UNIT 1 –

Introduction
The main role of an assessor is to evaluate if a candidate is competent or not. To properly assess, a
Competency Assessor must first understand competency and its dimensions. This lesson will discuss
competency & dimensions of competency.

Objectives

In this lesson, you will be able to:

1. Define competency;
2. Identify the key features of competency; and
3. Distinguish the different Dimensions of Competency.

Competency

Competency involves applying the required knowledge, skills and attitudes to successfully complete
work activities in a range of situations and environments, in accordance with the standard of
performance expected in the workplace.

The Key Features of Competency are:

 the ability to do the job;

 knowing how and why things are done;
 knowing what to do when things go wrong; and
 having the right approach to do a job properly and safely.

Dimensions of Competency

Some experts, like the State of Queensland’s Department of Education & Training, include a fifth
dimension: Transfer Skills. This refers to an individual’s ability to transfer competencies to other contexts. For
example, a person knows how to use the knowledge & skills he/she learned at training and can apply them at work or at
home.

The diagram below shows how task skills is the very core
dimension of competency because the foundation of competency is
being able to do the task.  Meanwhile job/role environment skills
encompasses all other dimensions because being able to deal with
responsibilites and expectaitions in the work place involves the
other dimensions of competence. And finally, transfer skills is
shown going across all dimensions because being competent
means being able to transfer the dimensions of competency to
other contexts.
Lesson 2: Understanding Competency Standards
Objectives

In this lesson, you will be able to:

1. Identify the components of the competency standards; and

2. Identify the sections of a training regulation.

Introduction

Competency Standards are documents that define competencies required for effective performance in
the workplace in specific industries.  And so, a Competency Assessor must be able to understand the
key features of the components of the competency standards. As this is discussed in the second section
of the Training Regulation, the Competency Assessor must also understand the parts of the Training
Regulation. This lesson shall tackle these topics.

Competency Standards

Competency Standards are expressed in the form of units of competency. A unit of competency represents a
distinct work activity that would normally be undertaken by one person.

The Section 2 of the Training Regulation or the Competency Standards has six parts. These are the Unit Title,
Unit Descriptor, Elements, Performance Criteria, Range of Variables and Evidence Guide. 

Parts of a Unit of Competency

Training Regulation

As mentioned before, the Competency Standards can be found in Section 2 of the Training Regulation.
The Training Regulation or TR is a document promulgated by TESDA which serves as basis for:

 competency assessment and certification;

 registration and delivery of training programs; and
  development of curriculum and assessment instruments.

Sections of Training Regulation

Lesson 3: Competency Based Assessment

Objectives

In this lesson, you will be able to:

1. Differentiate assessment from testing;

2. Identify the rules of evidence; and
3. Enumerate the steps in constructing an evidence plan.

Introduction

Competency Based Assessment is not as linear as testing. It involves different processes over a longer
period of time. Before an assessor can declare a person fit for certification he/she must first gather evidences
and uphold the rules of evidence. In this lesson we will learn concepts & principles in assessing
competencies.

Competency Based Assessment

Competency Based Assessment is a structured process of collecting evidence and making judgments on

whether competency has been achieved in relation to a registered, national standard. The table below
compares the traditional testing method & competency based assessment.
All evidence must be evaluated against the rules of evidence. This means that the Competency Assessor
(CA) must ensure that the evidence is:

 Valid
 Current
 Consistent
 Sufficient
 Authentic
 Recent
To help determine if the evidence meets these criteria, the CA should ask the following questions:

Preparing an Evidence Plan

In preparing the evidence plan, we must consider the critical aspects of competency. The following are
the critical aspects of competency: 

Tells the Competency Assessor (CA) what evidence is essential for a successful performance.

It identifies the essential:

 Product evidence
-       completes work piece/service to specification

 Knowledge evidence
-       things that must be known

 Process evidence
-       complies with industry practices and procedures

-       complies with OH & S practices

-       sets up tools and equipment

 -       handles tools, materials, and equipment

-       identifies and solves faults and problems

-       communicates with others to ensure safe and effective operations 

 Evidence Plan is a planning tool that classifies the evidence requirements to prove attainment of
competency and the methods to be used in gathering the evidences. Making the evidence plan is also
the first step in developing evidence gathering tools. 

