSQ Competency Standard (CS) or CS
handed out by the Trainer

Based on the CS:

 Identify the various components of the CS
 Identify one CE & corresponding PC(s) that you will used for LGA 1, 2, 3 and FA
 Identify the appropriate data that will you include in development of Evidence
gathering plan, Assessment method(s), Assessment Record ,

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CE1: Prepare for Conduct of Assessment

1.0 Confirm Details of Assessment Plan with Relevant Stakeholders

. Assessment plays an important part in the learning process.

Assessments informs progress and guide learning which can be used in all sorts of
ways to measure outcomes and success for the learner/s, trainer, course or training
provider

1.1 Details of Assessment Plan

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

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

2. Serve as a guide to trainers in their delivery and assessment of the

course. This is particularly important if there are several trainers
undertaking the delivery of the course

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

4. Clarify for trainers, trainees, auditors and clients (companies, employers)

what a competent person can do and how we establish that these criteria
have been met. It also allows us to clearly advise unsuccessful trainees
as to where they did not meet assessment requirements

5. Provide a safeguard to show that the assessment is based upon, closely

connected to, and structured around the Competency Units – in other
words, that it is competency-based

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An assessment plan should include the following components:

1.2 Evidence Requirements

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

PRODUCT A correctly set up buffet table, A satisfied customer

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

customer

KNOWLEDGE Knowledge of setting buffet table, Knowledge of

organization service standard

Forms of Evidence Techniques of gathering evidence

Direct = Show Me Observation of performance under real or

stimulated work conditions eg. Changing a
tyre

Indirect = Tell Me Answers to :

 Interview

 Oral Presentations

 Written Test

Supplementary = Other Sources  3rd party reports eg testimonials,

work reports from supervisor

 Documentations of achievements
i.e certificates

 Videos of activities completed

 Work samples i.e projects

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1.3 Resources Requirements

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

• Tools and equipment

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

1.4 Set Up Requirements

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

The assessment venue should possess the following factors:

 Safety – Ensure venue is hazard-free
 Comfort – Conducive temperature, acceptable noise level
 Convenience – Accessible for candidates
 Adaptable – For aligning to different assessment method eg, role play,
written test

Organisational, Industry, Legal Requirements

Organisational requirements include:
 Standard Operating Procedures (SOP)
 Processes
 Systems
 Policies

Industry Requirements include:

 Industry standards
 Code of Practices

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Legal Requirements include:

 Copyright Act
 Workplace Safety and Health Act
 Consumer Protection (Fair Trading) Act

1.5 Relevant Stakeholders

The assessment plan should be confirmed by all relevant stakeholders as it involves

the needs of the organisation.
The stakeholders may include:

 Line Manager
 Supervisor
 Assessment Manager
 Subject Matter Experts (SME)

1.6 Ensuring Availability of Assessment Tools

Assessor need to identify and prepare the types of assessment tools needed for
effective conduct of assessment. Using appropriate tools ensures that:
 The assessment adhere to Principles of Assessment
 Sufficient evidence is collected for making a sound judgement of competency
 Assessment tools are tested and ready for use

Assessment tools may include:

Candidate Assessor
 Worksheets or Test  Assessment Checklist
Papers  Observation Guides
 Role Play Scripts  Interview Questions
 Scenarios  Template for 3rd party
 Case Study Notes report
 Guidelines for Report /  Guidelines / Instructions
Presentation for candidates
 Assessment Record

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LGA 1: CE1 Prepare for Conduct of Assessment Covering

PC1.1: Confirm details of assessment plan with relevant stakeholders
PC1.3: Ensure the set up of assessment site is in accordance with assessment plan
and workplace safety and health guidelines
PC1.4: Ensure the assessment tools required for assessment are available for use

NAME: NRIC:

Class Batch / Project Code: Date:

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

 Refer to the Competency Standard that you have selected in LA1

 You may use the template provided or design an appropriate template that suit CBA
module requirements.
 Fill in relevant data in the blank spaces provided should you choose to use the
template provided

ASSESSMENT PLAN SPECIFICATION

WSQ Framework: Competency Category:

Competency Unit: Competency Code:

Competency Element: Organisation:

Prepared by: Date:

Assessment Plan Version No: Date of Next Review: 1st February 20XX

1. Purpose of
Assessment

2. Identification of
Stakeholders

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3. Performance
Criteria to be
assessed

4. Context of
Assessment

5. Other
Assessment
Criteria:
(Organisational
/ ethical/ legal
requirements)

6. Assessment
Record
Keeping and
Reporting
Process

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LISTING OF ASSESSMENT TOOLS

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

LISTING OF ASSESSMENT RESOURCES

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

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CE2: Prepare Candidate for Assessment

The creation of a conducive environment is necessary for a successful assessment.

