TAE40116 Self-Assessment From TAA40104

TAE40116 Self-assessment tool Version 1, 2019
TAA40104 to
TAE40116
Core Unit RPL Self-assessment
© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia, January 2019
Some formatting in this document have been adapted from the

TAA40104>TAE40110 Self-assessment tool developed by IBSA and copyright to the
Commonwealth of Australia. This tool was developed under Creative Commons
which allows adaptations for non-commercial purposes.
The original tool has been extensively modified based on equivalency mapping and
incorporates content copyright to Sea Eagle Publications and Sandy Welton. Sandy
Welton has given her permission for the reproduction of the RPL instruments
incorporated in the schedules.
Conditions of use:
This tool has been developed exclusively for the use of Healthy Business Training
Academy and their training partners. It may only be reproduced and distributed
internally for the assessment of HBTA and training partner RPL candidates.
It may not be copied, reproduced, altered, or sold to any third parties without
permission from Sea Eagle Publications.

Table of Contents
Contents
How to use this tool................................................................................................ 1
Using the tool to demonstrate equivalence in an RPL process .......................... 1
Instructions for using this tool ............................................................................ 2
Part B..................................................................................................................... 4
Personal information and declaration form ........................................................ 4
Quick Skill Scan ................................................................................................ 7
Portfolio of evidence form ................................................................................ 10
Core unit schedules
1. TAEASS401 Plan assessment activities and processes .................. 12
Competency conversation/Knowledge revision ...................................... 21
TAEASS401 Third Party Verification Form ............................................. 22
2. TAEASS402 Assess competence .................................................... 24
3. TAEASS403 Participate in assessment validation .......................... 35
4. TAEASS502 Design and develop assessment tools ....................... 45
Third Party Verification Form .................................................................. 55
5. TAEDEL401 Plan, organise and deliver group-based learning ........ 58
TAEDEL401 Third Party Verification Form ............................................. 65

6. TAEDEL402 Plan, organise and facilitate learning in the

workplace ................................................................... 67
7. TAEDES401 Design and develop learning programs ....................... 76
8. TAEDES402 Use training packages and accredited courses to

meet client needs ........................................................ 87
Competency conversation/Knowledge revision .................................... 95
TAEDES402 Third Party Verification Form ............................................. 96
9. TAELLN411 Address adult language, literacy and numeracy

skills ............................................................................ 98
Competency conversation/Knowledge revision .................................... 103
TAELLN411 Third Party Verification Form ............................................ 104

How to use this tool

The TAA40104 is past the stage where it can credit transfer into TAE qualifications.
That deadline expired in October 1017. The ability to RPL into TAE40116 rests not
so much with the content of the TAE40104 course but the currency of VET
professional experience since graduating. This includes workplace experience,
professional development and active involvement in VET networks where
professional knowledge and experience is exchanged.
If you are a trainer, assessor or other vocational education and training (VET)
practitioner, and you want to conduct an initial self-assessment against units of
competency in the TAE40116 Certificate IV in Training and Assessment from the
TAE16 Training and Education Training Package — this self-assessment tool allows
you to respond to questions against each unit of competency, and progressively
gather evidence as part of a process for recognising your competence.
This self-assessment tool is divided into two parts.
Part A: introduction, and instructions for using the tool.
Part B: contains the forms used in the self-assessment process:
1. Personal information and declaration form — use this to identify your
completed self-assessment.
2. Skill scan — use this to identify and track the units you will self-assess.
3. Portfolio of evidence form — use this to progressively record details of your
evidence.
4. Self-assessment forms — use these forms to respond to the self-assessment
questions for each unit of competency in the core of TAE40116.
Using the tool to demonstrate equivalence in an RPL

process
If you are using the tool as part of a process to demonstrate your equivalent
competence for the purposes of TAE40116 vocational competency and regulatory
compliance requirements, submit the tool with your portfolio of evidence to an RTO.
This evidence should incorporate:
 The testamur and transcripts of your original TAE40104. These must be
verified by the issuing RTO and not from JP notarisation.
 Your CV and job descriptions, verification of currency of practice from the
organisations in which you have been employed since attaining your
TAE40104.
 The enrolment form and fees. Note that both the declaration and the privacy
statement must be signed.
Keep a copy of your portfolio for your own records in case you need to substantiate
your claims for equivalence in an internal or external audit.
© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia Page 1

Instructions for using this tool

1. Access the Qualification Framework for the Certificate IV in Training and
Assessment from https://training.gov.au/Training/Details/TAE40116. This will
give you access to all components of the qualification and the supporting
companion documents.
2. Each unit is published as a continuous document online but as two separate
downloadable documents:
The first part is the competency standards which comprise elements and
performance criteria and foundation skills. These are the components that
relate to workplace performance.
The second part is the assessment requirements which comprise the
performance evidence (PE) that lists the ‘products’ which are the minimum
requirements for verifying competency. Your application must at least address
these in order to be valid. It also lists the required knowledge evidence and the
conditions for assessment.
3. Go through the assessment requirement documents for each core unit so that
you understand the summative requirements you must satisfy.
4. Note that you will need to refer to each unit of competency as you work through
the self-assessment.
5. Choose the elective unit that you will self-assess, and tick them in the Unit
summary form. TAE40110 Certificate IV in Training and Assessment is
comprised of 10 units – 9 core and 1 elective. The schedules for the electives
are in a separate document and may be sent to you as stand-alone documents
if you prefer.
6. Progressively develop a portfolio of evidence, building up your references on
the Portfolio of evidence form. Any one piece of evidence may be useful for a
number of units of competency.
The evidence you provide must be:
current — showing experience you’ve had within at least the last five years
valid — verifying that your skills and knowledge meet the requirements
specified in the unit of competency
authentic — proving that it was really produced by you or relates to you
reliable — including a range of evidence from a range of contexts
sufficient — covering all aspects of the relevant units of competency.
Ensure that the evidence you identify is accessible and able to be verified if
necessary.

4. Go to the Self-assessment forms and complete the key questions for the first
unit you wish to self-assess. For any gaps identified, you may need to
participate in further training or undertake additional experience and
assessment in order to gain competence. If there are no or few gaps, move on
to the follow-up questions. Identify and reference evidence as you go.
5. Work through the units until you have completed a self-assessment for all the
units for which you will nominate equivalence.
6. Complete and sign the Personal information and declaration form.
7. Competency conversation/Knowledge revision
A competency conversation is a meeting between you and your assessor, where
you discuss and explain your work experience. It is an informal discussion - not
an examination. The competency conversation may be face to face or by
telephone, Skype or other means of communication.
Your assessor will make notes of your responses. They may ask if you consent to
having your responses recorded, so that they have an accurate and complete
record. You have the right to refuse recording of your voice or videoing the
meeting.
Each set of unit schedules has a list of the types of questions you may respond to.
Read each of the questions carefully and think about how you will respond. Note
that this is an AQF4 qualification and the responses need to be in full sentences
and are often required to provide examples of how the concepts or principles are
applied.
If, upon reading the knowledge evidence (KE) in the assessment requirements for
each unit from training.gov.au, there are items where you have ‘gaps’ , discuss
this with your assessor.
Your assessor may suggest that you submit typed answers prior to holding the
competency conversation, as this can reduce the time and cost of the RPL
process. If your typed answers are sufficient, the competency conversation may
not be necessary.
8. Third party reports. These may be from your employer, your supervising
training manager or a senior co-worker who is able to verify your skills. Two (2)
reports per unit are required and you should copy and paste these forms into a
separate document to give to your referees.
If you are unable, for any reason to obtain a report, please discuss this with
your assessor as alternative methods of skills assessment might be required for
any gaps.
9. Gap training. If there are self-identified, or assessor identified, gaps in your
knowledge and skills you will be offered the opportunity to undertake gap
training. In most cases this may be segments of a unit, but can be a
requirement to undertake a whole unit because of major changes from
TAA40104 up until the current qualification.
This may incur extra costs and you will be notified of this before you proceed.
10. Filling the gaps with an assessment only pathway. If you are confident that you
possess the skills, but cannot access documentary or other evidence of this,
you may undertake to fill the gap by assessment only. There is no additional
charge for this as it is part of the overall assessment process.

TAE40116 Self-assessment tool
Part B
Personal information and declaration form
Name
Postal address
Phone (Bus.
hours)
Mobile
Fax
Email
Job title
RTO
Department
Campus
Checklist
Complete the checklist below to tick off attachments:
□ Completed Unit summary form showing TAE40110 units for which I am seeking
equivalence.
□ Completed Portfolio of evidence form.
□ Attached portfolio of evidence.
□ Completed self-assessment questions for _____ units.
Declaration
Sign this declaration when all steps are completed and submit it to the RTO.
I declare that the information I have provided is accurate, that the evidence I have
presented is authentic, and that I have based my responses on my reading of the
requirements for the units of competency as set out in this tool, and the TAE16 Training
and Education Training Package.
Signed ................................................................ Date .....................................

