Learner Guide

Conduct outcomes-
based assessment

SAQA ID 115753:
Conduct outcomes-based assessment
NQF Level 5, 15 Credits

Version 1 Learner Guide 1

Table of Contents
PROGRAMME OVERVIEW ....................................................................................................................... 5
Purpose of the programme ........................................................................................................................... 5
Programme entry level requirements ........................................................................................................... 5
Programme outcomes .................................................................................................................................. 5
Assessment .................................................................................................................................................. 7
Learning map (delivery structure) .......................................................................................................... 9
Learner support............................................................................................................................................ 9
MODULE 1 UNDERSTANDING OUTCOMES-BASED ASSESSMENT...................................... 10
DEMONSTRATE UNDERSTANDING OF OUTCOMES-BASED ASSESSMENT ................................................ 11
Outcomes-based education, training and development .............................................................................. 12
Concepts of learning .................................................................................................................................. 14
1.1 Outcomes Based Assessment .................................................................................................... 15
Comparing Outcomes Based Assessment and another form of assessment ............................................... 18
Outcomes based versus content based assessment .................................................................................... 19
1.2 Recognition of Prior Learning (RPL) ...................................................................................... 23
Purpose of RPL ......................................................................................................................................... 24
The process of RPL ................................................................................................................................... 25
Benefits of RPL ......................................................................................................................................... 25
Potential impact of RPL on individuals, learning organisations and the workplace .................................. 26
Challenges of RPL..................................................................................................................................... 27
1.3 Methods of assessment ............................................................................................................. 27
Assessment methods ............................................................................................................................. 28
Assessment instruments ........................................................................................................................ 32
1.4 Key principles of assessment ................................................................................................... 36
Key principles of assessment used in Methods of Assessment .................................................................. 37
Key principles of assessment used in Evidence ......................................................................................... 37
Key principles of assessment used in Overall Assessment Process ........................................................... 38
The importance of applying the principles (effects) .................................................................................. 38
Assessing competence .......................................................................................................................... 40
1.5 Approach to giving feedback on assessment results ................................................................. 41
Possible impact of feedback on learners and further learning and assessment .......................................... 42
Class Activity 1: Demonstrate understanding of outcomes-based assessment...................................... 43
MODULE 2 PREPARE FOR ASSESSMENTS ................................................................................. 44
PREPARE FOR ASSESSMENTS ................................................................................................................ 45
2.1 Prepare for assessment to meet the requirements of the assessment at hand ........................... 45
Logistics ............................................................................................................................................... 45
Resources and environment .................................................................................................................. 46
Documentation ..................................................................................................................................... 46
Steps to follow when preparing for assessment ......................................................................................... 47
1. Identify the need for assessment ....................................................................................................... 47
2. Determine and state the required performance criteria ..................................................................... 47
3. Determine the assessment strategy ................................................................................................... 48
4. Select or design the assessment procedure ....................................................................................... 48
5. Consult the learners on the process of the assessment ...................................................................... 48
Ensuring fairness of the assessment........................................................................................................... 48
Ensuring safety of the assessment ............................................................................................................. 49
2.2 Notify parties involved in the assessment ................................................................................ 49
Checking to ensure parties involved in the assessment are ready and available ........................................ 49
The assessor .......................................................................................................................................... 50
The moderator ...................................................................................................................................... 50
The learner/candidate ........................................................................................................................... 51
The verifier/external moderator ............................................................................................................ 51
SETA and ETQAs ................................................................................................................................ 51
2.3 Carry out all pre-assessment moderation requirements .......................................................... 52
Assessment policies and ETQA requirements ........................................................................................... 52
Moderation requirements........................................................................................................................... 53
Pre-assessment moderation ................................................................................................................... 54
2.4 Explain assessment details to learners .................................................................................... 54
Explaining details of assessment to learners ......................................................................................... 55
Provide opportunities for clarification ....................................................................................................... 55
Respond to promote understanding of the requirements............................................................................ 55
The principles and mechanisms of the NQF .............................................................................................. 56

Version 1 Learner Guide 2

 NQF Framework ................................................................................................................................... 57
The Quality Council for Trades and Occupations (QCTO) ....................................................................... 58
Occupational Quality Assurance .......................................................................................................... 59
Occupational Qualification Development (OQD)................................................................................. 60
2.5 Seek inputs from learners ......................................................................................................... 60
Potential barriers to assessment (special needs) ........................................................................................ 60
Make modifications to the assessment approach ....................................................................................... 61
2.6 Confirm learner readiness for assessment ............................................................................... 61
Pre-assessment meeting ........................................................................................................................ 62
When learners are not yet ready ................................................................................................................ 62
Documents relevant to the preparation and planning of assessment .......................................................... 63
The Assessment Readiness Check ........................................................................................................ 63
The Pre-Assessment Meeting Memorandum of Agreement ................................................................. 64
The Minutes of Pre-Assessment Meeting ............................................................................................. 65
The marking memorandum................................................................................................................... 66
Class Activity 2: Prepare for assessments............................................................................................. 66
MODULE 3 CONDUCT ASSESSMENTS ......................................................................................... 67
CONDUCT ASSESSMENTS ..................................................................................................................... 68
3.1 Assessment practices ................................................................................................................ 68
Assessment practices ................................................................................................................................. 68
Professional, industry or legislated codes of practice ............................................................................... 69
Quality assurance ...................................................................................................................................... 70
Language and assessment .......................................................................................................................... 71
Unacceptable practice and irregularities in assessment ........................................................................ 71
3.2 Carry out the assessment according to the assessment design and plan ................................. 73
Good practice in formative assessment ................................................................................................. 76
Good practice in summative assessment ............................................................................................... 77
Adjustments to the assessment design / plan ............................................................................................. 79
3.3 Use questioning techniques to elicit appropriate responses .................................................... 80
The assessment ..................................................................................................................................... 80
Questioning techniques......................................................................................................................... 80
Do not use leading questions ..................................................................................................................... 83
Listening ............................................................................................................................................... 83
3.4 Gather sufficient evidence........................................................................................................ 84
Rules of evidence ...................................................................................................................................... 84
Types of evidence ...................................................................................................................................... 84
3.5 Ensure that assessment judgements are consistent .................................................................. 86
Judgment of evidence ................................................................................................................................ 87
Reaching assessment results ................................................................................................................. 88
Moderation ........................................................................................................................................... 89
Processing of assessment results........................................................................................................... 90
Reporting procedures ............................................................................................................................ 90
Rules and procedures for marking ........................................................................................................ 90
The use of rubrics ................................................................................................................................. 91
3.6 Ensure that records of the assessment are in line with the quality assurance system .............. 93
Assessment records............................................................................................................................... 95
Class Activity 3: Conduct assessments ............................................................................................... 102
MODULE 4 PROVIDE FEEDBACK ON ASSESSMENTS........................................................... 103
PROVIDE FEEDBACK ON ASSESSMENTS .............................................................................................. 104
4.1 Give feedback to relevant parties ........................................................................................... 104
4.2 Give clear and specific feedback ........................................................................................... 105
Confidentiality requirements .............................................................................................................. 107
4.3 Use the correct type and manner to give feedback ................................................................ 109
Provide sufficient information ................................................................................................................. 110
4.4 Obtain feedback on the assessment process from the learner .................................................111
Example: Learner’s Review of the Assessment Process ..................................................................... 112
Provide opportunities for clarification and explanations ......................................................................... 113
4.5 Deal with disputes and/or appeals that arise ......................................................................... 113
4.6 Record agreements reached ................................................................................................... 116
Example of the aAssessor’s and moderator’s review of the assessment ............................................. 117
Class Activity 4: Provide feedback on assessments ............................................................................ 118
MODULE 5 REVIEW ASSESSMENTS .......................................................................................... 119

Version 1 Learner Guide 3

 REVIEW ASSESSMENTS ...................................................................................................................... 120
The assessment process ........................................................................................................................... 120
5.1 Review the assessment ........................................................................................................... 121
Review the assessment instruments ......................................................................................................... 121
Review the assessment process ............................................................................................................... 122
Talking to the learners ........................................................................................................................ 122
Using self-assessment ......................................................................................................................... 123
5.2 Analyse feedback and use it to influence future assessments ................................................. 124
5.3 Identify weaknesses in the assessment design and process .................................................... 125
5.4 Identify weaknesses in the assessment arising from poorly defined outcomes and criteria ... 126
Class Activity 5: Review assessments ................................................................................................ 126
Reflection ........................................................................................................................................... 126
Facilitator Observation Checklist ....................................................................................................... 126
SUMMATIVE ASSESSMENT................................................................................................................. 128
Knowledge Questions ......................................................................................................................... 128
Practical Activities.............................................................................................................................. 128
Witness Testimony ............................................................................................................................. 128
Logbook.............................................................................................................................................. 128
GLOSSARY ........................................................................................................................................ 129
Acronyms ................................................................................................................................................ 134
APPENDIX A: .................................................................................................................................... 135
Specific details of assessment against this unit standard ............................................................. 135
APPENDIX B: ETDQA ASSESSMENT AND MODERATION POLICY ...................................................... 137
APPENDIX C: CODES OF CONDUCT ................................................................................................... 139
REFERENCES AND FURTHER READING .............................................................................................. 143
Unit Standard details ................................................................................................................... 144
115753 ..................................................................................................................................................... 144

Note:
This is a generic unit standard, and applies to internal and/or external assessment within all fields of
learning. It is accepted that assessment happens in different ways and at different levels in different
sectors, including different models for what constitutes assessment (formal or informal). This standard is
intended to cover any situation in which assessment occurs, whether this be internally, i.e. within the
ambit of the provider-assessor, or externally through cooperating providers, or externally through
professional bodies and quality assurance bodies.

Version 1 Learner Guide 4

 Programme overview

Programme overview
Welcome to this learning programme which will help you learn how to conducti
outcomes-based assessment.

Purpose of the programme

To provide candidate-assessors with the required knowledge and skills to:
• conduct outcomes-based assessment
As you work your way through the learning programme you will gain competence in
the following Unit Standard:

Programme Conduct outcomes-based assessment

SAQA ID 115753: Conduct outcomes-based assessment
Unit Standard NQF Level 5, 15 Credits

This learning programme is intended for all persons who need to conduct outcomes-
based assessment. This generic assessor unit standard applies to those who assess
people for the achievement of learning outcomes in terms of specified criteria using
pre-designed assessment instruments. The outcomes and criteria may be defined in
a range of documents including, but not limited to, unit standards, exit level
outcomes, assessment standards, curriculum statements and qualifications.
Those who achieve this unit standard will be able to conduct assessments within
their fields of expertise. This unit standard contributes towards the achievement of a
variety of qualifications, particularly within the fields of Education Training and
Development Practices and Human Resource Development.
People credited with this unit standard are able to carry out assessments in a fair,
valid, reliable and practicable manner that are free of all bias and discrimination, and
pay particular attention to addressing inequalities caused by race, gender and
disability.

Programme entry level requirements

The programme content is written on the assumption that those starting to learn this
unit standard, which is you as the candidate-assessors, have no previous
assessment experience. It is assumed, though, that the candidate-assessors know
how to evaluate within the area of learning in which they intend to assess.

Programme outcomes
This programme is outcomes-based which means we take the responsibility of
learning away from the facilitator and place it in your hands.
Your learning will begin in the training room where you will identify the skills and
knowledge you require in order to meet the specific outcomes and assessment
criteria contained in the unit standard.
In this programme, we will be covering the following learning outcomes:
• demonstrate understanding of outcomes-based assessment
• prepare for assessments
• conduct assessments
• provide feedback on assessments
• review assessments.

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 Programme overview

Module 1: Module 2:
Understanding outcomes-based Prepare for assessments
assessment
After completing this module, the candidate- After completing this module, the candidate-
assessor will be able to demonstrate an assessor will be able to prepare for assessments
understanding of outcomes-based assessment, by by successfully completing the following:
successfully completing the following: • Prepare assessment resources, logistics,
• Do a comparison between outcomes-based documentation and environment to meet the
and another form of assessment of learning requirements of the assessment at hand and
highlighting key differences in terms of the ensure fairness and safety of assessment
underlying philosophies and approaches to • Notify parties involved in the assessment in
assessment, including an outline of good time. Carry out checks to ensure parties
advantages and disadvantages. involved in the assessment are ready and
• Explain Recognition of Prior Learning (RPL) in available to meet required schedules
terms of its purpose, processes and related • Carry out all pre-assessment moderation
benefits and challenges. Ensure that the requirements in accordance with relevant
explanations highlight the potential impact of assessment policies, moderation plans and
RPL on individuals, learning organisations Education and Training Quality Assurance
and the workplace. (ETQA) requirements
• Describe a variety of assessment methods • Explain assessment details to candidates
and compare them in terms of how they could clearly and constructively. Provide
be used when conducting assessments in opportunities for clarification and respond to
different situations. promote understanding of the requirements
• Describe key principles of assessment and • Seek input from candidates regarding special
illustrate them in practical situations. Ensure needs and possible sources of evidence that
that the descriptions highlight the importance could contribute to valid assessment,
of applying the principles in terms of the including RPL opportunities. Make
possible effect on the assessment process modifications to the assessment approach on
and results. the basis of the input that do not affect the
• Describe the approach to giving feedback on validity of the assessment
assessment results in terms of the possible • Confirm candidate readiness for assessment.
impact on candidates and further learning and In cases where candidates are not yet ready,
assessment. take actions in line with assessment policies

Module 3: Module 4:
Conduct assessments Provide feedback on assessments
After completing this module, the candidate- After completing this module, the candidate-
assessor will be able to conduct assessments, by assessor will be able to provide feedback on
successfully completing the following: assessments, by successfully completing the
• Use assessment practices that promote following:
effective, manageable, fair and safe • Give feedback to relevant parties in
assessment. Ensure that assessment accordance with confidentiality requirements,
practices are in line with quality assurance in an appropriate sequence and within agreed
requirements, recognised codes of practice timeframes
and learning-site or work-site standard • Ensure that feedback is clear and confined to
operating procedures where applicable strengths and weaknesses in performance
• Carry out the assessment according to the and/or requirements for further evidence in
assessment design and in line with the relation to the outcome/s at hand
assessment plan. Justify adjustments to the • Ensure that the type and manner of feedback
situation, and unforeseen events and special is constructive, culturally sensitive and related
needs of candidates are addressed without to the relevant party's needs. Provide
compromising the validity or fairness of the sufficient information to enable the purpose of
assessment the assessment to be met, and to enable
• Use questioning techniques that are parties to make further decisions
appropriate and have the potential to • Obtain feedback on the assessment process
successfully elicit appropriate responses. from the candidate and provide opportunities
Ensure that communication with candidates is for clarification and explanations concerning
non-leading, and is appropriate to the the entire assessment
assessment at hand and the language ability
• Deal with disputes and/or appeals that arise
of the candidate
according to the assessment policy
• Gather sufficient evidence, including evidence
• Record agreements reached and key

Version 1 Learner Guide 6

 Programme overview

generated over time, to enable valid, elements of the feedback in line with the
consistent, reliable and fair assessment requirements of the organisation's quality
judgements to be made assurance system
• Ensure that assessment judgements are
consistent with judgements made on similar
evidence and are justified by the authenticity,
validity, sufficiency and currency of the
evidence
• Ensure that records of the assessment are in
line with the requirements of the
organisation's quality assurance system.
Ensure that records meet requirements for
making assessment judgements, giving
meaningful feedback, supporting internal and
external moderation, and addressing possible
appeals

Module 5:
Review assessments
After completing this module, the candidate-
assessor will be able to review assessments, by
successfully completing the following:
• Ensure that the review identifies strengths
and weaknesses in the instruments and
process, and record these for incorporation in
assessment redesign
• Analyse feedback from relevant parties and
use it to influence future assessments
positively
• Identify weaknesses in the assessment
design and process that could have
compromised the fairness of assessment and
deal with it according to the organisation's
assessment policy
• Identify weaknesses in the assessment
arising from poorly defined outcomes and
criteria, and take effective steps to inform
relevant bodies

During the programme you will complete a number of class activities that will form
part of your formative assessment. These give you have the opportunity to practise
and explore your new skills in a safe environment.
The programme will be followed by summative assessment tasks to be completed on
your own in your workplace. In some cases, you may be required to do research and
complete the tasks in your own time.

Assessment
It is important to note that it is your responsibility, as the candidate-assessor, to prove
your competence. You therefore need to plan your time and ensure that your
Portfolio of Evidence is kept up to date and handed in on time.
A Portfolio of Evidence (PoE) is a collection of documents of work you have produced
to prove your competence. You will compile your portfolio from activities, tools and
checklists associated with the unit standard and relevant to the unit standard being
assessed.

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 Programme overview

You will be given the following documents to assist you in creating a Portfolio of
Evidence:
• Learner Guide: The Learner Guide is designed to serve as a guide for the
duration of your programme and is the main training document. It contains
information (knowledge and skills required) and application aids that will
assist you in developing the knowledge and skills stipulated in the specific
outcomes and assessment criteria.
• Learner Workbook: The Learner Workbook contains all the class activities
that you need to complete to show formative learning. These will be
assessed as part of your Portfolio of Evidence as formative assessment, so
you will hand in the Learner Workbook as part of your Portfolio of Evidence.
• Learner Portfolio of Evidence Guide: The Learner Portfolio of Evidence
Guide provides details about the assessment, such as the assessment
preparation, plan and specific summative assessment activities that you need
to complete in the workplace.
Both formative and summative assessment is used as part of this outcomes-based
programme:
• Formative Assessment: In order to gain credits for this unit standard you
will need to prove to an assessor that you are competent. The class activities
in your Learner Workbook are designed not only to help you learn new skills,
but also to prove that you have mastered competence. You will be required to
develop a Portfolio of Evidence to hand in to an assessor so that you can be
assessed against the outcomes of this Unit Standard. Where you encounter
a class activity icon in the Learner Guide, you must complete the formative
assessment activity in the Learner Workbook. Comprehensive guidelines for
the development of your Portfolio of Evidence are in the Learner Portfolio of
Evidence Guide for the particular programme that you are doing.
• Summative Assessment: The National Qualifications Framework’s (NQF)
objective is to create independent and self-sufficient learners. This means
that you will also be required to do independent research and assignments,
such as knowledge questions, a practical activity (completed in the
workplace), a witness testimony and a logbook.
The assessment process is discussed in detail in the Learner Portfolio of
Evidence Guide. When you are ready, you will advise your supervisor /
mentor that you are ready for assessment. He or she will then sign off the
required sections in the Learner Portfolio of Evidence Guide and you will be
able to submit your Portfolio of Evidence for assessment. The summative
assessment activities are placed in the Learner Portfolio of Evidence Guide
for your convenience. If any of your assessment is conducted using
observation, role plays or verbal assessment, you must place a signed copy
of the checklists, once completed by your supervisor / mentor in your Learner
Portfolio of Evidence Guide, as indicated.
The Training Provider will assess your portfolio. If successful, you will receive the
credit value of this programme. The entire assessment process is explained in the
Learner Portfolio of Evidence Guide and you are urged to read this guide as soon as
possible as it explains the assessment process in detail and clarifies your rights and
responsibilities to ensure that the assessment is fair, valid and reliable.
If you are not successful, you will receive all the guidance needed to resubmit your
Portfolio of Evidence within a specific time period, as per the Training Provider’s
requirements.

