WORKPLACE
ASSESSOR TRAINING
Delegate's Manual
COURSE OBJECTIVES
q To develop appropriate assessment skills and knowledge in order to assess competence in the workplace
TARGET POPULATION
q All personnel who are required to conduct Workplace Assessments in line with competency acquisition
UNDERPINNING KNOWLEDGE ADVISED
q Communication skills and the language of the workplace
CONTENTS
INTRODUCTION
THE
BIG PICTURE
UNDERSTANDING
COMPETENCE
THE
JOB COMPETENCE GUIDE
OVERVIEW
OF WORKPLACE ASSESSMENT
THE
GENERIC ASSESSMENT PROCESS
TYPES
OF WORKPLACE ASSESSMENT
NEXT STEPS
APPENDICES
COURSE MAP
THE BIG
PICTURE
Objectives
q To provide delegates with an overview of the Competency Acquisition process
The Competency Acquisition Process (CAP)
It is a process to develop employees against a standard set against a common set of competencies and performance criteria, who in the long run will contribute effectively to business results.
It is:
q STRUCTURED
Follows an organised and systematic approach
q FOCUSED
On individual learning and development needs
q INTEGRATED
With business strategies and processes
And it takes into account international
Best Practice. The process is used extensively in countries like
The competency acquisition process provides a fair, transparent and thorough system of describing,
developing and assessing competencies.
COMPETENCY ACQUISITION PROCESS
UNDERSTANDING
COMPETENCE
Objectives
q Differentiate between competence and
performance.
What is Competence?
Competence is a person's ability to perform and
apply certain skills, knowledge and attributes
to a required standard in existing and new
situations in the workplace.
F
Skill
The ability to perform a task to a certain standard.
F
Knowledge
Knowledge is the foundation of the competence
F
Attributes
The personality traits or personal qualities that transform skills and
knowledge into performance in the workplace.
Competence vs Performance
Competence is a person's ABILITY to do the job-Can s/he do the Job?
Does s/he have the necessary skills and knowledge?
Can s/he apply these in the workplace?
versus
Four Dimensions Of Competence
Competence embodies all aspects of work, and not only tasks (activities).
TASK SKILLS: The requirement to perform individual tasks to the required level or standard.
TASK MANAGEMENT SKILLS: The requirement to manage (prioritise) a number of different tasks within the job.
CONTINGENCY MANAGEMENT SKILLS: The requirement to respond in an appropriate manner when things change or go wrong.
JOB/ROLE ENVIRONMENT SKILLS: The requirement to deal with the broader context of the work environment. For example Interact appropriately with others (team work), take into account workplace requirements (e.g. OHS Act, disciplinary code, company values,etc).
|
Task Skills: Shower, Shave / Blow-dry hair, get dressed, wash hair, .... |
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Task Management Skills: Prioritise: First take shower, wash hair, then shave / blow-dr 939k1018j y hair, then get dressed. |
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Contingency Management Skills: What to do if the shaver or hair dryer blows up or the electricity fails? |
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Job/Role Environment Skills: Safety regulations: No water on the plugs, dress code for work, family needs. |
Exercise
Provide your own example of the four dimensions of Competence for
'MAKING A CUP OF COFFEE'
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Task Skills |
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Task Management Skills |
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Contingency Management Skills: |
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Job/Role Environment Skills: |
THE JOB COMPETENCE GUIDE
Objectives
A Job Competence Guide is...
.the company format whereby the standard of workplace performance necessary to determine competence is
defined, inclusive of assessment guidelines.
The development of generic Job Competence guides was facilitated:
q
in consultation with job incumbents and subject matter
experts
q
in line with business priorities
q aligned with national unit standards
Normally the units standards are not altered in any form as they are set by groups of representative people ie both management and labour, however the assessment section of the competence guide is always written by the company using the unit standard.
These assessment guidelines are not set by any external people or organisation and are usually set by the people within the organisation, as this is the company's competitive edge! Usually future requirements and not for current conditions, are used as a basis for the assessment guidelines.
Uses And Advantages Of Job Competence Guides
Format Of A Job Competence Guide
See Appendix 2 for an example of a generic competence guide for an
Operator.
Definitions
A brief statement of why the job exists. Helps ensure that the statement and standard is aligned with the Company's organisational goals and strategies.
Defines the minimum educational requirements required in order to perform the job.
It also defines any 'Learning assumed to be in place' which is that learning which is assumed to be in order and the person has been assessed as being competent in those unit standards. This will not to be assessed as part of this guide.
These define a major part, role or function of the job. A number of unit standards will make up a job competence guide of which some will be specific to the job and some more generic in nature e.g. "Perform First Line Maintenance on Manufacturing or Packing Equipment", which would apply to any number of operator type jobs and in very differing environments.
Describe the specific learning outcomes and what the learner must be able to achieve.
E.g. for the "Perform First Line Maintenance on Manufacturing or Packing Equipment" unit standard, the specific outcomes listed as follows:
Demonstrate understanding of production or packaging surfaces
Handle and use measuring and maintenance tools
Handle and use lubricants
Apply basic hand skills to perform first line maintenance on a production or packaging equipment
Assessment Criteria
These describe what must be done and to what standard or level it must be done, in order to be considered competent.