Assessor should promote a climate of trust with the candidate via courtesy, respect
and impartiality of age, ethnicity, gender or other personal characteristics.

The use of appropriate verbal and non-verbal communication techniques by the

assessor will help to generate rapport and help the candidate feel at ease. Assessor
may communicate through:

 Active listening
 Questioning techniques
 Tone, Pace, Clarity of voice
 Appropriate body language

2.1 Explain the Purpose and Context of Assessment

The candidate should be informed on the purpose, context and process of the
assessment which may include:

 Diagnosing performance
 Awarding of a qualification
 Confirming progress in learning
 Confirming competency with a view for career advancement
 Recruitment
 Recognition of prior learning (RPL)

The context of the assessment identifies the specific factors which may include:

 Operating environment, including the workplace, types of tools, equipment

and materials used, tasks to be performed, types of people candidate
interacts with and problems faced
 Organisational requirements such as assessment and human resource
systems, procedures, policies, processes and documents
 Relevant legislative requirements such as safety, hygiene guidelines,
Employment Act, Copyright Act
 Industry requirements such as Code of Practice, industry standards and
practices, regulations

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2.2 Explain the Process of Assessment

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

The assessment requirements and process include:

 Assessment group size

 Number of assessors
 Phases of assessment
 Location, timing and duration of assessment
 Instructions / materials / resources to be provided
 Assessment methods
 Assessment Tools
 Types of evidence to be gathered
 How evidence will be collected
 Criteria for making assessment decision
 Recording procedure
 Adjustments to assessment procedures based on candidate special needs
 Candidate’s rights and process of appeal to the assessment outcome

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

2.3 Identifying and Addressing Candidate’s Special Needs

Assessors need to consider the characteristics of candidates being assessed and

confirm with candidate on any special needs he may have and explain how
those needs will be addressed during the assessment. For example, a foreign
candidate who may have difficulty with local lingo during conversation.

Candidate’s special needs may include:

 Language, literacy and numeracy skills

 Intellectual impairment or disability
 Medical condition
 Physical ability
 Differences in learning progress
 Religious and spiritual observances
 Cultural background
 Educational background
 Age / Gender

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

 Adjustment to assessment process taking into account candidates’ language,

literacy and numeracy requirements
 Provision of support services such as reader, interpreter
 Use of adaptive technology or special equipment
 Flexible assessment sessions to allow for fatigue or administering of
medication
 Adjustment to physical environment or venue
 Adjustment to proposed assessment methods/tools
 Consideration relating to age and/or gender
 Considerations relating to cultural beliefs, traditional practices, religious
observances

Assessor must maintain the integrity of the Assessment when addressing

candidate special need.

2.3 The Appeal Process

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

Its part of an assessor responsibility to inform candidate of his right of appeal prior to
the commencement of the assessment.

An appeal may be lodged based on:

 Assessment was not carried out in accordance with the assessment plan
 Assessment decision was made incorrectly
 Assessment process was unfair or invalid

Assessor should discuss with the candidate on the procedure, cost of an appeal
pertaining to the organisation when situations of an appeal arises.

LA2: What is your organisation Appeal Process?

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2.4 Creating a Conducive Assessment Environment

Assessor should explain clearly the assessment requirements to the candidate

being assessed by applying effective communication techniques.