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 Programme overview

Learning map (delivery structure)

Assessment Formative Assessment 30% Summative Assessment70%
Contact Learning Summative
Theory input Prescribed assessment in PoE:
Learning Learning and
Formative assessment reading, knowledge questions,
application at the
activities (workbook activities): support, practical workplace
workplace
group activities, coaching activity, Witness
for 150 hours of simulations Testimony, logbook

notional learning 35 hours 10 hours 89 hours 16 hours

   
Compilation of Portfolio of Evidence
Complementary workplace practices Coaching and Mentoring; Performance Management

Learner support
Please remember that as the programme is outcomes based – this implies the
following:
• You are responsible for your own learning – make sure you manage your
study, practical, workplace and portfolio time responsibly.
• Learning activities are learner driven – make sure you use the Learner Guide,
Learner Workbook and Learner Portfolio of Evidence Guide in the manner
intended, and are familiar with the portfolio requirements.
• The facilitator of this programme is there to reasonably assist you during the
contact, practical and workplace time of this programme – make sure that you
have his/her contact details.

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 Module 1

Module 1
Understanding outcomes-based assessment

After completing this module, the candidate-assessor will be able to demonstrate an

understanding of outcomes-based assessment, by successfully completing the
following:

• Do a comparison between outcomes-based and another form of assessment of

learning highlighting key differences in terms of the underlying philosophies and
approaches to assessment, including an outline of advantages and
disadvantages.
• Explain RPL in terms of its purpose, processes and related benefits and
challenges. Ensure that the explanations highlight the potential impact of RPL on
individuals, learning organisations and the workplace.
• Describe a variety of assessment methods and compare them in terms of how
they could be used when conducting assessments in different situations.
• Describe key principles of assessment and illustrate them in practical situations.
Ensure that the descriptions highlight the importance of applying the principles in
terms of the possible effect on the assessment process and results.
• Describe the approach to giving feedback on assessment results in terms of the
possible impact on learners and further learning and assessment.

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 Module 1

Demonstrate understanding of outcomes-based assessment

This programme will take you through the process of assessment, which is as
follows:

In this module, you will learn the importance of outcomes-based learning and
assessment and how it compares with other forms of learning and assessment. You
will also learn about the opportunities offered by Recognition of Prior Learning (RPL),
the key principles of assessment and how to give feedback on assessment results.

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 Module 1

Outcomes-based education, training and development

Outcomes Based Education (OBE) is a method of training that recognises both
formal and informal education. It makes provision for people to qualify not only by
formal education, but also by informal on-the-job training based largely on their
experience.
The main idea in Outcomes Based Education (also called Competency Based
Education) is to cut the learning content (course material) into small manageable
chunks for learning. Each chunk is then formulated into a so-called Specific
Outcome. A Specific Outcome summarises its content in terms of a skill and
knowledge as well as the associated assessment criteria which the learner has to
satisfy.

Outcomes: The contextually demonstrated end products of a learning process.

In the workplace these “end-products” will include both process and output.
There are two types of outcomes:
• Critical outcomes, which are broad and the same across all fields of
Definition learning.
• Specific outcomes or outcomes specific to certain occupations and fields
of learning.

An Outcome is a final demonstration of the entire range of learning experiences and

capabilities within it, and it occurs in a performance context that directly influences
what it is and how it is carried out.
These defining elements clearly tell us that an outcome is not simply the name of the
learning content, or the name of a concept, or the name of a competence or a mark
of a test score, but an actual demonstration of skills and knowledge. Therefore, an
outcome is not the mastering of a programme, module, chapter or competence. It is
the combination of knowledge, skills and values that enable a learner to achieve a
specified outcome.
A specific outcome is the ability to use knowledge, skills and values specific to a
particular learning field or occupation. For example, an outcome that is specific to the
work of a plumber will be the knowledge, skills and values relating to plumbing
specifically; such as the:
• knowledge of different types of tubing, water pressure, etc.
• skill to clean blocked pipes, link tubing, etc.
• awareness of health and hygiene matters (a value).
These knowledge, skills and values are important for a plumber, but not for all jobs.

In order to measure the achievement of an outcome, there needs to be measurable

standards:
Standards: Within the new education and training context created around the
National Qualifications Framework, “standards” mean registered statements of
desired education and training outcomes, and their associated assessment
Definition criteria. A standard is any definite rule, principle or measure agreed on by a
group of key stakeholders and set up by an authority.

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 Module 1

To develop standards, you could use:

• standard operating procedures (SOPs)
• best practices
• equipment user manuals
• quality procedures
• safety procedures
• training curricula (where relevant)
• job profiles
• task descriptions or
• performance standards.

Example
Common standards in general use are:
• standards for weight: gram, kilogram, etc.
• standards for time: seconds, minutes, hours, etc.
• standards for value: rands, dollars, yen, etc.

Work related standards are:

• national standards
• industry standards
• enterprise standards
• the South African Qualification Authority’s (SAQA’s) Unit Standards.

Learning is a process of active engagement with experience. It involves an increase

in skills, knowledge, understanding, values or the capacity to reflect. Effective
learning will lead to change, development and a desire to learn more.
Outcomes Based Education (OBE) is a learner-centred process:
• what learners are to learn is clearly defined (outcomes and standards)
• learners’ progress is based on demonstrated achievement
• learners’ needs are accommodated through multiple teaching and learning
strategies and assessment tools
• each learner is provided the time and assistance to realise his/her potential.
The concept of “lifelong learning” also plays an important part in OBE. Lifelong
learning means making a commitment to continue learning and improving one's
skills, knowledge and understanding throughout the duration of your life. This
learning could be personal, professional, academic, general – the list is endless.
Lifelong learning has a multitude of advantages for each individual; for example,
ensuring one’s continued employability and marketability by learning new job skills;
increasing one’s performance and chances of being promoted by enhancing existing
skills and expanding one’s work and professional credentials to broaden one’s
experiences and prepare for career transitions.

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 Module 1

Concepts of learning
According to Gerda Magnus and Herman de Vries from Assessment College1,
outcomes based learning can be:
• Strategic –learning one or more skills can function as a base on which a
higher-order skill may be acquired
• Scaffolded – this is the support, guidance and direction given to learners
when they set out to complete a task, whether it is formative assessment,
experiential learning, or summative assessment
• Deep – deep learning involves the critical analysis of new ideas, linking them
to already known concepts; this leads to the understanding and long-term
retention of concepts and the results of such learning is best for problem
solving in unfamiliar contexts
• Shallow – the intention of surface learning is to cope with course
requirements such as memorising content as isolated and unrelated facts;
this leads to superficial learning without thinking about the purpose.

Outcomes Based Education holds the following key beliefs about learning and
success:
• what and whether learners learn successfully is more important than exactly
when, how and from whom they learn it
• all learners can learn and succeed, but not on the same day in the same way
• successful learning promotes more successful learning, just as poor learning
fosters more poor learning.

Outcomes Based Education and Training (OBET) is characterised by the following:

• outcomes and assessment criteria are stated clearly in the standards
• outcomes are focused on skills, knowledge and attitudes/values
• learning is facilitated and can take place anywhere (so is not restricted to
formal learning)
• both critical cross-field outcomes and specific outcomes are included in the
assessment
• outcomes describe observable, demonstrable and assessable performance
• outcomes are broader in scope than a mere list of specific tasks or skills.

The following are some advantages of OBET:

• learners know what is expected of them and can assess themselves
• trainers/facilitators can plan and prepare for maximum results
• educational institutions can evaluate the effectiveness of their work against
outcomes achieved
• outcomes are agreed between representative role-players and experts
• theory and practice, skills and knowledge can be integrated
• formal institutions and workplace management are forced to cooperate in
developing relevant curricula based on standards.

1
Fasset: Assessor and Moderator Networking event 2008

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 Module 1

Disadvantages of OBET would include:

• half-measures in applying the concepts result in a watered-down system that
unfairly discredits OBET
• standards and outcomes must be written in such a way that everyone involved
understands them
• it is resource-heavy as a wide group of role-players need to be trained to
understand and use the system.
• it must be possible to carry out practical assessment based on the assessment
criteria
• it does not make provision for excellence
• implementing OBET is very costly and time consuming.

1.1 Outcomes Based Assessment

The South Africa Qualifications Authority (SAQA) Act (No. 58 of 1995) makes
provision for the establishment and implementation of a National Qualifications
Framework (NQF). The NQF requires that qualifications and standards must be
nationally registered, and that all education and training must be quality assured. The
vision towards which SAQA strives is to achieve reconstructed and re-developed
education and training which reflects the objectives of the National Qualifications
Framework (NQF), which are to:
• create an integrated national framework for learning achievements
• facilitate access to, and mobility and progression within, education, training
and career paths
• enhance the quality of education and training
• accelerate the redress of past unfair discrimination in education, training and
employment opportunities; and thereby
• contribute to the full personal development of each learner and the social and
economic development of the nation at large.
SAQA Act, 1995 (Act No. 58 of 1995) - Government Gazette 9 May 1997, No. 17970

SAQA published, by Government Notice NO.R1127 of 8 September,1998, its ETQA

Regulations. These regulations require all ETQAs and providers to have in place a
quality management system that includes policies, procedures and review
mechanisms for quality assurance. Included among these are policies, procedures
and mechanisms for the management of assessment – both internal and external.
The ETQAs are required to evaluate the assessment policies and procedures of
constituent providers and to approve and monitor the implementation of these.
The Skills Development Act (No. 97 of 1998) (SDA) aims to address South Africa's
skills needs across and within the country's social and economic sectors. The
purposes of the SDA, as expressed in the legislation are:
• to develop the skills of the South African workforce:
o to improve the quality of life of workers, their prospects of work and
labour mobility
o to improve productivity in the workplace and competitiveness of
employers, and
o to promote self-employment.

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• to encourage employers:
o to use the workplace as an active learning environment
o to provide employees with the opportunities to acquire new skills, and
o to provide opportunities for new entrants to the labour market.
• to employ persons who find it difficult to be employed
• to encourage workers to participate in learnerships, courses and other training
programmes
• to improve the employment prospects of persons previously disadvantaged by
unfair discrimination and to redress those disadvantages through education
and training.
SETAs and some ETQA sections are responsible for achieving these purposes, and
to do so they need to encourage their accredited providers to implement increasingly
transformative assessment policies.
Both the South African Qualifications Authority Act, 1995, and the Skills Development
Act, 1998, require that education and training programmes and practices are based
on Unit Standards registered on the NQF, and where appropriate (e.g. in the case of
learnerships) result in national qualifications on the NQF2.
Both Acts also require that education and training practices have internal and
external assessment practices built into a quality assurance system. The purpose of
quality assurance is to ensure that the highest levels of competence and excellence
will be achieved for every Rand collected in the form of the skills development levy
and for every Rand of this income that is invested in all the practices relating to
education and training.
Assessment that leads to the achievement of credits or qualifications on the NQF
must be conducted by a registered assessor.
Credits: A “credit” is a numeric value assigned to a unit standard. One credit
equals 10 hours of notional learning time required to master the capability
described in a unit standard.
Definition The total number of credits determines the type and level of qualification. The
following criteria apply:
Qualification A minimum of...
National Certificate 120 credits
National Diploma 240 credits
National Degree 360 credits

Assessment is basically a case of learners demonstrating that they can perform the
outcomes, which have been decided on for the particular competence they are being
trained in. That is why setting accurate standards is so important. The standards will
determine what the assessment must test for. Learners would show competence as:
• Practical competence – demonstrating the ability to perform a set of tasks
and actions in authentic contexts
• Foundational competence - demonstrating an understanding of what we are
doing and why we are doing it

2
Adapted from an article written by Marietta van Rooyen, MD of The Assessment College,
www.workinfo.com/free/downloads/30.htm

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• Reflexive competence - demonstrating the ability to integrate our

performances with our understanding so that we are able to adapt to changed
circumstances and explain the reason behind these adaptations.

One of the SAQA requirements for registration as an assessor is that the assessor
must have achieved the assessor standard ‘Conduct Outcomes Based Assessment’.
Another important requirement is that assessors are only registered to assess in their
area of expertise, and that they must be qualified at the level of the learner they are
assessing or at a higher level in the same field, or be able to demonstrate equivalent
competence.
Assessors are appointed and trained to undertake the assessment process. An
assessor can be internal to the organisation that does the training, or external. If they
are internally appointed, they must be qualified at, or above the level of training that
they will be assessing, and they must be registered with their ETQA as an Assessor.
Subject matter experts (SMEs) make ideal assessors as they either know the job
being assessed well, or have been involved in the design of these jobs.
The following is a list of the critical functions/tasks of an assessor:
1. Get to know the standard being measured as defined by the Standards
Generating Body (SGB) for your industry / subject, and understand how these
link to the various levels of the National Qualifications Framework (NQF).
2. Plan and design assessment for the various standards in conjunction with
training providers, who may be other teachers at your school or college, or
external vendors.
3. Collect reliable evidence about the learner's performance, and evaluate and
judge that evidence to decide whether the learner is competent, or not yet
competent.
4. Regularly review the assessment process and make changes to it when
necessary.
5. Comply with all moderation requirements that the ETQA function in the
relevant SETA for your industry / subject may decide on from time to time. We
strongly recommend that assessors make an appointment to meet the ETQA
Manager at your local SETA to gain support for the assessment process in
your company. Remember that these officials are paid from the levies
collected to be of help to you!
6. Complete all documentation required by the ETQA function of the relevant
SETA, and forward it to them.

An assessor will typically have:

• interpersonal skills (to help learners through the assessment process),
• subject matter expertise (knowledge of the curriculum), and
• assessment expertise.
In Outcomes Based Education (OBE), assessment is an integral part of learning. It is
important to have high-quality assessment practices to ensure the success and
credibility of the Outcomes Based Education and Training system.

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Outcomes Based Assessment: a planned process for gathering and judging

evidence of competence, in relation to pre-determined criteria within an
outcomes-based paradigm, for various purposes including further development
Definition and recognition of learning achievements
Assessment: a process in which evidence is gathered and evaluated against
agreed criteria in order to make a judgement of competence for developmental
and/or recognition purposes
Assessment activities: what a learner does or is involved in as a means of
producing evidence e.g. designing things, making things, repairing things,
reporting on something, answering questions, solving problems, demonstrating
techniques
Assessment criteria: descriptions of the required type and quality of evidence
against which learners are to be assessed
Candidate/learner: person whose performance is being assessed by an
assessor. Such people include those who may already be competent, but who
seek assessment for formal recognition (candidates), as well as those who may
have completed or are in the process of completing a learning programme or
courses (learners)
Evaluative expertise: the ability to judge the quality of a performance in relation
to specified criteria consistently, reliably and with insight. Evaluative expertise
implies deep subject matter understanding and knowledge about the outcomes
being assessed at a theoretical and practical level, but does not necessarily
include practical ability in the outcome
Evidence: tangible proof produced by or about individuals, that can be
perceived with the senses, bearing a direct relationship to defined outcomes and
criteria, based on which judgements are made concerning the competence of
individuals. Evidence includes plans, products, reports, answers to questions,
testimonials, certificates, descriptions of observed performances, peer review
reports
Moderation: a process that supports and evaluates the assessment
environment, process and instruments with a view to confirming the reliability
and authenticity of assessment results and improving the quality of assessments
and assessors
Performance: includes demonstration of skills, knowledge, understanding and
attitudes, and the ability to transfer these to new situations
Verifier: those who operate at systems level to monitor assessment and
moderation practices, trends and results

Comparing Outcomes Based Assessment and another form of assessment

You need to do a comparison between outcomes-based and another form of
assessment of learning. Highlight key differences in terms of:
• the underlying philosophies and approaches to assessment, including an
outline of advantages and disadvantages.
The shift with Specific Outcomes is from the inputs or traditional Contents Based
Learning to the outputs or Outcomes Based Learning3.

3 Adapted from: http://www.skillsatwork.co.za

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• Contents Based Learning:

o focuses on what the teacher will teach (the teacher has a series of
objectives that if completed or met, show an understanding of the
material covered)
o describes the intent of teaching
o focuses on providing opportunities for learning
o is predicated on a limited time scale (based around an estimated
amount of learning done in a given time)
o material is in the form of Study Manuals or Textbooks which are
contents-driven.
• Outcomes Based Learning:
o focuses on what the learner needs to do
o describes the result of learning
o focuses on how learning is applied
o is, by its very nature, dependant on the flexible allocation of time (the
learner dictates what is learned and when)
o define the learning outcomes and assessment criteria
o guides content that is determined by the inputs of various role-players
o guides content that is are practical, addressing both skills and
knowledge
o material is used to facilitate the process of learning by providing
information about what should be learnt, how and when it should be
learnt
o material describes how it could be integrated with other aspects of the
curriculum and where the learner can find new or related information
o Guides, Facilitator Guide, Portfolios of Evidence or Learner
Workbooks are used in conjunction with a structured programme
strategy or curriculum to complete a programme.

Outcomes based versus content based assessment

The following table compares outcomes based and content based assessment:
Outcomes based assessment Content based assessment
Underlying Emphasis is placed on outcomes of Instructional designers develop
philosophy learning, so that the learner: programmes s around the
• knows content.
• understands The outcomes of a programme
are written as objectives.
• can do.
Approach to Varied in terms of: Learners do assignments and
assessment • methods write tests and examinations in
order to indicate their level of
• techniques
competence.
• tools.
Assessment criteria are non-
These are integrated into learning existent or vague.
programmes and support learning
and development.

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Outcomes based assessment Content based assessment

Advantages Outcomes and assessment criteria None, as it is teacher centred and
are clearly specified, enabling the disregards learner differences.
learner to know the goals he/she is
working towards.
Is learner centred.
Is learner paced.
Allows learners to actively participate
in education, training and
assessment.
A learner technically cannot “fail” in
this system: a learner who needs to
review the current material will simply
not achieve the next level at the
same time as most of his/her peers.
This acknowledges differential
growth at different stages, and helps
the facilitator to focus on the
individual needs of the learners.
Disadvantages Can have a negative impact on The teacher decides on the
learners if taught by people who are content.
not trained in the facilitation process. Learners are not actively involved.
In practice, managing and Reports on learners’ relative
administering independent learning achievements.
programmes for numerous
individuals is difficult, time-
consuming and costly.