E.g. for the specific outcome "Handle and use lubricants" some of the assessment criteria are:
Basic lubricants are used according to fit for purpose and safety criteria
Lubricants within first line maintenance are used according to standard operating procedures
Basic errors during handling and usage of lubricants are identified according to standard operating procedures
This section describes the recommended assessment method to be used by the assessor. There are various different methods of assessment, the more common being:
Demonstration
Observation
Evidence of Prior Performance (EPP)
This is a guide to both the learner and the assessor regarding the type of evidence the assessor is going to be looking for e.g. it might be a task which needs to be demonstrated.
E.g. for the Assessment Criterion 'Basic lubricants are used according to fit for purpose and safety criteria', the assessor will use a written test to test the learners knowledge of basic lubricants.
For the second assessment criterion, the assessor will use an observation technique to ensure that the learner uses the lubricants according to company procedures.
The assessor will also if necessary, ask the learner some questions about what s/he is doing during the maintenance task.
A record of what evidence as produced is then recorded under the "Actual Evidence" column.
These provide a mechanism to infuse critical skills at all levels of qualifications. So, for example, analytical problem solving and information gathering, organising and managing one-self, etc. are capabilities required through out the levels of the qualification framework and must be built into the design of all qualifications.
Critical cross-field outcomes are central to the construction of qualifications, as they are the elements that enable learners to move from dependence to independence, as well as from low to high levels of productivity and innovation. The applicable critical cross-field outcomes are:
F Work effectively with others
F Organise and manage oneself and one's activities
F Identify and solve problems
F Collect, analyse, organise and critically evaluate information
F Use technology and science
F Understand the world as a set of related problems
F Communicate effectively
Exercise
You have recently been employed by Square Boxes Inc, as a Paper Box Maker and you have been given your Job Competence Guide for your new job.
You are required to read though the Job Competence Guide, ensuring you understand the following major components of the guide:
v Purpose Statement
v Minimum Educational Requirements
v Unit Standards
v Specific Outcomes
v Assessment Criteria
Also find attached the Production Targets and Quality requirements for the job and a set of Work Instructions on "How to make a box".
Stacking and Storage Standards
q
Paper boxes are to be stacked in cardboard crates 5 X 5 X 5.
q Full cardboard crates are to be signed over to the Storeman at the end of each working day.
Individual Paper Box Production Targets
q Each Paper box maker is expected to produce 160 high quality paper boxes per 40 hour week.
NOTE: You are not to attempt to make a paper box - you will get lots of time later to do this!! Instructions for Making a Box
Materials required: 1 X A4 coloured paper, per box
Step 1: Fold
sides and ends of paper to Make
light creases - - - - - - - -
find centre lines
|
Step 4: Do
not open paper flat Take
a corner and fold it up from the end to the heavy crease Make
a heavy crease Repeat
on the other three corners | ||||||||||||
|
Your paper
should have eight sides and look like a rectangle
with the corners cut diagonally
Step 5 Fold
back the long edges, over the corners and make heavy creases. Lift
up the sides with your thumbs and the ends will lift too.
Step 6 Gently
shape the box. Pinch
the corners.
OVERVIEW OF WORKPLACE ASSESSMENT
Objectives
q
Define workplace
assessment and the three types
of assessment.
q
Identify the types and sources
of evidence
q
Clarify the characteristics of
evidence.
q
Explain the importance of
maintaining accurate
records of assessment.
What is Assessment?
A common view of assessment is defined as:
"A structured process for gathering evidence and
making judgement about an individual's performance in
relation to registered national standards and qualifications."
Learners will have to provide sufficient evidence of their competence (in terms of all the specific outcomes and the related assessment criteria) to receive the credit for a standard.
Workplace assessment is about outputs, not inputs or throughputs and not about how competence is acquired. There is therefore no requirement to attend specific training courses or achieve certain qualifications in order to be certified as competent. Regardless of how learning was acquired, an individual could be assessed as competent by an assessor.
In this system, learners are assessed when they are confident and ready to be assessed. If learners do not meet the standard/s at the first attempt, they can undergo training and request another assessment. The idea is NOT "pass or fail", but rather it is one of "meeting" or "not yet meeting" the standard.
Types of Assessment
A learner is assessed against a Job Competence Guide for the current job, using three separate and distinct types of assessments, viz.
The outcome of this diagnostic assessment is an individual development plan identifying the learning solutions or processes required for the learner to become competent in the specified areas. These learning solutions could be customised to meet the needs of the individual. They will vary according to the development gap, the availability of a good coach/expert, time constraints, business needs, etc
Who Conducts the Assessment?
Where the outcome will result in the awarding of a qualification, learners must be assessed by an accredited assessor at the formative and summative stages
q Accredited assessors must have the following expertise:
q Functional expertise in the content of the standards being assessed. This is critical in order to make judgements about competence.
q Assessment expertise (certificated) to be able to use the standard and conduct the assessment appropriately
q Communication expertise to ensure a fair and valid assessment.
q Given that Line Managers are ultimately responsible for the development of the people reporting to them, they should ideally be trained as assessors, however only a selection of people should be accredited.
q Each company should ensure that sufficient Assessors are trained and accredited, so that the assessment load is shared.
