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ASSESSMENT STRATEGIES GUIDE FOR

HLT HEALTH TRAINING PACKAGE

For Aboriginal and/or Torres Strait Islander primary health care qualifications see separate guide

Release 3.0 December 2015

Page | 1 Assessment Strategies Guide | Release 2 October 2015

Contents

Modification History ________________________________________________ 2

Purpose of this guide _______________________________________________ 3

Increased focus on assessment and implications _______________________ 5

Quality in assessment ______________________________________________ 6

Supporting stronger assessment _____________________________________ 7

Unit of competency _____________________________________________________ 7

Assessment Requirements _______________________________________________ 9

Performance evidence ________________________________________________________ 12

Knowledge evidence __________________________________________________________ 15

Assessment conditions ________________________________________________________ 17

Simulated assessments _________________________________________________ 21

Recognition of Prior Learning (RPL) ______________________________________ 22

An RPL process _____________________________________________________________ 22

Clustering units for assessment __________________________________________ 23

Clustering units of competency that form a holistic task _______________________________ 25

Clustering units of competency to meet an enterprise requirement ______________________ 25

Assessment fundamentals _________________________________________ 29

Rules of Evidence _____________________________________________________ 30

Principles of Assessment _______________________________________________ 31

Types of evidence _____________________________________________________ 31

Direct evidence ______________________________________________________________ 32

Indirect evidence _____________________________________________________________ 32

Supplementary evidence _______________________________________________________ 32

Evidence gathering ____________________________________________________ 33

Access and equity ________________________________________________ 34

Assessing candidates with a disability ____________________________________ 34

What is a disability? __________________________________________________________ 34

Adjustments in assessment ____________________________________________________ 34

Supports for Aboriginal and/or Torres Strait Islander candidates for assessment _ 35

Page | 2 Assessment Strategies Guide | Release 2 October 2015

Assessing people with low level foundation skills ___________________________ 36

Modification History

Release

number

Release date Comments

3.0 December 2015 Revised to provide information for newly endorsed Release 3

components in December 2015

2.0 October 2015 Revised to provide information for newly endorsed

components in July 2015

1.4 January 2014 Aboriginal and/or Torres Strait Islander Primary Health Care

qualifications - see separate guide

Page | 3 Assessment Strategies guide | Release 3.0 December 2015

Purpose of this guide

This Assessment strategies guide is one of several guides produced to help with the

implementation of the HLT Health and CHC Community Services Training Packages.

HLT Health units of competency, assessment requirements, qualifications and skill sets can

be found on the national register www.training.gov.au.

In addition, the following non-endorsed Training Package components (companion volumes)

have been developed:

The implementation guide is a mandatory requirement for Industry Skills Councils

to develop. It is available at www.cshisc.com.au and contains overview information

about the entire Training Package, including a list of all units, skills sets and

qualifications. It also contains key implementation advice for use by registered

training organisations (RTOs).

Other guides and resources to assist implementation, include:

- A Learning strategies guide describes potential strategies for working with a

diversity of learners and possible learning strategies.

- A Knowledge strategies guide identifies knowledge requirements of the

units of competency, a glossary of terms and provides information about

potential resources as well as links to useful information.

- This Assessment strategies guide provides guidance on interpretation of

the Assessment Requirements as well as general advice about assessment.

- A Foundation skills guide provides guidance about identifying foundation

skills and developing them in students in the context of the sector in which

they work.

- A Work placement guide provides guidance on how to set up work

placements, the roles and responsibilities of RTOs and industry partners, how

to ensure that the placements are good learning experiences for students and

are run effectively in organisations.

http://www.training.gov.au/

http://www.cshisc.com.au/


Feedback and contributions

In time, these companion volumes will provide an opportunity to showcase best practice

from RTOs and provide a forum for sharing information and resources. If you have any

ideas, resources, case studies or feedback to contribute to the companion volumes, please

provide your feedback via the CS&HISC Continuous Improvement Feedback Register.

http://www.cshisc.com.au/connect/continuous-improvement-register/

These are

optional

companion

volumes

developed by

the CS&HISC to

support

implementation

http://www.cshisc.com.au/connect/continuous-improvement-register/


Increased focus on assessment and implications

One of the most significant changes in the Health Training Package (HLT) is the increased

focus on assessment and the specification of assessment requirements. At a national level

across all industries, improving the quality of assessment is a priority.

CS&HISC acknowledges that there are some excellent training organisations offering quality

approaches in assessment. However, concerns have also been raised in relation to the

consistency and quality of training and assessment outcomes across the sector. In

particular, concerns have been repeatedly raised in relation to perceived unreasonably short

delivery times and lack of practicum experiences.

In this context, industry has taken up the opportunity provided by the introduction of the

Standards for Training Packages

(http://www.industry.gov.au/skills/NationalStandards/Documents/StandardsforTrainingPacka

ges.pdf) to place a greater focus on the specification of assessment requirements. This is

particularly in relation to specification of frequency and volume of evidence required to

demonstrate competency and the introduction of workplace hours in some units of

competency. Industry feedback is that this will support recognition of prior learning claims

from the existing workforce and provide the sector with better-qualified graduates of

vocational education and training (VET) programs.

Assessment requirements for units of competency are now presented differently – they

contain rigorous performance evidence and knowledge evidence to guide the assessment

process. Additionally, some skills must now be demonstrated in a workplace environment.

Work placement has in some cases been part of student development in the sector but not

always mandated within the training package itself.

