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Validation and Moderation of Assessment (TAFE) Procedure

Policy Code: LT1505

Purpose
Scope
Principles
Definitions
Actions
Managing the assessment validation and moderation process
Conducting assessment validation and moderation
Responsibilities
Policy Base
Associated Documents
Forms/Record Keeping
Implementation

Purpose

This procedure describes the process for the validation and moderation of assessment for Vocational Education and Training (VET) qualifications delivered by University of Ballarat, or on its behalf.

This procedure will support compliance to the Australian Quality Training Framework (AQTF), the Victorian Registration Qualification Authority (VRQA) VET Guidelines, and the University's Quality Management System. It provides the framework for the University to quality assure assessment methods, processes, tools, and judgements.

Scope

This procedure is to be applied to all VET programs offered by the University of Ballarat, irrespective of delivery mode or location. This includes programs delivered by partner providers on behalf of the University.

Principles

The National Quality Councils 2009 Code of practice for validation and moderation states that the following principles should underpin validation and/or moderation within the VET sector.

Transparent:

The purpose, process and implications of validation and/or moderation should be transparent to all relevant stakeholders.

This principle can be enhanced if:

  • It is made explicit to assessors the purpose, approach and potential outcomes;
  • The approach to be implemented is clearly delineated and communicated to relevant stakeholders; and
  • The justification for the outcomes recommended (validation) and/or imposed (moderation) are clearly documented and made available to assessors.
Representative:

It is not possible or necessary to validate and/or moderate every possible assessment tool or piece of candidate evidence within an RTO at one time. A representative sample should therefore be used to validate and moderate assessment tools and judgements.

A properly selected representative sample can identify any issues with assessment practices and decisions.

This principle can be enhanced if:

  • A sampling framework is designed in which risk indicators are identified that may impact on the assessment process and/or outcomes, and such indicators are targeted for selection; and
  • There is an element of random selection.
Confidential:

Information regarding individuals (i.e. assessors and candidates) and providers must be treated with sensitivity and discretion. Confidentiality should be observed in relation to the identity of the assessors (i.e. those who developed the assessment tools and/or made the judgements) and candidates (i.e. those whose evidence is submitted in the process).

This allows the validation and/or moderation process to focus on the quality of the assessment tools and the assessment judgements rather than the individuals involved.

This principle can be enhanced if:

  • De-identified samples of candidates’ work and assessors’ tools are used; and
  • The outcomes of the process are given in a private, supportive environment.
Educative:

Validation and/or moderation should form an integral rather than separate part of the assessment process. It should provide constructive feedback, which leads to continuous improvement across the organisation.

This principle can be enhanced if:

  • The process is supportive and positive for assessors, validators and/or moderators;
  • The process and outcomes provide the basis for individuals as well as organisations to monitor and reflect on their own practice;
  • The rationales behind recommendations for alterations and/or adjustments are made explicit to assessors;
  • Recommendations for improvement to the assessment tool and/or decision making process are succinct, constructive and explicit; and
  • Professional development support is available for assessors.
Equitable:

Validation and/or moderation must be demonstrably fair, equitably applied and unbiased.

This principle can be enhanced if:

  • There are clear and effective policies and mechanisms for the appeal or review of moderation outcomes by key stakeholders, in circumstances in which an appeal or review is appropriate; and
  • Confidentiality of evidence can be assured.
  • The process is sensitive to assessor and candidate diversity and has no inherent biases.
Tolerable:

Any assessment includes a margin of error. The way in which evidence is gathered and interpreted against the standards will vary. The challenge is to limit the variation to acceptable proportions. Validation and/or moderation enables the variation to be identified and limited to what is tolerable.

This principle can be enhanced if:

  • Benchmark samples of borderline cases are used as points of reference;
  • Exemplar tools are made available to assessors as well as validators/moderators; and
  • A risk assessment has been undertaken of the implications of a false positive judgement (i.e. assessing someone as competent when in actual fact they are not yet competent) and a false negative judgement (i.e. assessing someone as not yet competent when in actual fact the person is competent).
External Parties Validation of assessment should include external parties (VRQA Guidelines 2010).  It can be carried out by teachers from the University, with other Registered Training Organisations, and/or with industry representatives.

Definitions

Assessment:

The process of collecting evidence and making judgements onwhether competency has been achieved, to confirm that an individual can perform to the standard expected in the workplace, as expressed by the relevant endorsed industry/enterprise competency standards of a Training Package or by the learning outcomes of an accredited course.

Source: Australian Quality Training Framework (AQTF updated in 2010)
Assessment tool:

Assessment tools provide a means of collecting the evidence that assessors use to make judgments about whether students have achieved competency. An assessment tool includes the following components:

  • the context and conditions for the assessment;
  • the tasks to be completed by the student;
  • an outline of the evidence to be gathered from the student;
  • the assessment criteria used to judge the quality of performance; and
  • administration, recording and reporting requirements.

Source: Australian Quality Training Framework (AQTF updated in 2010)
External Parties:

All people except those employed by the University to deliver and assess any units of competency from any of the qualifications in the Training Package or curriculum being moderated/ validated are considered to be external parties.