Assessment in OBET emphasises the assessment of outputs and end products.

These are expressed in outcomes and competence.
The assessment of the achievement (or non-achievement) of outcomes and
competence is done against assessment criteria.
The statement of outcomes, competence and assessment together form a statement
of the standard that the learners are expected to achieve, and they are therefore
assessed against this.
Terminology Definition
Competence Competence in SAQA terms is applied competence – the combination
of practical, foundational and reflexive competence.
Outcomes Outcomes are the demonstrable and assessable end products of a
learning process. They are statements about elements of
competence.
Outcomes go beyond the specification of subject content and can
include reference to:
• actions, roles, knowledge, understanding, skills, values and
attitudes that a learner has to perform to demonstrate
competence
• the criteria against which these will be assessed
• the particular contexts for performance of these
• the assessment of the performance of these.

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Terminology Definition
Assessment criteria Assessment criteria are statements that describe the standard to
which learners must perform the actions, roles, knowledge,
understanding, skills, values and attitudes stated in the outcomes.
They are a clear and transparent expression of requirements against
which successful (or unsuccessful) performance is assessed.
The assessment criteria should specify:
• the knowledge, understanding, action(s), roles, skills, values
and attitudes that a learner has to display in order to provide
evidence that outcomes and competence have been achieved
• the level of complexity and quality of these
• the context of and conditions under which demonstrations
should occur.
Unit standards Unit standards are the parts that make up a qualification. A
qualification in SAQA terms is made up of a cluster of unit standards,
including standards for fundamental learning, core learning and
elective learning – this is to ensure that learners are not only
competent in a particular field, but that they are developed holistically,
with competence in communication and numeracy, etc.
Critical cross-field Assessment in OBET is not only focused on what learners can do, but
outcomes intends to develop learners holistically. In other words, learners are
also required to demonstrate certain life skills, which will not only
enhance their learning, but will also ensure that these skills are
transferable to their private lives.
These skills are referred to as ‘generic abilities’ and are expressed as
‘critical cross-field outcomes’ in the qualifications. The following critical
cross-field outcomes must be included and assessed in each
qualification:
• identify and solve problems in which responses display that
responsible decisions, using critical thinking, have been made
• work effectively with others as a member of a team, group,
organisation or community
• organise and manage oneself and one’s activities responsibly
and effectively
• collect, analyse, organise and critically evaluate information
• communicate effectively using visual, mathematical, and/or
language skills in the modes of written and/or oral
presentation
• use science and technology effectively and critically show
responsibility towards the environment and the health of
others
• demonstrate an understanding of the world as a set of related
systems by recognising that problem-solving contexts do not
exist in isolation
• contribute to the full personal development of each learner
and the social and economic development of the society at
large, by making it the underlying intention of any programme
of learning to make an individual aware of the importance of:
o reflecting on and exploring a variety of strategies to
learn more effectively
o participating as responsible citizens in the life of local,
national and global communities
o being culturally and aesthetically sensitive across a
range of social contexts.

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Terminology Definition
Formative Formative assessment refers to assessment that takes place during
assessment the process of learning and teaching. This type of assessment:
• is designed to support the teaching and learning process
• assists in the planning future learning
• diagnoses the learner’s strength and weaknesses
• provides feedback to the learner on his/her progress
• helps to inform decisions on the readiness of learners to do a
summative assessment
• is developmental in nature
• is not awarded credits/certificates.
Summative Summative assessment is assessment for making a judgement about
assessment achievement. This is carried out when a learner is ready to be
assessed at the end of a programme of learning. This type of
assessment:
• takes place at the end of a learning programme (qualification,
unit standard, or part (qualification)
• determines whether the learner is competent or not yet
competent
• usually occurs after a specified period of study, e.g. one year,
in knowledge and inputs-based systems
• takes place in OBET when learner-readiness determines it
should
• is carried out when the assessor and the learner agree that
the learner is ready for assessment.
Criterion-referenced OBET assessment is associated with criterion-referenced
Assessment assessment, particularly in terms of the assessment of the individual
and his/her achievement. This type of assessment:
• makes judgements about learners by measuring learners’
work against set criteria
• assesses individuals
• has criteria that are pre-determined and are part of the
standard
• has criteria that are objective and attempt to be as clear as
possible in terms of the nature of the assessment
• uses criteria for assessment to grade learners where grading
is used.
Thus in OBET, assessment is done to the standard that is stated in
terms of the specified outcomes and the accompanying assessment
criteria laid down. The achievement (or non-achievement) of other
learners undergoing the same assessment is not the major issue.
A learner is deemed competent or not competent on the basis of their
assessment against the standard set.

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Terminology Definition
Norm-referenced Norm-referenced assessment makes judgements about learners by
Assessment measuring them against one another. This type of assessment:
• assesses a group of learners.
• is curriculum-based
• is associated with grading and ranking of learners
• is associated with averaging of scores or grading of learners
• is associated with adjustment of scores to fit the profile of the
learner group.
This assessment is still used to:
• assess large numbers of learners in a cost-effective way
• test content knowledge
• draw statistics, i.e. compare one year’s performance with that
of the previous year to evaluate standards
• determine the quality of teaching
• determine the quality of the learning programme
• make comments about the national curriculum and trends
• analyse strengths and weaknesses to assist in program
planning and evaluation.

1.2 Recognition of Prior Learning (RPL)

Recognition of Prior Learning (RPL) is the formal acknowledgement of the knowledge
and capabilities that people possess as a result of prior learning. The process of RPL
acknowledges that this learning may have occurred through formal, informal or non-
formal means, in other words through study, work or from other life experiences.
RPL is the practice through which learning in the workplace, in the community, in
organisational and cultural activities, is assessed for access and accreditation
purposes.
RPL rests on the assumption that socially useful learning is not reserved for formal
learning institutions.
It assumes that valuable knowledge is produced by human beings in many different
contexts, and that such knowledge can be articulated, assessed and recognised.

You need to understand RPL in terms of:

• purpose
• processes and
• related benefits and challenges.
Recognition of Prior Learning (RPL): the comparison of the previous learning
and experience of a learner against specified learning outcomes required for:
• the award of credits for a specified unit standard or qualification
Definition
• access to further learning
• recognition in terms of meeting minimum requirements for a specific job
• placement at a particular level in an organisation or institution
• advanced standing or status.

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This means that regardless of where, when or how a person obtained the
required skills and knowledge, they could be recognised for credits. In this
sense, RPL is an important principle of the NQF. RPL involves an assessment
process of preparing for RPL, engaging with RPL candidates, gathering
evidence, evaluating and judging evidence in relation to defined criteria, giving
feedback and reporting results. Given that all candidates are assessed against
the same criteria, credits awarded through RPL are therefore just as valid as
credits awarded through any other assessment process.

Purpose of RPL
The OBE system makes provision for what is now known as “Recognition of Prior
Learning” (RPL), which basically entails testing a person's ability to do a specific job
and awarding this person either a qualification or credits towards a qualification,
based on his current knowledge and ability to perform the required task.
This means that if a person has been working as a plumber for the last 12 years, this
person may request a training institution to perform an RPL (Recognition of Prior
Learning) exam to assess his capability and award him with a qualification based on
his experience. It is therefore possible for him to receive a plumbing qualification
based on his experience, without having served a recognised apprenticeship or
learnership.
Recognition of prior learning (RPL) refers to a process of giving credit to what
learners already know and can do regardless of whether this learning was achieved
formally, informally or non-formally. RPL uses the assessment process to recognise
job competence that has been gained by experience through assessing the individual
employee’s quality of integration of education, training, coaching, mentoring and life
skills.
The purpose of RPL is to:
• identify what the candidate knows and can do
• match the candidate’s skills, knowledge and experience to specific unit
standards and exit level outcomes of qualifications
• assess the candidate against those standards
• credit the candidate for skills, knowledge and experience built up through
formal, informal and non-formal learning that occurred in the past.
RPL can be applied to:
• personal development
• certification
• access to further learning
• promotion
• career change.

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The process of RPL

The RPL process4 can be seen as:

Note: Learners vs. Candidates: In the RPL process a learner is referred to as a

candidate. In all other NQF related practices the learners are referred to as learners.
Evidence: tangible proof produced by or about individuals, which can be
perceived with the senses, bearing a direct relationship to defined outcomes and
criteria, based on which judgements are made concerning the competence of
Definition individuals. Evidence includes plans, products, reports, answers to questions,
testimonials, certificates, descriptions of observed performances, peer review
reports.

Benefits of RPL
Recognition of prior learning has been identified as a powerful tool for bringing
people into the learning system as it reassures them that they don’t have to start from
scratch and that the skills they already have are valuable. The growing body of
research on the subject has revealed evidence that RPL has many benefits.

4
Source: INSETA_RPL_Portfolio_Example_2010

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Generically speaking, RPL offers the following benefits:

• costs can be kept down by co-operation between the employer and the
providers of RPL
• new skills can be developed
• new and dormant learning pathways can be activated
• credit transfer is facilitated, provided that other learning providers recognise
credits obtained through RPL
• consensus on the level(s) and the minimum requirements for candidates
seeking credits for particular qualifications or entry to further study supports
the objectives of the NQF
• learning institutions maintain their independence, since RPL procedures are
generic and not dependent on specific learning content or curriculums.
Recognition of prior learning can have a significant impact on learner confidence and
motivation. Through the RPL process people realise how much they already know
and can do. As a result of this confidence boost, they may attempt a qualification or
training program that they otherwise might not have attempted.

Potential impact of RPL on individuals, learning organisations and the

workplace
You need to understand the potential impact of RPL on:
• individuals
• training organisations, and
• the workplace.

Individuals use recognition of prior learning because it:

• saves time because they do not have to repeat learning skills or knowledge
they already have
• allows fast-tracking to recognised qualifications
• allows for employment-related gains and career development opportunities
• can have a significant impact on self-esteem and motivation
• can satisfy industry licensing arrangements.

Registered training organisations offer recognition of prior learning because it:

• meets the requirements of the National Qualifications Framework
• meets the wishes of employers and individuals
• is a potentially efficient and time-saving process; only training that adds value
is required to be delivered
• can assist the development of learner and employer-centred training
programs
• has genuine and valuable learning outcomes in its own right, regardless of
whether recognition is awarded.

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Employers encourage recognition of prior learning because it:

• provides a way of more effectively and efficiently utilising skills already in the
workforce
• allows fast-tracking, which means employees can become fully competent as
quickly as possible
• enables skill gaps to be identified, providing a sound basis for training needs
analysis and career planning
• fosters a learning culture, since it builds confidence to undertake further
education and training
• motivates employees.

Challenges of RPL
The challenges facing the implementation of RPL in South Africa include:
• ensuring that equity, redress and an holistic approach are developed and
practised;
• ensuring that new forms of exclusion and discrimination of adult learners do
not become the norm at our education institutions;
• ensuring that education providers become more “adult learner friendly” as
they deal with increasingly diverse learner populations;
• juggling institutional autonomy versus consistency within and between
institutions in the various sectors; and
• ensuring the participation and collaboration of all stakeholders in the
particular sector

1.3 Methods of assessment

You need to understand a variety of assessment methods and how they could be
used when conducting assessments in different situations.
Assessment method: for the most part, assessment methods relate to what an
assessor does to gather and evaluate evidence. Assessment methods include
observing learners, questioning learners, interviewing teachers / supervisors /
Definition colleagues / managers of learners, listening to learners, reviewing written
material, testing products
Evaluative expertise: the ability to judge the quality of a performance in relation
to specified criteria consistently, reliably and with insight. Evaluative expertise
implies deep subject matter understanding and knowledge about the outcomes
being assessed at a theoretical and practical level, but does not necessarily
include practical ability in the outcome
Evidence: tangible proof produced by or about individuals, which can be
perceived with the senses, that bears a direct relationship to defined outcomes
and criteria, based on which judgements are made concerning the competence
of individuals. Evidence includes plans, products, reports, answers to questions,
testimonials, certificates, descriptions of observed performances, peer review
reports.
Evidence is what you see as the result of learning: it refers to anything produced by
the learner to show that s/he has skills and knowledge as required by the standards
and qualifications in a field of learning. Evidence can take many forms, such as
written, oral, observed performances and other documented behaviours. Evidence
should be authentic (i.e. it is real, and it can be linked to the learners who puts it

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forward), current (i.e. it is sufficiently up to date in terms of current competence in

the standards) and sufficient (i.e. there is enough evidence to show competence).
There are different types of evidence, depending on what is generated by a specific
assessment or learning activity or job-related activity: e.g. a written document, a
performance, a made product etc. The three main sources of evidence are:
• Direct Evidence: Direct evidence is produced during the assessment of
learning by a registered assessor. This type of evidence can be collected
using a variety of methods, for example direct observation, direct oral
questioning, work-related projects or assignments, simulations, finished
products, written test, etc.
• Indirect Evidence: Indirect evidence is evidence produced about the
learner’s achievements from another source. Such evidence is often
referred to as third party evidence. This might include reports from
managers, performance appraisals, written or oral testimonials, records
from a workplace, current written or oral testimonials, training records, non-
work related projects or assignments.
• Historical Evidence: Historical evidence is evidence about the learners’
past work or past performance. Forms of historical evidence might include,
for example, certificates or qualifications, photographs and videos, logbook
or performance record, documented evidence of competence,
portfolios/examples of completed work or projects, products exemplifying
the skills acquired through previous work and life experience, and/or past
written testimonials.
Portfolio of evidence: a carefully organised and complete collection of evidence
compiled by candidates/learners to prove competence in relation to defined
outcomes.

We must distinguish between assessment methods and assessment instruments.

Assessment instruments: those items that an assessor uses or a learner
uses as part of the assessment, e.g. scenarios with questions, case studies,
description of tasks to be performed, descriptions of role play situations.
Definition Assessment method: for the most part, assessment methods relate to what
an assessor does to gather and evaluate evidence. Assessment methods
include observing learners, questioning learners, interviewing teachers /
supervisors / colleagues / managers of learners, listening to candidates,
reviewing written material, testing products.

Assessment methods
Assessment methods refer to the activities that an assessor engages in as s/he
assesses a learner and the learner’s work.
An assessment method refers to how you assess an outcome, for example, orally,
through a written activity, a demonstration or a project.
Normally these activities are:
• observation – observing the learner while s/he is carrying out tasks, real or
simulated, as defined in an outcome or outcome statement
• evaluation of a product – evaluating something the learner has produced
after the task has been completed
• questioning – asking questions orally or in writing; these are then answered
orally or in writing.

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Questioning is an important means of establishing the learner’s knowledge and

understanding. The questions could relate to the observation or to the product. This
is done to check whether the learner understands why certain activities were carried
out, or to test the learner’s ability to work within contexts required in the range
statements or in other contexts suggested by the assessment criteria.
An assessment method will be linked to an assessment tool, task or instrument. This
specifies what learners are asked to do (e.g. an examination paper; instructions for a
demonstration), and can include the criteria by which a learner’s performance will be
judged. It can also refer to a document used by the assessor in the process of
assessment (e.g. an observation checklist), in which case it might include a place to
record the assessment of a learner’s performance against those criteria as well as
instructions to the learner. An assessment tool may also be a document that the learner
may not see, such as a marking memo.
Assessment records are the ways in which an individual or a group of learners’
performances are recorded over time. The assessment tools themselves may serve as
records of a learner’s performance, or an organisation may have a separate form on
which to record the results of a group of learners.
The outcomes and related assessment criteria given in unit standards and qualifications
help determine the evidence requirements: that is, what is required to show
competence. The evidence requirements will often imply or demand a particular method
(both the how and the where), such as a technical demonstration with required
equipment, or documented evidence of performance in a context.

Below you will find some examples of assessment tools or instruments, methods,
evidence types, and recording approaches, and how they might relate to each other.
Please remember that these could take a number of different forms depending on the
purpose of assessment and the nature of the learning area. For example, a portfolio
method could be used to present many different kinds of evidence which have been
generated by different assessment instruments or tools.
Assessment tools or Assessment
Assessment method Evidence type
instruments records
[Instructions to learners and [Ways of recording the
[What you ask the
criteria against which they [What learners produce level or performance for
learner to do, and how
are being assessed; OR as evidence] a learner or group of
you assess this]
instructions to assessors] learners]
Written assessments:
• exams
Written task instruction Products, such as:
• tests
and parameters with • written reports
• assignments
criteria for learners • surveys
• projects Recording forms
Marking memo or • visual aids
assessment grid with • questionnaires
(graphs,
‘model answers’ and • portfolios of diagrams, posters,
criteria for assessors evidence etc.)
• written scenarios
and case studies

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Assessment tools or Assessment

Assessment method Evidence type
instruments records
Applied performance,
such as:
Observation:
• problem solving
• set tasks for technical fault
Instructions for candidate
task • problem solving in a workplace or
• applied simulated
Assessment checklist Assessment checklist
demonstrations environment
with criteria for observer/
assessor • artefacts / • managing a
products (e.g. process in a
constructions) workplace or
simulated
environment
Oral assessments:
Instructions for candidate • presentations
task • oral questioning
Spoken presentation
Assessment checklist • interviews Assessment checklist
or dialogue
with criteria for observer/ • questionnaires
assessor
• simulations/ role
plays
Guidelines giving RPL
requirements [e.g. list of Supporting evidence
approved evidence for for competence claim
currency and authenticity (e.g. for RPL this
(e.g. certificates, letters Review of portfolio of
might include reports RPL recording forms
of reference from evidence
from employers,
supervisors etc.)] teachers or other
Assessment criteria for institutions)
RPL assessors
Assessment checklist
with criteria for observer/
assessor (e.g. for Assessment of group Group presentations Group work recording
individual role-taking in work or projects forms
the group; or for quality
of group product)
Peer assessment:
learners assess each
other.
Self-assessments: Assessment checklists
Instructions with
learners assess Across a range of to be generated/
parameters and criteria
themselves. types of evidence supplied to groups and
for learners
Group assessments: a peers
group assesses an
individual or another
group.

The methods of assessment should cover situations for gathering evidence of:
• problem solving ability
• knowledge and understanding
• practical and technical skills, and
• attitudinal skills and values.