Where the outcome will not result in the awarding of a qualification, learners may be assessed by a trained assessor for formative and summative assessments
q Trained assessors must be trained in the various techniques of assessment and the processes associated with fair and valid assessment, however they need not be accredited.
q An accredited assessor may be used in this case to 'moderate' the assessments conducted by the trained assessors in order to ensure that the processes are consistent.
q If the ethic of self-management and self-development is supported by the company, the notion of self - assessment by the learners at the diagnostic stage should thus be encouraged.
q Learners should at the least be versed in some techniques of assessment, and where necessary, be able to call upon an accredited or trained assessor for advice and direction.
Methods of Assessment
There are various methods of assessment that can be utilised to assess competence against the criteria in the Job Competence Guide. These methods can normally be classified under three main activities:
q Observation
q Evaluation
q Questioning
Observation Methods
The following assessment methods or instruments are included:
q Practical exercises or Demonstrations - an activity that allows learners to demonstrate manual or behavioural skills. The assessment may be based on the end result of the activity (the product) or the carrying out of the activity (the process), or a combination of both.
q Projects - is an exercise or investigation in which time constraints are more relaxed. Projects can be individual or group based depending on what needs to be assessed.
q Role Plays - the enactment or re-enactment of a problem or situation to which the learner must respond to a particular role. This method is particularly useful for behavioural or interpersonal skills.
q Simulations - a demonstration of skill where it is either difficult or not practical to assess a learner under actual conditions. This technique is normally used to demonstrate competence under 'safe conditions' e.g. operating machinery which could cause a disruption to production.
e.g. Using MSOffice to type a memo or a pilot simulating flying under adverse weather conditions.
Evaluation Methods
These methods use the product of a task for assessment purposes. The following assessment methods or instruments are included:
q Assignments - these are problem solving exercises with clear guidelines and a specified time. Normally used to demonstrate understanding of problem solving techniques
q Case Studies - are used to assess analysis techniques, drawing conclusions and decision making, through real life or simulated situations. Case studies can be either individual or small group based.
q Examinations or Tests - used to assess the recall of information
q Log Books - sometimes referred to as Evidence of Prior Performance (EPP), where the learner keeps a log book of their progress and achievements.
This evidence refers to documentation that reflects the learner's work on-the-job, i.e. actual documents/records/forms/reports that are required outputs of the job. For example downtime records, safety records, certificates, monthly reports, etc. These form a framework from which to assess and are time effective as they are produced on-the-job.
q Portfolios - closely related to Log Books and EPP. The learner collects different types of evidence relating to the work being assessed. It is important that the evidence meets the requirements of sufficiency and currency.
q Practical exercises or Demonstrations
q Projects
q Questionnaires
Questioning Methods
This is the biggest selection of assessment methods or instruments in use for assessment and usually comprise of oral or written questioning, to test a learners understanding of situations within a defined range of assessment criteria or to test underpinning knowledge. The following assessment methods or instruments are included:
q Alternative response questions - true or false; yes or no questions
q Assertion/reason questions - are questions which have an assertion (true or false) with a follow up explanation
q Oral tests
q Short answer questions
q Examinations or Tests
q Extended response questions - normally used to check ability to argue or debate issues through a written process
q Grid questions - questions consisting of two columns which need to be matched
q Multiple choice questions
q Probing questions
q Personal interviews
q And all of the above techniques under Observation and Evaluation Methods
Recognised Prior Learning (RPL)
RPL is defined as giving credit to what learners already know and can do regardless of whether this learning was achieved formally, informally or non-formally.
Note, that the learner still has to comply with all the requirements as stated in the unit standard and will be assessed to determine competence.
Tight / Loose Assessment
The Planned Evidence section of the Job Competence Guide is an example of what we call tight / loose assessment. This format recognises that you cannot have a "one size fits all" assessment, as different people have differing needs, levels of understanding of the questions, etc.
Therefore, as assessors, you need to:
Collecting Evidence
The assessment process is based on the collection of evidence and can be carried out in a number of ways. The three main forms of evidence are:
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Direct / Primary Evidence |
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This is evidence produced by the learner Examples: |
This is the most reliable type of evidence. Assessors need to try and ensure that the evidence is as real/practical as possible. Observation results, Simulation results, Oral/written tests, Projects, Documentary evidence |
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Indirect Evidence |
|
|
This is evidence produced about the learner Examples: |
This evidence could be from the learner or another source. It shows that the learner is capable of performing the task to the required standard. Team Outputs, Written testimonials, Training records |
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Historical Evidence |
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This is evidence of the learner's past performance Examples: |
This verifies that the learner was capable of doing it in the past. It is the least reliable form of evidence as it does not guarantee that the learner is capable of doing it now. It may however be sufficient in its own right or reduce the amount of assessment required. Examples of past performance, Written testimonials, Certificates or Qualifications, Log books |
Quality of Evidence
Even though the unit standards indicate the scope, context and level for demonstration of outcomes to be achieved, the assessor has to check the quality of evidence before making an assessment decision.
The following four checks (questions) are used to assess the quality of evidence provided:
q VALIDITY Does the evidence relate to the specific outcomes and criteria to be assessed?
q AUTHENTICITY - Can the evidence be attributed to the learner?
q SUFFICIENCY - Is there enough evidence to meet all the criteria needed to certify the learner as competent? Is the assessor confident that the performance can be repeated?
q CURRENCY - Is the evidence related to current competence?
