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M.74SPS03.088.2/TAEASS401A:
Plan Assessment Activities And
Processes
Prepared By: Dr. Ir. Surono M.Phil
For Assessor Training Program for The Development of
Cross National Guidelines for HR Qualification and Skills
Recognition among ASEAN Economies
2021

Normative references
• M.74SPS03.088.2 & TAEASS401A:
Plan assessment activities and
processes
• Handbook of ASEAN MRA-TP,
2018.
• Guidelines for the ASEAN MRA-
TP Trainers and Assessors.
• ASEAN Assessment (AM) Tool Box

IG: Participants (A) are employable to be an Assessor of Competency as ASEAN
Standard (C) within five dimension of competency (D)
↑
IG-SUBORDINAT1: Participants are able to
plan assessment activities and process as
its context with three times experiences.
↑
IG-SUBORDINAT1: Participants are able to assess
competence as its context with three times experiences.
↑
IG-SUBORDINAT1: Participants are able to
contribute to assessment validation as its
context within three times experiences.
↑
PO 4: Participants are able toDevelop the
assessment instruments
↑
PO 6: Participants are able to Review the assessment
process
↑
PO 3: Participants are able to Contribute
to validation outcomes
↑
PO 3:Participants are able to Identify
modification and contextualisation
requirements
↑
PO 5: Participants are able to Record and report the
assessment decision
↑
PO 2: Participants are able to Participate
in the validation of assessment tools
↑
PO 2:Participants are able to Prepare the
assessment plan
↑
PO 4: Participants are able to Make the assessment
decision
↑
PO 1: Participants are able to Prepare for
validation
↑
PO 1: Participants are able to determine
the assessment approach
↑
PO 3: Participants are able to Support the candidate
↑
PO 2: Participants are able to Gather quality evidence
↑
PO 1: Participants are able to Prepare for the assessment
INSTRUCTIONAL GOALS

Dimensions of competency
Undertaking the specific task/s required to complete a work activity to the
required standard. This means being able to perform the individual actions as
well as the whole task.
Task Skill
Managing a number of different tasks to complete a whole work activity. This
means working efficiently to meet deadlines, handle a sequence of
interrelated tasks, and progress smoothly between tasks.
Task Management
Skills
• Responding to problems and irregularities when undertaking a work activity,
such as: breakdown, schanges in routine, unexpected or atypical results or
outcomes, difficult or dissatisfied clients
Contingency
Management
Skills
• Dealing with the responsibilities and expectations of the work environment when
undertaking a work activity, such as:working with others, interacting with clients and
suppliers, complying with standard operating procedures, observing enterprise policy and
procedures
Job/Role
Environment
Skills
• having the capacity to transfer skills and knowledge to
other contexts.
Transfer Skills

Employability Skills
• Communication
• Teamwork
• problem solving
• initiative and enterprise
• planning and organising
• self-management
• Learning
• technology.
Reffer to: generic skills, capabilities or Key Competencies.
Employability Skills are not a discrete requirement contained in units of competency.
Employability Skills are specifically expressed in the context of the work outcomes described in units of
competency and will appear in elements, performance criteria, range statements and evidence guides.

Competency Based Assessment (CBA)
• the process of identifying a
participants current knowledge,
skills and attitudes sets against
all elements of competency
within a unit of competency.
• Competency based assessment
is aimed at compiling a list of
evidence that shows that a
person is competent in a
particular unit of competency.
• à criterion referenced or
standards-based assessment.
qCriterion referenced
qEvidence-based
qParticipatory

Code of practice for assessors
© ASEAN 2013 Assessor Manual
Code of Practice provides:
•Assessors with direction on the standard of practice expected of them
•Candidates with assurance of the standards of practice expected of assessors
•Employers with assurance of the standards maintained in the conduct of assessment.
The Code detailed below is based on the International Code of Ethics and Practice (The National Council for Measurement in Education [NCME]):
•The differing needs and requirements of the person being assessed, the local enterprise and/or industry are identified and handled with sensitivity
•Potential forms of conflict of interest in the assessment process and/or outcomes are identified and appropriate referrals are made, if necessary
•All forms of harassment are avoided throughout the planning, conducting, reviewing and reporting of the assessment outcomes
•The rights of the candidate are protected during and after the assessment
•Personal and interpersonal factors that are not relevant to the assessment of competency must not influence the assessment outcomes
•The candidate is made aware of rights and process of appeal
•Evidence that is gathered during the assessment is verified for validity, reliability, authenticity, sufficiency and currency
•Assessment decisions are based on available evidence that can be produced and verified by another assessor
•Assessments are conducted within the boundaries of the assessment system policies and procedures
•Formal agreement is obtained from both the candidate and the assessor that the assessment was carried out in accordance with agreed procedures
•The candidate is informed of all assessment reporting processes prior to the assessment
•The candidate is informed of all known potential consequences of decisions arising from an assessment, prior to the assessment
•Confidentiality is maintained regarding assessment results
•The assessment results are used consistently with the purposes explained to the candidate
•Opportunities are created for technical assistance in planning, conducting and reviewing assessment procedures and outcomes.

