Principles of Assessment

Principle 1 - Assessment should be valid Validity ensures that assessment tasks and associated criteria effectively
measure student attainment of the intended learning outcomes at the appropriate level.

Principle 2 - Assessment should be reliable and consistent There is a need for assessment to be reliable and this
requires clear and consistent processes for the setting, marking, grading and moderation of assignments.

Principle 3 - Information about assessment should be explicit, accessible and transparent Clear, accurate, consistent
and timely information on assessment tasks and procedures should be made available to students, staff and other
external assessors or examiners.

Principle 4 - Assessment should be inclusive and equitable As far as is possible without compromising academic
standards, inclusive and equitable assessment should ensure that tasks and procedures do not disadvantage any
group or individual.

Principle 5 - Assessment should be an integral part of programme design and should relate directly to the programme
aims and learning outcomes Assessment tasks should primarily reflect the nature of the discipline or subject but
should also ensure that students have the opportunity to develop a range of generic skills and capabilities.

Principle 6 - The amount of assessed work should be manageable The scheduling of assignments and the amount of
assessed work required should provide a reliable and valid profile of achievement without overloading staff or
students.

Principle 7 - Formative and summative assessment should be included in each programme Formative and summative
assessment should be incorporated into programmes to ensure that the purposes of assessment are adequately
addressed. Many programmes may also wish to include diagnostic assessment.

Principle 8 - Timely feedback that promotes learning and facilitates improvement should be an integral part of the
assessment process Students are entitled to feedback on submitted formative assessment tasks, and on summative
tasks, where appropriate. The nature, extent and timing of feedback for each assessment task should be made clear
to students in advance.

Principle 9 - Staff development policy and strategy should include assessment All those involved in the assessment of
students must be competent to undertake their roles and responsibilities.
9 Principles of Good Practice for Assessing Student Learning

1. The assessment of student learning begins with educational values. Assessment is not an
end in itself but a vehicle for educational improvement. Its effective practice, then, begins
with and enacts a vision of the kinds of learning we most value for students and strive to
help them achieve. Educational values should drive not only what we choose to assess but
also how we do so. Where questions about educational mission and values are skipped
over, assessment threatens to be an exercise in measuring what's easy, rather than a
process of improving what we really care about.
2. Assessment is most effective when it reflects an understanding of learning as
multidimensional, integrated, and revealed in performance over time. Learning is a
complex process. It entails not only what students know but what they can do with what
they know; it involves not only knowledge and abilities but values, attitudes, and habits of
mind that affect both academic success and performance beyond the classroom.
Assessment should reflect these understandings by employing a diverse array of methods,
including those that call for actual performance, using them over time so as to reveal
change, growth, and increasing degrees of integration. Such an approach aims for a more
complete and accurate picture of learning, and therefore firmer bases for improving our
students' educational experience.
3. Assessment works best when the programs it seeks to improve have clear, explicitly
stated purposes. Assessment is a goal-oriented process. It entails comparing educational
performance with educational purposes and expectations -- those derived from the
institution's mission, from faculty intentions in program and course design, and from
knowledge of students' own goals. Where program purposes lack specificity or agreement,
assessment as a process pushes a campus toward clarity about where to aim and what
standards to apply; assessment also prompts attention to where and how program goals
will be taught and learned. Clear, shared, implementable goals are the cornerstone for
assessment that is focused and useful.
4. Assessment requires attention to outcomes but also and equally to the experiences that
lead to those outcomes. Information about outcomes is of high importance; where
students "end up" matters greatly. But to improve outcomes, we need to know about
student experience along the way -- about the curricula, teaching, and kind of student
effort that lead to particular outcomes. Assessment can help us understand which students
learn best under what conditions; with such knowledge comes the capacity to improve the
whole of their learning.
5. Assessment works best when it is ongoing not episodic. Assessment is a process whose
power is cumulative. Though isolated, "one-shot" assessment can be better than none,
improvement is best fostered when assessment entails a linked series of activities
undertaken over time. This may mean tracking the process of individual students, or of
cohorts of students; it may mean collecting the same examples of student performance or
using the same instrument semester after semester. The point is to monitor progress
 toward intended goals in a spirit of continuous improvement. Along the way, the
assessment process itself should be evaluated and refined in light of emerging insights.
6. Assessment fosters wider improvement when representatives from across the
educational community are involved. Student learning is a campus-wide responsibility,
and assessment is a way of enacting that responsibility. Thus, while assessment efforts may
start small, the aim over time is to involve people from across the educational community.
Faculty play an especially important role, but assessment's questions can't be fully
addressed without participation by student-affairs educators, librarians, administrators,
and students. Assessment may also involve individuals from beyond the campus
(alumni/ae, trustees, employers) whose experience can enrich the sense of appropriate
aims and standards for learning. Thus understood, assessment is not a task for small
groups of experts but a collaborative activity; its aim is wider, better -informed attention to
student learning by all parties with a stake in its improvement.
7. Assessment makes a difference when it begins with issues of use and illuminates
questions that people really care about. Assessment recognizes the value of information
in the process of improvement. But to be useful, information must be connected to issues
or questions that people really care about. This implies assessment approaches that
produce evidence that relevant parties will find credible, suggestive, and applicable to
decisions that need to be made. It means thinking in advance about how the information
will be used, and by whom. The point of assessment is not to gather data and return
"results"; it is a process that starts with the questions of decision-makers, that involves
them in the gathering and interpreting of data, and that informs and helps guide
continuous improvement.
8. Assessment is most likely to lead to improvement when it is part of a larger set of
conditions that promote change. Assessment alone changes little. Its greatest contribution
comes on campuses where the quality of teaching and learning is visibly valued and worked
at. On such campuses, the push to improve educational performance is a visible and
primary goal of leadership; improving the quality of undergraduate education is cen tral to
the institution's planning, budgeting, and personnel decisions. On such campuses,
information about learning outcomes is seen as an integral part of decision making, and
avidly sought.
9. Through assessment, educators meet responsibilities to students and to the public.There
is a compelling public stake in education. As educators, we have a responsibility to the
publics that support or depend on us to provide information about the ways in which our
students meet goals and expectations. But that responsibility goes beyond the reporting of
such information; our deeper obligation -- to ourselves, our students, and society -- is to
improve. Those to whom educators are accountable have a corresponding obligation to
support such attempts at improvement.
 Principles of Assessment
There are four Principles of Assessment – Reliability, Fairness, Flexibility and Validity.