Applicant Details:
1. Qualification you are seeking

entry or RPL into
Current Training position:
Years of professional practice in VET industry:
2 Personal Details
Surname
Preferred Title (Mr, Mrs, Ms, Miss)
First Name/s
Any other name used
Home Address
Postal address if different from above
Telephone Numbers Home: Work:

Mobile: Fax:
Date of Birth / /
Gender MALE  / FEMALE 
Age
Are you a permanent Resident of YES  / NO 
Australia
3 Current Employment
YES  / NO 
Are you currently employed?
………………………………………………………
If Yes, in which occupation are you
currently employed?
……………………………………………………….
Who is your current employer?
4. Armed Forces details (If Applicable)
Branch of Service
Trade classification on discharge
5
5. Further Training
Have you undertaken any Training and YES  / NO 
Assessment qualifications or higher-
education adult learning qualifications?
This may include Statements of
Attainment and must include statements
of results.
Have you under YES  / NO 

If Yes please list. You will be required to provide certificates and
statements of attendance
6. Is there any further information

you wish to give in support of your
application?
7. Professional Referees (relevant to Training and Assessment experience)
Name
Position
Organisation
Phone Number
Mobile Number
Email Address
Name
Position
Organisation
Phone Number
Mobile Number
Email Address
6
Quick Skill Scan

This form will provide a snapshot of your existing capabilities and allow you to self-
identify areas where you might need additional training to bring you up to speed. It is
not part of the formal assessment, but it is a useful way of reviewing your current
skills against the foundations of professional practice.
Tick I would like to learn this task/Topic I can do this already and this is my
evidence
How a knowledge of adult learning
styles, whole brain theories and basic
learning psychology to improve my
planning of learning activities
Use a Unit of Competency to develop
a TNA checklist or RPL checklist
Conduct a Training Needs

Analysis(TNA) and write up a proforma
TNA project plan
Analyse a work task or task set and

map it in a Skills Matrix as a planning
tool
Unpack a Unit of Competency and

develop a master assessment matrix
Develop assessment plans for

workplace learning
Cluster related or co-requisite Units by

using an holistic mapping tool
Use a validation checklist to self-check

own work against the Principles of
Assessment
Write assessment tools for different

AQF levels
Prepare RPL assessment tools

evidence
Use a risk assessment matrix to check
the quality and inherent risks in
different RPL/RCC evidence types
Check the legal/ethical/organisational

requirements relating to evidence
collection
Prepare an assessment resource

checklist
Develop or use validation tools and

take part in validation processes
Develop learning methodologies and

learning resource matrices as simple
planning tools
Develop program plans, session plans

and action learning plans
Evaluate a commercial resource

through validation mapping and an
evaluation checklist
Write learning resources to

commercial publication standards
Produce accurate costings of training

resource development and training
and assessment activities
Develop an information/induction
session including
safety induction program (with
handouts)
Interview or evaluate learner groups
and profile them

evidence
Look at the organisation as a Learning
Organisation and develop a simple
learning culture proposal
Conduct effective risk and hazard

safety assessments
Develop a safety risk assessment

report and a safety risk control action
plan
Develop learner plans for coaching

and mentoring
Learn (and demonstrate) some

techniques for workplace coaching and
mentoring
Conduct an evaluation on learning and

assessment and prepare a simple
report
Explain the industry structure and the

legal aspects of compliance in the VET
industry
Work within a contract training or

funded training environment.
Keep training records and issue

qualifications
Use access and equity principles to

plan information and to deliver training
and assessment services
Provide information to prospective

students and comply with SRTO(2015)
standards

Tick the Year Office Use Only –

Supporting evidence items completed assessor to use this
you can section to align documents
(as relevant)
provide to specific units of
competency and identify
key questions for
competency conversation
Brief CV or Work History
Job descriptions or evidence of
currency
Testamurs/Results of Assessment
Certificates/Results of Assessment –
interstate/overseas
Testamurs/Results of Assessment –
universities
Results/Statement of Attendance/
Certificates – non accredited training
courses
Certificates – in house courses
Certificates – workshops, seminars,
symposiums, etc
References/letters from previous
employers/supervisors
Third party reports
Any other documentation that may
demonstrate industry experience will
be details in the portfolio work.
Portfolio of evidence form

1. Locate evidence of your competency related to each unit1.
2. Clearly number each piece of evidence, add it to your portfolio and list it on the
form.
3. Organise your portfolio of evidence in a logical way that links the evidence to
this form and, if it is not a hard copy, provides adequate information to its
location and accessibility.

Portfolio of evidence form
Evidence This item is: This shows evidence related to:

item
(e.g. self-created document, (add unit/s codes, element numbers,
number
email, CD, video recording, self-assessment question numbers or
link to electronic file, third other relevant details)
party evidence)

1. TAEASS401 Plan assessment activities and processes

Code and title of TAE16 Code and title of Equivalent Comments in relation to TAA04 Training and
unit related TAA04 Assessment Training Package
unit(s)
TAEASS401 Plan TAAASS401C Plan N Unit enhanced to include additional assessment

assessment activities and and organise instruments, additional assessment plans and a
processes assessment new element on contextualisation requirements.
Summary of required evidence
# Details (& comments if required) of evidence required for How or where related Evidence item number or
TAEASS401 - Plan assessment activities and processes electronic link
1 Currency of practice (EG CV, PD, workplace verifications and UoC overall
actual evidence as detailed below)
2 Related and mapped within this document UoCs from the UoC overall and related to all
qualification TAA40104 Certificate IV in Training and aspects of the mapping
Assessment: 2a TAAASS401C - Plan and organise assessment document
2b TAAASS403B - Develop assessment tools
12
3a Three (3) MORE occasions of planning and organising the Performance Evidence
assessment process, (TAAASS401C required 2)
Foundation skills
one (1) of which must via an RPL assessment pathway,
(TAAASS401C required 1)
related to different endorsed or accredited unit of competency
(or clusters of units of competency) for each -
including the following for each occasion:
 a documented assessment plan
 a different endorsed or accredited unit of competency
(or clusters of units of competency) for each
 contextualisation of the unit(s) of competency and the
selected assessment tools, where required
 incorporation of reasonable adjustment strategies
 development of suitable assessment instruments for
each (TAAASS403B required the development of
instruments / tools for 3 UoCs. To ensure that FIVE
instruments are documented overall and also to include
TWO RPL assessments a, THREE associated
instruments are required. The two RPL instruments will
also be used in the RPL assessment tool for the current
UoC TAEASS502 - Design and develop assessment
tools)
 following organisational arrangements.
13
3b Examples of mapping the assessment instruments against the Elements and Performance
unit or course requirement (Maps need to be specifically Criteria
included in the gap evidence because:
Foundation skills
 TAA UoC states “meet the competency standards”
Versus
 TAE UoC (4,3) states “Map assessment instruments
against the unit or course requirement)
4 Making the distinction between assessment tools and Knowledge Evidence

instruments – NOTE the term ‘assessment instruments’ is used
in TAAASS403B PC – 2.3.
(Evidence of knowledge may be within evidence and examples
provided and/or could be obtained via a competency
conversation) Should you require clarification between the
terms ‘tool’ and ‘instrument’ you can find this in the range
statements in TAA40104 units.
This evidence is also related to the assessment process
required for TAEASS502 Design and develop assessment
tools)
14
Answer the following questions to rate yourself against the key Self-rating – list the evidence Evidence item number or
requirements of this unit, and list the evidence you will draw on that might support this rating. electronic link
to support your rating.
1.1 Are you able to: □ with guidance

● Plan and organise the assessment process in a range of
contexts?
□ independently
● Plan and organise the assessment process for RPL □ lead others
candidates? Evidence:
● Plan and organise the assessment process for those requiring
reasonable adjustment (including both disability or LLN
adjustments)?
● Analyse and map the planned assessments and assessment
activities against units of competency from training packages
or accredited courses?
● Check advice provided by the candidate or workplace on
contextualisation needs?
● Use Training Package implementation advice to guide
contextualisation?
● Determine opportunities for integrated assessment activities
and change assessment tools to facilitate this?
15
1.2 Are you able to: □ with guidance

● Collect evidence to assess competence that demonstrates:
□ independently
○ documented assessment plans, including simple
assessment instruments □ lead others
○ having covered a range of assessment events, using Evidence:
different types of assessment instruments
○ catering for a number of candidates and addressing the
specific needs of individuals
○ different competency standards or accredited curricula
○ an RPL assessment
○ contextualisation of competency standards and the
selected assessment tools, where required?
16
1.3 Do you have examples of: □Yes □No

