WHOLESALE AND RETAIL SETA. Skills Development for Economic Growth. ETQA Assessment and Verification Policy

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1 WHOLESALE AND RETAIL SETA Skills Develpment fr Ecnmic Grwth ETQA Assessment and Verificatin Plicy

2 WHOLESALE AND RETAIL SETA ETQA Effective Date: 00/00/2007 Dc ID: Rev: A Pg. 2 f 12 ETQA Executive Manager Distributin List R. Lechet Reginal Quality Assurrs K. Ntimbela E. Kleingeld E. Olivier Revisin Histry Versin Date Authr Descriptin /08/2007 K. Ntimbela First Draft Dcument Infrmatin Lcatin Name W&RSETA ETQA : Assessment and Verificain Plicy Status 1 st Draft / Review Last Changed 2003 Apprval Histry Date Name Designatin Apprved by: Executive Manager: ETQA Date f Issue: 24/08/2007 Date f Next Review: 24/08/2008

3 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 3 f 12 CONTENTS PAGES 1. BACKGROUND 1.1. Legal / Regulatry and Plicy Reference 1.2 Definitins 1.3 Applicatin and Scpe 1.4 Relatinship t ther ETQA plicies 1.5 Accuntability and Respnsibility 2. STATEMENT OF POLICY INTENT 2.1 Purpse and cntent 2.2 Principles 2.3 General requirements 2.4 Assessment requirements Planning and implementing assessment RPL Making assessment decisin Security Infrming the learner Reasnable accmmdatin 2.5 internal verificatin requirements 2.6 External verificatin requirements 2.7 Appeal requirements 2.8 Re-assessment requirements 2.9 Deviatins 3. REVIEW AND IMPROVEMENT

4 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 4 f BACKGROUND 1.1. Legal / Regulatry and Plicy Reference Sub regulatin 9(1)(d) f the Educatin and Training Quality Assurance Bdies Regulatins, 1998 (N. R 1127 f 1998) (ETQA Regulatins), prmulgated under sectin 14 f the Suth African Qualificatins Authrity Act (Act N. 58 f 1995) requires ETQA`s t evaluate assessments and facilitatin f mderatin amngst cnstituent prviders. Summary f legal and plicy reference dcuments Cnstitutin f the Republic f Suth Africa (Act N 108 f 1996) Prmtin f Administrative Justice Act (Act N. 3 f 2000) Suth African Qualificatins Authrity Act (Act N. 58 f 1995) Educatin and Training Quality Assurance Bdies Regulatins (N. R 1127 f 1998) SAQA 2001 Quality Management Systems fr Educatin and Training Prviders and Guidelines>All Dcuments SAQA 2001 Criteria and Guidelines fr Prviders and Guidelines>All Dcuments SAQA Criteria and Guidelines fr the Registratin f Assessrs and Guidelines>All Dcuments 1.2 Definitins The definitins f the terms belw apply t their use in this plicy: "accreditatin" means the certificatin, usually fr a particular perid f time, f a persn, a bdy r an institutin as having the capacity t fulfil a particular functin in the quality assurance system set up by the Suth African Qualificatins Authrity in terms f the SAQA Act accreditatin scpe means the list f qualificatin(s) and/r unit standard(s) fr which a bdy is accredited fr a defined purpse "assessr" means the persn wh is registered by the relevant Educatin and Training Quality Assurance Bdy in accrdance with criteria established fr this purpse by a Standards Generating Bdy t measure the achievement f specified Natinal Qualificatins Framewrk standards r qualificatins, and "cnstituent assessr" has a crrespnding meaning "Educatin and Training Quality Assurance Bdy" (ETQA) means a bdy accredited in terms f sectin 5(1)(a)(ii) f the SAQA Act, respnsible fr mnitring and auditing achievements in terms f natinal standards r qualificatins, and t which specific functins relating t the mnitring and auditing f natinal standards r qualificatins have been assigned in terms f sectin 5(1)(b)(i) f the SAQA Act high-stakes assessments decisin means an assessment decisin that has cnsequences with significant implicatins fr the life pprtunities, safety and wellbeing f learners r ther peple