Effective communication and presentation techniques include:

1. Active Listening
 Concentrating on candidate message and resist distractions
 Keep open mind to other’s ideas
2. Questioning Techniques
 Open
 Closed
 Probing
 Reflection
3. Positive Body Language
 Maintaining eye contact
 Gestures
 Postures
 Facial Expressions
 Personal Space
4. Tonality of Speech
 Volume
 Tone
 Pace
 Pitch
 Pronunciation
5. Feedback
 Used for ensuring the message is understood and to verify everything that
is being spoken

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LGA 2: CE2:Prepare Candidate for Assessment Covering

PC2.1: Explain the purpose and context of assessment to candidate
PC2.2: Brief candidate on the assessment requirements and process, including clear
instructions on the assessment to be taken
PC2.3: Brief candidate on his rights and process of appeal to the assessment
outcome
PC2.4: Communicate in a clear and supportive manner to create a conducive
assessment outcome
PC2.5: Confirm with candidate on any special needs he may have and explain how
those needs will be addressed during the assessment
PC2.6: Seek feedback from candidate and clarify his understanding of the
assessment requirements

NAME: NRIC:

Class Batch / Project Code: Date:

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

 Refer to the Competency Standard that you have selected in LA1

 You may need to refer to the completed worksheets of LGA1
 You may use the template provided or design an appropriate template that suit
CBA module requirements.
 Fill in relevant data in the blank spaces provided should you choose to use the
template provided.
 Fill in relevant data in the blank spaces provided
BRIEFING CHECKLIST FOR ASSESSOR

BEFORE ASSESSMENT

Introduction

1. Yes /No

2. Yes /No

3. Yes /No

4. Yes /No

Context

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1. Yes /No

2. Yes /No

3. Yes /No

4. Yes /No

5. Yes /No

6. Yes /No

7. Yes /No

Others
1. Yes /No

2. Yes /No

3. Yes /No

4. Yes /No

5. Yes /No

DURING ASSESSMENT
1. Yes /No

2. Yes /No

3.

4.. Yes /No

5. Yes /No

AT THE END OF ASSESSMENT

1. Yes /No

2. Yes /No

3. Yes /No

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4. Yes /No

5. Yes /No

6. Yes /No

7. Yes /No

8. Yes /No

9. Yes /No

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CE3: Carry Out Conduct of Assessment

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

3.1 Code of Practice for Assessors

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

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

 A pre-established, personal relationship between the assessor and the

person being assessed
 Financial implications for the assessor

Assessment specialists have developed an international code of ethics and practice

(The National Council for Measurement in Education i.e. NCME). The Code of
Practice below is based on the international standards:

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

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

outcomes are identified and appropriate referrals are made, if necessary

3. All forms of harassment are avoided throughout the planning, conducting,

reviewing and reporting of the assessment outcomes

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

5. Personal or interpersonal factors that are not relevant to the assessment of

competency must not influence the assessment outcomes

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

7. Evidence that is gathered during the assessment is verified for validity,

reliability, authenticity, sufficiency and currency

8. Assessment decisions are based on available evidence that can be produced

and verified by another assessor

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9. Assessments are conducted within the boundaries of the assessment system

policies and procedures

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

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

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

13. The candidate is informed of all known potential consequences of decisions

arising from an assessment, prior to the assessment

14. Confidentiality is maintained regarding assessment results

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

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

17. Self-assessments are periodically conducted to compare current

competencies against the competencies for assessors

18. Professional development opportunities are identified and sought

19. Opportunities for networking amongst assessors are created and maintained

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

3.2 Use of Assessment Plan and Tools to Guide Conduct of

Assessment

Assessments instruments and tools will be required to conduct the assessment

planned. Some of the instruments and tools that may be used include:

 Assessment Plan

 Performance Criteria Checklists to serve as reporting mechanism for several

Performance Criteria that may be achieved through the use of different
assessment methods

 Evidence Sources Checklist to serve as a reporting snapshot of the types of

evidence gathering that may be used.

 Others (as per ATO SOPs)

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3.3 Process of Conducting Assessment

Assessment activities are reflective of the Competency Elements and

Performance Criteria of the unit/s covered. The assessment activities should reflect
the following:

 Assessment against the Competency Unit/s must cover the broad range of
skills and knowledge
 Assessment should integrate knowledge and skill with their practical
application
 Evidence should, if possible, be gathered on a number of occasions and in a
range of contexts, using different assessment methods

Assessment involves the collection of evidence which will be used for making a
judgement on whether the candidate is competent as measured against the
performance criteria.