● Assessment planning documentation that links in to an RTO’s Evidence:
policies and procedures?
● Assessment/RPL planning documentation that includes:
○ mapping of simple assessment instruments against

competency standards or accredited curricula
○ mapping of foundation skills against assessment
activities
○ a range of work-focused evidence gathering strategies
○ a strategy to address language literacy and numeracy
requirements of the competency standards
○ instructions for both candidates and assessors
○ tests for validity, reliability, sufficiency and authenticity
○ built-in moderation and validation processes to ensure
sustainability and continuous improvement?
17

● Integrated assessment activities: Evidence:
○ assessment activities, including RPL, that demonstrate
contextualisation of competency standards
○ assessment documentation that reflects reasonable
adjustment, and the access and equity needs of various
learning groups?
18
Suggestions of appropriate evidence: Notes:
□ Suggested documentation: □ Current position description:

● planning documents ● performance review reports
● assessment maps and matrices ● professional development

participation.
● assessment instruments
● annotated assessment tools showing planned □ Curriculum vitae:

contextualised assessment tools ● formal qualifications –
● notes of meetings certificates, Statements of
Attainment.
● recordings.
● professional development-
● PD plans and matrices
□ Third party evidence:

● employer/manager testimonial
● workplace evidence.
What gaps have you identified?
19
How might you address these gaps? □ RPL – Develop and gather evidence (provide details below):
□ Gap training (provide details below): What –
What –
Where –
Where –
When –
When –
□ Supervised workplace mentoring (provide details below):

Who –
What –
Where –
When –
20
Competency conversation/Knowledge revision
Main question – to start the discussion:
In what ways do you ensure that you comply with legal and ethical requirements, the
principles of assessment and the rules of evidence when conducting assessments
Supplementary questions – to expand upon the main question:
How do you ensure that your assessment is competency based and relates directly to the
competency standards?
What is the difference between an assessment instrument and an assessment tool
How do you ensure compliance with the principles of assessment when conducting an
assessment?
How do you apply the rules of evidence when conducting and recording an assessment?
Describe the range of assessment purposes and contexts that are relevant to assessments
that you conduct.
Give examples of the assessment methods that you use and the resources you use in
conducting assessments
In relation to your own assessment practice, give an example of when you may need to
make reasonable adjustments
What organisational documents do you refer to when planning and conducting

assessments?
What is the RPL policy and procedure in your organisation? Describe an RPL that you
conducted.
Think of a time when you had to use cultural sensitivity in conducting assessment and
ensure equitable treatment. What was the situation and what actions did you take?
What legislative requirements do you comply with in conducting assessment? Can you give
an example
What are your WHS responsibilities when conducting assessments? Relate this to the types
of assessment you conduct.
Are all of your assessments unit by unit or are some clustered? How do you decide whether
to cluster?
21
TAEASS401 Third Party Verification Form
Name of Candidate
Name of Third Party (Referee)
Position of Third Party
Name of RTO or other organisation
Work relationship of Third Party to the Candidate
Telephone Email
Please tick the checkbox where you can confirm from your own knowledge that the
candidate meets the criteria.
NOTE: It is not necessary for you to tick every box – only those you can confirm from your
own knowledge of the candidate’s work performance
mapping
(assessor Criteria for assessment 
use)
PC 1.1-1.2 Develops and documents assessment plans for learning and ☐

assessment pathways and for RPL
PC 1.1-1.2 Uses the Training and Assessment Strategy, relevant workplace ☐

standards and consultation with stakeholders such as industry
PE 8
representatives in planning assessment processes
PC 2.1 Regularly analyses units of competency and assessment requirements ☐

and provides advice and information on evidence required to
demonstrate competence
PC 2.2 Collaborates in selection of appropriate assessment methods and ☐

instruments for the context of assessment
PC 2.3 Presents draft assessment plans for approval according to organisational ☐

procedures and quality management system
PE 8
PC 3.1-3.4 Develops and documents assessment instruments for learning and ☐

assessment pathways and for RPL
PC 4.1-4.5
22
PC 3.1 Designs assessment instruments that are contextualised for the specific ☐
work environment/role of the candidate or target group, using information
PC 3.2
from the workplace and training package companion documents
PC 3.3 Analyses and makes modifications / improvements to existing ☐

assessment tools
PC 4.1
PC 3.4 Collaborates in determining whether integrated assessment is ☐

appropriate (clustering of units) and reports on recommendations or
makes changes to existing assessment tools
PC 4.3 Develops mapping summaries, mapping assessment instruments and ☐

tools back to the requirements of units of competency
PC 4.4 Designs assessment instruments that have clear and sufficient ☐

instructions for both the candidate and the assessor.
PC 4.5 Collaborates in the trialling and/or review of draft assessment ☐

instruments and documents outcomes according to the organisation’s
PE 8
quality management system.
Please provide a few comments on your personal evaluation of the candidate and the way
that they develop assessment plans and assessment instruments in their work role.
NOTE: Comments are REQUIRED.
Signed Date
23
2. TAEASS402 Assess competence

unit(s)
TAEASS402 Assess TAAASS402C N Re-written unit and equivalent between

Competence Assess Competence TAE40110 and TAE40116.
# Details (& comments if required) of evidence required for How or where related Evidence item number
TAEASS402- Assess competence or electronic link
1 Currency of practice (EG CV, PD, workplace verifications and UoC overall
actual evidence as detailed below)
2 Related and mapped within this document, UoCs from the UoC overall and related to all
qualification TAA40104 Certificate IV in Training and Assessment: aspects of the mapping
document
2a TAAASS402C - Assess competence
24
3 The PE requires evidence of assessment of at least five (5) Performance Evidence

candidates (TAAASS402C required “a number of Candidates’)
Foundation skills
within the vocational education and training (VET) context against
at least one endorsed or accredited unit of competency (ensure
the assessment cover an entire unit of competency) according to
the organisation's assessment processes and practices including:
 the application of different assessment methods and
instruments involving a range of activities and events
 using two-way communication and feedback with the
candidate
 exercising judgement in making the assessment decision
 recording and reporting assessment outcomes in
accordance with the assessment system and
organisational, legal and ethical requirements
 reviewing the assessment process.
The assessment tools for this may be self-authored or sourced
from existing workplace resources, contextualised as required for
your candidates.
The proof of conducting assessments may also include workplace
records of results. All candidate names may be redacted.
4 As also required for the UoC TAEASS401 - The distinction Knowledge Evidence
between assessment tools and instruments – See the notes for
TAEASS401.
25
Answer the following questions to rate yourself Self-rating – list the evidence that might Evidence item number or
against the key requirements of this unit, and list the support this rating. electronic link
evidence you will draw on to support your rating.
2.1 Are you able to: □with guidance

● Provide evidence of assessing competence of at
least five of candidates within the vocational
□independently
education and training (VET) context against □lead others
different units of competency or accredited
curricula, following the relevant assessment plan? Evidence:

● Provide evidence of conducting an RPL
assessment?
□independently
□lead others
Evidence:
26

● Documented methods you used to assess an entire Evidence:
unit of competency that show:
○ the mapping of the assessment strategy to
the relevant benchmarks (training package,
accredited course, specification) that confirm
the requirements of the evidence being
collected
○ the application of various assessment
methods and instruments involving a range of
assessment activities and events, including:
– RPL opportunities
– consideration of special needs of
candidates including language, literacy
and numeracy; culturally sensitive
issues and WHS issues?
● Provision for two-way communication and
feedback, including:
○ preparing candidates for assessment
○ information for candidates and assessors
○ specialist support where needed, and how
that was embedded in the assessment?
● How the workplace was the preferred location for
gathering evidence and/or how a simulated
workplace was provided?
27
2.3 Continued:
● How judgement was exercised in making the
assessment decision?
● The reasons for decisions in the assessment
activities?
● How and when assessment outcomes were
recorded and reported?