The key steps in constructing an evidence plan are:

1. Select the unit of competency to be assessed.

2. Read the complete unit of competency, with emphasis on:
o elements and performance criteria;
o range of variables; and
o evidence guide.
3. Identify the evidence requirements to infer competency. It is recommended to consider the following:
o performance criteria of each of the elements;
o four dimensions of competency (task skills; task management skills; contingency management skills;
job role/environment skills);
o required knowledge and skills; and
o critical aspects of competency.
4. In identifying the evidence requirements, the CA may pose questions such as:

o What are the key tasks performed by the competent person?

o What level of performance is required of the competent person?
o What knowledge does the competent person require and how may this be applied in performing the
work activity?
o What contingencies may arise in this work and how does the competent person deal with them?
o What level of supervision does the competent person require?
o How much autonomy does the competent person have?
o What would the competent person not do?
o How does the competent person interact with others in the workplace?
o How does the competent person manage the different tasks associated with this work activity?
o How much responsibility does the competent person have for other
5. Establish the evidence requirements for all the elements of the unit of competency.

Note the following in establishing the evidence requirements:

o Documentation is important. Thus, write the evidence requirements in the left hand column of the
template for Evidence Plan.
o For every evidence requirement you have listed, it is important to identify the best method of collecting
the evidence.
o There is a ‘Methods of Assessment’ section in the Evidence Guide; it is a must that you read it for the
evidence collection method is specified there.  
6. Document the Evidence Plan. In constructing the evidence gathering tools, this document shall as your
basis.

Lesson 4: Designing Evidence Gathering Tools

Objectives

In this lesson, you will be able to:

a. Describe the different evidence gathering methods;

b. Enumerate evidence gathering tools;
c. Identify the contents of the assessment package; and
d. Identify ways to design and evaluate evidence gathering tools.

Introduction

Using evidence gathering tools properly has a big role in making sure that the assessment is reliable
and valid. And so, a Competency Assessor must be familiar with the different evidence gathering
methods and the different tools used with these methods, especially the Assessment Package.

Evidence Gathering Methods

Evidence gathering methods are different approaches to collect evidence required for
assessment. There are four broad categories of these methods which are:

1.    Real work/real time activities

     Methods under this category involve gathering evidence: 1) while the candidate really works in
his/her workplace or 2) from other people in the candidate’s workplace. Methods under this category
are Direct Observations and Third Party Reports. 

2.    Structured activities 

     This category requires the CA to used pre-established methods proven to effectively extract the
candidates’ competencies. An example method is Demonstration.

3.    Questioning

     This category involves the use of Written Tests or Oral Questioning to extract the candidate’s
knowledge on the tasks required in the qualification.

4.      Portfolios
     This category looks into a candidate’s past experiences through asking a candidate to present a
compilation of proofs that he/she has prior experience in the qualification he/she is being assessed in.
The method under this category is also called Portfolio.

Evidence Gathering Methods – Demonstration

It is observation done in a simulated workplace environment. This measures the candidate’s

competence in performing a task. It is necessary to prepare a checklist containing the skills that the
Competency Assessor needs to look for in a candidate.

Observation is done during real time activities in the workplace. And so an observation checklist is used
as a guide and record of the candidate’s performance.

Observation is limited due to aspects of privacy, confidentiality and obstruction to workflow. There are
situations in which it might not be possible or it may be inappropriate to use observation. Some
examples are:

o Work activities that occur irregularly, take place over an extended period of time or are difficult
to observe (this may include work activities such as dealing with an emergency situation,
planning a process or managing a team task)
o Work activities that involve issues of privacy and confidentiality, such as counseling, or
providing feedback to team members on work
o Situations where the presence of an observer may compromise workplace safety

Evidence Gathering Methods - Written Test

It is also called a paper and pencil test. A written test must be objective or must only have a factual set
of correct answers. It usually follows a multiple choice or modified true or false format. It is used to test
the candidate’s knowledge of facts, principles, and terms. It also tests a candidate’s ability to see
relationships, to interpret information, and to apply principles. It is included in the assessment package
provided to the competency assessors during the assessment process.