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When considering assessment methods, it is particularly useful to think first about

what qualities or abilities you are seeking to foster in the learners. Nightingale et al
(1996) provide eight broad categories of learning outcomes, which are listed below.
Within each category some suitable assessment methods are suggested.
Category of learning Suggested methods
Essay
Report
Thinking critically and making Journal
judgements
Letter
(Developing arguments,
Debate
reflecting, evaluating,
assessing, judging) Book review (or article)
Write a newspaper article
Comment on an article
Solving problems and Problem scenario
developing plans Group work
(Identifying problems, posing Work-based problem
problems, defining problems,
Prepare a report
analysing data, reviewing,
designing experiments, Draft a research hypothesis
planning, applying information) Analyse a case study
Performing procedures and
demonstrating techniques Demonstration
(Computation, taking readings, Role play
using equipment, following Make a video (write script and produce/make a video)
laboratory procedures, following Produce a poster
protocols, carrying out Observation of real or simulated situation
instructions)
Managing and developing
oneself Journal
(Working co-operatively, Portfolio
working independently, learning
Learning Contract
independently, being self-
directed, managing time, Group work
managing tasks, organising)
Accessing and managing
information
(Researching, investigating, Project
interpreting, organising Essay
information, reviewing and
Applied task
paraphrasing information,
collecting data, searching and Applied problem
managing information sources,
observing and interpreting)
Written examination
Oral examination
Demonstrating knowledge Essay
and understanding
Report
(Recalling, describing, reporting,
Comment on the accuracy of a set of records
recounting, recognising,
identifying, relating and Write an encyclopaedia entry
interrelating) Write an answer to a research question
Short answer questions: True/False/ Multiple Choice
Questions (paper-based or computer-aided-assessment)

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Category of learning Suggested methods

Designing, creating, Portfolio
performing Performance
(Imagining, visualising, Presentation
designing, producing, creating, Hypothetical
innovating, performing) Projects
Communicating
(One and two-way Written presentation (essay, report, reflective paper etc.)
communication; communication Oral presentation
within a group, verbal, written Group work
and non-verbal communication.
Discussion/debate/role play
Arguing, describing, advocating,
interviewing, negotiating, Presentation that is recorded
presenting; using specific Observation of real or simulated situations
written forms)

Note that the eight learning outcomes listed above would be broadly expected of any
learner embarking on any educational program.
When choosing assessment methods and assessment instruments it is important to
offer variety to learners in the way they demonstrate their learning, and to help them
to develop a well-rounded set of abilities by the time they graduate.

Assessment instruments
Let’s look at some of the assessment instruments in more detail now. (Remember,
assessment instruments refer to the nature of the assessment task given to the
learner to do).
Instrument Method Comment

Workplace The assessor watches the learner as This method is an authentic,

observation he or she works in the usual integral and natural part of
workplace situation. The situation workplace supervision. It allows
may be video-taped. The learner for continuous assessment,
works at the usual speed in the disruption is minimal and it is
usual way. The learner must be cost-effective. It may, however,
performing an appropriate task to be insufficient. Some
demonstrate competencies. competencies cannot be easily
observed or demonstrated.
Assessment criteria must be
clearly spelt out and assessors
must be aware of complicating
factors. Good communication is
essential.

Simulation The tasks being assessed are A deficiency of simulation as an

recreated in a training room. The assessment instrument is that it
situation should be as close to the does not show real pressures or
real situation as possible. Simulation situations. People may be self-
need not be disruptive. It can be conscious and it requires
very similar to actual conditions and substantial effort to prepare.
is useful when direct observation is Reliability may be suspect.
not possible.

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Instrument Method Comment

Practical The learner explains to and shows It can be most effective where
demonstration the assessor what he or she usually innovation is required. A negative
does. This may happen in the characteristic of practical
workplace (or in a classroom of an demonstrations is that it favours
FET college) or in a training room. A people who are articulate and
practical demonstration can take confident. It may be better as a
place in different venues. The supplementary source of
subject matter can be real or evidence. It can be confusing as
simulated. The presentation can be to what is being assessed – the
recorded and watched again and the presentation skills or the content.
learner has time to prepare.

Presentation A structured explanation usually As with the practical

including audio visual aids such as demonstration, it favours people
white board, overhead projector who are articulate and confident.
slides, and so on. It may be better as a
supplementary source of
evidence. It can be confusing as
to what is being assessed – the
presentation skills or the content.

Self-assessment The learner assesses him/herself It involves the individual in the

and names his or her own strengths work process and is useful for
and weaknesses. Self-assessment providing supplementary
reveals learners’ self-knowledge. It evidence. The learner becomes
is useful as preparation for involved in the assessment
assessment. criteria. Self-assessment may be
inaccurate, since modest people
tend to downplay their
competence, whereas arrogant
or confident people may
overstate their competence.

Product The final products of a learner’s It allows the final product to be

evaluation activities are assessed. What the assessed as proof of
learner actually makes or produces competence. It is authentic and
is assessed. most useful together with a
supplementary form of evidence.
Authenticity may be in doubt if
the assessor was not present
when the object was made.

Projects/ A project or assignment may be Projects, assignments and tasks

assignments/tasks done alone or in groups. It usually allow for a range of
(individually or in involves a clear set of tasks competencies to be dealt with
groups) incorporating a range of simultaneously. They can be
competencies. It usually includes used with individuals and groups.
research, collecting and analysing They allow learners a great deal
data, reporting on and applying of autonomy and are especially
information. It may result in a final useful where innovation and
product such as a report, a being enterprising is being
presentation or an object. assessed. They may, however,
require massive inputs of energy
and resources from both learner
and assessor. Authenticity may
be difficult to establish. The topic
must be carefully developed in
order for evidence of assessment
criteria to emerge.

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Instrument Method Comment

Documents linked These are documents kept in the Task-related documentation is

to activities normal course of the work being authentic, easily accessible,
assessed. The documents could familiar to the learner and can
include essays, letters, reports, easily be verified.
minutes, memos, schedules,
logbooks, etc.

Discussion/ A structured discussion or interview Answers (and therefore

interview between the learner and the evidence) are only as good as
assessor, or between the learner the questions asked. It may not
and a panel. address real task / workplace
content issues and favours those
who are more confident and
articulate. Written skills are not
needed and it allows for
immediate feedback. Oral
discussions or interviews are
usually only suitable as
supplementary evidence. Real
workplace issues or content
knowledge may be missed.

Written questions The learner may respond to Written questions and essays are
/ essays questions in a written form. useful to gather proof of factual
Questions come in a variety of forms knowledge and memory skills.
and may be multiple choice type They can be administered
questions, open-ended questions, quickly and to large numbers of
matching, complete-the-gaps, and people at the same time. They
so on. Essays are continuous prose, standardise the assessment
in response to a question, usually to process, are cost effective and
a defined length. not very time consuming. Essays
can be very useful for assessing
abstract thinking. Questions have
a limited usefulness for skills
such as analysis, synthesis and
evaluation. There can be a big
margin of error in results and
criteria for assessing essays may
be unclear.
Witness Witness testimonies are reports or Witness testimony and peer
testimony/ peer endorsements by observers of the reports can be useful for
evaluation learner’s activities or knowledge. verification purposes. They are
Peer assessment involves suitable for generic
colleagues at the same level as the competencies such as “working
learner giving their opinion of in a team”, and “communication
learners’ competencies. skills”. They are simple to use.
However, they may be biased or
inaccurate. The learner may find
them threatening and it can be a
problem for peers to assess a
learner who is not yet competent.

Evidence of prior Evidence of prior achievements may These achievements must,

achievements include letters from previous schools however, be recent and relevant
or colleges, academic transcripts, to the skills being assessed.
awards, certificates or actual
products.

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Instrument Method Comment

Photographs or Photographs or videos may be taken Photographs or videos are useful

videos at work or in a simulated for illustrating processes and
environment. providing proof of performance
by the learner.
Case studies and In a case study a learner responds A role play is suitable for
role plays to a detailed description of a assessing problem-solving and
scenario or a set of conditions, strategic skills. Learners may be
usually to solve a problem within that self-conscious and react
scenario. Role plays are less differently from the real situation.
passive and involve the learner The case study can be difficult to
acting out appropriate responses to write, and requires a very good
specific situations. The assessor understanding of the situation
may participate in one of the roles. itself. Case studies need
credibility to be effective.

Journals/ These are kept by learners who Journals and logbooks are useful
logbooks report on processes as they happen. for assessing progress and
Journals are diaries which learners monitoring change. Thy provide
keep during the process of tasks, opportunities for guidance and
activities or projects. Logbooks are growth and are therefore very
more structured and record or “log” suitable for formative
when specific tasks or actions assessment. They are also
happen. useful for programme evaluation.
Clear guidelines are necessary
before starting. Keeping the
journal/ logbook up to date
requires self-motivation.
Reliability may be an issue, since
it is difficult to ensure that the
record is accurate and current.

Tests/ Tests or examinations are written Tests and examinations are

examinations responses to questions within tightly useful for large group
defined conditions and time frames. assessment. They match most
While most examinations are without people’s ideas of what
access to support material, take- assessment is and can provide
home or open-book examinations evidence of understanding and
are possible. knowledge. Real competencies
may, however, be masked by
poor examination skills. They
favour those with good writing
skills. They assess theoretical
knowledge rather than actual
performance.

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Instrument Method Comment

Portfolio of One of the most useful ways of This is equally appropriate for
Evidence (PoE) presenting evidence of applied learners engaged in learning
competence is by gathering and programmes and for RPL
arranging evidence in a portfolio of candidates and is particularly
evidence. appropriate for programmes which
A portfolio of evidence is a collection are assessed largely on practical
of evidence gathered for various skills in the workplace or learning
purposes. In a learning programme, it environment.
may mean that the learner selects
and keeps his/her own assessment
products over the period of the course
(e.g. any tasks, assignments, projects
completed or artefacts made). A
portfolio could include assessor
records, such as comments made on
the basis of observation. Some
learning programmes set out specific
guidelines for putting together a
portfolio. For RPL, a portfolio includes
a collection of specified evidence (e.g.
letters of reference; proof of work
experience or prior academic
learning, or articles produced in the
workplace) collected and presented
for assessment.

1.4 Key principles of assessment

You need to understand the key principles of assessment and how they are used in
practical situations.
Good and fair assessment practice is underpinned by a number of principles to
ensure its effectiveness. These principles are as follows:
• The purpose of assessment should always be made explicit (clear).
• Assessment must be authentic, continuous, multi-dimensional, varied and
balanced.
• Assessment is an on-going integral part of the learning process.
• Assessment must be accurate, objective, valid, fair, manageable and time-
efficient. Assessment takes many forms, gathers information from several
contexts, and uses a variety of methods according to what is being assessed
and according to the needs of the learner.
• Assessment methods and techniques must be appropriate to the knowledge,
skills, or attitudes to be assessed as well as to the age and developmental
level of the learner.
• Assessment must be bias free and sensitive to gender, race, cultural
background and abilities.
• Assessment results must be communicated clearly, accurately, timeously and
meaningfully.
• Progression should be linked to the achievement of the specific outcomes
and should not be rigidly time bound. Evidence of progress in achieving
outcomes is used to identify areas where learners need support and remedial
intervention. (Act No 27 of 1996, 12).

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Principles of assessment relate to:

• methods of assessment
• evidence
• overall assessment process.
The universal assessment principles of fairness, validity, reliability and
practicability form the foundation of assessment policy and underpin accreditation,
evaluation, monitoring and verification processes.
Fairness relates mainly to the assessment process. Validity relates mainly to the
assessment design. Reliability relates mainly to the conduct of the assessment.
Practicability relates mainly to the financial and time implications of assessment.

Key principles of assessment used in Methods of Assessment

The methods of assessment used, should have the following principles and so be:
• appropriate: the method of assessment is suited to the outcome being
assessed, i.e. it is capable of gathering evidence in relation to the intended
outcome, and not something else
• fair: the method of assessment does not present any barriers to
achievements, which are not related to the achievement of the outcome at
hand
• manageable: the methods used make for easily arranged, cost-effective
assessments that do not unduly interfere with learning
• integrated into learning: evidence collection is integrated into the learning
process where this is appropriate and feasible (this is often referred to as
naturally occurring evidence).

Key principles of assessment used in Evidence

The evidence assessed, should have the following principles (VACS) and be:
• valid: the evidence focuses on the requirements laid down in the relevant
standard and matches the evidence requirements of the outcome/s at hand
under conditions that mirror the conditions of actual performance as closely
as possible
• authentic: the assessor is satisfied that the evidence is attributable to the
person being assessed
• current: the evidence is sufficient proof that the learner is able to perform the
assessment outcomes at the time the assessor declares the learner
competent
• sufficient: the evidence collected establishes that all criteria have been met
and that performance to the required standard can be repeated consistently in
the future, i.e. the performance of a standard is not a "once-off".

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Key principles of assessment used in Overall Assessment Process

The overall assessment process used, should have the following principles and so be
• systematic: the overall process ensures assessment is fair, effective,
repeatable and manageable
• open: the process is transparent, i.e. learners understand the assessment
process and the criteria that apply and can contribute to the planning and
accumulation of evidence
• reliable/consistent: the same assessor would make the same judgement
again in similar circumstances and judgements match previous judgements
made on similar evidence.

The importance of applying the principles (effects)

It is important to apply the principles of assessment effectively as not doing so could
have a detrimental effect on the assessment process and results.
A fair assessment should not in any way hinder or advantage a learner. Fairness is
the overarching principle for good assessment practices, but the other principles help
to clarify exactly what we mean by a fair assessment. Examples of unfairness might
include:
• unequal opportunities or resources
• biased assessment (e.g. in relation to ethnicity, gender, age, disability, social
class, language)
• unethical behaviour by the assessor, learner or other person involved
(threats, bribes, copying, etc.)
• any irregularities in the conduct of the assessment
• a lack of transparency about the assessment process, or
• ambiguous or unclear assessment instructions.
Language must not be barrier to assessment. Learners have a right to be assessed
in a language of their choice whenever possible. Learners should generally be
assessed in a language they are most proficient in; which may be any one of the
eleven official languages of South Africa. Learners have a right to an interpreter for
an assessment, unless the assumption for the unit standard is competency within the
language of assessment, and where the language of assessment is different to that
of the learner.
A valid assessment assesses exactly what it claims to assess. In order to achieve
validity in the assessment, assessors should:
• check that the selected assessment instrument targets the selected
outcomes/unit standards fully
• check that the assessment method is ‘fit for purpose’
• ensure that the evidence is authentic (it was generated by the learner in an
appropriate context)
• ensure that the evidence is current (up-to-date), if this is a requirement, and
• ensure that the evidence is sufficient to show competence and covers the
range given in the range statement, where this exists.

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Example:
A learner is assessed on research skills. However, a learner’s ability to write may not
necessarily provide evidence that the learner has the ability to do research. The
assessment must assess the learner’s ability to perform. In this case, the learner
should be assessed on the various activities of the stages of research, namely:
• the formulation of the research question
• a literature review
• the development of research instruments
• the collection of data
• the analysis of data and writing of a report.
Therefore, the assessment should stay within the parameters of what is required – it
should not cover less than the unit standard or qualification, or more than the unit
standard or qualification.

A reliable assessment is one that is in line with other assessments made by the
same and other assessors in relation to the same unit standard or qualification.
Reliability in assessment is about consistency. Consistency means that comparable
judgments are made in the same (or similar) contexts each time a particular
assessment is conducted. Assessment judgments should also be comparable
between different assessors. Assessment results should not be perceived to have
been influenced by variables such as:
• assessor bias
• different assessors interpreting the standards or qualifications differently
• assessor stress and fatigue, or
• assessor assumptions about the learner, based on previous performance.

The principles of fairness, validity and reliability imply that some form of moderation
practices (both internal and external) need to be applied to assessments. In other
words, moderation is a key element of a reliable assessment system.
A practicable assessment is effective without placing unreasonable demands on the
relevant role-players. Assessment should be designed to be as effective as possible
in the context of what is feasible and efficient in a particular learning programme,
course or RPL process. It should try to avoid unreasonable demands in relation to:
• the time commitments required for the generation, collection, presentation
and assessment of evidence involving:
o the learner
o the assessor
• third party witnesses (mentors, line-managers, heads of
department, coaches, etc.) and evidence facilitators, RPL
advisors and others involved in advice and support.
• financial implications for the employer or provider in relation to
(for example) releasing personnel listed above for lengthy
periods; and

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• financial implications for the employer or provider in relation to

suspending or slowing the effectiveness of the normal use of
machinery, tools, other equipment, facilities and human
resources.
SAQA summarises the importance of the principles of good assessment with the
following equation:
FAIRNESS + VALIDITY + RELIABILITY + PRACTICABILITY = CREDIBILITY
The critical overriding principle of assessment is that of ethics: because the results of
assessment can lead to awards, certification, improved career prospects and the like,
the principles of assessment should be applied ethically and responsibly.
‘Criteria and Guidelines for the Assessment of NQF Registered Unit standards and Qualifications’ (SAQA, 2000)

Assessing competence
The NQF defines the competence which learners are expected to demonstrate in its
standards as applied competence.
SAQA’s ‘Criteria and Guidelines for the Assessment of NQF Registered Unit
standards and Qualifications’ defines this as ‘the union of practical competence,
foundational competence and reflexive competence:
Foundational
Practical competence Reflexive competence
competence
The demonstrated ability to The demonstrated The demonstrated ability to
perform a set of tasks in an understanding of what the integrate performance with
authentic context. learner is doing and why. understanding, so as to show
A range of actions or This underpins the that the learner is able to adapt
possibilities is considered, practical competence and to changed circumstances
and decisions are made therefore the actions taken. appropriately and responsibly,
about which actions to and to explain the reason
follow. behind an action.

Applied competence shows that a learner has the theoretical knowledge to

understand what is being done and why it is done, together with the skills to perform
a particular task or to think in a certain way. Furthermore, learners can reflect on their
own performance and understanding. As a result, they can learn from actions, adapt
to changes and solve problems.
Assessing applied competence requires a variety of assessment instruments, such
as using multi-dimensioned projects or problem-solving tasks in real-life contexts,
that provide opportunities to combine theory, practice and thoughtfulness.
The learner must show competence at the level of the unit standard and, ultimately
the level of the qualification, learning area or subject. Applied competence cannot be
demonstrated solely through performance in classroom activities or simulated
conditions in the training programme. For example, if a learner wishes to achieve a
standard on mentoring, or moderation, there must be evidence that they have
demonstrated their applied competence in the context of mentoring a real candidate
or moderating a real set of assessments.
This is one of the factors taken into consideration when agreeing on the credit value
of a unit standard. The credit value is calculated by working out how long an average
learner who started a learning programme with the ‘learning assumed to be in place’
as specified in the standard would take to achieve the applied competence in relation
to the unit standard.