The evidence collected and the decision on competency status must all:
 Meet the assessment criteria as stipulated in the assessment plan
 Meet the dimensions of competency
 Meet the Rules of Evidence
 Meet the organisational and industrial standards

3.1 Collecting Evidence of Competency

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

At least one form of direct evidence should be considered to make a judgement on

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

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

Reasonable adjustments may be considered for participants with physical and/or

sensory disabilities or learning difficulties.

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

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3.3.2 Evaluate / Judging Gathered Evidence

Assessors should abide by the principles of rules of evidence for greater

transparency when evaluating the evidence being collected during the conduct of
assessment.

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

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

Valid Evidence

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

 Does the evidence relate to a unit of competence?

 Does the evidence reflect the five dimensions of competency?
 Does the evidence address the key competencies?

Sufficient Evidence

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

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

 Does the evidence cover the full range of performance identified in

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

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Current Evidence

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

 Does the evidence show that the candidate can currently perform the
competence while working?
 Is the evidence benchmarked against industry standards?

Authentic Evidence

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

 Is the evidence the candidate own work?

 Are the qualifications, references and licenses presented by the
candidate authentic documents?
3.4 Recording Assessment Results

All assessment outcomes must be recorded immediately and accurately on the

prescribed forms or checklists.

Candidate will be graded “Competent (C)” when:

 The evidence meets the performance criteria

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

The candidate must have all the criteria’s stipulated in the Competency Unit marked
as “Competent” before he is awarded an overall “Competent” for the unit.

Candidate will be awarded “Not Yet Competent (NYC)” when:

 There is a lack of evidence

 Nil support from indirect or supplementary evidence

It’s important to be detailed on the reasons for awarding NYC as it will serve as
reference in case of appeal from the candidate.

Upon recording all outcomes of the assessment, the assessor needs to conduct a
feedback session on the candidate’s performance.

The assessor is required to ensure he has signed all assessment records and
overall summary report, before asking the candidate to read, check and sign his /
her acceptance of the assessment results.

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

3.5 Addressing Limitations in Obtaining and Evaluating Evidence

Situations may occur where an assessor is faced with particular limitations of evidence.
Limitations may arise from:

 Unable to get evidence of competence

 Fault in the design of assessment tools
 Assessment criteria are not clearly spell out
 Assessment instructions are not clearly provided
 Assessment activities are not integrated
 Insufficient time provided for assessment
 Questions are not clearly designed
 Model/suggested answers which are too limited

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

Curriculum Developer
 Assessment Plan Developer
 Assessment Manager
 Management Representative of assessment centre
 More experienced assessor
 Candidate’s superior, human resource manager

Assessor may also work beyond the limitations of evidence by conducting an oral
interview with the candidate.

For example: Inability of getting evidence from written assignment may arise from
misinterpretation of questions or language proficiency. Here, the assessor will have
to ask the candidate questions in order to acquire evidence of the competency gaps.

3.6 Conducting Feedback Session

Effective feedback session enable an assessor to provide a clear and constructive

discussion with the candidate on his / her performance (strengths and areas for
improvement) and outcome of assessment. This will assist the candidate to know
the performance gaps and strategies to overcome these gaps.

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Feedback should be conducted in a constructive manner supported by appropriate

verbal and non verbal communications techniques.

Assessor must be sensitive to the candidate’s emotions especially when awarding

‘NYC” status. Minimise confrontations with the candidates by using tact and
diplomacy and provision of suggestions on overcoming performance gaps.

Where the assessment decision is being challenged, assessor should advise

candidate of available reassessment or appeal procedures. Assessment dispute
must be reported to the appropriate Management Representative of the ATO.

3.7 Reviewing and Reporting Assessment Process

An assessment system comprises of structures and processes of the ATO which

includes the following:

 Assessment policies and procedures

 Assessment tools
 Assessment resources
 Assessors and other personnel
 Funding arrangements

Reviewing and maintaining your assessment process is of great importance. For

example, out of date or irrelevant assessment plans will undermine the whole
assessment process.