5 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 5 f 12 "mderatin" means the prcess which ensures that assessment f the utcmes described in Natinal Qualificatins Framewrk standards r qualificatins is fair, valid and reliable mderatr means smene wh is cmpetent t cnduct a mderatin prcess "primary fcus" means that activity r bjective within the sectr upn which an rganizatin r bdy cncentrates its effrts "prvider" means a bdy that delivers learning prgrammes which culminate in specified Natinal Qualificatins Framewrk standards r qualificatins and manages the assessment theref "quality assurance" means the prcess f ensuring that the degree f excellence specified is achieved "registered standards" means unit standards r qualificatins registered n the Natinal Qualificatins Framewrk registratin scpe means the list f registered standards fr which an assessr r mderatr is registered with the SETA as an assessr r mderatr 1.3 Applicatin and Scpe The plicy applies t all assessment, verificatin f assessment decisins, internal verificatin and external / mderatin prcesses cnducted by assessrs and mderatrs registered in terms f the W&RSETA ETQA Assessr and Mderatr Registratin plicy. 1.4 Relatinship t ther ETQA plicies Accreditatin Plicy Prgramme validatin Plicy Assessr and Mderatr Registratin Plicy Mnitring and Auditing Plicy Certificatin Plicy 1.5 Accuntability and Respnsibility The ETQA staff and r its representatives are respnsible and accuntable fr managing and verseeing the implementatin, maintenance, review and imprvement f the W&RSETA assessment, internal and external verificatin plicy and prcedures.

6 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 6 f STATEMENT OF POLICY INTENT 2.1 Purpse and cntent The purpse f this plicy is t: Ensure that assessment measures learning in line with the natinal qualificatin framewrk Establish framewrk fr verificatin f assessment decisins made against qualificatins and unit standards fr which the W&RSETA has been accredited as ETQA Prvide learner access t assessment and accreditatin services within a framewrk f internal verificatin and r mderatin system. ensure verificatin f assessment decisins and mderatin f training cnducted against qualificatins and unit standards fr which the cnstituent prviders has been accredited by the W&RSETA ETQA are assessed validly, reliably and practicably; Ensure the credibility f learner achievements as depended n apprpriate internal quality assurance system f assessments, mderatin and external mderatin prcess. Recgnize the rles and respnsibilities f assessrs, internal verifiers and external verifiers as being essential t the delivery and quality assurance prcesses within the NQF framewrk. prvide mechanisms fr handling appeal decisins n assessments Give effect t quality assurance in assessment prcesses by establishing quality cntrl mechanisms fr assessment thrugh a system f sampling, mderatin and verificatin as apprpriate t qualificatins and skills prgrammes. 2.2 Principles W&RSETA ETQA has identified the fllwing principles which underpin this assessment and verificatin plicy. These principles are cnsistent with W&RSETA ETQA values and plicies in ther areas. Validity ensures assessment measures what it claims t measure. This is the mst imprtant principle fr assessment. Reliability refers t the accuracy with which an assessment measures the skill r attainment it is designed t measure. A reliable assessment cnsistently gives the same results under similar cnditins. A fair assessment, in additin t being valid and reliable, prvides equity f pprtunity fr learners in line with Equality legislatin. Quality is a key principle in ensuring the credibility and status f W&RSETA ETQA accreditatin. Quality will be assured thrugh establishing an assessment framewrk fr prviders, t include plicy and guidelines, natinal award standards, prviders quality assurance, prgramme validatin and natinal mnitring and evaluatin. A transparent assessment plicy and guidelines will ensure clarity and understanding by all relevant stakehlders. This will include clear and unambiguus definitins and requirements with regard t fairness, cnsistency, validity and reliability.

