ETQA Assessor and Moderator Registration Policy

ETQA Department ETQA K1.3

July 2012

Authorised by: Issue date: Policy number:K13 Review date: ETQA Manager July 2012 Version: V.2 July 2013 Page 1 of 9 ETQA Assessor and Moderator Registration

CONTENTS Purpose and Scope 3 Legal Reference 3 Acronyms used 3 Policy 4

PURPOSE & SCOPE

The policy applies to all processes conducted by SETA staff related to provider accreditation, validation of programmes and registration of constituent assessors and moderators. The ETQA staff and or its representatives are responsible and accountable for managing and overseeing the implementation, maintenance, review and improvement of the W&RSETA validation policy and procedures.

The purpose of this policy is to: . establish legal accountability for assessment decisions made against qualifications and unit standards for which the W&RSETA has been accredited as ETQA . ensure that persons holding legal accountability for assessment and moderation decisions have the competence to comply with current regulations applying to such decisions; . ensure that qualifications and unit standards for which the W&RSETA has been accredited as ETQA are assessed validly, reliably and practicably; . ensure that regulations for assessment are implemented in a way that is strategically appropriate and practicable for the Wholesale and Retail sector; and . inform providers, constituents and W&RSETA staff of the policy, principles and procedures for the registration of assessors and moderators.

LEGAL REFERENCE Sub regulation 9(1) (e) of the Education and Training Quality Assurance Bodies Regulations, 1998 (No. R 1127 of 1998) (ETQA Regulations), promulgated under section 14 of the South African Qualifications Authority Act (Act No. 58 of 1995) requires ETQA`s to “register constituent assessors for specified accreditation scope or qualifications in terms of the criteria established for this purpose”.

Summary of legal and policy reference documents:

Constitution of the Republic of South Africa (Act No 108 of 1996) Promotion of Administrative Justice Act (Act No. 3 of 2000) South African Qualifications Authority Act (Act No. 58 of 1995) Education and Training Quality Assurance Bodies Regulations (No. R 1127 of 1998) SAQA 2001 Quality Management Systems for Education and Training Providers http://www.saqa.org.za/>Documents>Criteria and Guidelines>All Documents SAQA 2001 Criteria and Guidelines for Providers http://www.saqa.org.za/>Documents>Criteria and Guidelines>All Documents SAQA 2002. Criteria and Guidelines for the Registration of Assessors http://www.saqa.org.za/>Documents>Criteria and Guidelines>All Documents

ACRONYMS USED The definitions of the terms below apply to their use in this policy: . "accreditation" means the certification, usually for a particular period of time, of a person, a body or an institution as having the capacity to fulfill a particular function in the quality assurance system set up by the South African Qualifications Authority in terms of the SAQA Act . “ accreditation scope” means the list of qualification(s) and/or unit standard(s) for which a body is accredited for a defined purpose . "assessor" means the person who is registered by the relevant Education and Training Quality Assurance Body in accordance with criteria established for this purpose by a Standards Generating Body to measure the achievement of specified National Qualifications Framework standards or qualifications, and "constituent assessor" has a corresponding meaning

. “assessment” means the of collecting evidence of learners’ work to measure and make judgments about the achievement or non-achievement of specified National Qualifications Framework standards or qualifications . "Education and Training Quality Assurance Body" (ETQA) means a body accredited in terms of section 5(1)(a)(ii) of the SAQA Act, responsible for monitoring and auditing achievements in terms of national standards or qualifications, and to which specific functions relating to the monitoring and auditing of national standards or qualifications have been assigned in terms of section 5(1)(b)(i) of the SAQA Act . “ high-stakes assessments decision” means an assessment decision that has consequences with significant implications for the life opportunities, safety and well-being of learners or other people . "moderation" means the process which ensures that assessment of the outcomes described in National Qualifications Framework standards or qualifications is fair, valid and reliable . “moderator” means someone who is competent to conduct a moderation process . "primary focus" means that activity or objective within the sector upon which an organization or body concentrates its efforts . "provider" means a body that delivers learning programmes which culminate in specified National Qualifications Framework standards or qualifications and manages the assessment thereof . "quality assurance" means the process of ensuring that the degree of excellence specified is achieved . "registered standards" means unit standards or qualifications registered on the National Qualifications Framework . “ registration scope” means the list of registered standards for which an assessor or moderator is registered with the SETA as an assessor or moderator . “ subject matter knowledge” competence in relation to these specified standards and qualifications, at or above, the level of the qualifications in question, that the assessor has applied for scope to assess. POLICY This policy and its associated procedures are based on adherence to the following principles: . The basic values and principles governing public administration as enshrined in section 195 of the Constitution of the Republic of South Africa. In particular: i. The SETA shall use resources in provider assessor and moderation processes economically, efficiently and effectively (subsection (1)b) ii. The SETA’s administration of assessor and moderation processes shall be development-oriented, especially regarding assessors who are registered through emerging and SMME providers (subsection (1)c) . In applying the criteria for registration of moderators, the affordability of moderation should be balanced against the concern that moderators must have a high level of subject matter expertise to enable them to evaluate the validity of an assessment decision, not only the process of assessment. . High-stakes assessment decisions can only be moderated by moderators who can demonstrate a high level of subject matter expertise. . Adherence to procedural fairness as required by the Promotion of Justice Act (Act No. 3 of 2003) in terms of: i. reasonable notice (nature and purpose), ii. a chance to make representations, iii. a clear statement of the administrative action, iv. advise as to review or internal appeal, and