Reviewing the assessment event and evaluating the process and outcomes is an
important role of the assessor who should ensure that the needs of the people
involved, as well as the needs of the organization are met.

A checklist may be use for reflecting over the conducted assessment. For full
coverage, the checklist will include the various phase of the assessment i.e. before,
during and end of the assessment.

Why conduct a review?

Review of assessment process ensure consistency, relevancy of assessment

procedure decisions and performance standards and that any discrepancies and
inconsistencies are acted upon.

Reviewing assessment plan and process may include:

 Practicality of assessment criteria

 Need for simplifying assessment tools
 Clarity of instructions to assessor / candidate
 Need of adding other appropriate resources to reflect real workplace
environment

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 Need of changing the assessment method e.g. from simulation to real

work/real time or from written test to oral test
 Need of providing more simulations to gather the evidence of candidate’s
competence
 Need of increasing the types of evidence
 Need of modifying the assessment duration
 Need of modifying the questions and/or model answers / solutions

The assessor needs to ensure the following is taken into account when reviewing
the assessment activity:

 Candidate’s feedback on the assessment activity is sought for obtaining

outside ideas on the assessment system
 Both positive and negative features experienced in conducting the
assessment are covered
 Suggestions for improving the assessment process are recorded

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

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

Depending on the findings of the reports, modifications may be made to the

assessment plan or procedures to make the assessment more productive and
effective.

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LGA 3: Evidence Gathering Plan, Assessment Record, Role Play

Script, Oral Questions Documents

NAME: NRIC:

Class Batch / Project Code: Date:

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

 Refer to the Competency Standard that you have selected in LA1

 You may need to refer to the completed worksheets of LGA1, LGA2
 You may use the template provided or design an appropriate template that suit
CBA module requirements.
 Fill in relevant data in the blank spaces provided should you choose to use the
template provided.

EVIDENCE GATHERING PLAN

Competency Unit:
Competency Element:

Performance Assessment Types of Evidence : Evidence

Criteria Method Product , Process, Requirement
: Knowledge (Outcome)

Forms of Evidence:
Direct; Indirect;
Supplementary

Direct Evidence: 

Product:

Process:

Supplementary
Evidence:

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ROLE PLAY SCRIPT FOR

Competency Category:
Competency Unit:
Competency Element:
Reference Number:

Instructions to Candidates

Role Play Scenario

Role Play Scenario Covering

CE:
PC

PC

PC

PC

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ASSESSMENT RECORD FOR

Competency Category:
Competency Unit:

Competency Code:

Name: _________________________________ Assessment Date: _____________

Organization: ________________________________ Program: _______________

ROLE PLAY OBSERVATION CHECKLIST

Competency Element:
ASSESSMENT CHECKLIST
PERFORMANCE C NYC
OUTCOMES/EVIDENCE COMMENTS
CRITERIA

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FINAL ASSESSMENT OUTCOME

This candidate has been assessed as

COMPETENT (C) 
NOT YET COMPETENT (NYC) 
Assessor Name: _______________________________________

Assessor Signature: _______________________________________

Candidate Name: _______________________________________

Candidate NRIC: _______________________________________

Candidate Signature: _______________________________________

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

Comments:

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ORAL QUESTIONS FOR

Competency Category:
Competency Unit:
Competency Element:
Reference Number:

Instructions to Candidates

Performance Criteria Suggested Questions & Suggested Responses

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Advanced Certificate in Retail Supervision

Competency Category: Training Evaluation

Competency Unit: Conduct Competency Based Assessment

Competency Code: TR-TEV-303C- 1

Instructions to Candidates

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

i. Complete LGA1, LGA2, LGA3 requirements
ii. Perform a Role Play in the FA (Final Assessment).
iii. Each candidate will be asked several oral questions in the FA (Final Assessment) to
check on their understanding of the contents covered in the module.
iv. Candidate will be considered competent when all the learning outcomes/ evidences are
fulfilled as per assessment checklist.

ii Role Play
1. Candidates will be given 20 minutes to perform the below role play scenario:
In this scenario, you will perform the role of an Assessor. You will be required to
make use of the materials and resources prepared by you for conducting a
competency based assessment.
You will be required to perform the following CE:
CE1: Prepare for assessment
CE2: Prepare candidate for assessment
CE3: Carry out conduct of assessment
================================================================