The HLT Health Training Package is now more specific about:

frequency of evidence – such as, how often skill or task must be demonstrated in the

workplace

range of evidence – such as, across what range of individuals, equipment or services

skills must be demonstrated

volume of evidence – such as, how much evidence or the number of hours spent in

demonstrating skills and knowledge to meet the requirements of the performance

criteria.

http://www.industry.gov.au/skills/NationalStandards/Documents/StandardsforTrainingPackages.pdf

http://www.industry.gov.au/skills/NationalStandards/Documents/StandardsforTrainingPackages.pdf


Assessors will need to be familiar with these changes. The most significant change for RTOs

and their assessors is that demonstration of skill in the workplace is mandatory in some units

of competency.

Quality in assessment

Industry and the wider community expect that people with qualifications from the VET sector

will have the skills and knowledge to perform competently in their job role. Good assessment

practice underpins the VET system. The Standards for Registered Training Organisations

(RTOs) 2015 http://www.comlaw.gov.au/Details/F2014L01377 reflects this by requiring that:

RTO’s training and assessment is delivered only by persons who have:

vocational competencies at least to the level being delivered and assessed;

current industry skills directly relevant to the training and assessment being provided;

and

current knowledge and skills in vocational training and learning that informs their

training and assessment.

In addition:

prior to 1 January 2016, TAE40110 Certificate IV in Training and Assessment

or its successor, a diploma or higher level qualification in adult education; or

demonstrated equivalence of competencies

from 1 January 2016, the training and assessment qualification TAE40110

Certificate IV in Training and Assessment or its successor, a diploma or

higher level qualification in adult education

Assessment practice, including Recognition of Prior Learning (RPL) must:

meet the requirements of training packages and VET accredited courses;

be responsive to industry and learner needs; and

be delivered by appropriately qualified trainers and assessors with the right support

services, facilities and equipment.

Depending on your state or territory, and your regulatory authority, please refer to Standard

1 from Standards for Registered Training Organisations (RTOs) 2015

http://www.comlaw.gov.au/Details/F2014L01377 or AQTF Essential Conditions and

Standards for Continuing Registration Standard 1

http://www.licensinglinenews.com/DownloadAttachment.aspx?AttachmentId=150762 for

further information.

http://www.comlaw.gov.au/Details/F2014L01377


http://www.licensinglinenews.com/DownloadAttachment.aspx?AttachmentId=150762


Supporting stronger assessment

Anyone familiar with previous versions of the qualifications in this Training Package will

notice that the units look different. That is because assessment has been highlighted by the

creation of assessment requirements for each unit of competency, in line with the Standards

for Training Packages.

Below is a snapshot of a unit of competency, with the new assessment requirements to

show how they will appear in the Training Package. Note that the level of specification varies

considerably between different units of competency. Units describing sector-specific skills

tend to have a higher level of specification than the more generic units.

Unit of competency

HLTINF001 Comply with infection prevention and control policies and procedures

Application This unit describes the skills and knowledge required to follow organisational infection prevention and control procedures, including implementing standard and transmission-based precautions and responding to infection risks.

This unit applies to individuals working in health and direct client care contexts.

The skills in this unit must be applied in accordance with Commonwealth and State/Territory legislation, Australian/New Zealand standards and industry codes of practice

ELEMENT PERFORMANCE CRITERIA

1. Follow standard and additional precautions for infection prevention and control

1.1 Follow hand hygiene practices in accordance with organisations policies and procedures

1.2 Implement hand care procedures and cover cuts and abrasions

1.3 Follow organisation procedures for choice and use of personal protection equipment

1.4 Follow procedures for respiratory hygiene and cough etiquette

1.5 Follow procedures for environmental cleaning

Identifies the

work context

and who the

unit applies

to

Elements

define the

essential

outcomes

Specifies the

level of

performance

needed to

demonstrate

achievement

of the element


1.6 Follow procedures for handling, transporting and processing of linen in a manner that controls the spread of infection

1.7 Follow procedures for disposal of contaminated waste

1.8 Follow procedures for handling and cleaning client equipment that prevents skin and mucous membrane exposures, contamination of clothing, and transfer of pathogens

1.9 Identify and respond to situations where additional precautions may be required to prevent transmission of infection

2. Identify infection hazards and assess risks

2.1 Identify infection hazards associated with own role and work environment

2.2 Identify own areas of responsibility in relation to infection prevention and control

2.3 Assess risk by determining the likelihood and severity of harm from identified hazards.

2.4 Document and report activities and tasks that put self, clients, visitors and/or other workers at risk

2.5 Identify appropriate control measures to minimise risk in accordance with organisations procedures

3. Follow procedures for managing risks associated with specific hazards

3.1 Follow protocols for care after exposure to blood or other body fluids as required

3.2 Place appropriate signs when and where appropriate

3.3 Remove spills in accordance with the policies and procedures of the organisation

3.4 Minimise contamination of materials, equipment and instruments by aerosols and splatter

3.5 Identify, separate and maintain clean and contaminated zones

3.6 Confine records, materials and medicaments to a well-designated clean zone

3.7 Confine contaminated instruments and equipment to a well-designated contaminated zone


FOUNDATION SKILLS

The Foundation Skills describe those required skills (such as language, literacy, numeracy and employment skills) that are essential to performance.

Foundation skills essential to performance are explicit in the performance criteria of this unit of competency.

Assessment Requirements

Assessment Requirements for HLTINF001 Comply with infection

prevention and control policies and procedures

Performance

evidence:

The candidate must show evidence of the ability to complete tasks outlined in elements and performance criteria of this unit, manage tasks and manage contingencies in the context of the job role. There must be evidence that the candidate has:

followed established organisation infection prevention and control procedures on at least 3 separate occasions

followed established organisation infection prevention and control procedures at least once for each of the following:

o hand hygiene and care of hand

o use of personal protective equipment

o handling of waste

o enforcing clean and contaminated zones

o limitation of contamination

o surface cleaning

Sets out the

product

and/or

process

evidence

required, in

addition to

the

candidate

performing

the

performance

criteria and

includes

frequency,

range and

volume.