Source: VRQA Guidelines 2010
Moderation of assessment:

Moderation is the process of bringing assessment judgements and standards into alignment. It is a process that ensures the same standards are applied to all assessment results within the same units.

It is an active process in the sense that adjustments to assessor judgements are made to overcome differences in the difficulty of the tool and/or the severity of judgements.

Source: Australian Quality Training Framework (AQTF updated in 2010)
Unit outline: Document provided to students to identify elements, required skills and knowledge, critical aspects of evidence, delivery schedule and assessment requirements for a unit.
Validation of assessment:

Validation is a quality review process. It involves checking that the assessment tool produced valid, reliable, sufficient, current and authentic evidence to enable reasonable judgements to be made as to whether the requirements of the relevant aspects of the Training Package or accredited course have been met. It includes reviewing and making recommendations for future improvements to the assessment tool, process and/or outcomes.

Source: Australian Quality Training Framework (AQTF updated in 2010)

Actions

At the University of Ballarat validation of assessment is part of the quality review process with the outcomes informing the development and review of assessment tools.  Moderation of assessment is a quality control process and is applied to programs using graded assessment (grading category one) to ensure the same grading standards are applied within the unit.

Validation may occur before, during or after the assessment activity

Validation before assessment takes place concentrates on:

  • the interpretation of the unit(s) of competency
  • the development of a common understanding of the standard to be achieved, what the competent person would look like
  • the assessment strategy, the overall design of the assessment process, including types of assessments to be used, location, number of assessments
  • assessment tools and the evidence guides
  • the benchmarks against which learner performance is to be assessed

Validation during assessment

  • the actual performance being undertaken by a learner
  • the assessment process and the role of the assessor

Validation after assessment

  • the effectiveness of the assessment tool and the assessment process
  • the standard of performance achieved
  • the validity of the evidence collected
  • reporting and record keeping
  • the accuracy and consistency of the assessment judgements/ decisions that has been made (moderation)

Moderation occurs after the assessment takes place and focuses on the judgements made by assessors to ensure that the same standards are applied to all assessment results within the same units, regardless of delivery mode or location.  Moderation of assessment must be undertaken in qualifications using graded assessment (grading category 1).

Managing the assessment validation and moderation process

  STEPS

WHO IS

RESPONSIBLE?

 COMMENTS
1.      Establish Assessment Validation Schedule Head of Department

Schedule should identify all units delivered in the Department, delivery location and qualification.

See Assessment Validation Schedule
2.      Identify units to be validated for the year Head of Department  
3.      Identify parties to be involved in assessment validated and moderated Head of Department Internal and external parties must be involved in activities. This may include teaching staff, students, industry representatives, vocational and assessment specialists, professional association representatives, teacher networks, or other appropriate stakeholders.
4.      Inform staff of assessment validation requirements Head of Department  
5.      Review validation schedule Head of Department Schedule should be updated each year taking into account the outcomes of assessment validation and moderation activities.
6.      Establish moderation processes for programs using graded assessment Head of Department  
7.      Inform staff of moderation requirements Head of Department  
8.      Review moderation outcomes Head of Department  

Conducting assessment validation and moderation

  STEPS

WHO IS

RESPONSIBLE?

 COMMENTS
1.      Complete unit outline Teacher Unit Outline included in the Assessment Tool Template (VET)
2.      Develop/review assessment tool Teacher Refer to Assessment Tool Template (VET)
3.      Participate in validation activities as directed by Head of Department Teacher  
4.      Update assessment tool Teacher Record changes in 'Validation Summary and Version Control' table in Instructions for Teachers section of the Assessment Tool Template (VET)
5.      Participate in moderation activities as directed Teacher  

Responsibilities

  • Chair, Academic Board
  • Specific responsibilities for action are included under Action section

Policy Base

  • Australian Quality Training Framework (AQTF updated in 2010)
  • Australian Qualifications Framework (AQF)
  • VRQA Guidelines for VET Providers
  • UB Assessment Policy

Associated Documents

Forms

Forms/Record Keeping

Title Location Responsible Officer Minimum Retention Period
Validation of Assessment Schedule Department Head of Department On going for validation cycle

Assessment tool

includes:

  • Unit Outline
  • Instructions to Teachers
  • Assessment Task(s)
  • Submission Cover Sheet
  • Feedback Template
  • Cumulative Assessment Record
  • Model Answers
 Department Head of Department 2 years

Implementation

The Validation and Moderation of Assessment (TAFE) Procedure will be implemented throughout the University of Ballarat via:

  1. An Announcement Notice under ‘UB Communicate’ on the ‘myUB Gateway’ website and through the University of Ballarat Policy - ‘Recently Approved Documents’ webpage to alert the University-wide community of the approved Procedure;
  2. Inclusion on the University of Ballarat Policy, Procedure and Forms website.
  3. Once approved, Teachers/Assessors will be offered training on the Validation and Moderation of Assessment (TAFE) Procedure via the TAFE Development Unit
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