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The number of ‘notional hours’ is calculated by adding the following together:

• the face-to-face or distance training time with the learner
• the time that the learner needs to apply his or her learning in context in order
to generate evidence of the right nature, quality and type to meet the
requirements of validity, authenticity, currency and sufficiency.
Example: Ten ‘notional hours’ are considered equivalent to one credit. Notional hours
are not prescriptive to providers, but do provide guidance to providers about the time
implications for an ‘average’ learner.
It is clear, then, that a three or four-day learning programme (i.e. 2-3 credits in terms
of face-to-face learning) with no significant element of application in context is
unlikely to support learners to achieve a unit standard of 12-15 credits. The
programme evaluator will be unlikely to approve such a programme in the first place,
so such problems may be addressed at the accreditation stage. If not, the assessor,
moderator and/or verifier should address this situation by insisting that the evidence
offered is sufficient to demonstrate applied competence.
If a learner or group of learners have been placed on an accelerated programme
because of high levels of relevant experiential learning, or if they are under-going an
RPL process, or if they have already undergone RPL and are now participating in
top-up training, the process or programme offered is not a standard programme. The
assessment plan will spell out which outcomes/standards have already been
achieved, and which are now being covered. So, as in all assessment processes, the
focus of the assessor, moderator and verifier should be the evidence of applied
competence, as ‘notional hours’ apply to ‘average’ learners who begin at a specified
level, and not ‘experienced’ learners who begin above that level.
Simulation is, however, a perfectly acceptable as a way of generating evidence of
competence for certain outcomes or unit standards, particularly those involving
health and safety risks. Here there is a good reason for using simulation rather than
an uncontrolled workplace situation: naturally learners must demonstrate
competence before being allowed to operate expensive and potentially dangerous
machinery or handle hazardous substances or put other people and themselves at
risk. However, it would never suffice for a whole qualification. For example, the pilot,
having demonstrated competence in relation to many of the unit standards in
simulated flying conditions, must still demonstrate the ability to fly the real plane
under supervision before achieving the full qualification.

1.5 Approach to giving feedback on assessment results

Directly after the assessment has been competed you should provide the learner with
some form of feedback on his/her performance.
This post assessment discussion is a critical stage in the process.
You have already taken the learner through the assessment activity and by now
should have gathered any other evidence you need by asking the learner specific
questions during the task or demonstration.
At this point the learner needs some level of feedback from you on his/her
performance.
Candidate/learner: person whose performance is being assessed by an
assessor. Such people include those who may already be competent, but who
seek assessment for formal recognition (candidates), as well as those who may
Definition have completed or are in the process of completing learning programmes
(learners)

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Possible impact of feedback on learners and further learning and assessment

You need to understand that the approach used to give feedback on assessment
results could have an impact on the learner and his/her further learning and
assessment.
So feedback after the assessment is an important part of the overall process. Often,
the only questions from the learner will be, "Did I pass?" or "Was I assessed as
competent?" While the assessor's response will be "Yes" or "No", the assessor's
responsibility goes beyond that. They must provide constructive and helpful feedback
to the learner.
Learning is an active process. To learn, we need to plan what we're going to do;
attempt to do it; and then receive feedback on our work. We then use this feedback
to improve the work we have just done; or, more often in education, to ensure that
the next work we do incorporates what we have learned.
Feedback also affects how we feel about our work, and inevitably also about
ourselves; feedback thus also affects our motivation.
Giving good feedback is a skill which can be learned and honed.
We recommend the “sandwich method” of giving feedback.

First, tell them what they did right

They need to know what they've done right, or well. They need to know this so that
they'll keep on doing it right or well, and also because it will make them feel
appropriately good about themselves and their work, which in itself aids learning as
well as feeling good. They also need to know why it was right or good. Learners
sometimes do well by accident – so tell them why it was right or good, and in what
respect it was right or good.
Feedback needs to be:
• clear
• specific – say exactly what was good and say why it was good
• personal – make the person you're giving feedback to feel acknowledged as
an individual; using their name in the feedback helps, for example "Dineo, I
thought the way you handled this was both valid and original. I particularly
liked how you ..."
• honest – the feedback needs to true in order to be helpful.

Next, give them constructive criticism

They also need to know what they've done wrong, or poorly, or performed in a way
which is inappropriate within the subject. They need to know in what respects it was
wrong or poor or inappropriate, and they need suggestions on ways in which it could
have been done correctly or better.
In primarily numerical or scientific disciplines, where the answers are either right or
wrong, reasons for giving prompt and reasoned feedback on wrong answers include:
• so that the learner won't repeat the specific error
• so that they can identify the misunderstanding which led to the error
• so that they can develop a new and correct understanding.

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In disciplines where answers are more likely to be considered good or bad rather
than right or wrong, reasons for giving this kind of feedback on poor answers include
to:
• help them appreciate why their approach or answer was inappropriate
• help the learner see the preferred approach.
Corrective feedback needs to be:
• specific – make it clear to what you are reacting; which word, which idea,
which equation, which stylistic feature. Make it clear in what respects the work
is wrong, inappropriate, etc.
• constructive – suggest how the work could be improved, made accurate,
conform to the paradigm of the subject, etc. Suggest sources of information
and guidance. Give them support, encouragement and guidance.
• kind – being specific is kind; being constructive is kind; writing "Poor" at the
bottom of an assessment is cruel.
• honest.

Finally, end on a note of encouragement.

Round off your feedback with encouragement. "You really seem to be getting to grips
with this", "Your analytical skills are improving steadily", "You're making good use of
evidence". Say whatever you can that's encouraging and truthful. There's usually
something that meets these two criteria.

Class Activity 1: Demonstrate understanding of outcomes-based

assessment
Please follow the instructions from the facilitator to complete the
formative activity in your Learner Workbook

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Module 2
Prepare for assessments

After completing this module, the candidate-assessor will be able to prepare for
assessments, by successfully completing the following:

• Prepare assessment resources, logistics, documentation and environment to

meet the requirements of the assessment at hand and ensure fairness and safety
of assessment
• Notify parties involved in the assessment in good time. Carry out checks to
ensure parties involved in the assessment are ready and available to meet
required schedules
• Carry out all pre-assessment moderation requirements in accordance with
relevant assessment policies, moderation plans and ETQA requirements
• Explain assessment details to learners clearly and constructively. Provide
opportunities for clarification and respond to promote understanding of the
requirements
• Seek inputs from learners regarding special needs and possible sources of
evidence that could contribute to valid assessment, including RPL opportunities.
Make modifications to the assessment approach on the basis of the inputs that do
not affect the validity of the assessment
• Confirm learner readiness for assessment. In cases where learners are not yet
ready, take actions in line with assessment policies

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Prepare for assessments

Preparation for assessments relates to organising and preparing resources, people,
schedules, venues, assessment instruments and documentation for a particular
assessment and/or related assessments for an individual or a number of learners.
Preparation is to be carried out in situations where the candidate-assessor has
access to:
• relevant organisational assessment and moderation policies and procedures,
and
• assessment guides and instruments for the assessment at hand, including the
relevant outcomes and criteria.
All assessments, regardless of the subject matter, follow the same basic procedure,
i.e. the planning of the assessment with the learner, the conducting of the
assessment and on completion of the assessment, the feedback to the learner.

Plan and Conduct Provide

prepare for feedback on
assessments assessments assessments

Before the assessment can take place, the assessor has to plan, design and prepare
assessments. This includes making decisions about the method of assessment, the
instruments to be used, the activities to be structured and the extent to which more
than one learning outcome can be assessed simultaneously.

2.1 Prepare for assessment to meet the requirements of the assessment

at hand
You need to prepare for the assessment at hand to ensure that you meet the
requirements of the assessment. This would include preparing:
• logistics
• resources
• environment, and
• documentation.

Logistics
• Organising schedules. Obviously one of the first things that you would draw
up would be a schedule according to which the assessment should be
planned. The schedule, which can include the following, should also be linked
to the times and dates when the different activities should be completed:
o designing the assessment instruments, including the guidelines for
assessment, the assessment plan, an assessment briefing agenda, a

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review report (to be completed only after the assessment), feedback

reports for the learners, assessors and moderators, theoretical tests,
practical assignments, memorandums
o prepare a location (classroom, place in the open, workshop,
laboratory, etc.) where the assessment can take place
o arrange for tools or equipment that will be needed for the assessment
(stationery, hammers, saws, paint, etc.)
o arrange personnel needed to take part in the assessment (assessor,
examiner, moderator, invigilator, etc.)
o brief the learners on the assessment.
• Organising venues. Most learning providers will have their own venues
where the assessment can take place. Assessment can often also take place
in classrooms, workshops or a workplace, e.g. where specialised tools or
equipment are needed.
• Moderation requirements. Moderation should be done before the
assessment instruments are used (pre-assessment moderation) and after the
assessment is done (post-assessment moderation).

Resources and environment

You must not wait until the last moment to arrange resources for assessment.
Everything should be arranged in advance. That is why there should be no doubt
about who is responsible for arranging what.
The type of assessment and the purpose with the assessment will determine to a
large extent what resources and environment should be arranged:
• for an oral examination you would need a video camera and an audio
recorder
• for a practical exercise you would probably need a classroom, hall, laboratory,
workshop, etc.
• for a written examination you will need a room in which the learners can write
the examination that has desks, chairs, etc.
• the most important resources needed for assessment are the assessment
instruments.

Documentation
• Assessment instruments. Assessment instruments are designed in
advance, preferably as part of the learning area development processes. It is
important that assessment instruments be kept secure before the assessment
takes place.
• Documentation of assessment. Assessment results and all other activities
that go with assessment should be professionally documented for two
reasons. Firstly, evidence of assessment must still be moderated and verified
and, secondly, assessment documentation may be needed for feedback
purposes, especially where the learner lodges an appeal against the results
of the assessment.

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Steps to follow when preparing for assessment

The steps to follow when preparing for assessment are the following:
1. identify the need for assessment
2. determine and state the required performance criteria
3. determine the assessment strategy
4. select or design the assessment procedure
5. consult the learners on the process of the assessment to clarify requirements,
standards and expectations.

1. Identify the need for assessment

Assessments are not necessarily conducted after a certain time spent by a learner on
a learning programme, but are conducted when learners will reasonably be ready to
be assessed. This is based on the notional hours of a unit standard. However,
notional hours are given as the time it would take an ‘average’ learner to complete
and meet the requirements. The ideal would be to offer assessments on demand,
but practicability will play an important part in a decision of this kind.
The timing of assessments will depend on the following factors:
• the rationale for assessments at certain points in the learning programme
(formative or summative), i.e. will learners be at a logical end-point of
learning, or at a point where a diagnosis needs to be made?
• the sharing of facilities with other assessors
• the extent to which learners will be able to undertake assessments.

2. Determine and state the required performance criteria

The assessor becomes familiar with the unit standard and/or qualification that he/she
is going to assess. The assessor has to understand the requirements for each
component of the unit standard. s/he has to be very clear on how the purpose,
specific and critical outcomes, assessment criteria, the range and any other relevant
information, will impact on the design of the assessment.
The assessor plans the assessment, making decisions about the assessment
methods, assessment instruments, activities, type and amount of evidence required,
etc.
At this stage it will be helpful to link with other assessors in the same learning area
and to agree on the interpretation of the unit standards, as well as on the type and
amount of evidence needed.
Where the assessor is not the learning facilitator (teacher or lecturer), the assessor
would need information about the learning programme, the types and frequency of
formative assessments, the available equipment and material that may be used in
the assessment and the readiness of learners for the assessment.
Also, the assessor has to keep in mind the credibility of the assessment, i.e. the
principles of fairness, validity, reliability and practicability, must be at the forefront
during planning.

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3. Determine the assessment strategy

The assessment plan is a detailed description of how to implement the assessment
and can be displayed in a separate document or within the programme syllabus. The
plan includes the programme learning objectives, assessment points, the
assessment method(s) that will be used, and performance criteria for each method.

4. Select or design the assessment procedure

The first step in conducting assessment is determining the learning outcomes or
objectives. These objectives are statements that describe the knowledge, skills, or
behaviours learners are expected to have mastered by the end of a programme or
activity.
Identifying clear objectives for the programme or activity helps determine how to
conduct the assessment.
Once the learning goals are formulated and agreed upon, multiple forms of
assessment may follow. These assessment procedures are: tests, compositions,
presentations, projects, portfolios, observations, interviews, questionnaires, and
learning logs and journals (see Module 1).

5. Consult the learners on the process of the assessment

Tell the learners what criteria you will be using for assessment. Learning outcomes
and assessment criteria together provide a clear target for learners to work towards.
Clarify assessment criteria, for yourself and also for and with your learners. Work on
words such as 'reasonable', 'clear', 'accurate', 'appropriate'. In the context of the
module or the assignment, or the examination, you need to be able to say more
about what these words mean.
Continue to explore the relationship between the programme aims, learning
outcomes and assessment criteria. These three elements should be closely
interdependent, in the programme and also in your and your learners' thinking about
the programme, the subject and the assessment.

Ensuring fairness of the assessment

Fairness in assessment can be described as “the degree to which an assessment
method does not advantage or disadvantage specific learners or learner groups”.
An assessment can be considered to be fair when learners with specific
characteristics do not consistently perform better or worse than other learners.
Assessment fairness can be determined by:
• ensuring that the sample group on which the assessment is piloted is
representative of all learners
• involving as many learners as possible in the assessment development
process
• ensuring that all learners understand the assessment procedures and the
criteria on which performance will be judged
• ensuring that the assessment process is as transparent as possible.
Transparency is largely achieved through the use of planned and extensive

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communication strategies.
• ensuring that procedures are in place where learners provide feedback on the
assessment process and can challenge the assessment if necessary
• establishing procedures for reassessment if required
• establishing the relationship between learner scores and learner
characteristics after the completion of assessment.

Ensuring safety of the assessment

Environmental issues must be taken into consideration i.e. workshop safety,
environment safety, any applicable legislation; for example:
• avoid hazardous manual handling operations so far as is reasonably
practicable when assessing practical competence
• make a suitable and sufficient assessment of any hazardous manual handling
operations that cannot be avoided
• reduce the risk of injury from those operations so far as is reasonably
practicable. Where this is not reasonably practicable, look at ways of
changing the task, the load and working environment.

2.2 Notify parties involved in the assessment

You need to notify all the parties involved in the assessment in good time. The
parties include:
• assessment learners and moderators
• assessment facilitators and/or assistants (if applicable)
• teachers, trainers, invigilators and safety personnel (if applicable).

Assessment facilitator (or evidence facilitator): a person who works within

particular contexts, under the supervision of registered assessors, to help
learners / candidates gather, produce and organise evidence for assessment
Definition

Checking to ensure parties involved in the assessment are ready and available
We will now find out more about the following parties:
• assessor
• moderator
• learner/candidate
• verifier/external moderator
• SETA/ETQAs.

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The assessor
Assessors include all practitioners who will be responsible for the assessment of the
achievement of learning outcomes.
Essentially anyone who meets the requirements for an assessor can be one.
Generally, assessors are selected or volunteer their services. According to SAQA
regulations anyone who assesses for purposes of making judgements about the
achievement that will result in credits and/or certificates being awarded has to be
registered. Assessors can come from a number of sources. The kinds of persons that
can be assessors are listed below (SAQA Guidelines, 1999: 24.):
• trainers, teachers, facilitators
• supervisors
• trainers from both within the work-place and from external training institutions
• consultants
• designated workplace assessors
• external assessors – external to the learning site, be it the school, college or
training provider.
In order to register as an assessor, individuals have to meet the criteria for assessors
set out by the Standard Generating Body (SGB) responsible for the generation of the
particular unit standard or qualification. Such persons would need to provide
evidence that they have the experience, expertise and knowledge to assess
generally and to assess the particular unit standard or qualification specifically.
Assessors could assess learners at higher grades than themselves as long as they
are competent in the unit standards being assessed. The evidence that an individual
is suitable may be based on evidence that the person underwent assessment training
or on the recognition that the person has experience as a practitioner-assessor. The
assessment training could have been done:
• as part of qualifying as an education and training practitioner
• through a mentoring process
• through on the job training
• through the additional study of a unit standard or qualification on assessment.

Assessors are registered by the relevant Education and Training Quality Assurance
(ETQA) Body and can be de-registered if they do not comply with the relevant ETQA
requirements or if they are found to be unsuitable (SAQA Guidelines, 1999: 25.)

The moderator
The assessor is moderated by an (internal) moderator from the same enterprise as
the assessor and/or an external moderator (verifier) from a SETA/ETQA. Drawn from
the same enterprise or assessment agency as the assessor, this person checks that
the assessment meets the principles for good assessment, ensures that the
assessment is carried out according to agreed guidelines and ensures the quality of
the assessment method.

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The learner/candidate
The learner identifies unit standards to be assessed, participates in the drawing up of
an assessment plan, and decides whether s/he would like an interpreter present,
produces evidence of prior achievement and current competence, and produces
evidence in a structured format.
“Learner” is used to refer to the learner that the ETD practitioner is teaching, training,
tutoring, mentoring, and so on.
“Candidate” is used to refer to learners who wish to achieve ETD standards or
qualifications, including RPL candidates.
This distinction is only useful in the ETD sector where references to learners
sometimes mean the candidate and sometimes mean the person they are educating
and training. Also, the word ‘learner’ is sometimes understood to exclude RPL
candidates.

The verifier/external moderator

The verifier is sent by the accrediting body to ensure quality and consistency. This
person checks that the assessment meets the principles for good assessment,
ensures that the assessment is carried out according to agreed guidelines and
ensures the quality of the assessment method.
The practice of using external verifiers should be encouraged in order to assist in
maintaining the integrity of the standards and qualifications as well as for
benchmarking purposes.
Verifiers should be appointed to ensure that the moderation of assessment of
learning outcomes described in the standards and qualifications registered on the
NQF is fair, valid and reliable. As with assessors and moderators, verifiers should be
suitably qualified and registered to verify in the context of specific qualifications or
standards.

