WHOLESALE AND RETAIL SETA Skills Develpment fr Ecnmic Grwth ETQA Assessr and Mderatr Registratin Plicy
WHOLESALE AND RETAIL SETA ETQA ASSESSOR AND MODERATOR POLICY Effective Date: 00/00/2007 Dc ID: Rev: A Pg. 2 f 10 ETQA Executive Manager Distributin List R. Lechet Reginal Quality Assurrs K. Ntimbela E. Kleingeld E. Olivier Revisin Histry Versin Date Authr Descriptin 1.0 24/08/2007 K. Ntimbela First Draft Dcument Infrmatin Lcatin Name W&RSETA ETQA : Assessr and Mderatr Registratin 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
ETQA DEPARTMENT DOC ID: Rev.: A Pg. 3 f 10 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 assessr and mderatr requirements 2.4 building assessr and mderatr capacity in the sectr 2.5 assessr and mderatr registratin criteria 2.5.1 Criteria t be registered as cnstituent assessr 2.5.2 Criteria t be registered as cnstituent prvider mderatr 2.5.3 Assessr and Mderatr registratin perid 2.5.4 Assessr and Mderatr registratin prcedure 2.5.5 Expiry, Review and Re-registratin 2.5.6 Extensin f Registratin scpe 2.5.7 De-registratin f Assessrs and Mderatrs 2.5.8 Evaluatin, Review and Imprvement
ETQA DEPARTMENT DOC ID: Rev.: A Pg. 4 f 10 1. Backgrund 1.1 Legal / Regulatry and Plicy Reference Sub regulatin 9(1)(e) 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 register cnstituent assessrs fr specified accreditatin scpe r qualificatins in terms f the criteria established fr this purpse. 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 http://www.saqa.rg.za/>dcuments>criteria and Guidelines>All Dcuments SAQA 2001 Criteria and Guidelines fr Prviders http://www.saqa.rg.za/>dcuments>criteria and Guidelines>All Dcuments SAQA 2002. Criteria and Guidelines fr the Registratin f Assessrs http://www.saqa.rg.za/>dcuments>criteria 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 fulfill 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) 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) 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
ETQA DEPARTMENT DOC ID: Rev.: A Pg. 5 f 10 "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 prcesses cnducted by SETA staff related t prvider accreditatin, validatin f prgrammes and registratin f cnstituent assessrs and mderatrs. 1.4 Relatinship t ther ETQA plicies Accreditatin Plicy Assessr and Mderatr Registratin Plicy Assessment and Verificatin 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 validatin plicy and prcedures.
ETQA DEPARTMENT DOC ID: Rev.: A Pg. 6 f 10 2. Statement f Plicy Intent 2.1 Purpse and cntent The purpse f this plicy is t: 2.2 Principles establish legal accuntability fr assessment decisins made against qualificatins and unit standards fr which the W&RSETA has been accredited as ETQA ensure that persns hlding legal accuntability fr assessment and mderatin decisins have the cmpetence t cmply with current regulatins applying t such decisins; ensure that qualificatins and unit standards fr which the W&RSETA has been accredited as ETQA are assessed validly, reliably and practicably; ensure that regulatins fr assessment are implemented in a way that is strategically apprpriate and practicable fr the Whlesale and Retail sectr; and infrm prviders, cnstituents and W&RSETA staff f the plicy, principles and prcedures fr the registratin f assessrs and mderatrs. This plicy and its assciated prcedures are based n adherence t the fllwing principles: (iv) (v) 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 assessr and mderatin prcesses ecnmically, efficiently and effectively (subsectin (1)b) b) The SETA s administratin f assessr and mderatin prcesses shall be develpment-riented, especially regarding assessrs wh are registered thrugh emerging and SMME prviders (subsectin (1)c). In applying the criteria fr registratin f mderatrs, the affrdability f mderatin shuld be balanced against the cncern that mderatrs must have a high level f subject matter expertise t enable them t evaluate the validity f an assessment decisin, nt nly the prcess f assessment. High-stakes assessment decisins can nly be mderated by mderatrs wh can demnstrate a high level f subject matter expertise. 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) advise as t review r internal appeal, and e) Advise as t the right t request reasns. SETA decisins regarding assessr and mderatr registratin shall be transparent, equitable and fair.