Evidence Gathering Methods - Written Report

It is a collection of work samples of the candidate, products with supporting documents; historical
evidence; journal/logbook and information about life experience. Usually, the items are produced over a
period of time and come from different sources. A well-constructed portfolio incorporates a selection of
evidence that is benchmarked against the unit of competency and indicates consistent performance of
work activities in accordance with workplace standards.

Some evidence are: a) self-assessment schedule; b) certificates; c) assessment feedback or completed

checklists; d) job descriptions; e) work journals; f) work samples (e.g reports, letters, designs); and g)
finished products (e.g. tools completed).

Questioning is an evidence gathering technique that is widely used in competency based assessment.
Oral questioning complements observation and demonstrations as it provides a means of probing the
candidate’s understanding of the work. The oral questioning can either be done during or after the
demonstration and observation proper. It can also be done anytime depending on the task being
performed.

There are two basic types of questions that a CA can ask. These are:

1. Closed questions
2. Open-ended questions

Closed Questions

These questions require a specific response such as the name of an item, a yes/no answer, a date or
title. These are used to find out if the candidate knows the specific factual information that is required in
the unit of competency. These are used in situations where there is an established correct answer.

Example:

o What type of bolt will you use to attach X?

 o When was this product last used?

Open-Ended Questions

These questions are used when a more detailed response from the candidate is required. They often
involve problem solving, interpretation and the application of knowledge and skill to new situations.
Some uses of these questions are:

o Extend on what has been observed in similar but different situations, or in using other
equipment procedures;
o Probe candidate’s required knowledge and understanding—that is, the what, when,
where, why and how of the tasks;
o Explore contingency situations such as emergencies, breakdowns and unusual
situations that are not likely to occur during the period of observation;
o Check on the candidate’s critical safety knowledge and understanding needed for the
activity;
o Check how the candidate would respond in situations that occur rarely such as an
emergency, breakdown or unusual weather conditions;
o Probe the candidate’s knowledge and understanding of relevant regulations and
procedures; and
o Asking questions about work activities.

Questioning

There are five categories you can use when asking questions about work activities.

Evidence Gathering Tools

Evidence Gathering Tools or Assessment Tools are materials containing both the

instrument and the instructions for gathering and interpreting evidence.

For each assessment method, there is a corresponding assessment tool or evidence

gathering tool such as:
The Assessment Package

This package is composed pf materials that are used in the assessment process. It consists of the
following:

1.  Assessor’s Guide;
2. Instruction to the Candidate;
3. Rating Sheet; and
4. Competency Assessment Results Summary.

     For the assessor’s use during the assessment, there are the Assessor’s Guide and the Rating
Sheets.

 Assessor’s Guide- is a set of documents which contains

information that will assist the assessor in the evidence
gathering process.
o Specific instructions to the assessor. It contains
instructions on the tasks to be performed by the assessor in
conducting an assessment.
o Evidence plan. It is a document that identifies evidence
requirements and assessment methods to be used in
assessing the candidate of a particular qualification
o List of equipment, supplies and materials. It is a list of
supplies and materials needed during the assessment
process.
o Assessment Guide (questions and acceptable answer). It is
a list of questions and their possible answers that acts as a
guide for the competency assessor during the interview
within the assessment process.

Rating Sheet

Rating Sheet - it contains specific questions or activity

developed from the selected assessment methods and the
conditions under which the assessment should be conducted and
recorded. There are different forms of rating sheet used in the
assessment, these are:

 Rating Sheet for Written Report

  Portfolio Evaluation Sheet/ Candidate Portfolio Rating Sheet
 Rating Sheet for Demonstration with Oral Questioning
 Recording Sheet for Interview
 Rating Sheet for Written Report

Specific Instructions to Candidate

For the candidate’s use during the assessment, there

are the Specific Instructions to the Candidate, the
Written Test, and the Answer Sheet.