Conceptual Framework
ASEAN
MRA
NQF
AQRF
Recognition of
qualifications
Development of
qualifications
Harmonizaation
of qualifications
MOBILITY OF
PROFESSIONALS
COMPETITIVENESS
OF ASEAN
PROFESSIONALS
AQRF Framework Concept

PLAN ASSESSMENT ACTIVITIES AND PROCESSES

PLANNING OF ASSESSMENT ACTIVITIES
AND PROCESS

STEPS FOR PLANNING OF ASSESSMENT
ACTIVITIES AND PROCESS
Determine
Assessment
Approach
1
Prepare The
Assessment Plan
2
Identify
Modification And
Contextualisation
Requirements
3
Develop
Assessment
Instruments
4

Integrity of
assessment
decisions
The Principles of
assessment is:
valid;
reliable;
flexible; and
fair.
Evidence is:
• Valid;
• Authentic
• Current
• Sufficient; .
Validation processes
have been used, such
as:
• iinternal assessor
meetings;
• moderation;
• participation in industry
forums;
• Appropriate
arrangements for
auspiced assessments;
and
• appropriate records.
Assessment
procedures and
decisions are
recorded, reviewed
and improved.
The evidence accurately
reflects:
• the requirements of the
unit(s) of competency;
• advice in the range
statement;
• real workplace
requirements;
• all four dimensions of
competency;
• employability skills; and
• appropriate NQF
alignment.
Assessment reflects
Workplace
requirements.
Factors maximizing the integrity of assessment decisions

1. DETERMINE ASSESSMENT APPROACH
1.1. Identify candidate and confirm purposes and context of
assessment/RPL with relevant people according to legal,
organisational and ethical requirements
1.2. Identify and access benchmarks for assessment/RPL and any
specific assessment guidelines

1.1.Identify candidate and confirm purposes and context of
assessment/RPL with relevant people according to legal,
organisational and ethical requirements
Candidate:
–Results of training
and/or education
–Experience worker
–Self training/learning

Purposes of assessment/RPL
RECOGNISING CURRENT
EXISTING COMPETENCE OF
CANDIDATES (RCC)
DETERMINING IF
COMPETENCE HAS BEEN
ACHIEVED FOLLOWING
LEARNING (RESULT OF
LEARNING PROCESS)
ESTABLISHING CANDIDATE
PROGRESS TOWARDS
ACHIEVEMENT OF
COMPETENCE (RPL)
DETERMINING LANGUAGE,
LITERACY AND NUMERACY
NEEDS OF CANDIDATES
CERTIFYING COMPETENCE
THROUGH A QUALIFICATION
OR STATEMENT OF
ATTAINMENT
LICENSING OR REGULATORY
REQUIREMENTS.

Context of assessment/ RPL
• environment in which the
assessment/RPL will be carried out,
including real or simulated workplace
• opportunities for collecting evidence in a
number of situations
• relationships between competency
standards and:
– evidence to support RPL
– work activities in the candidate's
workplace
– learning activities
• who carries out the assessment/RPL.

Legal, organisational and ethical
requirements
• assessment system policies and procedures
• assessment strategy requirements
• reporting, recording and retrieval systems for assessment, including RPL
• quality assurance systems
• business and performance plans
• access and equity policies and procedures
• collaborative and partnership arrangements
• defined resource parameters
• mutual recognition arrangements
• industrial relations systems and processes, awards, and enterprise agreements
• Australian Quality Training Framework
• registration scope
• human resources policies and procedures
• legal requirements, including:
– anti-discrimination
– equal employment opportunity
– job role, responsibilities and conditions
• relevant industry codes of practice
• confidentiality and privacy requirements
• OHS considerations, including:
• ensuring OHS requirements are adhered to during the assessment process
• identifying and reporting OHS hazards and concerns to relevant personnel.

Relevan people to be
confirmed
Certification manager of PCB (Professional
Certification Body)/AB (Awarding Body)
Master Assessor/Master Trainer/Lead
Assessor of competency
Training manager of ATO (Accreditation
Training Organization)/RTO (Registered
Training Organization
Others: ?

1.2.Identify and access benchmarks for assessment/RPL and
any specific assessment guidelines
• criterion against which the candidate is assessed or prior learning recognised,
which may be:
• competency standard/unit of competency
• assessment criteria of course curricula
• performance specifications of an enterprise or industry
• product specifications.
benchmarks for assessment/RPL
• Enterprise specifications
any specific assessment guidelines:

FR-PAAP-01. PLAN OF ASSESSMENT ACTIVITIES AND PROCESSES
DIRECT EVIDENCE
Certification Standards/
Certification Scheme:
Code of Scheme:
Job index number:
1. Assessment Approach
1.1. Candidate Results of training and/or education:
Experience worker
Self training/learning
Purposes of
Assessment
Certifi
cation
RCC RPL
Results of training/
learning process
Others:
Context of
Assessment:
Environment Real workplace simulated workplace
Opportunities for
collecting evidence in a
number of situations
Available Limited
relationships between
competency standards
and:
evidence to support assessment/RPL: ! " #
work activities in the candidate's workplace: ! " #
learning activities: ! " #
who carries out the
assessment/RPL
By Certification Body
By Training Organization
By enterprise assessor
Relevant people to be
confirmed
Certification manager of PCB/AB
Master Assessor/Master Trainer/Lead Assessor of competency
Training manager of ATO/RTO
Others:
1.2 benchmarks for
assessment
Competency standard:
assessment criteria of course curricula:
performance specifications of an enterprise or industry:
product specifications:
Specific guidelines:
Excersice 1.
Determine
assessment
approach !