Record Keeping
All assessment activity must be recorded,
signed and retained as evidence of the assessment
Why?
q In case of an appeal against the assessment decision by the learner
q To comply with the moderation requirements
Where?
q The front page of the Job Competence Guide provides for the recording of the final assessment per Unit Standard. In addition, this section requires the Learner and Assessor's signatures as record of mutual agreement of the assessment outcome.
q The Actual Evidence section of the Job Competence Guide details the evidence required for the assessment and allows the assessor to record the evidence presented as well as his/her judgement of competence against each item.
q If the assessor requires additional evidence from the learner, details must be recorded on an additional sheet and attached to the Job Competence Guide. The assessment outcome, (viz. Competent or Not yet Competent) and any additional comments must also be recorded and filed.
q The Job Competence Guide must be filed with the learner's personnel and development records.
Exercise
You have been appointed the Assessor who is required to assess the Paper Box Maker and in order to do this you need to complete the Job Competence Guide by defining the Method and Planned Evidence you will use and evidence you will look for, when you conduct the assessment.
Use the given handout to determine the aspects of competence that you want to observe and what evidence you need to collect in order to make a sound decision.
Consider...
The characteristics
of evidence that are listed on the previous pages
The methods of
gathering evidence, and
Should there be a
time limit (per box) and how you would decide on it?
However, before you embark on this exercise, it might help you to have practised the "art" of paper box making before considering the assessment methods etc!!
THE GENERIC ASSESSMENT
PROCESS
Objectives
q Define the Overall Assessment process.
q Clarify the different stages of the Assessment process
The Assessment Process
All assessments regardless of the subject matter follow the same basic procedure, ie the planning of the assessment with the learner, the conducting of the assessment itself ad on completion of the assessment, feedback to the learner.
The Assessment process is broadly divided into two areas:
q The Preparatory Phase
q The Assessment Phase
Each phase will be discussed in more detail below:
The Preparatory Phase
The Assessor becomes familiar with the unit standard that is going to be assessed
The Assessor has to understand the requirements for each component of the unit standard. S/he has to be very clear on how all components of the unit standard will impact on the design of the assessment.
The Assessor plans the assessment, making decisions about assessment methods, assessment instruments, activities, type and amount of evidence required, etc.
The Assessor has to ensure that the principles of fairness, validity, reliability and practicability have been applied to the assessment plan. S/he must also ensure that her/his interpretation of the unit standard, type and amount of evidence required is agreed with other assessors.
The Assessor designs the assessment by selecting the appropriate methods, instruments and designing the appropriate materials
The Assessor decides whether to design tasks which require observation, evaluation or questioning and decides the situation or context of performance for the assessment.
The Assessor confirms the date of assessment with the learner and makes arrangements for venues, equipment, the availability of Subject Matter Experts (SME's) etc.
The Assessment Phase
The Assessor informs the learner about the requirements for the assessment
The Assessor reaches agreement with the learner on how the evidence is to be collected and presented
The Assessor explains the roles and responsibilities of the learner with regard her/his assessment
These first three steps are important in setting the foundation for the successful completion of an assessment. It is important the learner understands from the outset their role and responsibility with respect to the assessment; the process of assessment and the role of the assessor.
As assessments are meant to be clear and transparent, the learner should understand:
q The kinds of assessment activities or instruments that will be used
q The standard and level of performance required
q The type and amount of evidence required
q Their responsibility with respect to the collection of evidence
The Assessor conducts the assessment and collects the evidence
The Assessor must ensure that the assessment is conducted in an environment that is appropriate and non-threatening
The Assessor makes a judgment about the evidence against the criteria of the unit standard
The Assessor provides feedback to the learner with regard to the assessment decision
These two steps are clearly the crux of the assessment and this is where the skill of the assessor is tested.
The judgment of evidence must be against the predetermined assessment criteria and not against any pre-conceived ideas about the learner. Further, the assessor must guard against evaluating superfluous or gratuitous evidence provided.
On completion of the assessment the learner has to be informed about the outcome i.e. what was done correctly and the credits achieved (if any). In the case of summative assessments, the learner should be clear on whether s/he is competent or not yet competent. In the case of the latter, sufficient explanation of the gaps is required and a way forward discussed.
The Assessor completes the administration according to company policies and procedures
The records, the assessment instruments and materials have to be stored safely in the case of an appeal and for quality purposes.
The Assessor evaluates the process
The assessor should request feedback from the learner regarding the assessment and how the process could be improved, if necessary. The assessor should also make necessary changes to any assessment instruments which were not satisfactory.
TYPES OF WORKPLACE
ASSESSMENTS
Objectives
q Define the various types of assessment
processes namely, Diagnostic, Formative and Summative processes.
q
Identify the types and sources
of evidence that
are suitable for formative assessment
Prepare for the Assessment
The preparation stage of the Diagnostic Assessment process aims to put the learner at ease - to allow him/her every opportunity to prove competence.