Knowledge

evidence:

The candidate must be able to demonstrate essential knowledge required to effectively complete tasks outlined in elements and performance criteria of this unit, manage tasks and manage contingencies in the context of the work role. This includes knowledge of:

established guidelines for the prevention and control of infection, including those for:

o personal and hand hygiene:

- how to hand wash

- how to hand rub

- pre-surgical hand preparation

- clinical moments when hand hygiene should be performed with soap and water rather than alcohol-based hand rub

- non-clinical moments for hand hygiene hand care, including guidelines on maintaining intact skin, fingernails and jewellery/watches

o use and scope of personal protective equipment guidelines for:

- glove use

- wearing gowns and waterproof aprons

- wearing masks

- wearing protective glasses

o surface cleaning:

- cleaning procedures and their specified times

- routine surface cleaning

o managing a blood or body fluid spill

o sharps handling and disposal techniques

o reprocessing procedures for equipment

types of additional precautions and their relevance to particular areas of work or client groups

types of hazards in the work environment and associated risks and control measures

Specifies

what the

candidate

must know in

order to

effectively

carry out the

performance

criteria


chain of infection:

o source of infectious agent

o mode of transmission

o susceptible host

basis of infection, including:

o bacteria and bacterial spores

o difference between harmless microorganisms and pathogens

o difference between colonisation, infection and disease

o fungi

o viruses

key modes of disease transmission – contact, airborne and droplet:

o paths of transmission including direct contact, aerosols and penetrating injuries

o risk of acquisition

o sources of infecting microorganisms including persons who are carriers, in the incubation phase of the disease or those who are acutely ill

factors that increase the susceptibility to infection:

o immune status

o wounds or devices

o medications and comorbidities

o age

Assessment

conditions:

Skills must have been demonstrated in the workplace with the addition of simulations and scenarios where the full range of contexts and situations have not been provided in the workplace or may occur only rarely.

The following conditions must be met for this unit:

use of suitable facilities, equipment and resources,

including:

o organisational infection prevention and control

Sets out

mandatory

conditions for

assessment,

including

equipment

and assessor

requirements


guidelines

o personal protective equipment

o hand hygiene facilities and equipment

o medical or client care equipment relevant to the workplace

o clinical and other waste and waste disposal equipment

o areas for cleaning

o equipment for cleaning, including sterilised sharps if relevant to role

modelling of industry operating conditions, including integration of problem solving activities to which the candidate responds

Assessors must satisfy the Standards for Registered Training Organisations (RTOs) 2015/AQTF mandatory competency requirements for assessors.

Performance evidence

The Standards for Training Packages require that ‘product’ evidence (what outcome has

been observed) or ‘process’ evidence (what procedure has been followed) is listed here as

well as the frequency (how often) and/or the volume (how much) of that evidence is required.

Industry stakeholders have had much to say on this matter during the development of the

training package.

In the example given above, the ‘volume’ requirement is met by indicating that the candidate

must have evidence to show that they have ‘followed established organisation infection

prevention and control procedures on at least 3 separate occasions’. Here are some

examples of the ‘volume’ requirement in the performance evidence of some other units in

this training package.


Unit code and title Example of ‘volume’ requirement in the performance evidence

HLTAAP003 Analyse and

respond to client health

information

analysed the health information and planned services for

at least 6 different clients presenting with different

conditions

assessed client health status based on:

- observations

- physical assessments

- interpretation of client tests

HLTAHA007 Assist with

podiatric procedures

assisted with a minimum of 7 different procedures,

including:

- surgical assistance

- basic assessment

- orthotic/footwear preparation and modification

worked safely and effectively with electrical equipment

and machinery and potentially hazardous materials

safely and appropriately used materials, including:

- animal derived leathers

- synthetics

- solvents

- adhesives

performed the activities outlined in the performance

criteria of this unit during a period of at least 120 hours of

work

HLTPHA003 Assist with

dispensing of prescriptions

and medication orders

followed workplace procedures, safe dispensing

practices, The International System of Units (SI) and

most recent Australian pharmaceutical formulary and

handbook (APF) to accurately process at least 50 items

from prescriptions/medication orders

identified issues outside scope of own practice and

referred to the authorised person

HLTPAT002 Perform

venous blood collections



pathology collection work under the supervision of a


person currently working in a phlebotomist role for at

least 18 hours per fortnight

followed established technical, infection control and

safety procedures and collected blood suitable for testing

using venous blood collection with a maximum of two

attempts from at least 20 different people comprising

adults of varied ages

used the following methods of collection:

- evacuated system (at least 10 times)

- winged infusion sets and/or needle and syringe as per

organisation policy and procedure

HLTREF003 Perform

reflexology health

assessments



reflexology client consultation work

prepared for and managed at least 60 reflexology

assessments - clients must include males and

females from different stages of life with varied

presentations

interpreted health and wellness using the reflexology

framework and the following assessment techniques

- touch

- visual observation

- listening skills

interacted effectively with clients:

- clearly articulated information about services,

treatment options and rationale

- engaged clients in decision making

HLTAMB007 Assess

patient and deliver basic

clinical


criteria of this unit during a period of at least 80 hours

under clinical supervision in the workplace

performed a clinical assessment and implemented basic

care in an pre-hospital/out-of-hospital context on 3

different patients for an illness or trauma impacting health

status including:

- performing primary survey

- performing secondary survey – systematic head to toe


physical body examination including vital signs and

level of consciousness

- planning and implementing basic clinical care based

on assessment and time-criticality

- monitoring patient

- safely delivering patient to receiving facility or service

performed basic life support on an adult, child and infant

simulation manikin according to established clinical

guidelines and protocols

In some of the examples above, note that performance evidence contains a requirement for

application of skills in the workplace. In the case of complementary health the wording ‘client

consultation work’ is used and reflects the common model of working in clinics operated by

RTOs but with real clients.