7 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 7 f 12 The basic values and principles gverning public administratin as enshrined in sectin 195 f the Cnstitutin f the Republic f Suth Africa. In particular: a) the SETA shall use resurces in prvider assessment and mderatin prcesses ecnmically, efficiently and effectively (subsectin (1)b) b) the SETA s administratin f assessment and mderatin prcesses shall be develpment-riented, especially regarding assessrs wh are registered thrugh emerging and SMME prviders (subsectin (1)c). Adherence t prcedural fairness as required by the Prmtin f Justice Act (Act N. 3 f 2003) in terms f: a) reasnable ntice (nature and purpse), b) a chance t make representatins, c) a clear statement f the administrative actin, d) advice as t review r internal appeal, and e) advice as t the right t request reasns. 2.3 General requirements W&RSETA ETQA will ensure that prviders cnduct fair and cnsistent assessment plicies and practices, by adpting the plicy n assessment; quality assuring prvider s assessment prcesses, validating assessment arrangements per prgramme and mnitring their fair and cnsistent implementatin. W&RSETA ETQA will put in place internal quality systems and prcesses regarding the prcessing f results received frm prviders and the peratin f a appeals prcess. Accredited prviders will be required t develp an assessment plicy and prcedures as part f their quality assurance with W&RSETA ETQA. The prvider will utline their assessment arrangements per prgramme as part f their submissin fr validatin. W&RSETA ETQA will mnitr prviders, their prgrammes and the attainment f the natinal standards t ensure the effective implementatin f fair and cnsistent assessment within and acrss all prviders. The W&RSETA ETQA will prvide a plicy requiring prviders t develp quality assurance system f learning prvisin in terms f assessment practices, internal and external mderatin. 2.4 Assessment requirements Planning & Implementatin f Assessment Prviders will develp a crdinated assessment plan per prgramme. The selected assessment methds will be apprpriate t the prgramme cntent and its utcmes, which are in line with the standards f knwledge, skill and cmpetence f the unit standard and r qualificatin Where apprpriate, a range f assessment methds shuld be applied - Assessment shuld, where pssible, be integrated and ver-assessment avided. Apprpriate language and expressins will be used in the assessment. Apprpriate timing f assessment will ccur, including setting f deadlines and related plicy (e.g. fr treatment f assessment evidence submitted late).

8 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 8 f Recgnitin f Prir Learning Assessment prcesses will be in place fr the Recgnitin f Prir Learning. These shuld be cnsistent with W&RSETA ETQA plicy n the Recgnitin f Prir Learning Making assessment decisin Sufficient evidence will be gathered upn which t make an assessment decisin Assessment marking will be cnsistent/reliable acrss internal assessrs Assessment will be undertaken by a suitably qualified and registered assessr (ie have relevant qualificatins and/r relevant current knwledge, skill and cmpetence in the area which they are assessing) Assessment systems will include internal verificatin and checking prcesses Learner infrmatin frwarded t W&RSETA ETQA fr certificatin purpses shuld be accurate and reliable An internal appeals mechanism will be in place fr learners wishing t appeal the utcme f an assessment Prviders will have in place arrangements fr crrective actin, if and when issues arise which culd impact n the validity f certificates. These arrangements will include immediate ntificatin t W&RSETA ETQA Security Assessment systems will incrprate secure mechanisms fr recrding, string and accessing learners assessment recrds Assessment will include apprpriate security measures Infrming learners Assessment will be transparent and all pertinent infrmatin will be made available t learners, prir t the assessment Prcesses will be in place t ensure clear results are given t learners. Cnstructive frmative feedback as apprpriate, shuld be given t learners Reasnable accmmdatin Reasnable accmmdatin regarding the adaptatin f assessment will be made, as necessary, t cater fr the needs f learners. 2.5 Internal verificatin requirements (i) (ii) The Internal Verifier is at the heart f quality assurance in all prgrammes, bth within the natinal framewrk and within the quality and management systems f each apprved centre. The rle, in terms f managing assessment is that it cnsistently meets natinal standards. Internal Verifiers will have the technical and r subject matter expertise relevant t the unit standards and r qualificatin(s) fr which they are respnsible t enable accurate judgements t be made regarding candidate perfrmance in relatin t cmpetence criteria.