ETQA DEPARTMENT DOC ID: Rev.: A Pg. 7 f 10 (vi) (vii) Valid and fair assessment and mderatin judgments require expertise in the areas f assessment and mderatin, subject-matter expertise and cntextual expertise. Cntinuus prfessinal develpment regarding assessment practices and technical expertise is required fr assessrs and mderatrs t remain effective. 2.3 General assessr and mderatr requirements The SETA shall maintain, review and imprve a register f cmpetent assessr and mderatrs fr the purpses f meeting its legal mandate and accrding t the set ut assessr and mderatr plicy prvisins as set ut in the rest f this dcument. All apprved assessr and mderatin registratin prcedures shall be clearly and accurately dcumented accrding t the W&RSETA plicy dcument and data cntrl plicy. 2.4 Building assessr and mderatr capacity in the sectr The SETA shall annually, in cnsultatin with cnstituent assessrs, mderatrs and prviders, cnduct a review f: a) hw many assessments and mderatins will need t take place t achieve the sectr skills develpment targets b) hw many assessrs and mderatrs are cmpetent and registered t cnduct these, against each qualificatin within the ETQA`s scpe c) whether the capacity and cmpetence that exists is adequate t the requirements d) the challenges which bth assessrs and mderatrs face in cnducting assessments and mderatins, and/r in registering and practicing e) the challenges which prviders r wrkplaces face in cnducting assessment and mderatin, r in develping and registering the capacity t d s. This review will aim t: identify ptential prblems in the sectr s capacity t assess and mderate the planned skills develpment ecnmically, efficiently and effectively; and develp a strategy t build and register assessment and mderatin capacity and cmpetence adequate t assessing and mderating the skills develpment taking place in the sectr. 2.5 Assessr and Mderatr registratin criteria 2.5.1 Criteria t be registered as a cnstituent assessr The SETA shall apprve an applicatin t be registered as a cnstituent assessr in terms f regulatin 9(1(e) f the ETQA Regulatins if the applicant can prvide prf f: hlding unit standard 115753 Cnduct utcmes-based assessment r its equivalent; (i.e. ETDP SETA endrsement statement f results / ntificatin) certified cpies f certificate f cmpetence in relatin t the unit standard(s) and/r qualificatin(s) fr which they apply t be registered at (r preferably abve) the level f the said standard(s )and/r qualificatin(s);
ETQA DEPARTMENT DOC ID: Rev.: A Pg. 8 f 10 (iv) (v) (vi) tw years f relevant ccupatinal experience within the scpe yu are applying fr; certified cpies f Identity dcument; cmprehensive curriculum vitae detailing wrk experience relating t the unit standard and r qualificatin the applicant is applying t be registered fr; and Cmpleted W&RSETA assessr registratin frm. 2.5.2 Criteria t be registered as a cnstituent prvider mderatr The SETA shall apprve an applicatin t be registered as a cnstituent prvider mderatr if the applicant can prvide prf f: registratin as a SETA cnstituent assessr in terms f criteria 2.5.1 abve; and hlding unit standard 115759 Cnduct mderatin f utcmes-based assessment r its equivalent; and tw years f relevant ccupatinal experience In case an applicant fr prvider mderatr registratin is nt yet registered as a cnstituent assessr but has cncurrently submitted an applicatin t be registered as a cnstituent assessr, criterin abve shall be deemed t have been met if the latter applicatin is successful. In such instance f cncurrent applicatins frm the same applicant, the reginal ETQA shall first cnsider the assessr registratin applicatin. 2.5.3 Assessr and Mderatr Registratin Perid When new versins f registered unit standards included in the SETA accreditatin scpe are registered t replace expiring registered unit standards and qualificatins, the W&RSETA ETQA shall require assessrs and mderatrs t apply fr new registered standards and ETQA will evaluate t check if they are sufficiently similar t their expiring cunterparts, and thereby allw autmatic inclusin in the registratin scpe f registered assessrs and mderatrs, and which are nt. The W&RSETA ETQA shall cmmunicate the result f the evaluatin referred n abve in writing t cnstituent assessrs and mderatrs. The W&RSETA ETQA shall advise registered assessrs and mderatrs which new registered standards shall: (a) autmatically be included in their registratin scpe; (b) require assessrs and mderatrs t apply fr extensin f their registratin scpe accrding t the Assessr and Mderatr Registratin Prcedure if they wish t d s. (iv) (v) The SETA ETQA shall issue registered assessrs and mderatrs affected by the instance referred t in abve with apprpriate new registratin letters accrding t the Assessr and Mderatr Registratin Prcedure. Assessrs and mderatrs will be registered n W&RSETA SMS Database fr a perid f 3 years, starting frm the date n which the registratin letter is issued.