2. PREPARE THE ASSESSMENT PLAN
2.1. Determine
evidence and types of
evidence needed to
demonstrate competence,
according to the rules of
evidence
1
2.2. Select assessment
methods which will support
the collection of defined
evidence, taking into
account the context in
which the assessment will
take place
2
2.3. Document all
aspects of the assessment
plan and confirm with
relevant personnel
3

Excersice 2. Develop assessment plan !
2. Assessment Plan
Units of Competency
Evidence
(Products, records,
and/or others)
identified based on
Performance criteria
and assessment
approach.
Type of
evidence
Methods and Assessment instruments
CL (Checklist), LSQ (List of Structure Instruction), ( List Of Interview ),LOQ (List of Oral
Question), LWQ (List of Written Questions), VP (Verification of Portfolio), CPR (Checklist
of Product Review).
Direct
Observation
(real
work/real
time
activities
at
the
workplace,
work
activities
in
a
simulated
workplace
environment)
Structured
activities
(
simulation
exercises
and
role-
plays,
projects,
presentations,
activity
sheets)
Questioning
(
written
questions,
interviews,
self-
assessment,
verbal
questioning,
questionnaire,
oral
or
written
examinations)
Verification
of
Portfolio
(work
samples
compiled
by
candidate,
Third
Party
Statement,
p
product
with
supporting
documentation,
historical
evidence,
journal
or
log
book,
information
about
life
experience
)
Review
of
products
(testimonials
and
reports
from
employers
and
supervisors,
evidence
of
training,
authenticated
prior
achievements,
interview
with
employer,
supervisor,
or
pee
r)
Others:
…..
D ID S
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.

3. IDENTIFY MODIFICATION AND CONTEXTUALISATION
REQUIREMENTS
3.1 Use information
from the candidate
and, where relevant,
the candidate's
workplace to identify
contextualisation needs
3.2 Check advice
provided by the
training package or
course developer
relevant to identified
3.3 Analyse existing
assessment tools and
record amendments
required to address
identified
3.4 Determine
opportunities for
integrated assessment
activities and record any
changes required to
assessment tools

Contextualisation of Units of Competency
• must not remove or add to the number and content of
elements and performance criteria
• may add specific industry terminology to performance
criteria where this does not distort or narrow the
competency outcomes
• may make amendments and additions to the range
statement as long as such changes do not diminish the
breadth of application of the competency and reduce its
portability, and/or
• may add detail to the evidence guide in areas such as the
critical aspects of evidence or resources and
infrastructure required where these expand the breadth of
the competency but do not limit its use.

10.
11.
12.
3. Modification and Contextualization:
3.1. Candidate characteristics: SPECIAL NEEDS/ NORMAL
3.2. Contextualization needs : CONTEXTUALIZATION/ NONE
3.3. Advice provided by the training package or
course developer
3.4. Opportunities for integrated assessment
activities and record any changes required to
assessment tools
INTEGRATION/ NONE:
Scenario:
Relevant people
to be confirmed
Certification manager of PCB/AB:
Master Assessor/Master Trainer/Lead Assessor of competency:
Training manager of ATO/RTO:
Others:
Excersice 3.
Modify and
Contextualize
the assessment
as needed !

4. DEVELOP
ASSESSMENT
INSTRUMENTS
3.1. Develop simple assessment instruments to
meet target group needs
3.2. Analyze available assessment instruments for
their suitability for use and modify as required
3.3. Map assessment instruments against unit or
course requirements
3.4. Write clear instructions for candidate about
the use of the instruments
3.5. Trial draft assessment instruments to validate
content and applicability, and record outcomes

FR.PAAP.02- MAP/MATRIX OF ASSESSMENT INSTRUMENTS AGAINST UNIT OR COURSE REQUIREMENTS
Certification Standards/
Certification Scheme:
Code of Scheme:
Job index number:
No ASSESSMENT INSTRUMENTS
UNITS OF COMPETENCY
UC1 UC2 UC3 UC4 UC5 UC6 UC7 UC8 UC9 UC10 UC11 UC12 UC13 UC14 UC15 UC16 UC17 UC18 UC19
1. Observation checklist
2. List of Structure Instruction
3. Interview
4. Oral questions
5. Written questions
6. Third Party Statement
7. Verification of Portfolio
8. Checklist of Product Review
9.
10.
11.
12.
13.
14.
15.
16.
17.

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PLAN ASSESSMENT ACTIVITIES AND PROCESSES

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