9 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 9 f 12 (iii) (iv) (v) (vi) (vii) (viii) (ix) Althugh internal verifiers / mderatrs may prvide useful input int assessment issues in areas where they are nt subject-matter experts, they may be unable t judge whether acceptable assessment decisins have been made in areas in which they are nt themselves cmpetent. Where it is impracticable t have mderatrs wh are subject-matter experts, mderatrs shuld establish partnerships with thers wh are cmpetent t prvide endrsement f decisins relating t the subject-matter f an assessment. This may include anther cmpetent mderatr. The internal verifier / mderatr f an assessment shall be a different persn frm that wh did the assessment. Such mderatr shall als have n actual r perceived interest in the utcme f the assessment. If n such mderatr answering t these qualificatins is available, the relevant ETQA shall be requested t appint a mderatr. In relatin t any high-stakes assessment (e.g., where the declaratin f cmpetence impacts n the health and safety f persns), subject-matter cmpetence f assessrs and verifiers / mderatrs is mandatry. Internal verifiers / mderatrs must be als familiar with (and cntinuusly refresh their understanding f) current unit standards and qualificatins relevant plicies, legislatin and regulatins quality assurance and reprting requirements. Internal verifiers / mderatrs must have all skills required t effectively perfrm all functins accrding t latest methds, including, but nt limited t cmmunicatin with the ETQA, prviders, assessrs, assessment agencies and candidates. Internal mderatin includes cnsideratin f: The design f the assessment itself t ensure that the chice and design f assessment methds are apprpriate fr the standards being measured by the assessment; The implementatin f the assessment accrding t the specified guidelines; The verificatin and review f the assessment prcess t ensure that assessrs are using feedback t develp their assessment prcedures. (x) Mderatrs must fulfill the rles and functins allcated t them in terms f the relevant plicies and prcedures f SAQA, the ETQA and in particular that f cnstituent accredited prviders. Such rles and functins may include: Carrying ut and evaluating internal assessment and quality assurance systems. Supprting prviders and assessment agencies in identifying the assessment and mderatin capacity required t implement the NQF and the skills develpment strategy effectively. Cnducting mderatin f assessment instruments, plans and guides n any ccasin in which these are first used, r are revised, including dcumenting prf f individual learners cmpetence status. Verifying that Assessments are fair, valid, reliable and practical. Identifying areas f imprvements within the Assessment System. prvide supprt and guidance t the Assessrs.

10 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 10 f 12 Identifying the need t redesign assessments, assessment tls/instruments if required. Identifying the need t redesign mderatin, mderatin systems, tls if required Cnducting mderatin f assessment results and recrds using a 10% minimum sample as prescribed by rganizatinal and sectral plicies. Evaluating the perfrmance f registered Assessrs. Prviding an appeals prcedure fr dissatisfied Learners. Reprting n quarterly basis t relevant parties, including the ETQA, n the results f their mderatin. Initiating apprpriate strategies t cntinuusly imprve the quality f assessments, and hence the integrity and credibility f the natinal system fr assessment and certificatin. 2.6 External verificatin requirements W&RSETA ETQA verificatin / mderatin f prviders, learnerships and r qualificatins is a cmprehensive check n achievement and ensures that a learner is given the best pprtunity t achieve their best quality f wrk and therefre their best verall result / cmpetence befre submissin t an External Mderatin panel. External Mderatin is cnducted at ETQA Level, n a randm sample f 10%. It usually invlves: i. Cnfirming prvider accreditatin status ii. Structured curriculum iii. Implementatin mechanisms f the prvider s QMS a. In particular elected wrkplaces prvider learners with the required expsure as per the qualificatin / learnership / skills prgramme requirement iv. Learning material and relevance t the qualificatin / learnership / skills prgramme v. Cnstituent status f assessrs and mderatrs vi. The prvider s assessment guides indicating the fllwing: Design f assessment activities and the prcess that will be fllwed The prvider s Assessment Tls that will be used fr frmative assessments The prvider s Assessment Tls that will be used fr summative assessments vii. Prtfli f Evidence (PE) indicating the fllwing review f frmative assessment The wrk being assessed is the learner s wn wrk authenticity summative assessments Prgress and Assessr reprts viii. ix. Learner recrds database and uplad f enrlment / achievements The prvider s mderatin guides indicating the fllwing:

11 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 11 f 12 Design f mderatin activities and the prcess that will be fllwed Mderatin plan Sampling requirements Mderatin Reprt 2.7 Appeal requirements Any learner, wh feels that s/he has been unfairly assessed, may institute an appeal as defined in this plicy. The purpse f this appeals prcedure is t give assessment and r mderatin candidate s avenues thrugh which they can challenge the assessr r mderatrs decisin. i. Every candidate being assessed and r mderated has the right t appeal against the decisins, cnduct r cmpliance f the assessr r mderatr. ii. All candidates shall be familiarized with prper Appeals Prcedure. iii. All appeals are t be sent t the mderatr n the required dcumentatin. iv. The mderatr shall channel the appeal t ne f tw areas: a. the mderating appeals cmmittee team (fr appeals against decisins) b. rganizatin s management (fr appeals against the cnduct r cmpliance f the mderatr) v. An appeal must be ldged within ten wrking days f feedback t the learner and withut prejudice n the part f the learner. vi. An appeal will be reslved within 2 weeks f being ldged. vii. The mderatin cmmittee then evaluates the issue, reviews the mderatin prcess as well as the prcedure that was fllwed by the assessr and is authrized t cmment n the utcmes and the prcedural crrectness. A decisin t deal with the appeal wuld then be taken. viii. The relevant mderatin team / bdy shall remark the script (if it was a written mderatin cmplaint) r give the learner the same practical mderatin (if it was practical mderatin cmplaint) in the presence f anther mderatr r assessr. ix. All the persns invlved in the appeals prcedure shall check the results f the remderatin. x. If after re-evaluating the learner s script it is fund that there was a mistake n the part f the assessr r mderatr, the learner will be allcated the apprpriate utcme. xi. If the learner has perfrmed far belw the required cmpetence standards, remedial plicies will be invked. xii. The appeal and the results f the appeal are recrded and stred electrnically against the learner recrd. xiii. If the learner is still dissatisfied with the rganizatin s mderatr s interventin prcess, he/she may apply in writing t the SETA Manager fr verificatin.

12 ETQA DEPARTMENT Dc ID: Rev.: A Pg. 12 f Re-assessment requirements In line with the bjective f cst effectiveness prescribed by the NQF, it is recmmended that the assessment system shuld allw fr re-assessment f learners. It is the ETQA recmmendatin that learners shuld be given n mre than ne summative assessment and tw re-assessment pprtunities t reflect cmpetence, withut first cmpleting the develpment plans as set by the learner, facilitatr and assessr tgether, and incurring additinal financial csts fr the learner (r emplyer, at their discretin) t pay fr additinal re-assessments. There are different cases fr re-assessment. These culd be: If a learner has nt yet achieved the level f cmpetence required t meet the stated learning utcmes f a summative assessment task(s), the learner shuld be re-assessed. Where pssible, this re-assessment culd take the frm f an ral presentatin. If a student has nt yet achieved the level f cmpetence required in an assessment t be credited with the registered unit standards r qualificatins, the learner shuld be re-assessed. The accredited prvider plicy shuld guide the prcess. Dealing with irregularities in assessment practices. 2.9 Deviatin frm this plicy In the event f any deviatin frm this plicy, explicit justificatin and alternative guidelines need t be prvided t the ETQA Executive Manager, r his r her equivalent, prir t the implementatin f the said deviatin. 3 Evaluatin, Review and Imprvement The effectiveness f the Verificatin Plicy and prcedures shall be mnitred and annually reviewed against quality bjectives and assciated perfrmance indicatrs t identify and implement apprpriate amendments aimed at imprving the effectiveness, ecnmy and efficiency f said plicy and prcedures.