Guide to using other parties to collect assessment evidence

This guide provides information about clause 1.8 of the Standards for RTOs 2015 on using other parties to collect assessment evidence. For further information on assessment and clause 1.8 requirements please refer to the Users’ Guide to the Standards for Registered Training Organisations 2015.

Introduction

To inform a judgement about whether a student has demonstrated competence, a provider needs to gather a range of evidence. This evidence is gathered from a variety of sources in accordance with the provider’s strategies for training and assessment.

The evidence is then assessed to determine whether a student can perform to the standard expected in the workplace, as expressed in the relevant endorsed unit of competency or module.

Assessment of evidence, and judgement about competence, needs to be undertaken by a person who meets the specific requirements for an assessor in the Standards for Registered Training Organisations (RTOs) 2015.

In some cases, an assessor cannot directly gather all the required evidence that supports a competency judgement. In these cases, the evidence may be gathered or reported by other people.

This type of evidence is categorised as supplementary evidence.

Evidence is defined in the Standards:

Evidence is information which, when matched against a unit of competency or module, provides proof of competency.

Evidence can take many forms and be gathered from several sources.

It is important to understand that when it comes to assessment, there is no ‘hierarchy of evidence’. However, it would be difficult to make a judgement of competence without some evidence actively assessed or supervised by the assessor. While training packages and accredited courses describe the standard of performance required in the workplace and provide information about the scope and context for assessment, neither the Standards for RTOs 2015 nor training product guidelines prescribe exactly what type of evidence, or how much evidence, needs to be collected.

How to meet the rules of evidence

To determine how to meet the rules of evidence for your organisation, you need to design an assessment system to ensure that, overall; the assessment evidence collected meets the rules of evidence. This includes evidence that demonstrates:

• validity: evidence is directly related to the competency being assessed and addresses the Dimensions of Competency
• sufficiency: there is enough evidence to make a valid judgement of competence
• authenticity: the evidence is from or of the candidate and not another person, and
• currency: the evidence is from either the present or the very recent past.

Collecting quality evidence from multiple sources

Quality over quantity: It is the quality of all evidence collected (including any supplementary evidence collected by another party) that is important to making a sound judgement about competence. This means a focus on quality rather than the quantity, type and form of evidence, where it was collected or who collected it.

Multiple sources are best: It is important to note that it is hard for a single form or source of evidence to satisfy all the rules of evidence. To ensure reliable judgement of competency, assessors are likely to require multiple sources and forms of evidence collected over time to ensure the rules of evidence are met.

When and why might an assessor use other parties to collect evidence?

Involving another party in the collection of evidence allows assessors to gather authentic and valid evidence in difficult circumstances in a cost-effective way.

It is common to use another party for evidence-gathering in cases where workplace evidence is required, but where it is not possible for the assessor to directly observe the student at work. For example, in cases where:

• the presence of an observer may compromise workplace safety, or
• where work activities involve issues of patient confidentiality and privacy. 

The use of other people in collecting evidence is also a valuable strategy for collecting evidence of ‘everyday performance’ in addition to demonstrations of skills and knowledge conducted in a more formal assessment event.

Using another party to collect evidence

Using another party to collect evidence that will contribute to a pool of assessment evidence means:

• an assessor and another party (usually an industry expert) work together to conduct assessment
• it is still the role of the assessor to make the judgement about whether competency has been achieved based on the collected evidence

Co-assessment arrangement to collect evidence

It is also acceptable under clauses 1.13 and 1.14 of the Standards for a ‘co-assessment’ arrangement to take place where:

• an appropriately qualified trainer and assessor to work with an industry expert to conduct assessment
• the industry expert is involved in the assessment judgement. 

Under a co-arrangement, an industry expert, who has the relevant vocational competencies and has current industry skills directly relevant to the training and assessment being provided, but who may not have the appropriate training and assessor competencies, works alongside a trainer and/or assessor to conduct the assessment. The judgement about whether competency has been achieved is made by both parties together.

It is expected that, where such a co-assessment arrangement exists, there is some form of agreement in place to facilitate and describe each party’s relevant roles and responsibilities. However, this type of arrangement does not constitute a third-party arrangement as described in clauses 2.3 and 2.4 of the Standards for RTOs 2015, because the final assessment decision is made by the assessor working for the provider.

Using evidence collected by other parties

When deciding to work with another party to collect assessment evidence, you must first determine if it is appropriate for your training organisation. Then ensure the assessment processes lead to the collection of quality evidence.

Tips for providing sufficient guidance to both assessors and the other party