SETA and ETQAs

In terms of monitoring, ETQAs will be required to demonstrate continuing evaluation
of moderation and assessment. They must demonstrate a developmental approach
to improving the quality of learning provision and the review of learning provision.
This monitoring by the ETQA will be conducted through a variety of mechanisms
appropriate to the sector and sphere of operations of the ETQA. Such mechanisms
could include multi-sectoral, national and even international review workshops or
meetings, board or panel reviews, as well as reviews and surveys with constituent
providers to ensure that improvements are continually sought and implemented.
The ETQA Regulations (RSA, 1998a) require all ETQAs and providers to have in
place a quality management system which includes policies, procedures, and review
mechanisms for quality assurance. Included among these are policies, procedures,
and mechanisms for the management of assessment – both internal and external.
ETQAs are required to evaluate the assessment policies and procedures of
constituent providers and ensure the management and monitoring thereof. The
universal assessment principles of fairness, validity and reliability form the foundation
for assessment policy and evaluation for accreditation processes and procedures.
ETQAs will be required to demonstrate the capacity, at ETQA and constituent
provider levels, to implement an assessment management system that is part of the

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quality assurance cycle. The system should focus on maintaining the integrity of
assessments and achievements against the standards and qualifications registered
on the NQF and for which the ETQA is accredited.
ETQAs are also responsible for the registration of assessors. This register will ensure
that the ETQA and its constituent providers have a pool of competent assessors to
draw on for the period of accreditation according to the assessment requirements
associated with the primary focus of the ETQA.
When applying for an extension of accreditation, the ETQA will be required to agree
with SAQA, related ETQAs and possible moderating bodies where assessors will be
drawn from and for which standards and qualifications exist. In short, assessors will
be registered at ETQA level according to the assessment requirements associated
with the primary focus, NQF level, and standards or qualifications and their
associated criteria for assessment, moderation or accreditation. In respect of the
ETQA powers to devolve functions to constituent providers and others, assessors
could also be registered at provider level, where the provider would be accountable
to the ETQA for assessment and achievements.
In accordance with the objectives and the principles of the NQF, policies and
procedures for the Recognition of Prior Learning (RPL) will also be the responsibility
of the ETQA. Accordingly, “assessors” include all practitioners who will be
responsible for the assessment of achievement of learning outcomes. In this respect,
it must be borne in mind that SAQA is committed to the notion of a practitioner-
assessor. The education, training and development (ETD) practitioner is thus viewed
as being both learning facilitator and assessor. Furthermore, this notion of ETD
practitioner allows for the inclusion of other persons in the assessment process, for
example, workplace supervisors, managers or team leaders, and colleagues or
peers. The management of their assessments can then be included in the overall
management and maintenance of the ETQA’s broader assessment system.

2.3 Carry out all pre-assessment moderation requirements

You need to carry out all assessment moderation requirements in accordance with
relevant assessment policies, moderation plans and ETQA requirements.

Assessment policies and ETQA requirements

The assessment policy should specify the following:
• time spent on contact and experiential learning, as well as how much time is
allowed for preparing practical portfolios of evidence
• how much time learners should spend on contact learning before they can be
assessed
• assessment instruments in use (theoretical, practical, types of questions,
criterion-referenced, norm referenced)
• how formative assessment will be used and if it will count towards the
learner’s final mark; i.e. if it will also have a summative value
• types of competence to be assessed. The following types of competence
should be considered for inclusion:
o Foundational competence. If a unit standard requires that embedded
knowledge and theory must be assessed separately, it has to be

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adhered to in addition to the practical summative application-type

assessments.
o Practical competence. This evidence must be as holistic, direct,
integrated and naturally occurring as possible. If simulations and
scenario-type application is not allowed for assessment purposes
according to the unit standard notes, this must be adhered to.
o Reflexive competence. Reflexive competence is the ability of a
learner to critically reflect on his or her ability to apply the knowledge
gained. Qualitative type questioning should be used and should
include reflection on the critical outcomes. The sources of reflective
competence can include self- and peer assessment as well as third
party evidence (e.g. peer or supervisor observation checklists, etc.) of
these particular skills.

Moderation requirements

Moderation: a process that supports and evaluates the assessment

environment, process and instruments with a view to confirming the reliability
and authenticity of assessment results and improving the quality of assessments
Definition and assessors

The principles of fairness, validity and reliability imply that some form of moderation
practices (both internal and external) need to be applied to assessments. In other
words, moderation is a key element of a reliable assessment system. Moderation
procedures must form part of an assessment system in order to assure quality.
Moderation is a process that ensures that the assessment conducted by the
registered assessor meets the specified outcomes as described in the NQF
registered standards and qualifications, and are fair, valid and reliable. Moderators
who wish to carry out the moderation function according to the ETQA primary focus
must be registered with the ETQA. Moderators should first be practising registered
assessors and then train as moderators.
ETQA constituent providers must ensure that a sample of all assessments conducted
is moderated, with the aim of enhancing the quality of assessments in the sector. As
a guide to the size of the sample, it is recommended that an average of not less than
10% should be moderated. The rationale for the selection of the sample will vary, but
there should be an attempt to target as well as use random samples.
ETQA’s have certain specific requirements in terms of the provider’s moderation
process. There must be an overall moderation system, which should be briefly
described in writing and should guide each moderator. This should include the
following elements:
• a moderation policy which should include the criteria for the selection of
assessments for moderation; it should also state the frequency of moderation
in different contexts, and include procedures to be followed and forms to be
completed
• a procedure for the quality manager for assessment to follow when requesting
moderation
• guidelines to be followed by moderators in drawing up a moderation plan
• guidelines for moderators including a check-list for moderating assessments
in terms of fairness, reliability, practicability and validity

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• guidelines to be followed by moderators in making a moderation report

• a feedback form to assessors from moderators to assist in the professional
development of assessors
• guidelines for moderators including a check-list for moderating assessment
instruments and guides (when new or being piloted) in terms of validity:
fitness for purpose, sufficiency, authenticity, and, where appropriate, currency
• a feedback form for each assessor to provide feedback on unit standards if
they wish to give this; and a process for moderators to collate this information
and give it to the provider’s quality manager for assessment to be forwarded
to the ETDQA
• a plan indicating dates set for professional development meetings called by
moderators of assessors in a particular field or sub-field ECD (Early
Childhood Development) or OD ETD (Occupationally Directed Education
Training and Development) assessors, for example) to discuss issues of
interpretation of standards and share problems, solutions and experiences.
Many of the above may be combined in one or two documents. For more detailed
guidance on moderation, please see the ETQA’s Guidelines for Moderation.

Pre-assessment moderation
Assessment may not be conducted before pre-assessment moderation (PAM) is
done. Pre-assessment moderation will ensure that:
• the assessment design is of the expected quality
• the assessor is able to execute the assessment according to the standard
• a suitable assessment plan has been compiled
• the assessment instruments that will be used will yield valid results
• all the information needed for assessment is laid out in an assessment guide,
and
• all aspects indicated in the moderation plan have been executed.
It is the moderator’s responsibility to ensure that these aspects of quality assuring
assessment are in place. Assessors must support this as moderators will report to
the ETQA Verifiers if moderation did not comply with SAQA Guidelines and Criteria,
the ETQA Policy and the Provider Policy and instructions.

2.4 Explain assessment details to learners

You need to explain assessment details to learners clearly and constructively. The
assessment details would include the:
• specific purpose
• process
• expectations
• roles
• responsibilities, and
• appeals procedures related to the assessment at hand.

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The assessment details could also include:

• the general context of assessment in terms of the principles and mechanisms
of the NQF, as applicable to the situation and assessment context.

Explaining details of assessment to learners

Purpose, process, expectations, roles and responsibilities, appeals procedures: It is
important that the learners understand from the onset what their role and
responsibilities are to do with their own assessment. The learners need to
understand what the process is and why it is so. The learners need to know what to
expect from the assessor. The assessor needs to explain to the learners what s/he
expects from them.
The most important activity when informing learners, is providing counselling and
advice to the learners. The learners should know:
• the kinds of assessment activities that they could be asked to perform
• the standard and level of performance expected
• the type and amount of evidence to be collected
• their responsibility regarding the collection of evidence
• the purpose of assessment
• the assessment methods including the purpose of unit standards and
evidence guides
• the assessment procedures
• the NQF (in relation to assessment) and the national certification bodies
• the roles and responsibilities of the people involved
• the opportunities available to the learners during and after the assessment
process, including the appeals procedure.
The learners and assessor should be satisfied that the timing of the assessment, the
opportunities identified, and the place of assessment are suitable.
Depending on the language policy of the learning institution, learners can also be
consulted in which language the assessment will be conducted and the learner’s
readiness for assessment.

Provide opportunities for clarification

Informing the learners about their assessment is important in that there may be
cases where, because of the maturity and experience of the learners, they may be in
a position to alert the assessor to other opportunities that the assessor may not have
been aware of in planning the assessment.

Respond to promote understanding of the requirements

This includes questioning the learners on their prior experience to assist in
determining their knowledge and skills to identify relevant unit standards according to
assessment requirements. (Design should, nevertheless, take place before learners
can be informed.)

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The principles and mechanisms of the NQF

The South African Qualifications Authority Act (1995) created a new framework for
education and training in South Africa by:
• creating a single, unified system of classifying qualifications (the National
Qualifications Framework or NQF)
• creating the institutions and infrastructure to ensure that these qualifications
are of a high quality.

The objectives of the NQF as stated in the SAQA Act5 are:

• to create an integrated national framework for learning achievements
• to facilitate access to and mobility and progression within education, training
and career paths
• to enhance the quality of education and training
• to accelerate the redress of unfair past discrimination in education, training
and career opportunities, and thereby
• to contribute to the full personal development of each learner and the social
and economic development of the nation at large.

The principles of the NQF that underpin these objectives are:

To form part of a system of human resources development that provides for
Integration
the establishment of a unifying approach to education and training
Relevance To be and remain responsive to national development needs
Credibility To have national and international value and acceptance
Coherence
To work within a consistent framework of principles and certification
(Rationale)

Flexibility To allow for multiple pathways to the same learning ends

To be expressed in terms of a nationally agreed framework and internationally

Standards
accepted outcomes
To provide for the participation of all national stakeholders in the planning and
Legitimacy
co-ordination of standards and qualifications
To provide ease of entry to appropriate levels of education and training for all
Access
prospective learners in a manner that facilitates progression
To provide for learners, on successful completion of accredited prerequisites,
Articulation
to move between components of the delivery system
To ensure that the framework of qualifications permits individuals to move
Progression through the levels of national qualifications via different appropriate
combinations of the components of the delivery system
To enable learners to transfer the credits of qualifications from one learning
Portability
institution and/or employer to another
Recognition of Through assessment, to give credit to learning that has already been acquired
Prior Learning in different ways
Guidance of To provide for the counselling of learners by specially trained individuals who
Learners meet nationally recognised standards for educators and trainers

5 Source: THE IMPACT OF THE CRITICAL OUTCOMES ON CURRICULUM, PEDAGOGY AND ASSESSMENT IN ABET

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The mechanisms for the development and implementation of the NQF would include:
• standards setting
• qualification design
• assessment
• moderation
• credit accumulation
• accreditation of providers
• registration of assessors
• recognition of achievements.
The NQF is a framework on which qualifications, and learning programmes are
registered. Achievements obtained by learners are recorded and recognised
nationally. It is therefore an integrated approach towards education and training.

NQF Framework
QUALIFICATIONS AND
INSTITUTIONS
CERTIFICATES
10 Doctorates
Tertiary / Research / Professional Instructions
9 Masters Degrees
Post graduate diplomas
8 and Professional
Higher Qualifications
Education Bachelor Degrees and
& Training 7
Advanced Diplomas Universities / Technikons / Colleges / Private /
(HET) Professional Institutions / Workplace / etc.
Diplomas and Advanced
6
certificates
Higher Certificates and
5 Advanced National
(vocational) Certificates.
Std 10 / Grade 12, N3 /
NCS
4 National Senior Certificate
Technical and
and National (vocational)
Further TVET Colleges Industry
Certificates. Formal high
Education / Community / Training
schools /
& Training
Std 9 / Grade 11, N2 / NIC Police / Boards /
Private /
3 National (vocational) Nursing / Unions /
(FET) State schools
Certificates. Private Workplace, etc.
colleges
Std 8 / Grade 10
2 Further Education and
Training Certificates.
Senior Phase, ABET
Std 7 / Grade 9 Level 4 Occupation / NGOs /
General Intermediate ABET Formal Work-based churches /
Education Phase Level 3 schools training / Night schools/
& Training 1 (Urban / Upliftment ABET / Private
Foundation ABET Rural / Farm programmes / providers/
(GET) Phase Level 2 / Special) Community Unions/
ABET programmes Workplace
Pre-School
Level 1

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The NQF is like a single, but wide, ladder that covers many possible learning and
career paths, which include all forms of education and training. The ladder is
designed to make it easy for people to move sideways and upwards (articulate) as
they move from one type of learning to another or from one career to another. Like a
ladder, the NQF has different rungs or levels that make it clear how far a person is
from the bottom or from the top, and what the next step is. All types of career paths
have the same steps or levels.
The NQF ladder currently has ten steps, whereby all education and training is
classified according to 10 levels. The levels measure the complexity of learning for
different levels, rather than focusing on how long a person has studied. The levels
allow for comparison between different programmes s, as well as comparison
between education and training received in different places and in different ways.
Comparison can also be made internationally, in order to compare South African
qualifications to those from other countries.
Qualifications are registered on the different levels based on the exit level of that
qualification i.e. what the person will know and be able to do once they have
completed their qualification.

The Quality Council for Trades and Occupations (QCTO)

The Quality Council for Trades and Occupations (QCTO) is a Quality Council
established in terms of the Skills Development Act. Its role is to oversee the design,
implementation, assessment and certification of occupational qualifications on the
Occupational Qualifications Sub-Framework (OQSF).
The QCTO is one of three Quality Councils (QCs) responsible for a part of the
National Qualifications Framework (NQF). Collectively, the Quality Councils and the
South African Qualifications Authority (whose role is to advance the objectives of the
NQF and oversee its development and implementation), all work for the good of both
learners and employers. Another important role for the QCTO is to offer guidance to
service providers who must be accredited by the QCTO to offer occupational
qualifications.

1. Vision
The QCTO vision is to qualify a skilled and capable workforce.
2. Mission
The QCTO’s mission is to effectively and efficiently manage the occupational
qualifications sub-framework in order to set standards, develop and quality
assure national occupational qualifications for all who want a trade or
occupation and, where appropriate, professions.
3. Values
Innovation and excellence
We rise to opportunities and challenges, we continuously learn, we are
innovative and we consistently produce work of distinction and fine quality, on
time, and in line with our clients’ needs.
Empowerment and recognition
We enable people to make things happen, we encourage and support one
another when and where needed, and we celebrate successful accomplishment
of work.

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Respect and dignity

We value and show consideration for all the people we work with, treat one
another with kindness and thoughtfulness, and embrace inclusivity.
Ethics and integrity
We embrace and practise a moral code of trustworthiness, honesty and
truthfulness in everything we say and do, and we honour our promises and
commitments.
Ownership and accountability
We take ownership of our responsibilities and we answer for our decisions and
actions.
Authenticity
We protect the public by issuing authentic, quality qualifications.
http://www.qcto.org.za/index.php/about-us/vision

Following the format of the organising framework for Occupations (QFO),

occupational qualifications are categorised into the eight major employment groups.
• managers
• professionals
• technicians and associate professionals
• clerical support workers
• service and sales workers
• skilled agriculture, forestry, fisheries, craft and related trades
• plant and machine operators and assemblers, and
• elementary occupations.
The QCTO’s vision is to qualify a skilled and capable workforce; our mission is to
effectively and efficiently manage the occupational qualifications sub-framework in
order to set standards, develop and quality assure national occupational
qualifications for all who want a trade or occupation and, where appropriate,
professions.

Occupational Quality Assurance

Through its Quality Assurance function, the QCTO will ensure that those people who
have completed their studies for an occupational qualification, and have successfully
passed the final external integrated summative assessment, meet the required
standards.
Those who meet the criteria are awarded an occupational certificate. This ensures
prospective employers and customers can be confident that those holding
occupational certificates are fully qualified to do the work stated on the certificate.
The QCTO abides by the principle that an occupation is the title we give an individual
who is capable of doing a number of tasks associated with a specific job title. An
occupational qualification will certify that this is the case.

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Occupational Qualification Development (OQD)

Occupational Qualification Development is one of the QCTO’s main priorities.
The concept is simple – develop occupational programmes and training programmes
that meet the quality requirements necessary to be approved by SAQA, and that can
then be rolled out across the country to approved service partners to deliver the
programmes.
In this way, and by following the QCTO’s prescribed policies for development,
learners and employers will be confident that the qualification:
a) is recognised nationally within the national qualifications framework,
b) is a standardised, tried and tested qualification, and
c) may be officially certified.
The mission is to develop and quality-assure occupational qualifications that are
responsive to the labour market needs and developmental state initiatives.
Organisations or individuals wishing to develop such qualifications will find more
information in the reports, policies and application methodologies from
www.qcto.org.za

2.5 Seek inputs from learners

You need to seek inputs from learners regarding:
• special needs
• possible sources of evidence, and
• RPL opportunities.
These could all contribute to valid assessment.

Potential barriers to assessment (special needs)

Special needs must be considered to ensure that the assessment process is fair and
transparent. Failure to take account of special needs prior to commencement of the
assessment may create barriers to an effective assessment process.
Providers must ensure that their assessment policies cater for assessment of all
learners irrespective of the nature of their learning needs.
Particular attention should be paid to the language of assessment, and wherever it is
not the language itself that is being assessed, assessors who speak the language
that the learner is most comfortable with should be provided. Where this is not
possible, interpreters may be used to make sure that learners understand exactly
what is expected of them.
Where the language of learning and summative assessment has been identified and
it is not the language of some of the learners, much of the learning and formative
assessment should be carried out in a mixture of languages, so that meaning can be
fully developed and so that learners become familiar with the use of terms in the
language of much of their assessment.
Interpreters should be provided where appropriate to help settle disputes and
address complaints or appeals.

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Assessment policies should address barriers to learning and must ensure that the
needs of learners are acknowledged and addressed. Special arrangements must be
made for learners with physical disabilities, and it should be made clear to these
learners that appropriate arrangements can be made. Assessment processes should
focus on the inclusion of a full range of diverse learning needs.
A wide range of barriers can occur during the assessment process that will have a
negative impact on the results of the assessment. You should be aware of the
following:
• psychological blocks – the block “fear of humiliation and failure” is perhaps
most applicable in the sense that the assessment process may be perceived
by the learner under review, as a “threatening” situation, resulting in an
aggressive attitude on the part of the learner.
• unsuitable assessment environment – there are two aspects of the
learning environment that can have a negative impact on the results of
assessment:
o the relationship between the assessor and learner (the relationship
between the assessor and learner can have a crucial impact on the
success of the assessment)
o the relationship between the assessor and his/her colleagues.
• insufficient consultation – learners were not consulted about the purpose of
assessment and/or the process. Consultation should allow for the opportunity
to:
o contribute ideas to the assessment process
o voice fears about discrimination or bias
o view and comment on assessment methods, documents and practices
o question the validity and fairness of techniques used.

Make modifications to the assessment approach

You need to make modifications to the assessment approach on the basis of the
inputs that do not affect the validity of the assessment.
Opportunities should be provided for input from the learner on possible sources of
evidence that could contribute to valid assessment. This is especially important in
adult and occupationally directed learning, because learners often have valuable
experience, so that they can make good suggestions in terms of what assessment
methods should be most effective and efficient.
Inputs obtained from learners might lead to the assessor having to modify or
redesign the assessment. Modifications made on the basis of the inputs should
maintain and/or improve the validity of the assessment.

