What is Validation and why do RTOs need to complete the Process?

What do you
mean I have
to validate?
T
here have been countless
articles written and research
conducted on the subject of
validation in VET, but many RTOs
still fail to understand the concept.
AS/NZS ISO 9001:2008 states: ‘validation
shall demonstrate the ability of processes to
achieve planned results.’ For RTOs, this means
they must gather, interpret and evaluate tools
against the unit of competency to ensure
the validity, reliability, fairness, flexibility
and effectiveness of their assessment
methods, tools, procedures and decisions.
Although the latest version of the
AQTF standards (under element 1.5)
places a clearer emphasis on assessment
validation the process should already
be an integral part to maintaining a
quality-focused educational business.
The intent of this article is to reinforce
the importance of completing assessment
validation, as well as offering a review
of the process with some additional
recommendations and tips.
Not just a ‘tick the box’ activity
Validation is a quality assurance / review
process to be completed by a panel of
professionals made up of trainers, assessors
and RTO training managers as well as industry
representatives and associated stakeholders.
It provides for a holistic review of the
assessment process; looking at assessment
tools, methods, evidence requirements,
the judgements made by assessors and
the consistency of these assessments.
If the validation process is planned
and actioned correctly, the outcome will
clearly identify whether the assessment
tools meet all components of the training
package or accredited course. This will
ensure only candidates who hold the
requisite skills and knowledge are certified
as competent in their chosen vocation.
If the validation reveals a failure to
meet the relevant requirements for a
particular unit of competency, the RTO will
need to further analyse the findings and
recommendations, document the proposed
improvement actions, assign someone to be
responsible for these actions and provide
a completion date. After this, a further
review and close out can be completed.
The standards and guidelines
The Users Guide to the Essential Conditions
and Standards for Continuing / Initial
Registration states ‘assessment must be
systematically validated and improved’. It is
recommended that validation is completed
before, during and after assessment.
Tip 1: There are also state guidelines (e.g.
VRQA Guidelines, et al) with compliance
levels above and beyond AQTF. RTOs
should make themselves familiar with the
standards that apply to their particular
State and/or Territory of operation.
Preliminary research – engaging
with industry
The RTO needs to design the assessment
processes, methods and tools to be used
prior to placing a course on scope. In this
pre-scope phase, the RTO should consult
industry representatives to establish what
they see as being the most important and
pressing qualification requirements. Target
groups may include respective industry
skills councils, industry associations, and
employee representative organisations.
A one or two-page questionnaire could be
used to gather data (see sample questions
below) and ensure that the RTO has the
necessary information to design appropriate
processes, methods and tools for assessment.
Sample questions
• What in your view is a reliable
approach to assessment?
• Is there a need for more suitably qualified
people in this industry? If so, can you
identify specific qualification requirements?
• What qualifications do you consider
new entrants to your industry should
have, but may be currently missing?
• Is there a high dropout rate for
workers in this business sector? If
yes, why do you believe this is so?
• Can you describe your ideal
candidate for employment?
• What are the skills, knowledge and standard
of performance required in your workplace?
Planning the validation
There is a proverb that says ‘he who fails
to plan, plans to fail’. It is particularly
important that the RTO develops and
implements a comprehensive action plan
for validation throughout the year.
The validation plan should include details
of validation facilitator, panel members
(internal and external), peer reviewer,
proposed meeting dates and times and
the qualification/units for validation. This
plan should be placed in a register and
signed/dated by an appropriate manager.
(Note: Meetings of the validation
panel may take between two and eight
hours depending on complexity of
qualification and tools developed.)
Tip 2: Many RTOs have excellent
policies and procedures on validation.
However, often there is little or no
action to implement the process.
Many RTOs have excellent policies
and procedures on validation.
However, often there is little or no
action to implement the process.