The requirement for a specified number of hours of work within a specified type of workplace

appears in some, but in no means all, of the units of competency in this package. In addition,

not all qualifications contain units with this requirement. A full list of qualifications and linked

required hours of work can be found in the companion volume Implementation guide, and

also in the Work Placement Guide.

Knowledge evidence

Knowledge evidence must specify what the individual must know in order to safety and

effectively perform the work task described in the unit of competency.

The knowledge evidence is set out in all the units in this training package using a common

approach, and units have been updated to provide much clearer guidance about the breadth

or depth of knowledge required.

EXAMPLE 1

In the unit of competency HLTPAT001 Identify and respond to clinical risks in pathology

collection, there is a requirement to know about anatomy and physiology. Rather than

simply having the statement ‘anatomy and physiology’ in the knowledge evidence, the

following is included to provide guidance around scope:


anatomy and physiology relevant to pathology collections:

vascular and nervous systems, particularly the close association of blood vessels

and nerves of the limbs relevant to pathology collection

arteries, veins and capillaries

heart function – significant structures, greater blood vessels that enter and exit the

heart

direction of flow of oxygenated and deoxygenated blood through the heart and lungs

features of collection sites

Of course, complete specification is not always possible. Users should also review the

application statement in each unit to fully establish the context of work, which in turn,

provides guidance on the scope of knowledge required.

EXAMPLE 2

In the unit of competency HLTSTE001 Clean and disinfect reusable medical devices, see

how the following can provide guidance on the depth of knowledge required:

This unit describes the skills and knowledge required to follow procedures for the sorting,

inspection, cleaning and thermal disinfection of soiled reusable medical devices, including

the effective use of equipment and completion of quality checks and documentation.

This unit applies to individuals working under general supervision and within established

procedures in a range of health service organisations.

Knowledge that applies across units

The latest review of the training package has focused on removing duplication and repetition

to develop a training package that is less ambiguous and easier to navigate for employers,

RTOs and learners. However, because the knowledge required performing one area of work

often overlaps with that required to perform another aspect, assessors will notice that

knowledge may reappear in multiple units, such as legal and ethical requirements. This is

only the case when the knowledge is critical to the performance criteria of the unit and

overall assessors will note reduced repetition and duplication across the knowledge


requirements in units. It is also essential that evidence of knowledge show that the candidate

can tailor knowledge to the particular task described in the unit of competency.

Assessment conditions

The assessment conditions specify any mandatory conditions for assessment, including the

conditions under which evidence must be gathered. It is very important to read assessment

conditions for each individual unit of competency, as the conditions vary from unit to unit in

this training package.

There are several different types of statements used to reflect varying requirements.

Requirements generally relate to:

whether skills must be demonstrated in the workplace – this is not always the case

whether simulation is a requirement prior to demonstration in the workplace

whether there must be interaction with real people/particular types of people

types of resources (e.g. equipment, documentation) required for assessment

any additional assessor requirements.

There are some units of competency which do allow for simulation or scenarios and do not

mandate a workplace. For example, units of competency that apply to workers in a broad

range of contexts, or where the competency itself is difficult to demonstrate in a workplace

because the range of conditions may not be present during the time a candidate is there.

The table below shows examples of assessment conditions wording, highlighting some of

the variations found across the training package.

Assessment Conditions Wording: Environment Intent

Workplace or simulation

Skills must have been demonstrated in the workplace or in a simulated environment that reflects workplace conditions. Where simulation is used, it must reflect real working conditions by modelling industry operating conditions and contingencies, as well as, using suitable facilities, equipment and resources.

Assessment conditions require assessment to be undertaken either in a workplace or a simulated environment. RTOs need to ensure that simulated environments reflect realistic workplaces to assess competencies. This is at the discretion of the RTO and should be based on the outcomes of their industry consultation.

Workplace or simulation with additional specification

HLTAUD002 Conduct play audiometry

Skills must have been demonstrated in the workplace or in a simulated environment that

Assessment conditions require assessment to be undertaken either in a workplace or a simulated environment. The workplace and simulated environment must include the facilities, equipment, resources and operating



reflects workplace conditions. The following conditions must be met for this unit:

use of suitable facilities, equipment and resources, including:

appropriate testing environment

age appropriate toys

modelling of industry operating conditions, including:

integration of problem solving activities

time constraints for completion of testing

provision of services to general public

conditions listed.

Workplace with addition of simulation

HLTOPD002 Dispense optical appliances Skills must have been demonstrated in the workplace with the addition of simulations and scenarios where the full range of contexts and situations have not been provided in the workplace. The following conditions must be met for this unit:


back vertex distance (BVD) gauge or rule

frame adjusting tools

opticians lens measure

thickness callipers

parallel rule or equivalent

millimetre rule or pupillary distance (PD) rule

pupillometer

spectacle frames

spectacle lenses

modelling of industry operating conditions, including provision of services to the general public

Assessment conditions require that assessment is undertaken in the workplace. However simulations may be used if the workplace did not or cannot provide an opportunity to assess the specific task. Some of the reasons this might occur include:

it might be unsafe to assess a particular task in the workplace

the client might have refused to take part in assessment

a broader range of experiences and scenarios was required

However, it must be noted that most of the unit must be assessed in the workplace and only select tasks should be undertaken in simulation. RTOs will need to provide a rationale as to why some components were assessed in simulation. For example if the RTO feels that a broader range of scenarios was required it would be expected that assessment did in fact involve those broader ranges.