● How you made and documented reasonable Evidence:
adjustment in at least one assessment?
2.5 Can you provide examples of: □Yes □No

● Assessment records and reports completed in Evidence:
accordance with your RTO’s assessment system
and organisational, legal and ethical requirements?
2.6 Can you show: □Yes □No

● How the assessment process you implemented Evidence:
was reviewed, including:
○ moderation participation
○ validation participation?
28
□ Documentation: □ Current position description:

● videos of practical assessment sessions ● performance review reports
● feedback from your candidates ● professional development

participation.
● planning documents
● assessment instruments □ Curriculum vitae:

● photos ● formal qualifications –
certificates, Statements of
● audio recordings
Attainment.
● iAuditor sessions or similar
● professional development-

29
What –
Where –
Where –
When –
When –

Who –
What –
Where –
When –
30
In what ways do you ensure that you comply with legal and ethical requirements, the
principles of assessment and the rules of evidence when conducting assessments
How do you ensure that your assessment is competency based and relates directly to the
competency standards?
What is the difference between an assessment instrument and an assessment tool
How do you ensure compliance with the principles of assessment when conducting an
assessment?
How do you apply the rules of evidence when conducting and recording an assessment?
Describe the range of assessment purposes and contexts that are relevant to assessments
that you conduct.
Give examples of the assessment methods that you use and the resources you use in
conducting assessments
In relation to your own assessment practice, give an example of when you may need to
make reasonable adjustments
What organisational documents do you refer to when planning and conducting

assessments?
What is the RPL policy and procedure in your organisation? Describe an RPL that you
conducted.
Think of a time when you had to use cultural sensitivity in conducting assessment and
ensure equitable treatment. What was the situation and what actions did you take?
What legislative requirements do you comply with in conducting assessment? Can you give
an example
What are your WHS responsibilities when conducting assessments? Relate this to the types
of assessment you conduct.
Are all of your assessments unit by unit or are some clustered? How do you decide whether
to cluster?
31
Name of Candidate
Telephone Email
mapping
use)
PE 1 Has conducted assessment of a minimum of 5 VET candidates within ☐

the past 12 months against units of competency using a range of
assessment methods involving a range of activities
PE 2 Has conducted a minimum of one RPL assessment within the past 12 ☐

months
PE 3 Has conducted a minimum of one assessment within the past 12 months ☐

applying reasonable adjustment and regularly collaborates in making
PC 3.3
decisions on and implementing reasonable adjustments to ensure
equitable treatment of candidates
PC 1.1 Follows all organisational, legislative and ethical requirements in ☐

preparing for assessment including arranging relevant resources and
PC 1.6
specialist support where required
PC 1.7
PC 3.4
PC 1.2 Conducts assessment according to the assessment plan and using the ☐
units of competency as the benchmarks for assessment
32
mapping
use)
PC 1.3 Collaborates in determining assessment methods including analysing ☐

unit requirements to identify opportunities for integrated assessment in
PC 1.4
actual or simulated activities
PC 2.1 Uses the current version of assessment tools, complying with all ☐
assessment guidance and benchmarks to gather quality evidence
PC 3.1 Determines when RPL assessment is appropriate and supports and ☐

guides the candidate in gathering evidence
PC 3.2 Demonstrates professional and appropriate communication skills with ☐

colleagues and candidates for assessment, showing sensitivity to
individual and cultural difference
PC 3.5 Follows safe work practices and organisational procedures for ensuring ☐
safety during the assessment process
PC 4.1 Makes objective, informed and expert judgements of competency, based ☐

upon the evidence and according to organisational procedures
PC 4.2
PC 4.3
PE
PC 4.4 Records assessment decisions in a way that demonstrates the ☐

assessment was fair, reliable and valid, including documenting feedback
PC 5.1
to the candidate and any follow-up required.
PC 5.2
PC 5.3
PE
PC 6.1 Collaborates in moderation and validation activities to review ☐

assessment processes and judgements and contributes to continuous
PC 6.2
improvement of assessment practices
PE
33
that they plan, conduct and review assessment in their work role.
Signed Date
34
3. TAEASS403 Participate in assessment validation

unit(s)
TAEASS403 Participate in TAAASS404B N Re-written unit with additional PE

assessment validation Participate in
assessment
validation
# Details (& comments if required) of evidence required for TAEASS403- How or where Evidence item number
Design and develop assessment tools related or electronic link
1 Currency of practice (EG CV, PD, workplace verifications and actual evidence as UoC overall
detailed below)
2 Related and mapped within this document, UoCs from the qualification TAA40104 UoC overall and
Certificate IV in Training and Assessment: related to all
aspects of the
2a TAAASS404B - Participate in assessment validation
mapping
document
35
3 Actively participating in a minimum of one validation session (TAAASS404B Performance

required 2 validation sessions) that address the critical aspects of validation Evidence
Clearly identifying the purpose for each validation, and the legal and ethical Foundation skills
responsibilities of assessors
Collating and presenting documentation for each validation in a logical manner
Communicating and liaising with relevant people
Providing feedback and interpreting documentation in validation sessions
Recording their contribution to validation findings.
(Ensure evidence presented includes “assessment maps to assist in determining
validity of assessment instruments)
36
Answer the following questions to rate yourself Self-rating – list the evidence that might Evidence item number
against the key requirements of this unit, and support this rating. or electronic link
list the evidence you will draw on to support
your rating.
3.1 Are you able to: □ with guidance □ independently □ lead

● Actively participate in validation sessions or others
meetings which, in combination, address the Evidence:
critical aspects of validation using different
validation approaches and activities?

● Clearly explain purposes of validation and the others
legal and ethical responsibilities of Evidence:
assessors?
37

● Documentation which outlines clear, Evidence:
sequential steps in a validation process,
including:
○ consideration of assessment processes,
methods and products
○ a record of outcomes and intended
actions
○ changes to own assessment practice,
arising from participation in the
validation process?

● Validation and moderation plans, and the Evidence:
communication plan for liaison with relevant
people?
38

● records of meetings ● performance review reports
● validation forms ● professional development
● validation planning documents participation.
● assessment instruments, tools and plans □ Curriculum vitae:
validated
● formal qualifications – certificates,
● recordings of meetings
Statements of Attainment.
● professional development- statements
of attendance

39
40
What –
Where –
Where –
When –
When –

Who –
What –
Where –
When –
41
What is your organisation’s system for validating assessment tools and how do you
contribute to validation?
How do you determine the evidence needed to demonstrate competence?
What are the reasons for carrying out validation? When does it / should it occur?
What are the components of assessment tools?
What do you think the critical aspects of a validation process are?
What work health and safety requirements do you need to consider when validating an
assessment tool?
42
Name of Candidate
Telephone Email
mapping
use)
PC 1.1 Collaborates with other assessors to prepare for validation in compliance ☐

with organisational policies and procedures
PC 1.2 Prepares documentation to be submitted to validation meetings including ☐

assessment tools, the assessment plan / training and assessment
strategy and all other relevant documents
PC 1.3 Ensures documentation presented to validation meeting is the current ☐

version
PC 1.4 Actively participates in validation meetings where the tool is mapped to ☐

the unit/s of competency and the result documented
PC 2.1
PC 2.7
PC 2.2 Actively participates in analysing whether the tool guides the assessment ☐
process so that it is fair, flexible, reliable and valid, with sufficient
PC 2.3
guidance for both the candidate and the assessor
PC 2.4
PC 2.5
43
PC 2.2 Actively participates in analysing whether the tool ensures evidence that ☐
is gathered and recorded is valid, sufficient, current and authentic
PC 2.3
PC 2.6
PC 3.1 Contributes to validation findings in a way that supports the ☐

organisation’s continuous improvement processes, recording the
PC 3.2
outcomes and making recommendations for improvement
that they contribute to validation of assessment tools in their work role.
Signed Date
44
4. TAEASS502 Design and develop assessment tools

unit(s)
TAEASS502 Design and TAAASS403B N Unit enhanced to make the distinction between
develop assessment tools Develop assessment tools and instruments clearer – provides a better
tools fit at Diploma level.
# Details (& comments if required) of evidence required for TAEASS502 - How or where Evidence item
Design and develop assessment tools related number or electronic
link
detailed below)
Certificate IV in Training and Assessment: 2a TAAASS403B - Develop related to all
assessment tools aspects of the
mapping
document
45
3a As detailed in Section 1a. Summary of required evidence for the TAE(16) UoC Performance
TAEASS401 Plan assessment activities and processes Evidence
(the below will be provided for TAEASS401 and should be assessed and included Foundation skills
for this UoC as well)
The Three (3) MORE occasions of planning and organising the assessment
process and the development of suitable assessment instruments for each as
required in the TAE(16) UoC TAEASS401 Plan assessment activities and
processes
When assessing the assessment instruments presented for TAEASS401 ensure
they:
 include the instruments for collecting evidence, reflecting the principles of
assessment and the rules of evidence, and related instructions to the
assessor/s and candidates
 show how the contextual needs of different environments are addressed
TAEASS401 specifically notes the following as well –
 contextualisation of the unit(s) of competency and the selected
assessment tools, where required
 incorporation of reasonable adjustment strategies
3b (The below will be provided for TAEASS401 and while not exactly required for this Elements and
UoC, it can be assessed and included for this UoC as well) Performance
Criteria
Examples of mapping the assessment instruments against the unit or course
requirement (Maps need to be specifically included in the gap evidence because Foundation skills
TAA UoC states “meet the competency standards” Versus TAE UoC (4,3) states
“Map the assessment instruments against the unit or course requirement)
46
4 (The below will be provided for TAEASS401 and while not exactly required for Knowledge
this UoC, it can be assessed and included for this UoC as well) Evidence
The distinction between assessment tools and instruments – NOTE the term (not specially
‘assessment instruments’ is used in TAAASS403B PC – 2.3. (Evidence of detailed in this
knowledge may be within evidence and examples provided and/or could be UoC but ‘implied’)
obtained via a CC with the candidate’s response reflecting the content as detailed
in the References / Clarification of terms provided at the end of this document –
This evidence is also related to the assessment process required for TAEASS502
Design and develop assessment tools)
47
Answer the following questions to rate yourself Self-rating – list the evidence that might support Location of this
against the key requirements of this unit, and this rating. evidence (e.g.
list the evidence you will draw on to support electronic link,
your rating. portfolio.)
4.1 Are you able to: □with guidance □independently □lead others
● Develop assessment tools that support Evidence:
different assessment methods, and address
at least three units of competency packaged
at different Australian Qualifications
Framework (AQF) levels?
● Develop assessment tools that include Evidence:
instruments for collecting evidence, reflecting
the principles of assessment and rules of
evidence, and the related instructions to
assessor/s and candidates?