 Specific Instructions to Candidate - it contains

the tasks to be performed by the candidate in
order for him/her to pass the assessment. The
form contains the following:

o The title of the qualification being undertaken

o The title of the Unit of Competency to be
assessed
o The nature of the assessment to be
performed
o The time allotted for the assessment
o The tasks that the candidate must perform
o The criteria how the assessment will be
graded/judged

Written Test

 Written Test - this is a paper and pencil test. It is objective

which means it has a factual set of correct answers.  It may
contain multiple choice and modified true or false questions.
It includes:

o Cover page
o Instructions to the candidate on how to take the written
test
o Questions measuring their knowledge on the chosen
units of competency.

Answer Sheet

Answer Sheet - The answer sheet is where the candidate will put/write his/her answers to the
questions in the written test. It is used by the assessor to check the answers and performance of
the candidate during the written test. 

It includes:
 o The title of the qualification
o Units of competency
o Number corresponding to the questions in the Written Test
o Letters of the choices per item in the test to be marked by
the candidate

Self Assessment Guide

Other documents in the assessment package are the Self-

Assessment Guide and the Competency Assessment
Results Summary (CARS).

 Self Assessment Guide - is pre-assessment tool used

to help the candidate and the assessor what evidence is
available and where gaps exist, and readiness for
assessment. The form contains the following:

o The title of the qualification being undertaken

o The title of the Certificate of Competency to be
assessed
o The nature of the assessment to be performed
o Instructions on how to accomplish the guide
o List of Evidence Requirements
o The instruction on the use of the form

Competency Assessment Results Summary (CARS)

Competency Assessment Results Summary (CARS) - It refers to the consolidated assessment

decision made by the competency assessor which indicates the overall performance of the candidate
during the assessment process.

It is to be signed by the candidate, the assessor, and the assessment center manager.

It includes:

o The candidate’s and the assessor’s name

o Title of the qualification
o Unit of the competency/ies the candidate will be assessed on
o Possible result of the assessment for each unit of competency
 o Recommendation
o Overall evaluation indicating if the candidate is competent or not competent
o General comments
o Candidate’s copy indicating the assessment results

Procedure for Developing Evidence Gathering Tools

The key steps in constructing an evidence gathering tool are:

1. Select the unit of competency to be assessed.

2. Read the complete unit of competency, including:

o Elements and Performance Criteria

o Range of Variables
o Evidence Guide
 3. Identify the evidence that a person who can competently perform the work activity should be able to
provide. This should be documented in the Evidence Plan.

4. Select the appropriate template for the required evidence gathering tool. This may be:

o Observation Checklist
o Written Test
o Demonstration
o Written Report
o Questioning
o Portfolio
5. Fill in the template. This will involve:

o providing details on the unit of competency to be assessed;

o providing details on the location and date of the evidence gathering activity;
o providing instruction for the CA and candidate; and
o listing the evidence that will be collected.
6. Check the evidence gathering method against the Evidence Plan to ensure that all required evidence is
identified.

7. Have the evidence gathering tool checked by another CA to ensure that it meets the requirement of the unit
of competency.
UNIT 2 –
Lesson 1: The Evidence Gathering Process
Objectives

In this lesson, you will be able to:

a. Enumerate the six (6) steps of assessment process.

b. Enumerate the people involved in the assessment;
c. Describe the roles of the people involved in the assessment;
d. Identify the qualifications of a competency assessor;
e. Identify the roles of a competency assessor; and
f. Identify the values of a competency assessor.

Introduction

This lesson will be an introduction to the 6 steps of the assessment process, the people involved in the
process. It will give special emphasis to the responsibilities, values and qualification of an assessor.

The Assessment Process

The assessment process is a series of steps that candidates and Competency Assessors (CAs) move
through while undertaking the assessment. It includes preparing, conducting, organizing and recording,
reporting and reviewing the assessment.

Flow of the 6 Steps of Assessment

Step 1. Establish the Assessment Context and Purpose of the Assessment

Step 2. Plan and Prepare the Evidence Gathering Process

Step 3. Prepare the Candidate

Step 4. Collect the Evidence and Make the Assessment Decision

Step 5. Provide Feedback on the Assessment

Step 6. Recording and Reporting the Assessment Results

Principles of Competency Based Assessment

All assessment systems are required to establish agreement with the four principles of assessment. It is
considered as good practice and an obligation to follow regulatory standards. According to the Australian
National Training Authority1, the principles of assessment are:
1. Australian National Training Authority (ANTA), “Training Package for Assessment and Workplace Training -
BSZ98”, ANTA, Melbourne, Australia, November 1998.