Required simulation prior to workplace

HLTAHA006 Assist with basic foot hygiene

All aspects of the performance evidence must have been demonstrated using simulation prior to being demonstrated in a therapeutic

Assessment conditions require workplace assessment but also require that there has to be some level of simulation prior to assessment involving real people.



workplace under the direction and supervision (direct, indirect, remote) as determined by the podiatrist.

The following conditions must be met for this unit:


individualised plans and any relevant equipment outlined in the plan

podiatry instruments and electrical equipment including:

wound dressings padding and cushioning medicaments electric drill

modelling of industry operating conditions and contingencies, including provision of services to real people

RTOs will see this example in units where it is unsafe or inappropriate to assess in the workplace without first ensuring that the learner is competent in the task. Industry would still like learners assessed in the workplace but they need the assurance that the learner is ready first.

Each example will differ, so RTOs need to read the assessment conditions to determine which aspects of the unit must be demonstrated in simulation first and then in the workplace.

Required simulation prior to workplace and with members of the public

HLTENN007 Administer and monitor medicines and intravenous therapy from Assessment Conditions

Skills must have been demonstrated in the workplace or in a simulated environment as specified in the performance evidence. The requirement of the performance evidence to calculate medication with 100% accuracy and used the ‘Rights of Medication’ to administer medication must be demonstrated using simulation before being demonstrated in the workplace and with members of the public.

Assessment conditions require workplace assessment but also require that there has to be some level of simulation prior to assessment involving real people.

This requirement applies to HLTENN units where there is a risk to the general public.

Required simulation without workplace

HLTAID001 Provide cardiopulmonary resuscitation

Skills must be demonstrated working individually in an environment that provides realistic in-depth, industry-validated scenarios and simulations to assess candidates’ skills and knowledge. Assessment resources must include:

adult and infant resuscitation manikins in

Assessment conditions require that assessment takes place in simulation only.

It should be noted that this does not apply for assessment of prior learning. If a learner can provide evidence that they have real work experience in the tasks specified in the particular unit they should not be required to undertake



line with ARC Guidelines for the purpose of assessment of CPR procedures

AED training device

workplace injury, trauma and/or illness record, or other appropriate workplace incident report form

Simulated assessment environments must simulate the real-life working environment where these skills and knowledge would be performed, with all the relevant equipment and resources of that working environment.

assessment again in simulation.

Assessment Conditions Wording: People Intent

General public

HLTKIN004 Provide kinesiology balances from Assessment Conditions

The following conditions must be met for this unit: …..

modelling of industry operating conditions, including provision of services to the general public

Assessment conditions require that the candidate must demonstrate his or her skills when providing services to members of the public as they would in the workplace. Demonstration of skills on fellow students in a class would not meet this intent. This requirement applies to many units in complementary and alternative health, and in other areas such venous blood collection.

Assessment Conditions Wording: Assessor Intent

Assessor

In addition, assessors must hold a minimum of

5 years clinical experience in dental assisting

work.

In addition, assessors must hold current

registration as a registered nurse with Nursing

and Midwifery Board of Australia

Industry requires the assessor to have more than just vocational competence and requires sufficient experience in the Dental Assisting Industry to be able to make sound judgements on competency of a person undertaking these skills Industry requires the assessor to hold registration with Nursing and Midwifery Board of Australia which requires the person to have undertaken criminal checks and yearly professional development to provide currency of knowledge and skills


Simulated assessments

In some cases it is not practical or safe to conduct assessment in the workplace and it will be

necessary to provide a simulated environment. An example of this might relate to units

dealing with emergencies. The use of manikins is quite widespread in the health sector for

these situations. In other cases, the nature of the unit of competency means that

demonstration of skills in the workplace is simply not required or appropriate. An example of

this might be a research unit, where it really does not matter where the person does the

research, as the focus is cognitive skills rather than where a person is when they use the

skills.

Typically, assessors will need to use case studies role plays, scenarios or simulations where

workplace assessment is not feasible or relevant.

Given the nature of the many health care roles, the need for interaction with real people

(whether they be real clients or not) is often a requirement. Writing down how you might

interact with a person in distress could contribute to the assessment of your knowledge, but

actually demonstrating that you can interact appropriately with a real human being is vital.

Simulated assessments should:

provide access to all the equipment and resources that would normally be used in the

workplace for the task being assessed

reflect the type of conditions usually found in the workplace – including interactions with

others and interruptions that would typically occur

present realistic scenarios and problems, such as dealing with difficult or distressed

clients or family members, or people with complaints

require the candidate to demonstrate their skills under the time constraints that would

normally apply in the workplace.

In reality candidates have to perform the required skills as a component of multiple tasks,

within a multi-disciplinary team, with interruptions, difficult clients and unexpected glitches.

These conditions must also be replicated in the simulated assessment environment.

Rural and remote candidates The assessment of candidates in rural and remote areas

present particular challenges and often RTOs see it as more costly. Candidates in these

locations should receive the same support and rigour in the assessment process.


Technology can provide a helpful means for assessors to stay in touch with the candidate –

Skype, and emails provide a useful method of communication between visits. Recorded

evidence is also a helpful means to observe the candidate’s work practices.

Recognition of Prior Learning (RPL)

RPL can be an effective assessment approach where the candidate has learned on-the-job,

through life experience or community activities such as volunteering. Good practice in RPL

will save the candidate time, but still be a rigorous process that reflects the Rules of

Evidence and Principles of Assessment.

RPL should not:

rely solely on documentation

expect the candidate to find their way around training packages and units of competence

be a “rubber stamp”.

It is important that assessors do not equate years of experience in the workplace with

competence. Good RPL assessment practice will commence with a clear plan so that

candidates understand what is involved and what they will be required to do; they should

know that they will be supported at each step in the process.

Assessors should seek a range of evidence sources, including:

relevant documentation such as position descriptions, curriculum vitae, meeting notes

and rosters

interviews and questioning

workplace observation

work samples

reports from reliable sources.

As with all forms of assessment, RPL relies on sound professional judgment so assessors

should review evidence in different forms until satisfied that the requirements of unit have

been met.

An RPL process

In 2009, the Coalition of Australian Governments published the final report of its RPL

Program. This set out a number of benefits to and challenges in delivering RPL programsi.


Many states and territories have developed their own guidelines on RPL, all which generally

involve:

initial discussions with the candidate wishing to undertake RPL

review of candidate’s relevant documents relating to work and previous study

development of a partnership with the workplace to support third party evidence and

workplace assessment

competency conversation

a practical assessment and/or observation in the workplace to see work performed

discussion with workplace and/or third party reports from workplace about the

candidate’s work

review of evidence collected

decision as to competency and/or gap training required.

This process highlights the need for partnership (between the candidate, assessor and

workplace), opportunities to provide many different types of evidence (direct observation,

indirect evidence, third party) and support for the candidate throughout the whole process.

The resources list at the end of this guide provides links to some RPL resources.

Clustering units for assessment

Clustering involves the grouping of competencies into combinations for training and/or

assessment purposes for efficiency, to reflect a role or to meet the needs of the enterprise.

Clustering for assessment purposes involves identifying evidence that can be used across a

number of units to assist in determining the competency of the learner. It also involves

identifying units of competency that form work tasks. This means one work task or process

can actually reflect a number of competencies, or aspects of competencies.

Interrelationships across units should be examined so that evidence gathered can be used

across a number of units of competency. For instance, when assessing a candidate’s

knowledge of legal and ethical considerations, there is some content that is common and

does not need to be repeatedly assessed. However, overall assessment must cover the

contexts and applications of different units of competency.


Units HLTPAT001 Identify and respond

to clinical risks in pathology

collection

CHCCOM005 Communicate and

work in health or community

services

Knowledge

requirement

(extract)

legal and ethical considerations

(national and state/territory) for

emergency response, and how

these are applied in

organisations:

duty of care

informed consent

privacy, confidentiality

and disclosure

records management

work role boundaries:

o scope and

limitations of own

role in assessing

clinical risk

o points of referral

for risk situations

beyond scope of

own role

work health and safety

legal and ethical considerations

in relation to communication:

privacy, confidentiality

and disclosure

discrimination

duty of care

mandatory reporting

translation

informed consent

work role boundaries –

responsibilities and

limitations

child protection across all

health and community

services contexts,

including duty of care

when child is not the

client, indicators of risk

and adult disclosure

In the example above, you can see the similarities and differences that might apply and how

assessment could be combined


Clustering units of competency that form a holistic task

Task Providing a massage consultation

Units HLTAAP002 Confirm physical health status

HLTMSG002 Assess client massage needs

HLTMSG004 Provide massage treatment

Sample evidence

relevant to all units

above

evidence of 80 hours of massage client consultation work and

40 massage consultations

client consultation records and notes, including those showing

treatment responses to specific physical health needs

clinic supervisor reports

feedback reports from clients

Clustering units of competency to meet an enterprise requirement

An enterprise might require that specific competencies are undertaken prior to a work

placement in order to ensure the safety of the learner and others in the workplace.

EXAMPLE

A workplace accepting a learner undertaking the HLT47815 Certificate IV in Optical

Dispensing might require that the learner completes the following units of competency prior

to undertaking their 100 hours of work placement:

HLTWHS001 Participate in work health and safety

BSBCUS301 Deliver and monitor a service to customers

CHCCOM005 Communicate and work in health or community services

The same workplace may also want assurance that the learner has some fundamental

technical knowledge from specialised optical dispensing units of competency before

commencing work.

Assessors should consider the following when planning clusters for assessment:

How units interrelate

Links between elements and performance criteria

Links or overlap in the performance evidence requirements


Links or overlap in the knowledge evidence requirements

Consistency in assessment conditions between related units

Overlap in foundation skills

Sample of clustering for the CHC37215 Certificate III in Pathology (Collection)

The qualification requires a total of 14 units (9 core and 5 electives). The approach below

provides 3 clusters that group related units.

Cluster Unit

Cluster 1

Communication

and customer

service

CHCCOM005 Communicate and work in health or community services

CHCDIV001 Work with diverse people

BSBCUS201 Deliver a service to customers

CHCCCS027 Visit client residence

Cluster 2

Health and safety

HLTWHS001 Participate in workplace health and safety

HLTINF001 Comply with infection prevention and control policies and

procedures

HLTPAT001 Identify and respond to clinical risks in pathology

collection

Cluster 3

Technical

procedures

HLTCAR001 Perform electrocardiography (ECG)

HLTPAT002 Perform venous blood collections

HLTPAT003 Perform capillary blood collections

HLTPAT004 Collect pathology specimens other than blood

HLTPAT005 Collect specimens for drugs of abuse testing

HLTPAT006 Receive, prepare and dispatch pathology specimens

BSBMED301 Interpret and apply medical terminology appropriately


Sample of clustering for HLT52215 - Diploma of Shiatsu and Oriental Therapies


provides 6 clusters that group related units. Note: This cluster is just one way of showing

how units may be brought together.