When planning and preparing for the Assessment, take cognisance of the following:
q The assessment may be initiated by the learner, his/her Line Manager or the assessor. In all cases the agreed dates, time and venue must be confirmed in writing.
q Arrange the venue and any equipment required for the assessment.
q Select the appropriate Technical /Subject Matter Expert/s as required and where necessary.
q Ensure the learner has the relevant Job Competence Guide. When s/he starts in the position s/he should receive the appropriate Job Competence Guide, but this document may have been updated or never received. In all cases, ensure that the correct one is available.
q The process must be open and transparent, viz the learner is aware of the competencies to be assessed and the evidence required.
q The learner understands the Assessment process. Learners may perceive the process to be a 'test / pass' or 'fail'. Use the "Frequently Asked Questions" supplied in the Appendix to assist you in this preparation.
q Explain the different types and sources of evidence that are required, as defined in the Job Competence Guide.
The Assessment process is about collecting evidence so that the assessor is able to make a judgment about the learner's competence.
q Assist the learner to gather the evidence required and build his/her diary of evidence, as outlined in the Job Competence Guide.
q It is advisable to agree on a date prior to the assessment, to submit the Evidence of Prior Performance. This allows the assessor to review the documentation for trends/accuracy/appropriateness/etc and request additional evidence if required. While it is important to consider all the characteristics of evidence, assessors must ensure that learners are given all opportunities to demonstrate competence.
It is critical to ensure that the learner is at ease during the assessment, in an appropriate and non-threatening environment. Even though the proper preparation is conducted, learners may initially be nervous at the idea of assessment.
q With the learner, work through the Objectives section of the Job Competence Guide.
q Use appropriate communication skills gather all the evidence.
q Do not rush the assessment process; allow the learner time to formulate his/her answers. Rephrase questions to ensure that the learner understands what you require.
q Record your assessment decisions and comments throughout the entire process. This will assist you in making the final judgment of competence and with supplying feedback, to the learner.
q Give encouraging feedback during the assessment where possible.
q Create a "gap" list of all areas and objectives where the learner is not yet competent. This will assist in compiling the Individual Development Plan with the learner.
q Where you have assessed the learner as competent in a specific outcome or an assessment criterion, record this on the Job Competence Guide.
q Take cognisance of the characteristics of evidence (as detailed in the Workplace Assessment section). If you are in any doubt ask for further evidence. This evidence can be questioning, a demonstration or simple task.
q Make the assessment decision based on the evidence and decide whether the learner is competent or not yet competent.
Note: Self-assessment can also form part of the diagnostic assessment process, e.g. the Job Competence Guide could be sent to the learner and, once completed it can be e-mailed back to the assessor for assessment.
Providing feedback is of utmost importance. The purpose of the feedback is to advise the learner of the assessment outcome, as well as to define next steps.
Whatever the decision, the learner must be informed in such a way that considers his/her individual needs and sensitivities. The content of feedback and the manner in which it is given should leave the learner in no doubt about where they have met the standard and where they have not.
q Where the learner is assessed as competent, there is still the need to demonstrate this in the work environment and ultimately impact on performance improvement.
q Where the learner is assessed as not-yet-competent, the Individual Development Plan will be defined and agreed during the feedback session.
Feedback must be given both verbally and in written format. Verbal feedback is necessary to solve problems, make decisions for future assessments and ensure continued encouragement and rapport with the learner. However written reports are necessary to ensure that there is no confusion in the mind of the learner, for the learner's records, as well for audit review purposes.
Some guidelines for effective feedback:
q Discuss each of the assessment criteria and objectives that the learner has performed to the required standard.
q Review the assessment criteria and objectives for which the required standards were not met.
q For each assessment criteria that was not achieved, state clearly what the learner should have done to meet the standard.
q End by encouraging the learner to continue learning.
The Individual Development Plan is compiled and agreed during the feedback session and should be part of the written feedback.
The Line Manager and/or Assessor and the Learner should:
Pointers:
q Clearly differentiate what are the development needs and what further evidence needs to be collected.
q The learning solution does not always have to be a training course - a coaching session with a subject matter expert could be more effective. In this case, provide the learner with clear guidance as to the required results.
q The timeframe should include dates by which the solution be completed and dates for future formative assessments.
It is critical that all assessment activity is recorded, signed and retained as evidence of the assessment, in the case of an appeal or query into the assessment.
Ensure that a hardcopy of all assessment and supporting documentation is filed in the learner's portfolio of evidence.
Exercise
Based on the Job Competence Guide defined for your Paper Box Maker, in the previous section:
q Role Play the diagnostic assessment process:
q Find a partner and give them your copy of the assessment guide. Each person will play the part of the Learner and the Assessor.
q As the Learner, read through the competency guide and the assessment methods and consider in what aspects you are "COMPETENT" or "NOT YET COMPETENT".
q As the Assessor, prepare and conduct the assessment of the Learner, making note of any gaps in the Learner's competence and developing a Training Needs Analysis or Development Plan.
Be sure to give the Learner feedback.
q At the end of the assessment, use the checklist provided on the next page and assess how you faired in completing the Diagnostic Assessment. Prepare feedback for the group.
Consider:
v The Diagnostic
Assessment guidelines detailed in this section.
v Ensure that you
complete all steps in the process.
v Are you assessing evidence that is presented in a fair and valid way?