2.6 Confirm learner readiness for assessment

The assessor and/or the facilitator must make sure that the learners are ready and
well-prepared for the assessment. This can be achieved with formative assessment,
but the learners must also be given an opportunity to declare if they are ready or not.
It is important that the learners’ confirmation that they are ready be documented. This
is done by taking minutes during the briefing of the learners on the assessment and
by having the learners sign a declaration that they are ready for the assessment.

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Pre-assessment meeting
The learner is invited to the pre-assessment meeting where the following is
discussed and minutes of the meeting compiled.
• purpose of the assessment
• unit standard(s) to be assessed
• specific outcomes to be assessed
• assessment criteria including any relevant integrated assessment
• method of assessing each specific outcome
• evidence required for each assessment criteria
• assessment date and the type of venue and resources required
• assessment date and time
• date for giving feedback
• related assessment policies including the rights of the learner (such as right to
an interpreter, right to appeal)
• procedure to follow if the learner is found competent or not yet competent
• contingency plan (inclusive of special needs).
Once the above have been discussed the parties should sign the minutes and the
learner should be given an opportunity to confirm her/his level of readiness by
signing the learner agreement form.

When learners are not yet ready

If a learner believes that illness or other mitigating circumstances will affect their
performance in an assessment, they should inform the teacher / lecturer / facilitator /
assessor as soon as possible. Any appeal citing a medical factor must be supported
by a medical certificate from a qualified medical practitioner or traditional healer.
In such cases where learners feel they are not yet ready for assessment, take
actions in line with assessment policies; e.g.
• a new assessment date to be determined in consultation with the learner
• how much time should be given to the learner to achieve readiness
• what support s/he still needs
• explanation of the assessment process in a language of his/her choice, etc.
If the learner requires further evidence, information or changes then the learner shall
modify the portfolio.
If the learner is not ready for assessment, then the assessor shall counsel and advise
the learner of necessary actions, training coaching and/or further experience required
to be successful.
Sometimes the appropriate persons (namely the teachers, lecturers, training
providers, line managers evidence facilitators and/or registered assessors) are
responsible for identifying learners who are not ready for assessment and in such a
case, they should take the relevant supportive action to help the learner gain access
to further learning interventions/opportunities, where applicable.

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Note:
Selection and placement processes combined with flexible delivery including bridging
slower and accelerated options should be available. Providers should be aware
whether or not learners have the ‘learning assumed to be in place’ before entering a
learning programme.
If they do not, it is likely that additional support or a bridging programme may be
needed, and it is best to find this out sooner rather than later. Additional funding may
be required, or more release time from regular tasks, so it is important not to raise
hopes by accepting people onto learning programmes when they are really being set
up for failure.

Documents relevant to the preparation and planning of assessment

The Assessment Readiness Check

“AM I READY FOR ASSESSMENT?”

(To be completed by the Learner)

LEARNER : _________________________________
DATE : _____ / _____ / _____

CHECKLIST: ASSESSMENT OF PERFORMANCE YES / NO

Have I arranged appropriate time with my assessor?

Have I checked with my direct Manager/Supervisor that is okay for my assessor to

come and assess me?

Have I notified anyone else who needs to know? (e.g. security, reception, a witness)

Have I got everything I need to carry out the planned activity?

Have I got together any other evidence which supports unit standard which I am
being assessed against?

Am I clear which aspects of the unit standard I am being assessed upon?

Have I checked that nothing will get in the way of being able to perform this activity?

Have I practiced what I am planned to be assessed on to make sure I am as

competent as I can be?

I understand the appeals procedure

I understand the assessment process

_________________________________
LEARNER’s SIGNATURE

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The Pre-Assessment Meeting Memorandum of Agreement

Ref and PAGE
WAS THE FOLLOWING EXPLAINED? YES NO NO
Ref P NO
The assessor explained to me how the national ETD
structure works including:
• The SAQA structure
• The national qualifications framework (NQF)
• How my assessment is linked to the NQF
• The National Learners Record Database (NLRD)
• My career options after this assessment
A Pre-assessment meeting was held
The assessor explained to me the assessment process
including:
• The US I was to be assessed against
• The use of Unit standards
• The assessment against assessment criteria
• The sequence of activities
• The assessment methods for the assessment
• The feedback process
The assessor informed of the following
• Any barriers that could affect the fairness of the
assessment
• Any special assessment requirements with regard
to language preference or disabilities
• The appeals procedure to follow if I am not
satisfied with the way the assessment is done or
the results thereof
• The process to be followed for reassessment
The assessor gave me
• A copy of the US to be assessed against
• The assessment instruments to be used for the
assessment
• An opportunity to contribute to the process by
suggesting other methods of assessment and
pointing out any special needs I may have

I declare that the above items were explained to me clearly and I have understood them.

Learner’s Signature: ______________________________ Date: _____/_____/20______

Assessor’s Signature: _______________________________ Date: _____/_____/20______

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The Minutes of Pre-Assessment Meeting

ITEM NOTES Yes/No
Introduction of the National Qualifications Framework (NQF)
Overview of current
improving assessment of competence, accessibility to
developments in education and
training, portability of qualifications, workplace learning.
training was given
Reference page number ____
To determine the competence of a person in applying skills,
The purpose of workplace
knowledge & understanding in the workplace and not only in
assessment was explained
the training environment. Reference page number____
Applied competence means that a person must be assessed
An explanation as to why this
on their ability to achieve relative outcomes in a workplace
process is being followed was
environment. this cannot be done in a training environment
given
only.
The Learner must demonstrate their ability to achieve the
The roles & responsibilities of
outcomes for which they are being assessed. The Assessor
both assessor and learner were
must assess the Learner’s performance against the relative
explained
outcomes, using the principles of assessment.
The use of Unit Standards was
explained & together
Purpose of the Unit Standard and whether it is appropriate
appropriate Unit Standards for
for the Learner’s intentions.
the assessment activity were
selected
The use of evidence was
explained together with the
Direct, indirect & historical evidence, used to measure the
agreement of 3 relevant forms
Learner’s ability to achieve the relative outcomes.
of evidence for the selected Unit
Standard
The Assessor will observe the Learner performing the
The observation process was
required tasks, without undue interference, to evaluate the
explained
Learner’s performance.
Oral & written questioning will establish the level of the
The collection of knowledge
Learner’s foundational competence against the required
evidence was explained
outcomes of the relative Unit Standard.
An explanation of how feedback Explain how results of the Assessment will be given to the
will be given was presented Learner and other role players.
The assessment plan was
All persons involved in the Assessment process to agree on
agreed, signed & dated by all
the assessment activities that will take place.
relevant parties
The Appeals & Disputes
If Learners are dissatisfied with the assessment results, they
Procedure was explained and all
may submit an appeal to the internal Moderator, followed by
parties were aware of their
the ETQA Manager if no satisfactory results are received. The
rights within the Assessment
ETQA manager has the final say.
process
Learners aware of all other
parties involved in this
All role players are aware of each other’s involvement and
assessment process to ensure a
the reason for their involvement in the assessment process.
transparent procedure was
followed at all times
The Assessor described the way
Confirmation of assessment arrangements, followed by any
forward and asked the Learners
questions from the Learner/s
if they had any questions

NAME ROLE SIGNATURE DATE

ASSESSOR

LEARNER

WITNESS

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The marking memorandum

The memorandum (containing model answers) is another important document used
during the assessment process and that has to be prepared very carefully
beforehand:
• A model answer is required for factual and calculated answers.
• In examination papers or practical exercises where creativity is an element,
there may be more than one possible correct solution or answer.
• Where more answers are possible than the allocation of marks indicates, all
possibilities must appear in the memorandum, if possible. (In the case of
creative problem solving, a mark out of 100, based on certain elements of the
problem, should be used as yardstick.)
• With discussion and opinion-type questions, the main points should be listed
in order of importance and a broad explanation of that which is expected must
be provided. The assessor will mark such question papers, so that it can be
subject to moderating.
• There may be no confusion in respect of the question that was asked and the
expected answer.
• The memorandum must be a comprehensive set of answers covering all
subsections of all questions and phrased in the exact manner the assessor
expects the learners to answer the questions.
• In the case of questions where no model answers can be provided as the
answer is learner specific and relates to situations and experiences in his/her
life or experience, the assessor must evaluate the answer at his or her own
discretion, although typical answers may be given as general guidelines.
• The marks awarded for each answer or subsection of an answer must be
shown clearly.
• The answers must be in the same sequence as the questions in the question
paper.
• References to pages from the Learner Guide are not acceptable – the actual
text must be given.
• Where annotated drawings are required, the complete drawings with
annotations must appear in the memorandum.

Class Activity 2: Prepare for assessments

Please follow the instructions from the facilitator to complete the
formative activity in your Learner Workbook

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Module 3
Conduct assessments

After completing this module, the candidate-assessor will be able to conduct

assessments, by successfully completing the following:

• Use assessment practices that promote effective, manageable, fair and safe
assessment. Ensure that assessment practices are in line with quality assurance
requirements, recognised codes of practice and learning-site or work-site
standard operating procedures where applicable
• Carry out the assessment according to the assessment design and in line with
the assessment plan. Justify adjustments by the situation, and unforeseen events
and special needs of learners are addressed without compromising the validity or
fairness of the assessment
• Use questioning techniques that are appropriate and have the potential to
successfully elicit appropriate responses. Ensure that communication with
learners is non-leading, and is appropriate to the assessment at hand and the
language ability of the learner
• Gather sufficient evidence, including evidence generated over time, to enable
valid, consistent, reliable and fair assessment judgements to be made
• Ensure that assessment judgements are consistent with judgements made on
similar evidence and are justified by the authenticity, validity, sufficiency and
currency of the evidence
• Ensure that records of the assessment are in line with the requirements of the
organisation's quality assurance system. Ensure that records meet requirements
for making assessment judgements, giving meaningful feedback, supporting
internal and external moderation, and addressing possible appeals

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Conduct assessments
By the end of this programme, you, the candidate-assessor, must have the ability to
make assessment judgements using diverse sources of evidence and must be able
to demonstrate this. These assessments need to include cases where learners have
special needs and where evidence arises through RPL situations. Should it not be
feasible to gather evidence for assessments of special need learners or in RPL
situations, evidence may be produced through scenarios.
Candidate-assessors must show they can make judgements in situations where:
• learners meet all criteria for a particular outcome
• learners clearly do not meet the criteria for a particular outcome
• learners meet some, but not all criteria, and
• more evidence is required in order to make a judgement of competence.
At this stage the learner and you, the candidate-assessor, should be ready to
conduct the assessment:

Plan and Conduct Provide

prepare for feedback on
assessments assessments assessments

3.1 Assessment practices

You need to use assessment practices that promote effective, manageable, fair and
safe assessment.
You need to ensure that assessment practices are in line with:
• quality assurance requirements
• recognised codes of practice, and
• learning-site or work-site standard operating procedures, where applicable.

Assessment practices
Here we will discuss the practices that should be associated with assessment to
ensure that what we do is in line with quality assurance requirements, recognised
codes of practice and learning-site or work-site standard operating procedures.
The assessment The assessment measures what it says it is measuring. Assessment
practices are valid activities and instruments test skills that match the outcomes to be
assessed.
• Types of assessment instruments used (interview, written test
etc.) are appropriate.
• The subject matter assessed relates to the relevant unit
standards.
• Skills assessed relate to the relevant unit standards.

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The assessment Individual learners are not hindered or advantaged by factors not
practices are fair relevant to the outcomes being assessed.
• Assessments are not biased in terms of ethnicity, gender, age,
context, etc.
• Language used in assessment procedures is appropriate to the
level of the learners.
• Assessment results will not be affected by unequal
resources/conditions during assessments.
• Learners are adequately prepared for assessment events.
• Learners are given adequate support during longer-term
assessment tasks such as portfolios.
• Formative assessment is used continuously to enhance the
quality of teaching and learning.
• Learners are given constructive feedback on assessment results.
• Learners have the right to appeal.
The assessment There is consistency in the assessment system and the same
practices are judgements would be made by different assessors or in different
reliable contexts.
• Assessors are provided with clear assessment instructions.
• Assessment results are moderated.
Assessments are Learners are informed about the assessment plan, including time-
properly frames, reassessment opportunities, appeals.
administered • Appropriate logistical arrangements are made (venue, equipment,
etc.)
• Recording procedures are adequate and accurate.
• Adequate security arrangements are made to avoid irregularities.

Professional, industry or legislated codes of practice

The Education Training and Development Quality Assurance (ETDQA) encourages
providers to adopt and implement assessment policies that are transformative and
that are in line with the guiding principles of the NQF.
The following assessment is needed for access and redress:
• RPL assessment for the award of credits (to meet entry requirements where
the programme is inflexible in this respect)
• RPL assessment for access (to allow access without first awarding credits:
this assessment process can be quicker and more affordable because the
assessment need not be so rigorous as in cases where credits are awarded)
• RPL assessment for exemption for parts of learning programmes where
outcomes have already been achieved through experience (this may make
the programme affordable in terms of time and money to someone who would
otherwise be excluded)
• assessment for placement at the right entry level (for example into a skills
programme or learnership; here those not accepted into a particular
programme will be advised on their needs, or better still, placed elsewhere
(for example on a skills programme which may become step one towards the
learnership, or a programme at a lower level)
• assessment to determine top-up or bridging requirements so that a
programme may become accessible to someone who would otherwise

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struggle to cope (for example, in Adult Basic Education and Training (ABET)
or fundamentals training to close an identified gap).

These uses of assessment in support of access also address certain redress issues,
as often learners from formerly disadvantaged backgrounds have little or no formal
recognition of their achievements, and also have lower achievement levels through
no fault of their own. In other words, they could be capable and hard-working, but
through having received poor quality teaching backed by few resources they have
not realised their potential.
This leads naturally to another key principle, that of flexibility. Providers can
promote access and redress by adopting the principle of flexibility, which might be
implemented in many ways, including:
• offering programmes in a modular form and making provision for learners to
be exempted from certain modules through an RPL process, and operating a
cost formula which allows exemption from the costs of the identified modules
• offering different versions of the same learning programmes, some
accelerated, some slower and containing enrichment and bridging materials,
addressing the needs of certain groups of learners
• relaxing any entry requirements and rather assessing potential learners in
relation to placement, bridging and gap-fill options to make the programme
more accessible
• carrying out needs analyses with relevant communities and stakeholders, and
offering programmes in response to identified needs, areas of growth, and in
line with the Sector Skill Plan
• seeking funding from interested parties to subsidise learners and RPL
candidates from previously disadvantaged communities.

Portability and articulation can be achieved by:

• offering modular training programmes in flexible combinations
• offering RPL services, including RPL assessment for credit, for exemption
from modules and for access
• offering top-up training, bridging and gap-fill training as well as reassessment
at affordable rates, and
• linking training, wherever possible, to NQF registered qualifications.

Quality assurance
Quality assurance of assessment is governed by four main activities (documents),
namely:
• the Feedback report
• providing an appeals application to learners who wish to appeal
• assessment review
• moderation report.

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Language and assessment

Learners should, generally, be able to be assessed in a language that they are most
proficient in. In South Africa in particular, this is important. It is stipulated that:
• The official languages of South Africa are Sepedi, Sesotho, Setswana,
siSwati, Tsivenda, Xitsonga, Afrikaans, English, isiNdebele, isiXhosa and
isiZulu.
• Measures must be taken to elevate the status and advance the use of the
historically diminished status of indigenous languages
• All languages must enjoy parity of esteem and must be treated equitably

Furthermore, it is stipulated that:

Everyone has the right to receive education in the official language or
languages of their choice in public educational institutions, taking into account
equity, practicability and the need for redress.
These constitutional provisions give learners the right to determining the
language(s) of learning and teaching. Assessment policies, therefore, should
ensure, as far as possible and is practicable, that this right is upheld for all
learners.

Unacceptable practice and irregularities in assessment

There are many possible types of unacceptable practice that assessors should be
aware of and prepared to act on. These include:
• assessment instruments are not available: the assessment instruments and
assessment specification for unit standards are not available for scrutiny by
the moderator or verifier.
• Assessment instruments are inappropriate: the assessment instruments
selected did not assess the relevant outcomes validly, e.g. a practical
outcome, which should have been assessed by a practical assessment was
assessed by a written test.
• No evidence or insufficient evidence of the learner’s competence is supplied.
• The learner’s performance is judged inappropriately: the assessor has
incorrectly interpreted the evidence supplied by the learner and has judged
the learner competent when the standard specified in the assessment criteria
has not been met, or not yet competent when the standard has been met.
• There are no records of a learner’s achievement: The provider has failed to
keep records about a learner’s performance.
• Moderation arrangements were unsatisfactory.

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In addition, there are a number of possible irregularities based on unethical

behaviour. These include:

Unethical behaviour by a learner:

• cheating, copying or accessing assessments in advance in cases of
written test and examinations
• bribing, blackmailing, threatening or harassing the assessor or others
involved in the assessment process
• offering third party witness statements, references, historical records,
certificates or other forms of evidence that are not authentic.

Unethical behaviour by an assessor:

• not declaring a family or business relationship with a learner
• responding to bribes, threats, etc. by favouring or disadvantaging any
learner over any other learner
• allowing personal bias (e.g. in relation to race, class, gender, educational
background, ethnicity or religion) to influence assessment judgements
• not making appropriate arrangements for learners with disabilities or
language disadvantages (unless the assessment is focusing on the
language in question).

Unethical behaviour by a moderator:

• responding to bribes, threats, etc. by ignoring irregularities detected in a
learner or assessor;
• allowing personal bias (e.g. in relation to race, class, gender, educational
background, ethnicity or religion) to influence moderation judgements.

Unethical behaviour by a provider:

• aiding and abetting learners, assessors or moderators in any of the above
behaviours.

Unethical behaviour by a verifier or other employee or representative of an

ETQA:
• responding to bribes, threats, etc. by favouring or disadvantaging any
learner over any other learner
• allowing personal bias (e.g. in relation to race, class, gender, educational
background, ethnicity or religion) to influence the award of learner
achievements
• allowing personal likes and dislikes, relationships etc. to influence the
award of learner achievements.

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3.2 Carry out the assessment according to the assessment design and
plan
You need to carry out the assessment according to the assessment design and in
line with the assessment plan.