● Show how the contextual needs of different
environments are addressed?
□independently
□lead others
Evidence:
48

● Apply the RTO’s assessment systems
policies and procedures to review and trial
□independently
your assessment tool? □lead others
● Report on the trial and review of the Evidence:
assessment tools, including proposed
changes?
49

● A range of assessment instruments that Evidence:
include the following components:
○ templates and proformas to be used in
the documentation of the assessment
instrument
○ documented individual assessment
tasks, including oral questioning,
observation, demonstration, work
placements, portfolio collection, etc.
○ candidate self-assessment materials
○ marking guides, including appropriate
responses, behaviours and levels of
independent application of skill
expected at the AQF level
○ Benchmarks for RPL evidence
collection
○ checklists for judgment of evidence
○ instructions for both assessors and
candidates?

● The Recognition of Prior Learning (RPL) Evidence:
methodology you have used to ensure
candidates are able to gain recognition of
current competency prior to undertaking
training?
50
4.7 How do you: □Yes □No

● Ensure that organisational, legal and ethical Evidence:
requirements are met in the development of
an assessment tool for a qualification?
Do you have examples of:
● Ways you achieved this in the development of
an assessment tool for a qualification you
have delivered?
4.8 How do you: □Yes □No

● Ensure that reasonable adjustments are able Evidence:
to be made in the application of your
assessment instruments?
Do you have examples of:
● The way you have integrated guidelines for
reasonable adjustment in your assessment
tool?
51

● assessment mapping, matrices ● performance review reports
● self-authored TAS and TNA if appropriate ● professional development

participation.
● assessment plans
● self-authored assessment instruments □ Curriculum vitae:

● self-authored assessment tools ● formal qualifications – certificates,
● records of trials of self-authored tools
● feedback from trial participants
of attendance
● notations of CQI conducted for trialled tools

52
What –
Where –
Where –
When –
When –

Who –
What –
Where –
When –
53
What types of assessment tool have you designed and what methods do you use to develop
the tools?
What types of assessment instruments have you developed and what do you take into
account when determining the method of assessment?
What practical considerations do you take into account when designing assessment
instruments?
How do you apply the principle of fairness when developing an assessment tool
How do you apply the principle of flexibility when developing an assessment tool?
How do you apply the principle of reliability when developing an assessment tool?
How do you ensure that your assessment tool is valid?
How do you ensure that your assessment tool meets the rule of sufficiency?
What considerations do you take into account so as to ensure evidence will be current and
authentic?
What are the dimensions of competency? Can you explain them by relating the to a task in
an assessment tool that you developed?
What are the guidelines for contextualisation?
What is a companion document and why do you refer to it when designing assessment
tools?
In relation to the assessment tools you have developed, what have you included in relation
to the assessor’s responsibility for work health and safety?
54
Name of Candidate
Telephone Email
Please tick the checkbox where you can confirm from your own knowledge that the candidate meets
the criteria.
NOTE: It is not necessary for you to tick every box – only those you can confirm from your own
knowledge of the candidate’s work performance
mapping
(assessor use)
Criteria for assessment 
☐
PE 1 Within the past 12 months, has developed a minimum of 3 assessment
tools comprising a number of instruments and a range of assessment
methods for 3 different units of competency or clusters of units.
☐
PE 1 Within the past 12 months, has developed assessment tools that are
contextualised for specific work roles and work environments
☐
PE 2 Within the past 12 months, has trialled and reviewed a minimum of 3
assessment tools that they have developed and reported on the results
of the trials
☐
PC 1.1 Designs assessment tools that meet the needs of the target group
identified in the organisation’s training and assessment strategy
☐
PC 1.2 Accesses units of competency and uses these as the basis for
developing assessment tools
☐
PC 1.3 Accesses information about the target group workplace and work role
and designs assessment tools that fit the context of the workplace.
☐
PC 1.4 Consults with all relevant personnel and researches industry guidelines,
training package companion documents when designing assessment
tools
55
mapping
(assessor use)
☐
PC 2.1 Designs assessment tools that effectively guide the assessment
process, have appropriate assessment methods for the context of work
and the context in which assessment will take place and meet the
principles of assessment
☐
PC 2.2 Has designed both learning and assessment pathway assessment tools
and RPL assessment tools
☐
PC 2.3 Designs assessment tools with a range of assessment activities to
PC 3.1 ensure sufficient and valid evidence is collected
☐
PC 2.4 Designs assessment tools that are practical for use and administration
PC 3.3
☐
PC 3.2 Includes clear instructions for the candidate and specific guidance for the
assessor in assessment tools, so that assessment will be fair and
reliable
☐
PC 4.1-4.4 Follows organisational procedures for trialling and reviewing draft
assessment tools, seeking and analysing feedback and amending as
required prior to finalisation
☐
PC 4.5 Formats and files finalised assessment tools according to organisational
procedures
REQUIRED: Please list the code and title of 3 units of competency (or clusters) where the
candidate developed assessment tools within the past 12 months.
56
that they design and develop assessment tools in their work role.
Signed Date
57
5. TAEDEL401 Plan, organise and deliver group-based learning

unit(s)
TAEDEL401Plan, organise TAADEL401B Plan N Two TAA units merged and content re-written.
and deliver group-based and organise group-
TAE10 unit modified with new PE.
learning based delivery
TAADEL402B
Facilitate group-
based learning
# Details (& comments if required) of evidence required for TAEDEL401 Plan, How or where Evidence item number
organise and deliver group-based learning related or electronic link
detailed below)
Certificate IV in Training and Assessment: 2a TAADEL401B Plan and organise related to all
group-based delivery aspects of the
mapping
2b TAADEL402B Facilitate group-based learning
document
3 Preparing and facilitating group-based learning of 2 consecutive sessions of 40 Performance

mins duration to 8 individuals is required Evidence
Foundation skills
58
Answer the following questions to rate yourself Self-rating – list the evidence that might support Evidence item number
against the key requirements of this unit, and this rating. or electronic link
your rating.

● Facilitate group-based learning by preparing others
and delivering a series of training sessions, Evidence:
including:
○ substantive training sessions (e.g. 40–
60 minutes), that follow one of the
learning program designs you have
developed
○ training sessions that specifically
address group and individual learner
needs and learner characteristics?

● Identify and respond to diversity and the others
individual needs of participants in your Evidence:
training programs?
59
5.3 Are you able to show: □ Yes □ No

● Documentation of your session planning Evidence:
approach, including:
○ linking of session plans to learning
program documentation
○ segmentation of learning components
and outline of delivery methods
○ contextualisation of generic learning
materials to meet requirements of
specific groups
○ physical and infrastructure requirements
for successful delivery identified and
confirmed as available
○ monitoring and reporting strategy?
5.4 Are you able to show: □Yes □No

● How you access and use documented Evidence:
resources and support personnel to guide
inclusive practices in the delivery of your
training?
● How you manage your record keeping and
reporting requirements?
60

● The application of interpersonal Evidence:
communication skills in the management and
facilitation of your group training sessions, for
example:
○ engagement and inclusivity of all
individuals in the group
○ conflict and negotiation skills
○ motivational behaviours
○ observational skills to monitor and
diagnose individual and group
progress?
5.6 Are you able to outline: □Yes □No

● Learning theories that underpin your Evidence:
practice?
● Learning principles essential to the
engagement of adult learners?
● A range of learner styles?
● WHS relating to group-based learning?
61

● videos of practical demonstrations ● performance review reports
● presentations ● professional development

participation.

● photos ● formal qualifications – certificates,
● recordings.
of attendance

62
What –
Where –
Where –
When –
When –

Who –
What –
Where –
When –
63
What kinds of group training do you deliver, on what subjects and to what types of learner
groups?
What learning theories and/or learning principles do you find most useful in guiding your
group training techniques?
In relation to the vocational subjects that you train, how do you maintain industry currency?
What are the characteristics and needs of your learner groups and what kinds of
adjustments do you make to group training methods to allow for individual or special needs?
In relation to one of the learning programs that you deliver in a group environment, how is it
delivered, over what time frame and what is your personal role in the management of the
learning program?
How do you decide on the appropriate delivery methods for a target group?
What inappropriate behaviours have you needed to deal with in group training and how did
you do so?
How do you identify when a learner is having difficulties and what do you do?
What organisational record-management systems apply in your organisation for group

training and what is their purpose?
How do you go about evaluating and revising your session plans?
What assessment methods do you use in group training?
What is the meaning of the term “inclusive practice” and what resources and/or support
personnel do you use to ensure that you practice inclusivity?
How do you use the diversity of the group participants to support learning?
64
TAEDEL401 Third Party Verification Form
Name of Candidate
Telephone Email
mapping
(assessor use)
☐
PE 1-2 Has delivered a minimum of 3 group training sessions to groups of 8 or more
PC 4.1 participants, including consecutive sessions of at least 40 minutes
☐
PE 4 Follows organisational policies and procedures for inclusive practices,
KE 13 implementing reasonable adjustments and seeking support from relevant
personnel or documented resources
☐
PC 1.1 Plans group training sessions in line with learning programs and delivery
requirements
☐
PC 1.2 Accesses information in relation to target group characteristics and needs and
applies this information in planning group training
☐
PC 1.3 Conducts hazard identification and risk assessment in line with organisational
KE 13 policies and procedures and effectively manages risks in the group training
environment
☐
PC 1.4 Regularly liaises with organisational personnel in order to confirm own role in
PC 3.3 group delivery and to arrange venue, resources etc. for group delivery
☐
PC 2.1-2.2 Prepares and documents session plans for group delivery and systematically
KE 13 reviews session plans according to organisational procedures
65
☐
PC 3.1-3.2 Sources and prepares learning materials for group delivery, modifying the
resources to meet the needs of the target group and context of employment
☐
PC 5.1-5.4 Monitors the progress of participants in group learning environments,
KE 13 documenting learning outcomes and reporting according to organisational
procedures.
that they plan and deliver group training in their work role.
Signed Date
66
6. TAEDEL402 Plan, organise and facilitate learning in the workplace

unit(s)
TAEDEL402 Plan, TAADEL403B N Two TAA units merged and content re-written.
organise and facilitate Facilitate individual
learning in the workplace learning
TAADEL404B
Facilitate work-based
learning
# Details (& comments if required) of evidence required for TAEDEL402 Plan, How or where Evidence item number
organise and facilitate learning in the workplace related or electronic link
detailed below)
Certificate IV in Training and Assessment: 2a TAADEL403B Facilitate individual related to all
learning aspects of the
mapping
2b TAADEL404B Facilitate work-based learning
document
3 Evidence of delivery of work-based learning and knowledge of delivery under PE

contracts of training (apprenticeships/traineeships/funding contracts) as
KE
applicable.
67
your rating.
● Prepare and facilitate work-based learning? Evidence:
● Work within a contract training framework (if
applicable)?
68
● Provide evidence of developing work-based Evidence:
learning pathways on at least two occasions,
including:
○ identifying learning needs
○ analysing work practices, work
environment and work activities
○ identifying and addressing WHS related
to training in the workplace
○ organising and allocating work in a way
that reflects learning needs, and
provides effective learning opportunities
through work processes?

● A learning facilitation relationship being Evidence:
conducted:
○ with different individuals
○ that demonstrates communication skills
and flexibility
○ that demonstrates one or more of the
processes or techniques being taught?
69

● How the workplace systems, processes and Evidence:
practices were considered in the development
of the workplace learning pathway?
● How key personnel were consulted in the
development of the workplace learning
pathway?

● Your planning documentation, including: Evidence:
○ learning plan that reflects individual
learner needs
○ sequenced learning pathway
○ monitoring and reporting forms
○ evaluation plan
○ feedback plan for review and
continuous improvement of
implementation?
70

● learner profiles and learner plans ● performance review reports
● records of trainer workplace sessions ● professional development

participation.
● records of training sign offs for contractual
arrangements □ Curriculum vitae:
● feedback from trainees and workplace ● formal qualifications- certificates,
supervisors Statements of Attainment.
● presentations ● professional development- statements
● session planning documents of attendance
● recordings. ● PD plans and matrices

71
What –
Where –
Where –
When –
When –

Who –
What –
Where –
When –
72
What is your role in planning and implementing learning through work-based activities?
What kinds of work-based learning occurs in your organisation and what is your role in
supporting this?
What methods do you use to identify skill needs in the workplace? Please illustrate this with
an example.
When designing a learning program for work-based learning, how do you match the methods
of training delivery to the learning styles or preferences of individual learners? Please give
an example.
In relation to a work-based learning pathway that you planned and implemented, what were
the work health and safety considerations and how did you manage safety?
What kinds of contractual arrangements can apply in a work-based learning pathway? What
is your experience of planning and implementing this kind of learning pathway?
In relation to a work-based learning pathway that you implemented, how did you monitor the
supervision and support for the learner? How often did you meet with the learner and what
was your relationship with them?
Using the same example, how did you go about explaining the objectives of the work-based
learning and the processes to the learner? What was their reaction?
In this example, what was the sequence of the workplace tasks and why did you decide
upon this sequence.
What techniques did you use to encourage the learner to take responsibility for their learning
and seek opportunities to transfer knowledge gained to different tasks or contexts?
Have you designed session plans for work-based learning? Have you delivered the training
yourself? Generally, how do you plan for each session with the learner?
What ethical standards do you think are most important when working with learners in a
work-based learning pathway?
Are there any issues you experience in deciding when to close and finalise a learning
facilitation relationship? How do you manage closure?
As a result of learning programs that you have planned and implemented, what kinds of
improvements to work practices or work-based learning have you been able to recommend?
73
TAEDEL402 Third Party Verification Form
Name of Candidate
Telephone Email
mapping
use)
PC 1.1-1.2 Analyses training needs for individuals and groups within the workplace ☐
and provides reports and recommendations to address skills gaps or
PE 2(a), (b)
other training needs
PC 1.3 Investigates work health and safety requirements related to learning in ☐

the workplace and ensures compliance with safety policies and
PC 3.4
procedures and WHS legislation in planning, implementing and
monitoring learning programs
PC 2.1-2.3 Addresses contractual requirements associated with apprenticeships or ☐

traineeships, liaising with internal personnel and the external training
PE 1
organisation to ensure contractual responsibilities are fulfilled.
PC 3.1-3.3 Develops and documents individual learning plans for workplace ☐

learners, tailored for the learner and with input from the learner in the
PC 4.1
planning.
PC 4.3
PE 1
PC 3.5 Takes responsibility for monitoring the progress of workplace learners, ☐

including ensuring sufficient supervision and support.
PE 1, 3
74
PC 4.2 Liaises with all relevant personnel, including the learner, to ensure that ☐
workplace tasks are sequenced in a way that supports the learning
PC 4.4
outcome.
PE 1
PE 2(c)
PC 5.1-5.3 Maintains a relationship with learners through regular meetings, ☐

providing support and feedback and keeping the momentum of the
PC 5.5
learning moving forward at an appropriate pace, modifying as required.
PE 1, 3
PC 5.4 Demonstrates ethical and professional behaviour at all times in their ☐

work role
PC 6.1-6.4 Finalises and reports upon completion of work-based learning programs, ☐

including making recommendations for improvement on the basis of
lessons learned.
that they plan and implement work-based learning in their work role.
Signed Date
75
7. TAEDES401 Design and develop learning programs

Code and title of TAE16 Code and title of related TAA04 Equivalent Comments in relation to TAA04
unit unit(s) Training and Assessment Training
Package
TAEDES401 Design and TAADES402B Design and develop N Re-written unit, incorporates some
develop learning programs learning programs elements of ENV units.
# Details (& comments if required) of evidence required for TAEDES401 How or where Evidence item number
Design and develop learning programs related or electronic link
detailed below)
Certificate IV in Training and Assessment: (PLUS see UoC mapping & tracking related to all
through the various Training Packages at the end of this document for further aspects of the
information) mapping
document
2a TAADES402B Design and develop learning programs
2b TAAENV401B Work effectively in VET
2c TAAENV403B Ensure a healthy and Safe learning environment
2d TAADES401B Use Training Packages to meet client needs
76
3 The candidate must show evidence of the ability to complete tasks outlined in the Performance
elements and performance criteria of this unit, including: evidence
 designing, developing and reviewing learning programs within the
vocational education and training (VET) context
 preparing and developing a minimum of two learning programs:
 that contain differentiated learning program designs to reflect particular
needs, contexts and timelines
 at least one of which must be based on competency standards or
accredited courses, and must cover at least one entire unit of competency
or accredited course module.
77
your rating.
● Design, develop and review learning Evidence:
programs in the VET context?
□ □ □
7.2 Have you:
● Prepared and developed a minimum of two with guidance independently lead
learning programs that contain differentiated others
learning program designs to reflect particular Evidence:
needs, contexts and timelines?
● Based at least one of these programs on
competency standards or accredited courses,
and covered at least one entire unit of
competency or accredited course module?
78
□ □
7.3 Do you have examples of:
● The use of your RTO’s quality assurance Yes No
policies and procedures in the design and Evidence:
development of your learning programs?
● The learning objectives, outcomes and goals
derived from units of competency or other
specifications developed in your learning
program?
● The approach you take to addressing
foundation skills in your learning program?
● The strategies you used to identify
characteristics of the target group and the
way you accommodated this in your learning
programs?
● The way you addressed the language,
literacy and numeracy requirements of your
learning program?
● The assessment requirements of your
learning programs?
79

● Structured learning programs which include: Evidence:
○ training needs analyses
○ delivery schedules
○ variety of modes of delivery?
● The strategies you use to engage key
stakeholders in the review of your learning
program?

● Contextualised existing learning materials to Evidence:
suit the needs of a target group?
● New learning materials or activities
developed as part of your learning program?
● Assessment planning documentation that:
○ maps assessment activities and

methods to units of competency or
other specifications on which your
learning program is based
○ outlines the details of assessment
tasks, required outcomes and reporting
methods?
80
□ □
7.6 Do you have examples of:
● The methods you use to ensure a safe Yes No
learning progression and environment? Evidence:
● A risk control plan to minimise risk in the
delivery of your learning program?
● The methods you use to review, evaluate and
update your learning program, including:
○ the strategies you use to engage key
stakeholders in the review of your
learning program?
81

● TNA, TAS or other planning documents ● performance review reports
● programs and session plans ● professional development

participation.
● records of sources of learning and
assessment resources that are applicable to, □ Curriculum vitae:
or can be adapted to, the programs
● formal qualifications – certificates,
● evaluations of existing resources for purpose Statements of Attainment.
● records of industry consultation or
authorisations
● records of contextualisation and CQI
82
What –
Where –
Where –
When –
When –

Who –
What –
Where –
When –
83
What is your role in designing and developing learning programs and what is the
methodology you use?
What training packages and/or accredited courses are relevant to your role in developing
learning programs?
When designing a learning program, apart from the requirements of the units of competency,
what else do you take into account?
What information do you include in a learning program? How does this differ from the
information in a training and assessment strategy?
Describe two of the learning programs that you have developed and their different purposes
and focuses.
How do you apply instructional design principles in the developing of a learning program?
What learning resources have you reviewed and applied to learning programs? How did you
source them and how did you confirm they were appropriate?
Think of a time when you needed to develop learning activities and/or learning materials
yourself. What was the need and what methods did you use?
What different delivery modes and methods have you used and why?
What legal requirements that relate to training in the VET sector do you take into account
when developing learning programs?
In relation to a learning program that you developed, what WHS considerations did you take
into account and how did you ensure a safe learning progression?
In relation to learning programs that you have developed, what LLN requirements did you
take into account?
84
TAEDES401 Third Party Verification Form
Name of Candidate
Telephone Email
mapping
use)
PC 1.1-1.4 Develops and documents learning programs that relate to vocational ☐

outcomes such as qualifications or units of competency including:
PC 4.5
PE 1  purpose
 competency standards (units of competency)
 LLN requirements
 characteristics and needs of the target group
 risk control plan
PC 2.1 Conducts all work in compliance with the VET Quality Framework and ☐
organisational policies, procedures and quality standards
PC 2.3
PC 2.2 Identifies when a training package has been superseded, analyses and ☐
documents the changes
PC 3.1 Researches and documents learning outcome statements for each stage ☐
or “chunk” of learning in learning programs, together with time-frames.
PC 4.1
PC 3.2 Sources and evaluates learning resources to determine whether they are ☐
appropriate for learning programs
PC 3.3 Identifies assessment requirements for each stage in learning programs ☐
PC 4.2 Consults with stakeholders to identify appropriate delivery strategies ☐
85
PC 4.4 Consults with stakeholders to review existing learning programs either in ☐

relation to changes in training packages or for continuous improvement
purposes
that they design and develop learning programs in their work role.
Signed Date
86
8. TAEDES402 Use training packages and accredited courses to meet client needs
Code and title of Code and title of related TAA04 Equivalent Comments in relation to TAA04
TAE16 unit unit(s) Training and Assessment Training
Package
TAEDES402 Use TAADES401B Use training packages N Re-written unit, incorporates some
training packages and to meet client needs elements of ENV units.
accredited courses to
Updating of compliance requirements.
meet client needs
Section 1a. Summary of required evidence

# Details (& comments if required) of evidence required for TAEDES402 Use How or where Evidence item number
training packages and accredited courses to meet client needs related or electronic link
detailed below)
Certificate IV in Training and Assessment: 2a TAADES401B Use Training related to all
Packages to meet client needs aspects of the
mapping
2b TAAENV401B Work effectively in VET
document
2c TAADES402B Design and develop learning programs
87
3 The candidate must show evidence of the ability to complete tasks outlined in the Performance
elements and performance criteria of this unit, including: evidence
 analysing a training package and/or accredited course, to examine its
component parts, identify relevant qualifications and units of competency
or modules, and contextualise those to meets the specific needs of one
client
 demonstrate a minimum of two examples of analysing training
specifications, including at least one training package; the other may be
another training package or an accredited course that meets a specific
client need.
88
your rating.
8.1 Are you able to: □ with guidance □ independently □ lead others
● Analyse and unpack a training package Evidence:
and/or accredited course to:
○ examine its component parts
○ interpret and use a qualifications
framework
○ use implementation and interpretation
guides
○ identify appropriate AQF levels for
qualification and units
○ identify relevant units of competency or
modules
○ contextualise these to meet a specific
client need?

● Analysing two training specifications (one Evidence:
must be a training package)?
89

● Sourcing of training package and/or Evidence:
accredited course to meet identified client
needs, including documented strategy for
assessing that need?

● Using a training package or accredited Evidence:
course to package a training program to meet
an identified client need, with particular
attention to:
○ qualification framework and rules
○ licensing requirements and
prerequisites, if applicable
○ choosing electives to meet client needs
and job roles
○ implementation and interpretation
guides
○ required AQF levels for outcomes
○ assessment guidelines?
● A documented approach to packaging such a
program?
90

● The analysis, interpretation and Evidence:
contextualisation of a unit of competency or
module to link its requirements to the work
environment of the client, including:
○ clear and logical documentation of the
analysis of the components of the
training program?

● Interpreting the units of competency for Evidence:
particular requirements, such as:
○ language, literacy for numeracy
○ knowledge, skills, critical aspects of
evidence
○ foundation skills
○ dimensions of competency?
8.7 Do you know where to source: □Yes □No

● training package information? Evidence:
● Australian Qualification Framework (AQF)
guidelines?
91
8.8 Do you know: □Yes □No

● The format and structure of accredited Evidence:
courses?
● The format and structure of competency
standards?
● The difference between endorsed and non-
endorsed components of training packages?
8.9 Can you explain: □Yes □No

● Contextualisation and where it can be used? Evidence:
● Dimensions of competency?
● The difference between endorsed and non-

endorsed components of training packages?
● Reasonable adjustment to assessment?
92

● TNA and TAS as relevant ● performance review reports
● presentations ● professional development

participation.