Checklist for the Diagnostic/Formative Assessment
How was the learner prepared for the assessment?
Date and time agreed
Venue and equipment prepared
Understanding of the process and requirements
Correct version of the Job Competence Guide
Evidence explained
What
evidence was required?
During the assessment:
Was the learner "at ease" during the process?
Was feedback supplied to the learner during the process?
Was the learner given sufficient time to formulate answers?
Were any additional questions asked/evidence requested?
What details were recorded by the assessor?
Any additional comments for the assessor:
Comment on the feedback provided by the assessor:
Written and verbal?
Did it leave no doubt in the learner's mind as to assessment outcome?
Did the learner feel encouraged to continue learning after
the feedback?
Does the Individual Development Plan:
Detail the areas in which further development is required and the solutions available?
Prioritise the areas in line with business requirements?
Include a timeframe?
Include details of further assessment, as required?
What documentation was completed? Was this signed by both the assessor and the learner?
Formative Assessment ...
...intends to measure whether the knowledge, skills
and attributes which were the intended outcomes of a
learning solution/work instruction or process, are
transferred with consistency to the workplace
The Formative Assessment:
q Is designed to support the teaching and learning process
q Assists in planning for the future
q Provides feedback to the learner on his/her progress
q Helps to make decisions on the readiness of a learner to do a summative assessment
q Is developmental in nature
q Is not where credits or certificates are awarded
A Formative assessment is either an event or a process, or a combination of both occurring at some stage between diagnostic/needs analysis and summative assessments/final sign off, to:
q evaluate and ensure the progress of individual development following a specific learning intervention
q close previously identified competency gaps
q renew individual needs
q ensure the application of learning in the workplace
q reduce the length of summative assessment.
The Formative Assessment Process follows the same order as the Diagnostic Assessment Process (see diagram on pg 49) and the same steps are required.
Event
q
A focused assessment, specific to the desired outcomes
captured in the
Competency Standard (either as a Unit or a Specific Outcome of competence).
q
An assessment of a learning solution immediately after
delivery, to
evaluate delegate re-action, and design and delivery of the specific
solution i.e. to obtain learner feedback on the effectiveness of the learning
solution
q A small number of focused assessments are mandatory in specific jobs, in order to achieve certification. These will be clearly identified at the beginning of the learning process.
Process
q
Continual assessment along the learning continuum, from
diagnosing
gaps and needs, to assessing learning solutions, and application of
learning in the workplace.
q To evaluate and ensure the progress of individual development processes, which will result in summative assessment.
or a combination of event and process
Some Pointers on Formative Assessment
Knowledge
q Even knowledge-based learning solutions involve some skills, and the latter should be incorporated in the assessment
q Focus therefore on the ability to actually do the job, and not just the knowledge component
q Ascertain whether the learner can access the relevant information, understand and apply it : i.e. integration of competence
q Business sense is a critical part of this aspect
Skills
q On-the-job assessment requires a safe and practical environment : if this is not readily available, a simulation is relevant; or conduct the assessment elsewhere
q Equipment may seldom be opened or serviced whilst learners are present, which thus limits depth of understanding. Hence the trainer should schedule opportunities for learners to be present when such an event occurs
q All four dimensions of competence must be assessed i.e. the knowledge to apply the skill should be assessed, as well as the application; and the combination with other skills. Failure to integrate the dimensions of competence could result in the assessment of rote actions only.
q Clearly explain to the learner which skills must be demonstrated, and the desired outcomes of the assessment
q Remember to assess what is required from the performance criteria of the learning intervention.
q Take cognisance of evidence of prior performance
Exercise
Based on the Individual Learning / Development Plan defined for your Paper Box Maker, in the previous section:
q
Select one of the identified "training gaps" and
recommended solutions.
q Define the Formative Assessment plan that you would implement to assess the competence improvement, post training.
Consider:
v The Formative
Assessment guidelines detailed in this section.
v Ensure that you take cognisance of the 4 dimensions of competence in formulating your plan
v Are you assessing the "knowledge" and/or "skills" component/s?
Summative Assessment Aims to ..
A Summative assessment is at the end of a learning programme (an individual development plan, qualification, unit standard, or skills programme) and is used to determine whether the learner is competent or not yet competent through a holistic evaluation of the whole unit standard or group of unit standards.
Note that a summative assessment consisting of one final written examination is not always applicable and should more than like consist of a variety of assessment methods, which will assess the learner holistically in terms of a unit standard or group of unit standards.
The Summative Assessment Process
Prepare the Learner for Assessment
Ensure that the following preparations are made:
The required venue, times and equipment are arranged.
The Portfolio of Evidence is prepared by the learner
The learner:
understands the assessment process,
knows the components of the Job Competence Guide that will be assessed,
is aware of the venue and times.
Evaluate the Evidence
This part of the process deals with scrutinising the evidence collected during the Diagnostic and Formative assessments. It is critical that comprehensive records have been maintained during all other assessments. Also at this point, scrutinise the evidence of prior performance required for the summative assessment.
q The assessor needs to answer the question "Did the learner demonstrate competence at each stage of the process?"
q Reference must be made to the characteristics of evidence, viz. Validity, sufficiency, reliability, authenticity, cost effectiveness and currency.
Summative Assessment of a Unit Standard
q This must be conducted against the appropriate unit standard.
q The evidence collected for assessment, is assessed holistically against the whole unit standard.
q The assessor needs to answer the question "Is the learner competent or not yet competent in all aspects of the unit standard?"
q These decisions result in an Assessment Plan that must be recorded and communicated to the learner in the normal way.
4. Summative Assessment of a Job Competency Guide
q This must be conducted against the appropriate Job Competence Guide.
q The evidence collected for assessment usually a Portfolio of Evidence (POE), is assessed against each unit standard and then holistically for the job.
All types and sources of evidence, as previously discussed, can be used for Summative Assessment. The most commonly used are demonstration, questioning and the evidence portfolio
q The assessor needs to answer the question "Is the learner competent or not yet competent in all aspects of the job competency guide?"
q These decisions result in an Assessment Plan that must be recorded and communicated to the learner in the normal way.
Feedback to the Learner
q Provide feedback to the learner on the same day as the assessment where possible.
q Depending on the outcome of the assessment, the learner must be made aware of the next steps i.e.
q Where assessed as competent:
o the need to demonstrate this in the work environment,
o impact on performance improvement,
o focus feedback on the further / future development process.
q Where assessed as not-yet-competent:
o agree next steps, subsequent formative assessments, development plan
o dates & times to be agreed - try and make this process of closing the gaps identified as quick & efficient as possible
It is critical that all assessment activity is recorded, signed and retained as evidence of the assessment, in the case of an appeal or query into the assessment.
Ensure that a hardcopy of all assessment and supporting documentation is filed in the learner's portfolio of evidence.
Exercise
Based on the Individual Learning / Development Plan defined for your Paper Box Maker, in the previous section:
q Conduct a Summative assessment on your learner.
Consider:
v The Summative Assessment guidelines and process detailed in this section.
APPENDICES
q Appendix 1 List of Definitions
q Appendix 2 Operator Job Competency
Guide
q
Appendix 3 Conduct Outcomes-based Assessment
Unit Standard
q Appendix 4 Frequently Asked
Questions
q Appendix 5 Skills Development
Amendment Act
List of Definitions
Certification, usually for a particular period of time, of a person, a body or an institution as having the capacity to fulfil a particular function in the quality assurance system.
A general meaning is:
The process by which an authority gives formal recognition to a body, acknowledging that it is competent to carry out specified activities in accordance with appropriate regulations, criteria and guidelines.
The process of collecting evidence to measure the achievement of specified standards or qualifications.
A general meaning is:
A process of making judgements about a person's ability to apply knowledge and skills in a specific environment.
The discipline and level in which assessment may be undertaken, and at which qualified assessors may assess.
ASSESSOR
EXTERNAL:
"Assessor" means a person who is registered by the relevant body in accordance with criteria established for this purpose, to measure the achievement of specified standards or qualifications.
INTERNAL:
"Assessor" means a person assessing in accordance with criteria established for the purpose of the company to measure the achievement of company standards.
AUDITOR (or MODERATOR)
An external person or body qualified to perform quality audits.
An employee undergoing the process of assessment.
CAP (COMPETENCY ACQUISITION PROCESS)
An integrated, systematic and efficient process of employee development.
To ensure appropriate education, training and development for optimal employee competence, in pursuit of business goals
To facilitate external recognition for competencies, in alignment with national legislation
The formal recognition of learner's achievements in the form of certificates.
A person's ability to perform at a required level in the workplace, and to transfer and apply skills, knowledge and attributes to existing and new situations and environments.
The specific grouping of skills, knowledge and attributes, the application of which are required for effective workplace performance.
CRITICAL CROSS-FIELD OUTCOMES
The critical cross-field outcomes provide a mechanism to infuse critical skills at all levels of qualifications. So, for example, analytical problem-solving and information gathering, organising and managing oneself etc. are capabilities required throughout the levels of the qualification framework and must be built into the design of all qualifications.
Critical cross-field outcomes are central to the construction of qualifications, as they are the elements that enable learners to move from dependence to independence, as well as from low to high levels of productivity and innovation.
The knowledge of skill learning requirements linking the National Unit standard and/or Job Competency Guide (JCG) to appropriate learning solutions and learnership.
DIAGNOSTIC ASSESSMENT (TRAINING NEEDS ANALYSIS)
Assessment process to determine the training needs of an employee.
Self-assessment in terms of self-management practices order to diagnose gaps and minimise time usage constraints during formal assessment stages.
FORMATIVE ASSESSMENT
Iterative assessments to determine training effectiveness and individual competence development throughout the learning process, within the framework of the Formative Assessment Guidelines.
FUNCTIONAL EXPERT (or SUBJECT MATTER EXPERT)
A person suitably qualified (e.g. via a recognised institution) or experienced to act as a subject matter expert in required development and assessment situations.
Employee's competence diagnosed in terms of the relevant Job Competency Guide; and recorded ongoing competency development.
A documented individual development plan, agreed between employee, assessor/manager and training staff, which stipulates education, training and development processes and learning solutions, aimed at directing appropriate competence development and supportive of a learnership.
JOB COMPETENCY GUIDE
The Company format whereby the standard of workplace performance necessary to determine competence is defined, inclusive of guidelines to facilitate the process of learning.