ETQA DEPARTMENT DOC ID: Rev.: A Pg. 9 f 10 2.5.4 Assessr and Mderatr Registratin Prcedure Applicatins t be registered as a SETA cnstituent assessr r mderatr shall be submitted and prcessed accrding t the fllwing prcedure: (iv) (v) (vi) (vii) Applicants must cmplete manual r nline Assessr and Mderatr Registratin Frm and submit it t the reginal Quality Assurer with the relevant dcumentary evidence as utlined in the Assessr and Mderatr Registratin Frm. Applicants must sign the Assessr Cde f Cnduct r Mderatr Cde f Cnduct and submit this with the applicatin. The reginal Quality Assurer shall evaluate the applicatin and supprting dcumentatin and apprve r disapprve the applicatin. The reginal Quality Assurer shall cmmunicate the results f the decisin t the applicant in writing within seven days after the decisin. If the applicatin has been unsuccessful, a set f reasns shall be prvided and recmmendatins t address the remedial areas. If the applicant deems it necessary, he/she may ldge an appeal against the decisin with the ETQA Executive Manager in writing within 14 days after receipt f ntice f the decisin. The ETQA Executive Manager shall handle the appeal accrding t the W&RSETA Assessr and Mderatr Appeal Prcedure. If the applicant is successful, the reginal Quality Assurer / ETQA administratr shall issue an assessr r mderatr registratin letter t the applicant accrding t the W&RSETA Prcedure fr ntificatin f Registered Assessrs and Mderatrs n which the registratin scpe is indicated in terms f qualificatins and/r unit standards fr which the certificate is valid, as well as the start and expiry dates f the registratin. 2.5.5 Expiry, Review and Re-registratin SETA will nt accept assessment r mderatin reprts frm assessrs r mderatrs whse registratin letters have expired. Registered assessrs and mderatrs have t cmplete and submit the manual r nline SETA Assessr and Mderatr Registratin Renewal Request Frm at least three mnths prir t the expiry dates f their registratin letter with: a) A summary f their assessment r mderatin activities and b) evidence f their cntinuus prfessinal develpment within their field f expertise during the perid f registratin The evidence referred t in (a) and (b) abve may be in the frm f: recent curses / wrkshps, etc. fficial registratin renewal frm ttal number f learners assessed per unit standard/skills prgramme within assessr scpe cpies f mderatin results. (iv) The applicatin fr re-registratin shall be prcessed accrding t the Assessr and Mderatr Registratin Prcedure, starting frm step (i-vii).
ETQA DEPARTMENT DOC ID: Rev.: A Pg. 10 f 10 2.5.6 Extensin f registratin Scpe a) Registered assessrs and mderatrs may apply fr an extensin f the qualificatin(s) and/r unit standard(s) fr which they want t registered t assess r mderate if they are able t demnstrate that they have achieved technical cmpetence in the additinal qualificatin(s) and/r unit standard(s, and r ccupatin based cmpetence. b) Applicatin fr extensin f registratin scpe has t be made n the Assessr and Mderatr Registratin Frm. c) If the SETA is accredited as an ETQA fr the qualificatin(s) and/r unit standard(s) fr which extensin is sught, the applicatin fr extensin f registratin scpe shall be prcessed accrding t the Assessr and Mderatr Registratin Prcedure, starting frm step (i-vii) abve here. d) If anther ETQA is accredited fr the qualificatin(s) and/r unit standard(s) fr which extensin is sught, the nus f registratin f such assessr fr unit standards residing with ther ETQA`s shall rest slely with the prvider and/r assessr.. e) As a quality assurance measure, the W&RSETA ETQA shall require evidence f such registratin with the relevant ETQA fr Memrandum f Understanding purpses. f) The W&RSETA ETQA shall register assessrs and mderatrs attached t prviders accredited by ther ETQA`s, wh are ffering learning prgrammes culminating in qualificatins and/r unit standards included in the W&RSETA accreditatin scpe, within an Memrandum f Understanding agreement with ther ETQA in terms f regulatin 15 f the ETQA Regulatins, 1998. 2.5.7 De-registratin f assessrs and mderatrs The SETA ETQA shall de-register assessrs and mderatrs wh d nt cmply with the criteria and relevant cdes f cnduct fr mderatrs and assessrs in the fllwing instance: the SETA ETQA is in receipt f sufficient evidence which indicates that the assessr r mderatr has been invlved in irregularities that put the validity and reliability f the assessment and mderatin decisins made by the assessr and mderatr in questin at risk; and if the W&RSETA ETQA`s quality assurance prcesses establish mechanisms finds,that the assessr r mderatr indeed fails t perfrm its functins satisfactrily in terms f validity and reliability f assessment r mderatin decisins; and where the W&RSETA ETQA`s quality assurance prcesses find that the assessr r mderatr still fails t meet the assessr r mderatr registratin criteria after being given sufficient feedback and a reasnable time frame t imprve. (iv) The prvider with which the assessr r mderatr is assciated shall be respnsible t implement the required preventative and crrective actins t safeguard the validity and reliability f assessment r mderatin decisins being made by the assessr r mderatr in questin in the interest f the affected learner(s). 2.6.8 Evaluatin, Review and Imprvement The effectiveness f the Assessr and Mderatr Registratin Plicy and prcedures shall be mnitred and reviewed annually 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.