People Involved in the Assessment Process

Competency Assessor

 designated by TESDA to assess competencies of a candidate for

national certification.
 accredited Competency Assessor is required to wear his / her
Assessor Identification Card (ID) within the vicinity of the
Assessment Centre during the duration of the assessment.
 expected to ensure that the resources required for assessment are
completely assembled and tested prior to the assessment.

TESDA Representative

 designated by TESDA to oversee the conduct of competency

assessment in an Accredited Assessment Center of designated
assessment venue.
 Reviews & validates assessment documents:
o Candidate list
o Attendance Sheet
o Assessment Packages
 Prepares Assessment Proceeding Report.
 Receives complaints.
 Administers Competency Assessor’s Performance Evaluation.

Assessment Center Manager

 tasked to oversee the day-to-day operations during the Assessment.

 the one who coordinates with the TESDA Provincial Office for
approval of assessment schedule and venue, when applicable.
 assigns and coordinates with Competency Assessors.
 creates linkages with companies, establishments and institutions for
appropriate venues for assessment.

Processing Officer

 tasked to provide information to candidates and process their

applications for assessment.
 the one who prepares the Registry of Workers Assessed and
Certified (RWAC) and makes sure that it is signed by the
Competency Assessor & Assessment Center Manager.
 Candidate

 the individual seeking recognition of his/her competencies to acquire

certification.

This diagram shows how the people involved in the assessment process need to work together.

Requirements for Accreditation

To become a Competency Assessor an applicant must submit the following:

 Letter of intent
 Application form
 Certificate of Employment indicating compliance to the requirement of two years work or teaching
experience
 For trainer-assessor, Photocopy of NTTC Level I
 For industry practitioners who are not engaged in any training activity, the following requirements
shall be applicable: Certification attested by the AC Manager, Accredited Competency Assessor
and TESDA Representative that the applicant has assisted administration of assessment to at
least five candidates under the supervision of an Accredited Competency Assessor
o Photocopy of Certificate of Competency on “Conduct Competency Assessment”
o Photocopy of National Certificate relevant to the Qualification
o Endorsed by a respectable association
 Certification attested by the AC Manager, Accredited Competency Assessor and TESDA
Representative that the applicant has assisted administration of assessment to at least five
candidates under the supervision of an Accredited Competency Assessor
STEP 1: Establish the Assessment Context
Objectives

In this lesson, you will be able to:

a. Identify the different contexts of assessment; and

b. Identify the various purpose of assessment.

Introduction
 This lesson will guide you how to do the first step of assessment – Establishing the assessment
context. It will tackle the different contexts and purpose of assessment.

Context of Assessment

The context of assessment is the environment or setting where the assessment activity takes place. 
A combination of circumstances may be prepared and established prior to the assessment as this
will ensure that the assessment process will take place as expected.

The context of assessment includes the following:

 Tools, equipment and facilities. It is part of the responsibility of the CA to ensure that the
tools, equipment and facilities are ready and available before the assessment starts.  The
checklist of tools, equipment and facilities (in the Competency Assessment Plan) will help the
CA to monitor their availability and completeness.
 Materials.  The candidate must have access to perishable and consumable materials
required during the assessment. The CA must determine the materials to be supplied by the
candidate ahead of time.  The CA must also ensure that all documents pertinent to the
assessment are ready and available prior to the assessment.
 Purpose of assessment.  The purpose of the assessment must be clear to both the CA and
the candidate. The CA must properly determine if the assessment is for certification,
licensing, Occupational Health and Safety or skills audit.

 Method of assessment.  The method of assessment should be explained together with the
relevant assessment tools. 
 Access to support personnel during the assessment.  The CA must ensure that he/she
has other personnel who would help him/her with the administrative and other support
activities during the assessment.  The support personnel may include the technical,
administrative and other support service staff.
Purpose of Assessment

The following are the reasons why Competency Based Assessment is conducted: