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Unit!301!Understanding!the!Principles!and!Practices!of!Assessment
Level:!3! Credit!value:!3!
!
!
This! unit! assesses! a! candidate! assessor’s! knowledge! of! the! principles! and! practices! of! assessment! in! a! learning! and! development!
context.!
!
Evidence!for!this!unit!could!take!the!form!of:!
!
• written!statements!or!answers!by!the!candidate!assessor!
• oral!statements!or!answers!by!the!candidate!assessor!
• discussions!between!the!candidate!assessor!and!their!own!assessor!
• assignments!
• projects!
!
Evidence(from(this(unit(could(also(be(mapped(to(units(302(and(303.(
!
! !

Document!Title! Version! Date! Owner! Page!

Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 1!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!

Unit!301:!Understanding!the!Principles!and!Practices!of!Assessment!
!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The!candidate!assessor!provides!evidence!that!they!understand:!
will:!
Understand!the!principles! 1.1! Explain! the! functions! of! The!roles!of:!
and!requirements!of! assessment! in! learning! and! !
assessment!! development! 1. initial!assessment!in!identifying!learner!needs!
2. formative!assessment!in!tracking!learner!progress!
3. summative!assessment!in!assessing!learner!achievement!

See!LO!1!above! 1.2!Define!the!key!concepts!and! The!following!key!concepts!and!principles:!

principles!of!assessment! !
1. assessment!as!a!process!of!making!judgments!of!learners’!knowledge,!skills!
and!competence!against!set!criteria!
2. what!is!meant!by!validity!and!reliability!
3. the!role!of!evidence!in!making!assessment!decisions!
4. what!is!meant!by!evidence!being!authentic,!sufficient!and!current!
5. the!importance!of!objectivity!and!fairness!to!learners!
6. the!importance!of!transparency!for!the!learner!
!
! !

Document!Title! Version! Date! Owner! Page!

Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 2!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor!will:! The!candidate!assessor!can:! The!candidate!assessor!provides!evidence!that!they!understand:!
See!LO!1!above! 1.3! Explain! the! responsibilities! of! The!following!assessor!responsibilities:!
the!assessor! !
1. understanding! and! applying! the! standards! and! requirements! they!
Holistic! assessment! for! 302! and!
are!working!to!!
303!
2. planning!assessments!to!meet!learner!needs!
Evidence! could! come! from! a! 3. communicating!assessment!requirements!to!learners!!
discussion! with! the! candidate! 4. carrying!out!assessments!
assessor! about! their! assessment! 5. comparing!evidence!with!set!standards!
activities.!
6. making!assessment!decisions!
7. recording!the!assessment!process!and!decisions!
8. providing!feedback!to!learners!
9. taking!part!in!standardisation!processes!
10. taking!part!in!continuing!professional!development!
See!LO!1!above! 1.4! Identify! the! regulations! and! The!general!requirements!for!the!assessments!they!are!responsible!for!
requirements! relevant! to! –!for!example,!those!of!the!awarding!organisation!or!regulatory!body!–!
assessment! in! own! area! of! and!the!key!source!documents.!
practice!
!
Holistic! assessment! for! 302! and! The! importance! of! complying! with! the! relevant! assessment! strategy! if!
303! assessing!a!qualification!

Evidence! could! come! from! a!

discussion! with! the! candidate!
assessor! about! the! requirements!
for! the! assessments! they! carry!
out.!
! !
Document!Title! Version! Date! Owner! Page!
Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 3!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The! candidate! assessor! provides! evidence! that! they!
will:! understand:!
2.!Understand!different! 2.1!Compare!the!strengths!and!limitations!of!a! The! strengths! and! weaknesses! of! four! different! assessment!
types!of!assessment!method!! range! of! assessment! methods! with! reference! methods!selected!from:!
to!the!needs!of!individual!learners! !
! 1. observation!of!performance!in!the!work!environment!
Holistic!assessment!for!302!and!303!
2. examining!products!of!work!
Evidence! could! come! from! a! discussion! with! 3. discussing!with!the!learner!
the! candidate! assessor! about! how! they! 4. use!of!others!(witness!testimony)!
minimized! risks! when! planning! the! 5. looking!at!learner!statements!
assessment!process.! 6. recognising!prior!learning!
7. assessments!in!simulated!environments!
8. skills!tests!
9. oral!and!written!questions!
10. assignments!!
11. projects!
12. case!studies!

! !

Document!Title! Version! Date! Owner! Page!

Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 4!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The! candidate! assessor! provides! evidence! that! they!
will:! understand:!
3.!Understand!how!to! 3.1! Summarise! key! factors! to! consider! when! The!following!factors:!
plan!assessment!! planning!assessment!
1. standards/criteria!to!be!used!
! Holistic!assessment!for!302!and!303! 2. types!and!volume!of!evidence!required!
3. choice!of!assessment!methods!
Evidence! could! come! from! a! discussion! with! the!
candidate! assessor! about! the! factors! they! have! 4. communication!with!learner!and!others!involved!
considered!when!planning!their!assessments.! 5. location!and!resources!
6. time!and!duration!of!assessment!
7. specific!learner!needs!and!any!support!required!
8. how!to!manage!the!assessment!process!
9. recording!assessment!processes!and!decisions!
10. feedback!to!learner!
11. the!importance!of!complying!with!the!relevant!assessment!
strategy!if!planning!the!assessment!of!a!qualification!
!
!
!
See!LO!3!above! 3.2! Evaluate! the! benefits! of! using! a! holistic! The!value!of!holistic!assessment!in:!
approach!to!assessment! !
1. efficient!evidence!collection!for!the!learner!and!assessor!
!!
2. evidence!that!can!be!used!for!more!than!one!unit!
3. identifying! how! the! learner! integrates! for! example,!
knowledge!and!understanding!into!their!practice!
!
!
Document!Title! Version! Date! Owner! Page!
Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 5!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The! candidate! assessor! provides! evidence! that! they!
will:! understand:!
See!LO!3!above! 3.3! Explain! how! to! plan! a! holistic! approach! to! How!to!plan!assessments!so!that!a!variety!of!required!evidence!
assessment! can!be!derived!from!one!assessment!occasion.!

Holistic!assessment!for!302!and!303!

Evidence! could! come! from! a! discussion! with! the!

candidate!assessor!about!how!they!have!planned!
assessments! to! make! the! most! efficient! use! of!
evidence!generation.!
See!LO!3!above! 3.4! Summarise! the! types! of! risks! that! may! be! The!following!risks;!
involved! in! assessment! in! own! area! of! 1. health!and!safety!
responsibility! 2. unrealistic/unnecessary!stress!on!the!learner!
3. inauthentic! evidence/! collusion/! unjustifiable! support! to!
Holistic!assessment!for!302!and!303!
the!learner!
Evidence! could! come! from! a! discussion! with! the! 4. over]assessment!
candidate! assessor! about! how! they! identified! 5. potential!for!unfairness!to!learner!
risks!when!planning!the!assessment!process.!
6. failing! to! meet! the! requirements! of! any! relevant!
!
assessment!strategy!if!assessing!a!qualification!
See!LO!3!above! 3.5! Explain! how! to! minimise! risks! through! the! How!to!manage!assessments!to!minimise!risks!associated!with:!
planning!process! !
1. health!and!safety!
Holistic!assessment!for!302!and!303!
2. learner!stress!
Evidence! could! come! from! a! discussion! with! the! 3. potential!for!inauthentic!evidence,!collusion,!
candidate! assessor! about! how! they! minimized! 4. unjustifiable!support!to!the!learner!
risks!when!planning!the!assessment!process.! 5. fairness!

! !
Document!Title! Version! Date! Owner! Page!
Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 6!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The! candidate! assessor! provides! evidence! that! they!
will:! understand:!
4.!Understand!how!to! 4.1! Explain! the! importance! of! involving! the! The!benefits!of!involving!learners!in!the!assessment!
involve!learners!and!others! learner!and!others!in!the!assessment!process! process:!
in!assessment!! 1. transparency! –! learner! understanding! the!
Holistic!assessment!for!302!and!303!
standards/criteria!they!are!being!assessed!made!
!
Evidence!could!come!from!a!discussion!with!the! 2. efficiency! –! learner! identifying! and! providing! evidence!
candidate!assessor!about!why!they!involved!the! themselves,!others!for!example!expert!witnesses!providing!
learner!and!others.! evidence!

See!LO!4!above! 4.2!Summarise!types!of!information!that!should! The!following!types!of!information:!

be! made! available! to! learners! and! others! 1. standards!and!criteria!for!the!assessment!
involved!in!the!assessment!process! 2. types!of!evidence!required!and!methods!to!be!used!
3. practical!arrangements!
!!
4. how!feedback!will!be!given!
5. use!of!assessment!outcomes!and!records!
See!LO!4!above! 4.3! Explain! how! peer! and! self]assessment! can! The!benefits!of!the!learner!and!others!contributing!to!formative!
be! used! effectively! to! promote! learner! assessment! and! therefore! advising! on! when! summative!
involvement! and! personal! responsibility! in! the! assessment! might! be! appropriate.! The! benefits! of! the! learner!
assessment!of!learning! developing! a! sense! of! ownership! over! the! learning! and!
assessment!process.!
See!LO!4!above! 4.4! Explain! how! assessment! arrangements! can! Examples! of! how! assessment! arrangements! may! need! to! be!
be! adapted! to! meet! the! needs! of! individual! adapted!to!meet:!
learners! 1. language!requirements!
2. cultural!or!religious!requirements!
!
3. physical!disabilities!
4. particular!learning!needs!
5. working!patterns!
Document!Title! Version! Date! Owner! Page!
Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 7!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate! The!candidate!assessor!can:! The!candidate!assessor!provides!evidence!that!they!understand:!
assessor!will:!

5.!Understand!how!to! 5.1!Explain!how!to!judge!whether! How! to! use! e.g.! in]house! and/or! awarding! organisation! guidelines! to!
make!assessment! evidence!is:!sufficient,!authentic,!current! ensure!evidence!meets!requirements.!
decisions!!

See!LO!5!above! 5.2!Explain!how!to!ensure!that!assessment! How!to:!

decisions!are:!made!against!specified! !
criteria,!valid,!reliable,!fair! 1. interpret!assessment!standards/criteria!correctly!
2. match! and! measure! evidence! against! assessment!
Holistic!assessment!for!302!and!303!
standards/criteria!
Evidence!could!come!from!a!discussion! 3. ensure!that!consistent!judgments!are!being!made!in!own!practice!
with!the!candidate!assessor!about!how! and!liaise!with!other!assessors!and!verifiers!to!ensure!reliability!
they!made!assessment!decisions! 4. consider!any!possibility!that!individual!learners!are!being!treated!
differently!to!others!in!the!assessment!process.!
!
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Document!Title! Version! Date! Owner! Page!

Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 8!

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Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The! candidate! assessor! provides! evidence! that! they!
will:! understand:!
6.!Understand!own! 6.1! Evaluate! the! importance! of! quality! assurance! The!importance!of!quality!assurance!in!terms!of:!
contribution!to!the! in!the!assessment!process! !
quality!assurance!of! 1. ensuring!the!reliability!of!assessment!decisions!
assessment!! !
2. fairness!to!individual!learners!
3. upholding! the! credibility! of! assessment! processes! and!
!
decisions!!
4. ensuring!consistency!
!
See!LO!6!above! 6.2! Summarise! quality! assurance! and! Typical! quality! assurance! and! standardisation! processes!
standardization! procedures! in! own! area! of! relevant!to!own!area!of!practice!or!interest.!
practice!

Holistic!assessment!for!302!and!303!

Evidence! could! come! from! a! discussion! with! the!

candidate! assessor! about! why! the! quality!
assurance!and!standardization!processes!relevant!
to!their!own!practice!

See!LO!6!above! 6.3! Summarise! the! procedures! to! follow! when! Appeals!procedures!relevant!to!own!area!of!practice!or!interest.!

there!are!disputes!concerning!assessment!in!own!
area!of!practice!!

! !

Document!Title! Version! Date! Owner! Page!

Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 9!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The! candidate! assessor! provides! evidence! that! they!
will:! understand:!
7.!Understand!how!to! 7.1! Explain! the! importance! of! following! The! importance! of! the! candidate! assessor! completing! and!
manage!information! procedures!for!the!management!of! storing!assessment!records!in!order!to:!
relating!to!assessment!of! information!relating!to!assessment! !
occupational! 1. provide!accurate!information!on!learner!achievement!
competence!! 2. contribute! to! quality! assurance! and! standardisation!
processes!
!
3. provide! a! basis! for! feedback! to! the! learner! and! review!
learner!progress!
4. make!available!information!in!the!event!of!appeals!
!
See!LO!7!above! 7.2! Explain! how! feedback! and! questioning! How!feedback!to!the!learner!and!others!assists!transparency!of!
contributes!to!the! the!assessment!process!and!assists!learner!progression.!
assessment!process!

Holistic!assessment!for!302!and!303!

Evidence! could! come! from! a! discussion! with! the!

candidate! assessor! about! why! they! provided!
feedback!to!the!learner.!

! !

Document!Title! Version! Date! Owner! Page!

Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 10!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning!Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The! candidate! assessor! provides! evidence! that! they!
will:! understand:!
8.!Understand!the!legal! 8.1!Explain!legal!issues,! Legal! requirements! and! the! policies! and! procedures! of! own!
and!good!practice! policies!and!procedures!relevant!to! organisation!and!awarding!organisation!concerning:!
requirements!in!relation! assessment,!including!those!for! !
to!assessment!! confidentiality,!health,!safety!and!welfare! 1. health!and!safety,!including!learner!emotional!welfare!
! 2. confidentiality!
! Holistic!assessment!for!302!and!303! 3. transparency!
Evidence!could!come!from!a!discussion!with!the! 4. record!keeping!
candidate! assessor! about! legal,! organizational! 5. equal!opportunities!and!diversity!
and! awarding! organization! policies! and! 6. compliance! with! the! relevant! assessment! strategy! if!
procedures!that!govern!their!practice.! assessing!a!qualification!
See!LO!8!above! 8.2!Explain!the!contribution!that!technology!can! How! technology! can! be! used! to! enhance! the! assessment!
make!to!the! process:!
assessment!process! !
1. video!evidence!of!skills/performance!
Holistic!assessment!for!302!and!303!
2. recording!of!oral!evidence!
Evidence!could!come!from!a!discussion!with!the! 3. paperless!portfolio!
candidate! assessor! about! how! they! used! 4. computer]based/on]line!testing!
technology!to!enhance!the!assessment!process.! !
!
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Document!Title! Version! Date! Owner! Page!

Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 11!

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 !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
Learning! Outcomes! Assessment!Criteria! Evidence!Guidelines!
The!candidate!assessor! The!candidate!assessor!can:! The! candidate! assessor! provides! evidence! that! they!
will:! understand:!
See!LO!8!above! 8.3!evaluate!requirements! How!legal!and!best!practice!requirements!may!have!implications!
for!equality!and!diversity!and,!where! for!the!assessment!process!in!regard!to:!
appropriate,!bilingualism!in!relation! !
to!assessment!! 1. gender!
2. disability!
Holistic!assessment!for!302!and!303!
3. race/culture/religion!
Evidence!could!come!from!a!discussion!with!the! 4. language!
candidate!assessor!about!how!they!took!account!
of! equality,! diversity! and! bilingual! requirements!
that!affect!the!assessment!process.!
See!LO!8!above! 8.4! Explain! the! value! of! reflective! practice! and! How!the!assessor!must:!
continuing! professional! development! in! the! 1. continuously!reflect!on!their!assessment!practice!and!ensure!
assessment!process! it! meets! legal,! organisational! and! awarding! body!
! requirements!
Holistic!assessment!for!302!and!303!
2. learn!lessons!from!their!assessment!practice,!
Evidence!could!come!from!a!discussion!with!the! 3. interactions! with! learners,! other! assessors! and! those!
candidate! assessor! about! how! they! reflect! on! involved! in! the! quality! assurance! and! standardisation!
their! assessment! practice! and! maintain! their! processes!and!improve!what!they!do!
occupational!and!assessment!expertise.! 4. maintain! their! occupational! expertise! by! keeping! up! with!
changes! in! technology,! working! practices! and! standards! in!
their!sector!
5. maintain! their! expertise! in! assessment! by! keeping! up]to]
date! with! new! assessment! standards,! requirements! and!
methods!
!
Document!Title! Version! Date! Owner! Page!
Assessor!Unit!Standards:!301,!302!&!303! V02! 26.02.17! UAE!Academy! 12!