v. Advise as to the right to request reasons. . SETA decisions regarding assessor and moderator registration shall be transparent, equitable and fair. . Valid and fair assessment and moderation judgments require expertise in the areas of assessment and moderation, subject-matter expertise and contextual expertise. . Continuous professional development regarding assessment practices and technical expertise is required for assessors and moderators to remain effective.

General assessor and moderator requirements

The W&RSETA ETQA shall maintain, review and improve a register of competent assessor and moderators for the purposes of meeting its legal mandate and according to the set out assessor and moderator policy provisions as set out in the rest of this document.

All approved assessor and moderation registration procedures shall be clearly and accurately documented according to the W&RSETA policy document and data control policy.

Building assessor and moderator capacity in the sector

The W&RSETA ETQA shall annually, in consultation with constituent assessors, moderators and providers, conduct a review of:

. how many assessments and moderations will need to take place to achieve the sector skills development targets . how many assessors and moderators are competent and registered to conduct these, against each qualification within the ETQA`s scope . whether the capacity and competence that exists is adequate to the requirements . the challenges which both assessors and moderators face in conducting assessments and moderations, and/or in registering and practicing . the challenges which providers or workplaces face in conducting assessment and moderation, or in developing and registering the capacity to do so.

This review will aim to:

(i) identify potential problems in the sector’s capacity to assess and moderate the planned skills development economically, efficiently and effectively; and (ii) develop a strategy to build and register assessment and moderation capacity and competence adequate to assessing and moderating the skills development taking place in the sector.

Assessor and Moderator registration criteria

Criteria to be registered as a constituent assessor

The W&RSETA ETQA shall approve an application to be registered as a constituent assessor in terms of regulation 9(1(e) of the ETQA Regulations if the applicant can provide proof of:

. holding unit standard 115753 “Conduct outcomes-based assessment” or its equivalent; (i.e. ETDP SETA endorsement statement of results/notification or certificate) . certified copies of certificate of competence in relation to the unit standard(s) and/or qualification(s) for which they apply to be registered at (or preferably above) the level of the said standard(s )and/or qualification(s); . two years of relevant occupational experience within the scope you are applying for; . certified copies of Identity document; . comprehensive curriculum vitae detailing work experience relating to the unit standard and or qualification the applicant is applying to be registered for; and

. non South African applicant assessors shall submit proof of SAQA recognition of their qualifications . Completed W&RSETA assessor registration form. . Those with foreign qualifications will need to provide evidence of evaluation and approval of such qualifications with SAQA

Criteria to be registered as a constituent provider moderator

The W&RSETA ETQA shall approve an application to be registered as a constituent provider moderator if the applicant can provide proof of:

. registration as a SETA constituent moderator in terms of the above criteria; and . holding unit standard 115759 “Conduct moderation of outcomes-based assessment” or its equivalent; and . non South African applicant moderators shall submit proof of SAQA recognition of their qualifications . have a minimum of one year assessor experience

Assessor and Moderator Registration Period

. When new versions of registered unit standards included in the SETA accreditation scope are registered to replace expiring registered unit standards and qualifications, the W&RSETA ETQA shall require assessors and moderators to apply for new registered standards and ETQA will evaluate to check if they are sufficiently similar to their expiring counterparts, and thereby allow automatic inclusion in the registration scope of registered assessors and moderators, and which are not. . The W&RSETA ETQA shall communicate the result of the evaluation in writing to constituent assessors and moderators. . The W&RSETA ETQA shall advise registered assessors and moderators which new registered unit standards shall: i. automatically be included in their registration scope; ii. require assessors and moderators to apply for extension of their registration scope according to the Assessor and Moderator Registration Procedure if they wish to do so. . The W&RSETA ETQA shall issue registered assessors and moderators affected by the instance referred to in (ii) above with appropriate new registration letters according to the Assessor and Moderator Registration Procedure. . Assessors and moderators will be registered on W&RSETA SMS Database for a period of 3 years, starting from the date on which the registration letter is issued.

Assessor and Moderator Registration Procedure

Applications to be registered as a SETA constituent assessor or moderator shall be submitted and processed according to the following procedure: . Applicants must complete the manual or online Assessor and Moderator Registration Form and submit it to the relevant regional Quality Assurer with the relevant documentary evidence as outlined in the Assessor and Moderator Registration Form. . Applicants must sign the Assessor Code of Conduct or Moderator Code of Conduct and submit this with the application. . The relevant regional Quality Assurer shall evaluate the application and supporting documentation and approve or disapprove the application. . The relevant regional Quality Assurer shall communicate the results of the decision to the applicant in writing within seven days after the decision. If the application has been unsuccessful, a set of reasons shall be provided and recommendations to address the remedial areas.