Principle of Validity
Validity means that the assessment process assesses what it claims to assess – i.e. the unit of
competency or cluster of units.
The assessment tool must address all requirements of the unit to sufficient depth and over a
sufficient number of times to confirm repeatability of performance.

The unit of competency is the benchmark for assessment. The assessment must adhere strictly to its
requirements.

 Nothing from the unit must be omitted from assessment

 Nothing must be required over and above the unit requirements.

The assessment instruments that make up the tool need to be designed so that:

 the outcomes and performance requirements of the unit are addressed

 the broad range of skills and knowledge that are essential to competent performance are
addressed
 assessment of knowledge and skills is integrated with their practical application

Mapping
In order to ensure validity, each assessment instrument should be mapped back to the unit. It is not
an absolute requirement to include the mapping in the instrument but it is strongly recommended, as
the mapping provides guidance for the assessor.

One assessment instrument alone is unlikely to address all of the knowledge and performance
requirements of a unit of competency. This is why several assessment instruments are gathered
together to make up an assessment tool.

Assessment tools must be validated prior to use and at least every three years thereafter. This is a
requirement of the RTO Standards. Validation involves a meeting between assessors, and the first
step is to re-map all of the instruments to the unit requirements. It also involves checking that the tool
meets the requirements of the other three principles of assessment and the rules of evidence.

It is not possible to create a valid assessment tool unless you refer to the unit requirements during
development. If you fail to do so, the tasks you design might not relate directly to the unit. You may
be requiring something from the candidate which is outside the parameters of the unit. Alternatively,
you may miss a requirement and your tool will be non-compliant.
 Principle of Reliability
Reliability refers to the consistency of the interpretation of evidence and the consistency
of assessment outcomes.

Reliability is one of the four Principles of Assessment. In practice, it means that under the same
conditions for the same unit of competency, all assessors should reach the same decision as to
whether the candidate is competent, based upon the evidence collected.

Therefore, your assessment tool must provide guidance for the assessor. In reality this means that,
for every assessment instrument provided to the candidate, there should be a “sister” instrument for
the assessor (the assessor guide). The assessor guide must provide instructions to the assessor to
guide their judgement of satisfactory performance or answers to questions. Thus:

 For an oral questioning instrument, you need to provide the questions and the answers
expected, together with any necessary guidance on how far the answers can deviate from those
provided. There must be a space for the assessor to write the actual answers given and another
space for their comments.
 For a written questioning instrument, you also need model answers. Where the answer is likely
to vary in wording, this should be stated (Response can vary). Then, instead of a precisely
worded answer you can list key points that need to be addressed in the candidate’s response.