It is imperative that any validation
process is not only documented,
but it is actioned as well.
Conducting a professional
development workshop
It is advisable to undertake a training needs
analysis of your trainers/assessors to ascertain
their level of understanding of the validation
process and assessment tools. While this is
covered in the TAA qualification, it is important
to conduct regular reviews to identify gaps
and promote knowledge retention.
If gaps in knowledge are uncovered
then the RTO is advised to develop a
short in-house workshop on validation.
Preparing for the validation
session
Validation session preparation is all about
communication, understanding and
collaboration with stakeholders. Prior to the
validation session, the RTO should provide
the panel with an agenda including details
of timelines and activities. It is advisable to
provide pre-reading materials including:
• assessment tool details
• study outlines
• conditions of assessment.
It is also important to explain
how the validation process will be
conducted, with details of:
• validation activities
• units of competency to be validated
• copies of evidence guides
• rules of judgement
• exemplar responses
• complaints and appeals policy.
Providing this information in advance
will ensure that the members of
the validation team are fully briefed
and prepared for the exercise.
Tip 3: Allow at least two weeks for
members to review the materials.
Tip 4: Trainers/assessors should be assigned
an assessment activity. This will help
determine the effectiveness of the assessment
tool(s) prior to the validation session.
The validation session
It is a good idea to split the validation panel
team members into two groups — one
comprising of industry representatives
and the other comprising of trainers/
assessors. This approach allows the
question bank used for external panel
members to focus primarily on industry
questions; while the questions for internal
panel members can cover all areas.
Activity one
Review the unit of competency (training
package) with respect to each assessment
tool. Particular focus should be given
to the following key elements:
• unit descriptor
• evidence guide
• performance criteria
• required skills and knowledge
• employability skills
• assessment methods.
Ask the validation panel to formally comment
on whether the assessment tool(s) have fully
covered the training package requirements.
Activity two
Discuss and record answers to the following
questions (note: these are provided as a
sample only and this list is not exhaustive).
1. Are instructions provided to
assessors and candidates clear,
unambiguous and consistent?
2. Is the level of difficulty of the
activity appropriate to the
competency being assessed?
3. Are the assessment activities based
on the workplace and resemble
realistic tasks/functions?
4. How does the assessment tool
collect the evidence necessary to
make the best judgements?
5. Where are the ‘employability’ skills and
associated key competencies covered?
6. Has the range of situations and
vocational settings to which
the unit applies been met?
7. How does the assessment tool map
to the methods of assessment?
8. Where are the essential skills and
knowledge used in the assessment tool?
9. What evidence is required from the
candidate and how is it gathered?
10. What are the administration, recording
and reporting requirements?
11. Is the learning and assessment strategy
consistent with the assessment tools?
12. How are assessment tools adjusted to
meet the needs of all candidates?
13. Does the assessment tool measure
and meet needs of industry?
14. Is the assessment tool appropriate
for the target group?
15. Is the tool appropriate and justified to
judge whether the candidate is deemed
competent or not yet competent?
16. Are candidates provided full details
regarding the assessment processes,
procedures, assessment criteria,
when feedback on assessment is
provided and the complaints or appeal
process for assessment decisions?
17. How have the language,
literacy and numeracy needs of
candidates been catered for?
18. What benchmarking process was
completed with other RTOs?
Summary
Validation is a simple and yet very
powerful process to enable RTOs to
assess whether they are meeting the
requirements of the respective training
package or accredited course, the needs
of the associated stakeholders, as well
as statutory compliance requirements.
The outcome of a quality validation
process will be to ensure that the RTO
has the appropriate working tools to
enable assessors to make appropriate
judgements, thereby ensuring that only
candidates with the specific skills and
knowledge will be certified as competent
for a particular training package.
Ray has over 20 years of
experience in both the
education and commercial
sectors. He ran his own RTO
for several years, worked in
public and private sector,
with positions from Training
Manager to CEO. He assists
RTOs with compliance/
quality development. Ray is
a qualified auditor, member
of ACPET, AFAIM and ATEM.
ray@skyneteducation.com.au

What is Validation and why do RTOs need to complete the Process?

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What is Validation and why do RTOs need to complete the Process?