Consists of a number of Unit Standards with related Specific Outcomes, Assessment Criteria, Method and Planned Evidence.
The Job Competency Guide also acts as an assessment document.
Learnerships are primarily workplace learning programmes supported by structured institutional learning which will result in a qualification.
Training and education processes and experiences designed to enable employees to achieve outcome-based competent performance.
Grouping of specific Outcomes as Unit Standards relevant and meaningful to all organisations in a particular national industry e.g. Beverages.
PROVIDER
Provider means a body which delivers learning programmes which culminate in specified standards or qualifications and manages the assessment thereof.
A general meaning is:
Any body or organisation which provides education or training or workplace experience, such as schools, colleges, technikons, universities, workplace training centres, private training providers, employers/workplaces.
The procedure whereby a learner's competence is assessed either in terms of:
One unit standard.
A combination of unit standards.
An entire job competency standard.
TRAINING NEEDS ASSESSMENT (DIAGNOSTIC ASSESSMENT)
The initial assessment of a learner to identify competency gaps and provide a baseline to determine individual education, training and development needs.
Draft Job Competency Guides
Conduct Outcomes-Based Assessment Unit Standard
Frequently Asked Questions
What is CAP?
CAP is the Competency Acquisition Process which is used to identify the skills
and knowledge which people need to develop in order to become competent in
their jobs. It takes into account both
International Best practice and SA Legislative requirements.
Why am I being assessed?
To identify your areas of strength and your development needs.
What do I have to do before my assessment?
You must prepare for your assessment by:
Reading your Job Competence Guide and ensuring that you understand the requirements.
Collecting the evidence of prior performance
What exactly is assessed?
The assessment is conducted against the contents of Job Competence Guide. You will receive a copy of this document.
Who does the assessment?
A qualified assessor will assess you.
Where are you assessed?
The assessment will be conducted either on-the-job or in an office, depending what is being assessed.
How are you assessed?
Evidence is collected by: watching you do the job, asking questions, looking at documents or reports that you have written or certificates you have received, assignments, etc.
How will you know the result?
Your assessor will give you feedback during and after the assessment.
Is there a PASS and a FAIL?
There is no pass or fail with assessment. The aim of CAP is to help you develop competence. You and your manager will discuss your individual development plan, e.g. training courses, additional experience you need in the workplace, etc.
Will you be re-assessed on everything again if you
are not yet competent?
You will only be re-assessed on those areas in which you were
not yet competent the last time.
What happens if you do not agree with the assessment results?
You can discuss this with your assessor. Your assessor may suggest that you be assessed again in that particular area or that another assessor conducts the assessment. If you are still not satisfied, you may appeal according to the Company policy.
If I am deemed Not Yet Competent (NYC), will I be retrenched or first in line for retrenchment?
Cap is a developmental process, where the aim is to develop competence. It should not be directly linked to the issue of retrenchment.
What will happen if I refuse to be assessed?
The learner needs to understand the consequenses of refusing to be assessed, that is, no development. Without development s/he will fall behind on the acquisition of new skills and knowledge. An individual can ultimately be retrenched on the basis of a poor skills profile.
I agree to being assessed, but not by you?
This must be referred to the HRD Manager for appropriate review.
Will I be compensated if I am deemed competent?
The CAP process is NOT about compensation, it is about developing employees to reach the minimum standard required by the job. Learners who are deemed NYC will benefit since they will be given the opportunity to acquire those competencies which they do not yet have.
The Company provides the opportunity for development BUT the individual must
also take responsibility. S/he must take
the opportunity to develop.
How many times can I be assessed, if I fail?
There is no pass or fail in this process - it is not a test.
Diagnostic: these assessments take place only once
Formative: A learner may attend a learning solution
only twice. Thereafter, if s/he is still
deemed NYC, the appropriate action should be taken, i.e. the following needs to
be considered:
was the development need identified correctly
was the learner's attitude and
his/her environment conducive to learning
Summative Should a learner be deemed NYC at a Summative Assessment the following procedure must be applied:
Assessor must inform the line manager of the competency gaps.
The line manager and the learner must establish a "learner-paced", time bound development plan on completion of which a second summative assessment is conducted.
If the learner is still deemed NYC, the Assessor must establish the degree to which the competence had improved between the first and second assessments. If there was a significant improvement then a second development plan must be put in place. If however, there was no enhanced competence, the CAP Panel, line manager and assessor must decide on further steps.
Can I use certificates as EPP?
If there is written evidence that the certificate was awarded for specific skills which appeared on a checklist and these are current (i.e. not older than 12 months), then they are permissable as EPP.
Who should assessors be?
Assessors should be functional experts in the jobs in which they assess. Given that line managers are ultimately responsible for the development of the people reporting to them, they should ideally be trained as assessors. Each site/department/region should ensure that sufficient assessors are trained and certificated so that the assessment load is shared.
What is my role as assessor?
To assess the learner, identify gaps, provide feedback,
develop appropriate and effective learning processes for individuals and
determine competencies.
What does the assessor get out of it?
S/he develops skills as an assessor and is certificated in acquiring these. S/he will benefit from the active involvement in and contribution to, the development of competent employees.
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