● photos ● formal qualifications – certificates,
● recordings.
93
What –
Where –
Where –
When –
When –

Who –
What –
Where –
When –
94
How have you analysed training package and/or accredited course information and applied
them to the needs of clients or a target group?
What is the AQF and what information does it provide? Why is it relevant to Training
Packages?
Who develops training packages and how are they endorsed and what are the endorsed
components? Where do you locate them once endorsed?
Why might an accredited course be developed? Who develops accredited courses and what
body usually endorses them?
What are the dimensions of competency and why are they important in VET? Can you
explain the dimensions of competency with an example such as driving a car?
What are the similarities and differences between an accredited course and a training
package qualification
What information is in a unit of competency?
What information is in an assessment requirements document?
What is meant by competency based VET training and assessment?
Describe how you go about analysing a unit of competency.
What is contextualisation and what can you do and what must you not do when
contextualising?
Are companion volumes an endorsed component of a training package? What is their

purpose and where can you find them?
How frequently do you visit training.gov.au and why?
What is your role in analysing the training needs of clients and accepting them for a course?
How do you go about this and what RTO systems and procedures do you follow?
Have you ever designed a clustered approach to training and assessment? What is
clustering? How do you decide whether to cluster?
95
TAEDES402 Third Party Verification Form
Name of Candidate
Telephone Email
mapping
(assessor use)
☐
PC 1.1 Analyses the training and assessment needs of clients and/or target
PC 5.2 groups and provides advice to clients on the best approach to meet their
needs
☐
PC 1.2 Accesses training packages, qualifications, units of competency and
PC 1.3 assessment requirements and uses the information in accordance with
the Standards for Registered Training Organisations and the RTO’s
quality system
☐
PC 2.1 Analyses the qualifications framework and packaging rules and identifies
PC 2.3 suitable electives for clients – ensuring compliance with the packaging
rules
☐
PC 2.2 Identifies any relevant licensing requirements for units of competency,
accredited courses or qualifications and provides advice on aligning
training and assessment with the requirements of the licensing authority
☐
PC 3.1 Analyses units of competency in depth and provides documented advice
PC 3.2 on unit selection, contextualisation and/or clustering of units so as to
PC 3.3
meet client needs.
PC 4.1
PC 4.2
96
☐
PC 4.1 Analyses the assessment requirements for units of competency in depth
PC 4.2 and provides documented advice on appropriate assessment plans
PC 5.1
☐
PC 5.2 Explains the assessment requirements to the client and provides advice
to the client on completing assessment.
that they use training packages and/or accredited courses in their work role.
Signed Date
97
9. TAELLN411 Address adult language, literacy and numeracy skills

unit(s)
TAELLN411 Address adult TAALLN401B N Re-written unit.

language, literacy and Address language,
Greater clarity provided on the nature of the VET
numeracy skills literacy and
practitioner knowledge required.
numeracy issues
within learning and Emphasis has changed to using validated tools
assessment practices rather than self-authoring diagnostics.
# Details (& comments if required) of evidence required for TAEDES402 Use How or where Evidence item number
training packages and accredited courses to meet client needs related or electronic link
detailed below)
Certificate IV in Training and Assessment: related to all
aspects of the
2a TAALLN401A
mapping
document
98
3 Evidence of applying support to real VET learners is required. Performance

criteria
This requires evidence of sourcing and analysing resources and support
materials, Performance
Evidence
Foundation skills
Knowledge
evidence
your rating.
● Address core LLN issues in training and Evidence:
assessment practice, including a range of
learning, reading, writing, oral communication
and numeracy skills required to participate in
work and the wider community?
● Use validated tools to assist in determining
ACSF levels of learners and correlate these
with the ACSF levels to successfully complete
the units or the course?
● Compare learner performance before and
after training and monitor progress through
support and intervention strategies?
99

● Documentation setting out activities, Evidence:
resources and individual learning plans for a
particular learner, for example:
○ training specification being supported
○ evidence of input from LLN specialists
○ range of learning support strategies
○ customised learning and assessment
materials
○ evaluation strategies for review and
continuous improvement of learning
program?

● Third party observations of the candidate with Evidence:
a range of real vocational learners?

● Documentation of the use of validated tools Evidence:
diagnosing the ACSF to determine LLN level?
● Analysing and annotating units of
competency to determine level of LLN tasks
required?
100

● records of LLN diagnostic testing ● performance review reports
● learner profiles ● professional development

participation.
● learning plans
● annotated units and resources □ Curriculum vitae:

● monitoring reports. ● formal qualifications – certificates,

101
What –
Where –
Where –
When –
When –

Who –
What –
Where –
When –
102
Competency conversation/Knowledge evidence
How do you incorporate LLN skills into your training and assessment practice?
What 2 documents form the basis of Foundation Skills?

What are the core skills in each of the documents?
Thinking about a qualification or other training that you deliver, what levels of each of the
ACSF core skills is required?
How did you identify the LLN requirements of the training specification?
What is the relationship between cultural and social issues and LLN levels?
How do you ensure that you communicate sensitively with people from different cultures or
socially disadvantaged people with low LLN levels?
What resources are available in your own organisation in relation to LLN assessment and
LLN support?
What techniques do you use to evaluate your own training and assessment practice?
What tools or other sources do you use to identify the LLN skills of learners?
Think of a time when you customised a learning resource for a target group focusing on LLN
support or assessment. What was the resource and what did you do?
Have you ever needed to seek advice or support from an LLN specialist? If so, explain the
situation. If not, what kinds of situations would you seek support of an LLN specialist and
how would you find a specialist?
103
TAELLN411 Third Party Verification Form
Name of Candidate
Telephone Email
own knowledge of the candidate’s work performance.
Some of the below criteria are relevant to an enterprise environment and some to working in
an RTO. Only tick the criteria that apply.
mapping
(assessor use)
☐
PE 1 Identifies and reports on the LLN requirements of qualifications, skill sets
PC 1.1 and/or units of competency, relating this to the core skills and levels in
PC 1.2
the Australian Core Skills Framework.
☐
PE 1 Identifies and reports on the LLN requirements of individuals and groups
PC 1.1 so as to meet the requirements of job roles, relating this to the core skills
PC 1.2
and levels in the Australian Core Skills Framework.
☐
PE 2 Conducts research and consults with stakeholders to identify the current
PC 1.3 LLN skills of individuals in the workplace.
☐
PE 2 Arranges for testing of prospective learners to identify their current LLN
PC 1.3 levels or uses the results of LLN tests to confirm learners will have the
ability to achieve the learning program.
☐
PE 3 Researches and accesses support materials to develop LLN skills.
PC 2.1
☐
PE 4-5 Reviews and, where necessary, customises instructional strategies and
104
PC 2.2-2.3 learning materials to incorporate development of LLN skills
☐
PE 6 Sources advice from LLN specialists as required.
PC 3.1-3.3
☐
PE 7 Conducts assessment of vocational (job or unit) competency,
PC 2.4 incorporating assessment of LLN skills relevant to the job or unit.
☐
PE 8 Regularly seeks feedback from colleagues, trainees and other
PC 4.1-4.3 stakeholders and uses this feedback to continuously improve their own
practice as a trainer/assessor.
that they address LLN requirements in their work role.
Signed Date
105

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TAE40116 Self-assessment tool Version 1, 2019

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia, January 2019

Some formatting in this document have been adapted from the

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia

Using the tool to demonstrate equivalence in an RPL process .......................... 1

Instructions for using this tool ............................................................................ 2

Personal information and declaration form ........................................................ 4

Quick Skill Scan ................................................................................................ 7

Portfolio of evidence form ................................................................................ 10

Core unit schedules

1. TAEASS401 Plan assessment activities and processes .................. 12

Competency conversation/Knowledge revision ...................................... 21

TAEASS401 Third Party Verification Form ............................................. 22

2. TAEASS402 Assess competence .................................................... 24

Competency conversation/Knowledge revision ...................................... 31

TAEASS402 Third Party Verification Form ............................................. 32

3. TAEASS403 Participate in assessment validation .......................... 35

Competency conversation/Knowledge revision ...................................... 42

TAEASS403 Third Party Verification Form ............................................. 43

4. TAEASS502 Design and develop assessment tools ....................... 45

Competency conversation/Knowledge revision ...................................... 54

Third Party Verification Form .................................................................. 55

5. TAEDEL401 Plan, organise and deliver group-based learning ........ 58

Competency conversation/Knowledge revision ...................................... 64

TAEDEL401 Third Party Verification Form ............................................. 65

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia

6. TAEDEL402 Plan, organise and facilitate learning in the

Competency conversation/Knowledge revision ...................................... 73

Third Party Verification Form .................................................................. 74

7. TAEDES401 Design and develop learning programs ....................... 76

Competency conversation/Knowledge revision ...................................... 84

Third Party Verification Form .................................................................. 85

8. TAEDES402 Use training packages and accredited courses to

Competency conversation/Knowledge revision .................................... 95

TAEDES402 Third Party Verification Form ............................................. 96

9. TAELLN411 Address adult language, literacy and numeracy

Competency conversation/Knowledge revision .................................... 103

TAELLN411 Third Party Verification Form ............................................ 104

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia

How to use this tool

Using the tool to demonstrate equivalence in an RPL

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia Page 1

Instructions for using this tool

authentic — proving that it was really produced by you or relates to you

reliable — including a range of evidence from a range of contexts

sufficient — covering all aspects of the relevant units of competency.

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia Page 2

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia Page 3

Complete the checklist below to tick off attachments:

□ Completed Portfolio of evidence form.

□ Attached portfolio of evidence.

□ Completed self-assessment questions for _____ units.

Signed ................................................................ Date .....................................

© Sea Eagle Publications/Sandy Welton/Commonwealth of Australia

1. Qualification you are seeking

Postal address if different from above

Telephone Numbers Home: Work:

4. Armed Forces details (If Applicable)