. If the applicant deems it necessary, he/she may lodge an appeal against the decision with the W&RSETA ETQA Manager in writing within 14 days after receipt of notice of the decision. . The W&RSETA ETQA Manager shall handle the appeal according to the W&RSETA Assessor and Moderator Appeal Procedure. . If the applicant is successful, the relevant regional Quality Assurer / W&RSETA ETQA administrator shall issue an assessor or moderator registration letter to the applicant according to the W&RSETA ETQA Procedure for notification of Registered Assessors and Moderators on which the registration scope is indicated in terms of qualifications and/or unit standards for which the certificate is valid, as well as the start and expiry dates of the registration.

Expiry, Review and Re-registration

. The W&RSETA ETQA will not accept assessment or moderation reports from assessors or moderators whose registration letters have expired. . Registered assessors and moderators have to complete and submit the manual original documents to the relevant W&RSETA regional office Assessor and Moderator Registration Renewal Request Form at least three months prior to the expiry dates of their registration letter with:

i. A summary of their assessment or moderation activities and ii. evidence of their continuous professional development within their field of expertise during the period of registration

. The evidence referred to above may be in the form of:

i. recent courses / workshops, etc. ii. official registration renewal form iii. total number of learners assessed per unit standard/skills programme within assessor scope iv. copies of moderation results.

. The application for re-registration shall be processed according to the Assessor and Moderator Registration Procedures.

Extension of registration Scope

. Registered assessors and moderators may apply for an extension of the qualification(s) and/or unit standard(s) for which they want to be registered to assess or moderate if they are able to demonstrate that they have achieved technical competence in the additional qualification(s) and/or unit standard(s, and or occupation based competence. . Application for extension of registration scope has to be made on the Assessor and Moderator Registration Form. . If the SETA is accredited as an ETQA for the qualification(s) and/or unit standard(s) for which extension is sought, the application for extension of registration scope shall be processed according to the Assessor and Moderator Registration Procedure, starting from step (i-vii) above here. . If another ETQA is accredited for the qualification(s) and/or unit standard(s) for which extension is sought, the onus of registration of such assessor for unit standards residing with other ETQA`s shall rest solely with the provider and/or assessor. . As a quality assurance measure, the W&RSETA ETQA shall require evidence of such registration with the relevant ETQA for Memorandum of Understanding purposes. . The W&RSETA ETQA shall register assessors and moderators attached to providers accredited by other ETQA`s, who are offering learning programmes culminating in qualifications and/or unit standards included in the W&RSETA accreditation scope, within an Memorandum of Understanding agreement with other ETQA in terms of regulation 15 of the ETQA Regulations, 1998.

De-registration of assessors and moderators

The W&RSETA ETQA shall de-register assessors and moderators who do not comply with the criteria and relevant codes of conduct for moderators and assessors in the following instance: . the SETA ETQA is in receipt of sufficient evidence which indicates that the assessor or moderator has been involved in irregularities that put the validity and reliability of the assessment and moderation decisions made by the assessor and moderator in question at risk; and . if the W&RSETA ETQA`s quality assurance processes establish mechanisms finds ,that the assessor or moderator indeed fails to perform its functions satisfactorily in terms of validity and reliability of assessment or moderation decisions; and . where the W&RSETA ETQA`s quality assurance processes find that the assessor or moderator still fails to meet the assessor or moderator registration criteria after being given sufficient feedback and a reasonable time frame to improve. . The provider with which the assessor or moderator is associated shall be responsible to implement the required preventative and corrective actions to safeguard the validity and reliability of assessment or moderation decisions being made by the assessor or moderator in question in the interest of the affected learner(s).

Evaluation, Review and Improvement The effectiveness of the Assessor and Moderator Registration Policy and procedures shall be monitored and reviewed annually against quality objectives and associated performance indicators to identify and implement appropriate amendments aimed at improving the effectiveness, economy and efficiency of said policy and procedures.

RELATED POLICIES, PROCESSES AND PROCEDURES POLICY PROCESSES PROCEDURES . Accreditation Policy  Accreditation Processes  Accreditation Procedures . Assessor and  Assessor and Moderator  Assessor and Moderator Moderator Registration Processes Registration Procedures Registration Policy  Assessment and  Assessment and . Assessment and Verification Processes Verification Procedures Verification Policy  Monitoring and Auditing  Monitoring and Auditing . Monitoring and Processes Procedures Auditing Policy  Certification Processes  Certification Procedures . Certification Policy

Authorised by: Issue date: Policy number:K13 Review date: ETQA Manager July 2012 Version: V.2 July 2013 Page 8 of 9 ETQA Assessor and Moderator Registration Document Control Page

Document title Assessor And Moderator Registration

Creation date July 2012

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Contributors Sipho Khoza, Peter Cleophas, Sihle Gogela and Nazia Munsaur

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V.2 July 2012 Changes facilitated Annually

Authorised by: Issue date: Policy number:K13 Review date: ETQA Manager July 2012 Version: V.2 July 2013 Page 9 of 9