Cluster Unit

Cluster 1

Individual

professional

practice

HLTSHU002 Develop Shiatsu practice

HLTSHU003 Maintain personal health and awareness for traditional

oriental medicine practice

HLTSHU001 Work within a framework of traditional oriental medicine

Cluster 2

Communication

CHCCOM006 Establish and manage client relationships


CHCPRP005 Engage with health professionals and the health system

Cluster 3

Client

assessment and

treatment

planning

CHCCCS001 Address the needs of people with chronic disease

HLTAAP002 Confirm physical health status

HLTAAP003 Analyse and respond to client health information

HLTSHU004 Perform Shiatsu therapy health assessments

HLTSHU005 Perform oriental therapies health assessments

HLTSHU006 Provide Shiatsu therapy treatments

HLTSHU007 Provide oriental therapies treatments

Cluster 4

Practice

management

CHCLEG003 Manage legal and ethical compliance

BSBSMB403 Market the small business

BSBSMB404 Undertake small business planning


Cluster 5

Health and safety

HLTAID003 Provide first aid

HLTINF004 Manage the control of infection

HLTWHS004 Manage work health and safety

Cluster 6

Practice

enhancement

and development

HLTSHU008 Adapt Shiatsu and oriental therapies practice to meet

specific needs

HLTSHU009 Monitor and evaluate traditional oriental medicine

treatments

CHCPRP003 Reflect on and improve own professional practice

Sample of clustering for HLT45015 Certificate IV in Dental Assisting


provides 4 clusters that group related units. Note: This cluster is just one way of showing

how units may be brought together.

Cluster Unit

Cluster 1

Health and safety

HLTINF001 Comply with infection prevention and control policies

and procedures

HLTWHS003 Maintain work health and safety

HLTDEN001 Prepare for and assist with oral health care

procedures

HLTAID003 Provide first aid

Cluster 2

Communication

CHCCOM005 Communicate and work in health or community

services



Cluster 3

Infection

prevention

HLTINF002 Process reusable medical devices and equipment

HLTINF003 Implement and monitor infection prevention and

control policies and procedures

Cluster 4

Working in a

dental practice

HLTDEN002 Assist with dental radiography

HLTDEN003 Assist with administration in dental practice

Assessment fundamentals

Many issues with quality of assessment stem from confusion or lack of knowledge about the

fundamental rules of evidence and principles of assessment. These underpin sound

assessment practice.


Rules of Evidence

Despite a lot of change in this industry sector, the fundamentals of assessment still apply.

The Rules of Evidence require that evidence is

Valid - The assessor is assured that the learner has the skills, knowledge and attributes as described

in the module or unit of competency and associated assessment requirements.

Sufficient - The assessor is assured that the quality, quantity and relevance of the assessment

evidence enables a judgement to be made of a learner’s competency.

Authentic - The assessor is assured that the evidence presented for assessment is the learner’s

own work.

Current - The assessor is assured that the assessment evidence demonstrates current competency.

This requires the assessment evidence to be from the present or the very recent past.

(Standards for Registered Training Organisations (RTOs) 2015 http://www.comlaw.gov.au/Details/F2014L01377

Table 1.8-2)



Principles of Assessment

Assessors also need to observe the Principles of Assessment.

Assessors should ensure that all assessment activity undertaken is:

Valid: the methods of assessment relate to the elements, performance criteria and

assessment requirements of the unit

Reliable: the assessment approaches would consistently provide similar outcomes for

candidates at different times and in different places

Flexible: the assessor ensures that the candidate understands the assessment process and

can negotiate the timing of the assessment, the context of the assessment

Fair: candidates are not disadvantaged and are given opportunities to ensure that they can

perform to the standards outlined in the workplace and the units of competency being

assessed (see also ‘reasonable adjustments’ below).

In summary, the Rules of Evidence relate to ‘what’ is being assessed, while the Principles

of Assessment relate to ‘how’ assessment is being done.

Types of evidence

Evidence may be:

direct

indirect

supplementary


Direct evidence

Examples of direct evidence might include:

an assessor attends a community services workplace and observes a candidate

interacting with a client

an assessor attends a community services workplace and asks a case management

candidate why they chose particular resources and tools for assessing a client’s needs

and to evaluate its effectiveness

an assessor asks a candidate how and why they referred a client to a specific

organisation

an assessor attends a residential aged care service and observes a candidate

interacting with clients and family members

an assessor asks a candidate to explain and show how they have documented

observations and reported them to supervisors

Indirect evidence

Examples of indirect evidence might include;

a written assessment piece where the candidate is responding to specific knowledge

questions related to tasks.

a portfolio of evidence collected during a work placement in which the candidate was

asked to keep notes of their own work activities, notes of observations, and a project

relevant to the workplace.

Supplementary evidence

Also referred to as third party evidence, supplementary evidence, provides another important

means for assessors to make a judgment about the candidate’s competence. The ‘third

party’ is someone who is not an assessor, but can comment on, or observe the candidate’s

performance. Most commonly it is someone within the workplace where the candidate is

working or undertaking a work placement.

ASQA has produced a Fact Sheet about what it calls third party evidence, available at

http://www.asqa.gov.au/verve/_resources/FACT_SHEET_Use_of_third_party_evidence.pdf

http://www.asqa.gov.au/verve/_resources/FACT_SHEET_Use_of_third_party_evidence.pdf


Each RTO will have standard procedures and documentation about how and when the

workplace will be informed about their role in the assessment process.

Assessors should make their professional judgment after reviewing a range of evidence,

remembering that it is the quality, rather than the quantity, of evidence presented that is

important. Third party evidence is particularly helpful where there are issues of confidentiality

and privacy.

Supervisors, team members, clients and consumers can all provide third party evidence.

Their reports can save assessors time and ‘authenticate’ the candidate’s evidence; in

addition to structured assessment tasks third party reports can comment on the candidate’s

performance in ongoing work tasks.

When planning to use third party reports, RTOs should:

provide clear information about the role of third party evidence and what is required

provide suitable checklists and tools that clearly link to the units

select people who are in a position to make informed comment on the performance

of the candidate

be available to respond to questions about the process.

Evidence gathering

Assessors should employ a range of assessment techniques, and be wary of over reliance

on documentation. Different forms of evidence will enable assessors to build a more

complete picture of the candidate’s skills and knowledge. Forms of evidence that will

typically be most suitable for assessment in community services settings include:

Direct Observation: for example, watching how the candidate communicates with clients,

attends to their needs and deals with problems

Competency Conversation: for example, asking the candidate to explain their

understanding of person centered service delivery model and how this is evidenced in their

work

Research Projects: for example, asking candidates to review and report on websites with

information about quality standards or asking a candidate to develop a resource of local

service providers relevant to clients


Workplace Projects: for example, reviewing examples of products that the candidate has

generated to assist with the implementation of a policy or procedure

Third Party Reports: for example, reports from supervisors about how the candidate has

worked as part of a team, undertaken a particular task or project or handled a particular

problem

Workplace Documents: for example, rosters and timesheets, minutes of staff meetings,

position descriptions

Video and Photos: for example, live video streaming during facilitation of a community

meeting or a video of a candidate undertaking volunteer environmental work.

Access and equity

Assessing candidates with a disability

What is a disability?

A disability presents some sort of impairment on a person's mental, sensory, or mobility

functions and restricts their ability to undertake or perform a task in the same way as a

person who does not have a disability. This does not signify that the person with a disability

is unable to perform all important job requirements or exceed the expectations of their

employer.

A disability may affect an individual’s mobility, stamina, lifting ability, memory, vision,

hearing, speech, comprehension and mood. This may have been caused by an accident,

trauma, genetics, birth or disease.

An individual’s disability is always specific to that individual. There is no ‘one method fits all’

approach that can be used to train and assess any learner with a disability. Strategies to

accommodate candidates with disabilities undertaking an assessment will need to be

customised to meet the needs of that particular learner.

Adjustments in assessment

While adjustments can be made to assessment procedures, the integrity of the unit of

competency and/or qualification must be upheld. Learners still need to achieve the

standards that employers and training providers expect. A learner with a disability can have


training and assessment that is fair depending on the RTO’s attitude, preparation and

application of adjustments. This may include:

allowing additional time or the use of a computer in a written test to complete responses

for a candidate who is physically impaired, and that impairment contributes to the time

needed to compete the test

asking a candidate to record responses on a video or audio tape where they have

difficult writing

using an Auslan interpreter during assessment tasks

varying an assessment task to produce the same outcomes, but via different methods.

Although it is important to consider the individual candidate’s needs, the rigour of the

assessment process must not be compromised. For example, if it is a requirement of the unit

of competency that the individual produce written documentation, an oral report cannot be

substituted.

Supports for Aboriginal and/or Torres Strait Islander

candidates for assessment

The special needs of Aboriginal and Torres Strait Islander people and communities are

recognised as a key focus for this Training Package. Consideration should be given to:

impact of rural and isolated communities and experiences on the training, learning and

assessment needs

need for trainers and assessors to be aware of the impact of European colonialism on

the experiences of Aboriginal and Torres Strait Islander peoples

potential for particular consultative requirements by Aboriginal and Torres Strait Islander

communities which may impact the training and assessment experience

the inclusion (by assessors) of methods which refer to community activities and reflect

community culture and standards

need for trainers and assessors to be conscious of community protocols, codes of ethics

and guides to consultation with Aboriginal and Torres Strait Islander peoples and

communities

potential language and literacy needs that impact both clients and workers in the sector


the impact of cultural safety issues on Aboriginal and Torres Strait Islander workers in

the sector, both in their work in Aboriginal and/or Torres Strait Islander communities and

in mainstream health sector work.

All these considerations should be made when working to assess Aboriginal and/or Torres

Strait Islander candidates.

Assessing people with low level foundation skills

Just as candidates with a disability will need specific adjustments to suit their individual

needs, learners with specific language, literacy and numeracy (LLN) needs will need specific

assessments and supports. You may need to use a range of tools, each adjusted, to

determine the specific needs of the individual candidate. If the assessor has been involved in

the training process, he or she will have developed such an understanding, but where an

assessor is only engaged for the assessment process, they will need to look to the advice of

the trainer and also have their own processes developed to identify LLN needs.

The following are some guidance points:

look at non formal tests and options to gauge LLN levels – a written test or on the spot

quiz could be very challenging and intimidating and may undermine the candidate’s

confidence and impact on performance

interviews can be very useful – create a safe place for the candidate to talk openly (but

confidentially) about their needs

if possible, observe the candidate with others and during training to see where their

strengths and challenges lie

use a range of assessment activities to achieve the same end. For example, can a

candidate produce something, or answer questions, rather than write a report

Tips for effective questioning of candidates:

ask one question at a time.

order questions logically – make the flow of questions clear to the candidate.

be specific and precise with questions – don’t ask for broad descriptions or ask for

‘everything you know’ about a topic.

use open ended questions – questions like ‘why’ or ‘tell me how’ allows the candidate to

talk at length and be descriptive.


adjust your language to the candidate’s level – don’t use words that are unfamiliar or that

the candidate would not have heard during training.

listen to the responses, and use the responses to lead to more questions – this can build

confidence in the candidate e.g. ‘What you did with Luke was great, thanks for telling me

how you handled that situation. Tell me, why did you choose those specific things?’

use constructive feedback in questions.

See the companion volume Foundation skills guide for more ideas.