2. Candidate will carry out Role Play using the Assessment Plan and relevant
documents that has been developed in LGA1, LGA2, LGA3

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

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

5. Candidate is required to make use and submit the following at the end of the Final
Assessment session for proof of evidence:
 LGA1
 LGA2
 LGA3

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iii Oral Questioning

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

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SUPPLEMENTARY NOTES

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Instruction to Candidate 考生指示

Module Title 能力单元 :
__________________________________________
Module Reference No 单元编号 : __
_____________________________________
Trainer(s) 导师名字 :
__________________________________________
Candidate Acknowledgement 考生认可 Tick (✔)
1. The assessment’s purpose, process and duration were clearly
explained
评估的目的，过程和时间有清楚的解释.
2. The appeal procedure was clearly explained. (Please read reverse
page)
上诉程序有清楚的解释 (请读反面页)
3. The assessor had checked for my special needs.
考官有检查我的特殊需要
4. At least 75% attendance was met.
至少达到 75 ％出席率

Candidate Name 考生名字: NRIC No 身份证:

Class Batch No 班级:

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

Candidate Signature 考生签名:

Date 日期:

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Appeal Process against “Not Yet Competent’’ status awarded

不同意“尚未具能力”成绩的上诉程序

Student to submit appeal form

within 3 days after release of
result
考生应在成绩公布的三天內递
交上诉表格.

Apply for
Appeal at $10
付$10 以申请上
诉

SARC committee
review
SARC 委员会重
Appeal 新回顾
Successful
上诉成功
Appeal not successful 上诉不成功

SARC committee offers re-

assessment at $10
SARC 委员会提供重新评估($10)
Award
SOA
发出奖状
OR 或

Repeat the module at non-subsidy

rate
重覆单元(没有津贴)

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Advanced Certificate in Retail Supervision

Competency Category: Training Evaluation

Competency Unit: Conduct Competency Based Assessment

Competency Code: TR-TEV-303C- 1

Name: _________________________________ Assessment Date: _____________

Organization: ________________________________ Program: _______________

ROLE PLAY ASSESSMENT CHECKLIST

Competency Element 1 – Prepare for Conduct of Assessment

ASSESSMENT CHECKLIST
PERFORMANCE C NYC
OUTCOMES/EVIDENCE COMMENTS
CRITERIA

1.1 Confirm details of  Able to confirm details

assessment plan of assessment plan
with relevant which may include:
stakeholders
Evidence, resources
set up requirements
Organisational ,
industry and legal
requirements

 Able to confirm
assessment plan with
relevant stakeholders
that may include:

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

1.3 Ensure the set up  Able to ensure the set

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

1.4 Ensure the  Able to ensure the

assessment tools assessment tools
required for required for
assessment are assessment are
available for use available for use which

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

Competency Element 2 – Prepare Candidate for Assessment

ASSESSMENT CHECKLIST
PERFORMANCE C NYC
OUTCOMES/EVIDENCE COMMENTS
CRITERIA
 Able to explain the
2.1 Explain the purpose purpose of assessment
and context of to candidate which may
assessment to include:
candidate
Diagnosing
performance, awarding
qualification, confirming
progress in learning,
confirming competency,
recruitment, education
or training needs,
recognition of prior
learning (RPL)

 Able to explain the

context of assessment
to candidate which may
include:

Operating and
organizational
requirements, Relevant
legislative and industry
requirements

2.2 Brief candidate on  Able to brief candidate

the assessment on the assessment
requirements and requirements and
process, including process, including clear
clear instructions instructions on:
on the assessment Provision of types of
to be taken materials and physical
resources, Types of
evidence for gathering,
Method of evidence
gathering, duration of
assessment
 Able to brief candidate
2.3 Brief candidate on on his rights and
his rights and process of appeal to
process of appeal the assessment s
to the assessment outcome
outcome

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2.4 Communicate in  Able to communicate

a clear and in a clear and
supportive supportive manner
manner to create to create a
a conducive conducive
assessment assessment
environment environment by:

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

 Confirm with candidate

2.5 Confirm with on any special needs
candidate on any he may have that
special needs he include:
may have and
explain how these Language difficulty,
needs will be intellectual impairment /
addressed during disability, medical
the assessment condition, differences in
learning progress,
religious and spiritual
observances, age /
gender and cultural
background

 Explain how these

needs will be
addressed during the
assessment which may
include:

Adjustment to
assessment taking into
account: Candidates
language, literacy and
numeracy
requirements,

Adjustment to physical
environment / venue,
proposed assessment
methods / tools

Considerations relating
to age / gender /
cultural, traditional and
religious practices,
fatigue / medication

Provision of support
services i.e reader or
interpreter

Use of adaptive
technology or special
equipment

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2.6 Seek feedback  Able to seek feedback

from candidate and from candidate and
clarify his clarify his
understanding of understanding of the
the assessment assessment
requirements requirements by:

Effective listening and

questioning skills,
observation of body
language

Competency Element 3 – Carry out Conduct of Assessment

ASSESSMENT CHECKLIST
PERFORMANCE C NYC COMMENTS
OUTCOMES/EVIDENCE
CRITERIA

3.1 Use assessment  Able to use assessment

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

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

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

3.2 Use evidence  Able to use evidence

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

Evidence collected must

meet assessment
criteria as stipulated in
the assessment plan

Evidence collected must

meet the Rules of
Evidence

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3.5 Record assessment  Able to record

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

3.6 Provide clear and  Provide clear and

constructive constructive feedback to
feedback to candidate regarding
candidate regarding assessment eg:
assessment decision
and advice on how Outcome of assessment
performance can be Identification of
overcome performance gap
Suggestion for
overcoming areas of
identified performance
gaps

ORAL QUESTIONING ASSESSMENT CHECKLIST

Competency Element 1 – Prepare for Conduct of Assessment

ASSESSMENT CHECKLIST
PERFORMANCE C NYC
OUTCOMES/EVIDENCE COMMENTS
CRITERIA

1.2 Ensure resources  Able to ensure

stipulated in the availability of resources
assessment plan which may include :
are available, safe
and in proper Tools and equipments,
working conditions materials, furniture,
technology, personal
protective equipment
(PPE), assessment
instruments, manuals,
assessment
instruments,
documents and forms,
specialist and technical
support

Competency Element 3 – Carry out Conduct of Assessment

ASSESSMENT CHECKLIST
PERFORMANCE C NYC
OUTCOMES/EVIDENCE COMMENTS
CRITERIA

3.3 Deal with  Able to deal with

limitations of limitations of evidence
evidence required, required, where
where necessary necessary such as :

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Unable to get evidence

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

3.4 Comply with Code  Able to comply with

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

 Review assessment plan

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

 Provide feedback to
appropriate personnel
for modification who may
include:

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

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Advanced Certificate in Retail Supervision

Competency Category: Training Evaluation

Competency Unit: Conduct Competency Based Assessment

Competency Code: TR-TEV-303C- 1

FINAL ASSESSMENT OUTCOME

Organization: _________________________________ Date: _____________

This candidate has been assessed as

COMPETENT 

NOT YET COMPETENT 

Assessor Name: _______________________________________

Assessor Signature: _______________________________________

Candidate Name: _______________________________________

Candidate NRIC: _______________________________________

Candidate Signature: _______________________________________

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

Comments: ________________________________________________________

_________________________________________________________________

_________________________________________________________________

_________________________________________________________________

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Assessment Summary Record Competency Unit/Code :

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

Assessment Duration : 35 minutes

Candidate NRIC Number

Name

Assessment
Competency Method Overall Date Assessor Assessor
Element Indicate “C” Result Name Signature
or “NYC” “C” or
WA RP OQ “NYC”
1. – Prepare
for conduct of
assessment

2 – Prepare
candidate for
assessment

3 – Carry out
conduct of
assessment

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This candidate has been assessed as

COMPETENT in the Unit: Conduct Competency Based

Assessment

NOT YET COMPETENT in the Unit: Conduct Competency Based

Assessment

Candidate Assessor
Name (As in NRIC) Name

Candidate Assessor
Signature Signature

Date: Date:

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

Feedback on outcome by Assessor/Candidate:

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