Note that for Cert I to Cert III, you are more likely to be able to provide precise written
answers. When you are writing assessment guidance for higher AQF levels, the answers are
expected to be more complex and key points may be all you can provide.

 For observation of performance, you need an observation form for the assessor to complete
during the observation. The form must include the instructions to the candidate and a list of
precisely what the assessor should observe during the task. For instance, if it is a pre-start
check of an item of plant, what should be checked? Always break the task down into everything
the assessor must be able to see.
 Where the instrument relates to performing a task and providing evidence of having done so
(e.g. a report) there must still be guidance for the assessor on the key points to look for. It is
important to be precise. For instance, if the unit is Cert II and involves typing a letter, are typing,
spelling or grammatical errors permitted and if so, what percentage? Alternatively, if the unit is
Cert IV and requires the candidate to document a report to the company director, the assessor
should be directed to require professional language appropriate to the audience, with correct
grammar and spelling.
 Principle of Fairness
Assessment is fair when the assessment process is clearly understood by candidates
and agreed by both assessors and candidates and when candidates’ needs and characteristics are
addressed.

Fairness is one of the four Principles of Assessment. When writing assessment instruments to make
up an assessment tool, you need to build fairness into the tool.

Understood and agreed by the candidate

The assessment tool should provide evidence that the assessment process has been explained
to the candidate, that they understand and agree to the process. This instrument should be
signed by the candidate at the commencement of the assessment process.

This instrument can also provide an area for the assessor to confirm that they have checked
whether the candidate needs any LLN support or whether they consider an accelerated
progression with only gap training is appropriate for the candidate:
Addressing candidate’s needs
You can assume that a qualified assessor is familiar with the Principles of Assessment and
competent to apply them in their assessment practice. However, it is recommended to remind the
assessor of how to apply this principle in relation to reasonable adjustment.

Example:
The following wording is provided as guidance for your assessor:

Reasonable Adjustment

If the candidate has special needs which require reasonable adjustments, then you, the assessor,
must ensure that you have:

 Reviewed the unit requirements and determined that adjustments will not compromise the
outcome.
 Determined the adjustments to be made, in consultation with the candidate and, if necessary, a
specialist.
 Clearly documented the adjustments made as part of the assessment record, in sufficient detail
to enable another qualified assessor to make a judgement of competency.
 Ensured that you protect the candidate’s right to privacy and confidentiality in relation to any
personal information such as medical conditions, and where personal information needs to be
recorded, gained the candidate’s consent in writing.
 Principle of Flexibility
Flexibility in assessment involves consideration of the various needs of the parties involved in the
assessment process.

Flexibility is one of the four Principles of Assessment. When designing an assessment tool, you will
need to first identify the target group of candidates and:

 Contextualise the tool to their work environment and application. This usually involves designing
tasks that can be applied to the type of work they need to perform. The tasks may be
performed in the actual workplace or, if this is not possible, in a realistic simulated workplace.

When contextualising the tool, you must be careful to ensure it still addresses the requirements of the
unit of competency. You cannot add or remove performance criteria. Similarly, if knowledge
evidence is stated as a requirement in the unit, even if the knowledge may not be directly relevant to
the target group’s work application, it cannot be excluded from assessment.

 Refer to the training and assessment strategy and the candidate’s situation. The tool must be
practical. Consider whether the candidate is in the workplace and whether they will have
opportunities to demonstrate performance in the course of their work. Consider what support
will be provided in the workplace, including time. If the candidate is not in a work situation
which will permit this, then you will need to invent tasks that can be performed in a realistic
simulated workplace. This will involve identifying the resources available and the location
where assessment will take place.

A great deal of training is now conducted on-line. The candidate may not be able to meet with the
assessor face to face. On-line assessment can only really assess knowledge through questioning. It
cannot be completely automated and requires the intervention of an assessor and interaction with the
candidate. This may involve telephone discussion, Skype or other remote conferencing. In many
cases, reports and other outcomes of assessment tasks can be emailed or uploaded to an on-line
platform where the assessor can review the documentation, photographs, videos etc. to make their
judgement.