Assessment design: the analysis of defined outcomes and criteria to produce a

detailed description of how an assessment should take place, including all
instructions and information regarding the assessment activities and assessment
Definition methods. The product of assessment design could be termed an Assessment
Guide
Assessment Guide: this is a complete package based on a thorough analysis
of specified outcomes and criteria, assessment requirements and a particular
assessment context. Assessment Guides are designed primarily for use by
assessors to conduct an assessment (or possibly a series of related
assessments) in terms of a significant and coherent outcome of learning e.g. a
unit standard. Assessment Guides address the following key aspects in detail:
• How will the assessment take place?
• What is needed to make the assessment happen?
• How will evidence be gathered, recorded and judged?
In general, Assessment Guides include descriptions of the approach to the
assessment, assessment conditions, assessment activities, instructions to
assessors and learners/candidates, assessment methods, assessment
instruments (e.g. scenarios, role-plays, questions, tasks), resource requirements,
guidance for contextualising assessments, relevant standard operating
procedures, administrative procedures, moderation requirements, assessment
outcomes and criteria, observations sheets, checklists, possible or required
sources of evidence and guidance on expected quality of evidence including
exemplars, memoranda or rubrics.
Assessment plan: this is produced at the training provider level, and gives an
overview of the timeframes and responsibilities for assessment and moderation
for the agreed delivery period. The plan addresses practical implementation
details, including, for example, decisions about the clustering of certain
outcomes or unit standards/outcomes for integrated assessment, any planned
RPL, and the relation of assessment and moderation to delivery of modules/
programmes in terms of timeframes

The assessment design

The assessment design must meet the following quality assurance requirements:
• the design of the instrument (test, written assignment, portfolio, practical
demonstration and tasks, observation, interviews, combination of tools, etc.)
must be appropriate, i.e. it must meet the outcomes as specified in the
standards, be at the right level, etc.
• the design of the instrument must be based on information taken from
relevant source documents (unit standards, and any other documents that
prescribe what must be assessed and the criteria on which judgements will be
made)
• the design of the instrument must be linked to an appropriate assessment
strategy (e.g. taking into account opportunities for integrated assessment, or
for gathering naturally-occurring evidence)
• the instructions to learners must be clear and unambiguous

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• the time given for gathering and presentation of evidence (whether in one
sitting or over time) must be sufficient to allow an average learner to
demonstrate competence
• there must be a relationship between course methodology and content and
the assessment (note that this is not applicable to RPL systems)
• the grading design (assessment criteria, issues of weighting, format for
judgements, etc.) must be done concurrently with instrument design, and
must be compatible with the instrument. (Grading refers to the act of making a
final judgement in an assessment event.)
• the assessment design must include the development of an assessment
guide laying out details and instructions for the assessment activity; explicit
grading instructions must be developed (for marking, recording on
observation sheets, or evaluating a product such as a lesson plan or training
event, etc.)
• the design must make provision for special needs without compromising the
validity of the assessment
• the assessment must be implementable within any reasonable site costs and
time requirements.

The assessment process

The assessment process begins with getting to know the unit standard or
qualification. The assessor needs to consider what is contained in the different
components of a unit standard or qualification. On the basis of this knowledge and
understanding, the assessor then decides whether to design a task or tasks that
require observation, written tests and/or questioning. The situations or contexts for
performance would also be prepared for at this stage. Appropriate instruments such
as checklists indicating the complexity and quality of the performance (i.e. criteria)
should be designed.
Where the outcome describes practical competence then it is likely that observation
and/or evaluation of a product may be appropriate. This could be combined with
questioning to find out about underpinning knowledge and understanding and the
ability to adapt to change and unforeseen circumstances, and reasons for such
adaptation. The appropriate instruments could be a practical exercise, and/or
submission of a product and a written or oral test to cover the range statement which
could include underpinning knowledge and understanding, other contexts not
covered by the practical exercise, integration of other abilities that should be in place,
etc.
Having decided on the methods and instruments, the assessor would then develop
the appropriate assessment materials. If the method chosen was written assessment,
then the material would be the question paper and checklist. Likewise, if the chosen
method was a practical exercise and questioning then the material would be a
practical task and questioning.

The assessor needs to make sure that all the relevant documents are ready such as:
• the assessment tool
• the assessment checklist
• the questions and memorandum.

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The assessment tool should be in line with the principles of assessment which are:
The assessment assesses what it claims to assess in terms of method,
Validity
evidence collected (authentic and current).
The assessment is in line with other assessments conducted by the
Reliability same and other assessors in relation to the same unit standard
/qualification. (It is about consistency).
The assessment is effective and feasible without causing unreasonable
Practicality
demand to all role-players.
Fair The assessment does not in any way hinder or advantage a learner.
Authenticity The assessment should make judgment against the learner’s own work.
Credibility This is the end result of fairness, validity, reliability and practicability.

The assessment venue

The venue should be ready before the assessment begins.

Types of assessment
The types of assessment are determined by the purpose of the assessment and are:
• Baseline assessment: This is the initial assessment conducted prior to
training, when the facilitator is establishing the level of the learners.
• Formative assessment: This is a continuous assessment sometimes called
CASS in the schooling system.
• Summative assessment: This is the assessment conducted at the end of the
programme or upon completing the Unit Standard.
• Integrated assessment: This entails combining various and related specific
outcomes, assessment criteria, critical cross-field outcomes into tasks
designed to assess specific outcomes or Unit Standards.

Assessment methods
These are how one assesses the outcome such as orally, by a written activity, or a
demonstration. Assessment methods go hand in hand with the assessment
instruments and the type of evidence required as shown below:

Assessment
Assessment tool Evidence type Assessment record
method
Instructions to What the learner is What learners Ways of recording
learners and/or asked to do and how produce as evidence the level of
assessors it will be assessed performance for a
learner
e.g.: written task e.g. written e.g. written reports e.g. recording forms
instruction assessments such as
tests

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Good practice in formative assessment

Formative assessment is assessment designed to support and inform educators and
learners during the learning programme to measure and so ensure continuing
progress towards the outcomes, unit standards and skills programmes or
qualifications targeted. It is used during the course of learning to support the learner
by giving him/her feedback on progress. It can be used for diagnostic and remedial
purposes, and can be used to build up and document a learner profile over time in order
to feed into summative results linked to the award of credit.
The main purpose of formative assessment is to support learning, and it can be
described as developmental. Good practice in formative assessment is guided by
the principles of good assessment.
Here is a summary of some key characteristics of good formative assessment:
• Assessment must be clearly linked to critical and specific outcomes.
• Assessment must be designed to reflect the importance of critical
outcomes and of demonstrating applied competence.
• Learners are clearly informed about how, when, where and by whom they
will be assessed in an assessment plan, and signed by the learner at the
beginning of the programme.
• Assessment should not be an ‘add-on’ to teaching and learning, but
should be integrated into learning activities and used to identify learning
needs and give feedback and support to learners.
• A variety of assessment methods and techniques should be used.
• Assessment should be contextualised where possible.
• Learners should take an active role in assessment, helping formulate
task-specific criteria and engaging in self and peer assessment.
• Assessment should be sensitive to gender, race, language and cultural
issues.
• Provision should be made for learners with special needs.
• Moderation procedures must form part of an assessment system in order
to assure quality.
Although formative assessment is designed to track learner progress and to identify
and address strengths and weaknesses, it may often generate evidence of applied
competence. Whenever this happens, the evidence should be preserved or recorded
and the record preserved. If assessment is well designed and integrated into
learning activities and if evidence is systematically collected, organised and kept in a
safe place, much of the evidence needed for summative purposes can be generated
during learning activities, and the amount that needs to be assessed by specially
designed summative assessments will be dramatically reduced. This will make the
assessment more practicable, saving both time and money.
Learning activities carried out under the supervision of a teacher, lecturer, facilitator,
mentor or supervisor who is not a registered assessor may generate evidence of
applied competence. If the person collecting this evidence is not a registered
assessor, the evidence will later have to be authenticated by a registered assessor.
Evidence facilitators may be trained to assist relevant people in workplaces to collect,
organise and present evidence in such a way that it will be acceptable to a registered
assessor.

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Good practice in summative assessment

Summative assessment is conducted by a registered assessor to confirm that
learners or RPL candidates have met all the requirements to be awarded the credits
towards a unit standard, skills programme or qualification. Summative assessment can
be made up partly or entirely of evidence collected through formative assessment or
through activities that are part of current or previous work or other life experience. The
collection of evidence is assessed against a standard or qualification in order to award
credits or a qualification.
Summative assessment can also refer to a type of assessment during a programme,
such as an end of module test or task, to signify the completion of a particular portion of
a learning programme. In this case, the learning activities and formative assessments
are already completed, and the purpose of the summative assessment is specifically to
generate evidence of competence.
Summative assessment should be planned to allow the use of a range of
assessment methods (e.g. observation, product evaluation, written and oral
questioning) and for a range of assessment instruments (e.g. practical, role play,
written assignments, tests, examinations, projects, case studies simulations).
Although summative assessment at the end of a programme has not traditionally
been accompanied by feedback to a learner, it is considered an essential part of
good summative assessment practice to give feedback wherever practically possible
to relevant parties.

Is it necessary or desirable to assess each assessment criterion separately?

This is a contentious issue, and many assessors and assessor training providers
interpret the requirements of summative assessment differently. Whilst some claim
that you cannot be certain about competence unless separate evidence is obtained
in relation to each criterion, others insist that this goes against good educational and
assessment practice, which emphasises integration and a holistic approach, rather
than separation and a fragmented approach. SAQA supports the latter position.
SAQA has recommended that integration be conducted at two levels as indicated
below:
• at the level of assessing a cluster of specific and/or critical outcomes, or unit
standard or parts of the unit standard
• at the level of assessing before awarding a qualification.

The disadvantage of assessing each outcome separately

Arguments against assessing each criterion separately include:
• In OBET, outcomes are assessed and assessment criteria are provided to
help assessors to assess each outcome consistently. Assessment criteria
should not be assessed separately: this would make them mini-outcomes, not
assessment criteria.
• Too many small separate assessments lead to fragmentation. Fragmentation
of assessment leads to the fragmentation of learning programmes. The
emphasis should rather be on integrating and linking theory, practice,
reflection, problem solving, etc. in an appropriate applied context.
• The kind of assessment that focuses on each assessment criterion one at a
time tends to be of a check-list variety which works against giving learners

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challenging and extensive tasks involving, for example, projects or

simulated/real life problem-solving.
• Applied competence at qualification (or skills programme or unit standard)
level cannot be assessed without at least one more far-reaching integrated
assessment.
• The assessment, record keeping and administrative time involved in
assessing each criterion is far too onerous, and is out of line with the principle
of ‘practicability’.
The unit standards and registered qualifications spell out what has to be assessed.
This does not change. But the assessment can be packaged in different ways, and
the ETDQA does not recommend an approach of checking off each criterion
individually. Rather it recommends that outcomes and standards should be clustered
for assessment, much as they might be for delivery. This is also the position of
SAQA.

So what is required of an assessor, moderator or verifier? As with defining evidence

requirements, they must reach agreement and achieve consistency across sub-fields
Here is a guide for assessors, about what is required:
• Where there are notes for assessors in the qualification or unit standard,
follow the guidance given.
• Where there is a range statement, make sure that the range has been
covered in the learning programme and ask for a third party statement to
ensure full coverage if there is only evidence for partial coverage.
• Where there is a Qualification Assessment Strategy (or a Learnership or Skills
Programme Assessment Strategy Guide), follow the guidance given.
• Where issues of health and safety are at stake, look for complete, direct and
current evidence in relation to each assessment criterion. (Of course this may
be inferred from a third party statement about the observance of standard
operating procedures over time, but some direct assessment, for example
through observation or questioning by an assessor is advised).
• Where error could have a profound negative impact, again look for direct and
current assessment in relation to each assessment criterion, for example
through observation or questioning by an assessor.
• Where the learning achievement is heavily knowledge-based (as in certain
content-heavy subjects), recognise that sampling is essential, but look for
evidence of adequate coverage resulting from learning activities and
formative assessment. Similarly, look for evidence of breadth of relevant
experience in RPL candidates.
• Insist on evidence of application of each relevant critical outcome in at least
one context in a skills programme, learnership or other qualification.
• Once satisfied that the evidence available covers all the critical (health, safety,
high impact and Critical Outcomes) aspects and a representative sample of
the rest of the standards, look for evidence of applied competence through an
integrated assessment at qualification level.
• Where outcomes and/or unit standards can be clustered together and
assessed through a single multi-faceted task it is both educationally sound
and good assessment practice to choose this route.

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• For learners in a learning programme, the assessment strategy and time-

table, the right to appeal, and arrangements for reassessment should be
explained to them on registration and they should sign that they have
understood at this point. This is typically an administrative job, but an
assessor should be available to answer questions at or before registration.
Similarly, RPL candidates should be asked to sign their assessment plan and
their awareness of their rights at the time that the plan is agreed.
• Assessors making a final summative assessment judgement should give their
reasons in writing and sign off the decision, and learners and RPL candidates
should sign that they have been informed of the decision, indicating whether
they accept it or intend to appeal.

Adjustments to the assessment design / plan

During the pre-assessment meeting the special needs of learners must be noted and
the suggested adjustments / amendments must be made to assessment plan.
You need to be able to justify the adjustments / amendments to the assessment
design/plan using the following justifications:
• the situation in which the assessment needs to take place
• unforeseen events that influence the assessment
• special needs of learners that influence the assessment.
These justifications need to address the assessment design/plan without
compromising the validity or fairness of the assessment, e.g.:
• Disabled learners are not only people in wheelchairs. Any disability that can
make it difficult or even impossible for a learner to write (theoretical) or do
(practical) assessment qualifies as a disability or special need. It is the
constitutional right of such individuals to be assessed as one would assess
any other learner. A handicap can be physical, mental or emotional. In fact,
language may be a handicap requiring special arrangements.
• Often the first barrier to overcome is the physical barrier to access. The
assessor should choose the venue for learning and assessment where it will
be accessible to people with disabilities. Transport arrangements can be
made, although it is normally the responsibility of the learner.
• If language is a barrier to writing an examination, documentation can be
translated into the language of the learner with a language problem. This,
however, can make learning very expensive, so this will probably only be
done with critical material. Sign language interpreters can be arranged for
deaf people. Childcare arrangements should also receive attention if there are
learners who need such services – mostly single/working mothers who do not
have anybody else to look after the child while she attends learning or writes
examinations. Examination papers can be prepared in extra-large font type
for learners with poor vision.
• The only instance where a learner can be refused assessment is where his or
her writing or doing the assessment will endanger the safety of others or
themselves. For example, a blind person will probably not be allowed to do an
examination which will qualify him or her to work with heavy machinery or
sharp tools.

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The basic principle is that learners with special needs must, as far as possible, be
allowed and enabled to write examinations and do practical assignments. This,
however, does not mean that standards should be compromised.

3.3 Use questioning techniques to elicit appropriate responses

As the assessor, you need to use questioning techniques that are appropriate and
have the potential to successfully elicit appropriate responses. Ensure that
communication with learners is non-leading, and is appropriate to the assessment at
hand and the language ability of the learner.

The assessment
The assessment must now be carried out according to the assessment plan in
accordance with the assessment guide. The assessment guide could be in the form
of a Learner Workbook – where the learner and assessor are guided through the
process of assessment.
The assessor has met the learner at the pre-assessment meeting and the learner is
fully aware of what is to be assessed.
It must be noted that the assessor must be familiar with the programme material and
this should also be available at the assessment meeting.
The Unit Standard which is to be assessed must be available for referral.
In the assessment plan it must be noted what questions will be asked – what
methods are to be used in assessment and what principles to follow during the
assessment meeting.

Questioning techniques
You need to use questioning techniques that are appropriate and have the potential
to successfully elicit appropriate responses.
A critical role of the assessor is to ask questions that provide evidence of the
learner's competence. The way questions are phrased and the tone of voice in which
they are asked can significantly affect the response and the degree of comfort the
learner has in answering them. Questions need to be clear and specifically relate to
the assessment topic. Carefully phrased questions encourage discussion. Questions
not so carefully phrased may intimidate the learner.
The principles of assessment should be kept in mind when deciding to use a
particular instrument, i.e. the assessment instrument should ensure fairness, should
be reliable, valid and practical.
There are two important types of questions:
1. Closed questions require a "yes" or "no" response, or a short answer:
• "Are you able to operate the machine?"
• "Can you tell me the name of the section supervisor?"
• "Do you know how to use the system?"

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2. Open questions are designed to encourage complex responses and

explanations. Often open questions can be used to build on the responses
given; e.g.:
• "Tell me what you believe are the advantages of the process?"
• "What do you see as the role of the learner in assessment?"
• "Do you prefer to use the manual system? Why?"

Learners need to feel comfortable with questioning. Often it can have a positive effect
when the learner has the opportunity to discuss what s/he knows. It is important that
questions are clear, so the learner is not confused about what answer is required.

The following list shows some of the different types of questions that can be used:
• Alternative response questions
True/False; Yes/No questions
Possible uses: Recall of information
Ability to discriminate
• Assertion/reason questions
Consist of an assertion and supporting explanation.
The learner has to decide whether the assertion and explanation are true, and
if true, whether the explanation is a valid reason for the assertion. Sometimes
the learner is asked to select his/her answer from a list of possibilities, e.g.
True; True + Valid; True + Invalid.
Possible uses: Ability to weigh up options and to discriminate
• Aural/oral tests
These are mainly used to generate evidence on learners’ ability to listen,
interpret, communicate ideas and sustain a conversation in the language of
assessment.
Possible uses: Interpretation of ideas.
Expression of ideas
• Completion questions/short answer questions
Learners are presented with a question with a pre-determined answer
consisting of a few words, or may be given a statement where key words are
omitted. They are then required to complete the statement by filling in the
word(s). Such questions may also involve the use of numbers, diagrams and
graphs.
Possible uses: Recall of factual information
Test understanding and application of knowledge, e.g.
in mathematical concepts
• Examinations/tests
These usually consist of a range of questions. Learners are required to
respond to questions within a specified time.
Possible uses: Recall of information
Cognitive skills such as problem solving or analyses

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• Extended response questions

These are usually in a written form. There are few restrictions on the content
and form of the response. Continuous prose is normally required, but there
may be limits on the length and/or time allocated.
Possible uses: Open-ended debates or other responses
Arguments
Reports
• Grid questions/matching questions
Grid questions and matching questions are variants of each other. The learner
is presented with two lists – a set of statements and a set of responses. The
learner is required to indicate which response from the second list
corresponds or matches each statement in the first list.
Grid questions are presented in grid format (table).
They differ from the other selected-response assessment instruments in that
each question may have more than one correct response and each response
may be used more than once.
Possible uses: Recall of information
Application of knowledge
• Multiple choice questions
Multiple choice questions consist of an incomplete statement or a question,
followed by plausible alternative responses from which the learner has to
select the correct one.
Outcomes involving higher order analytical skills are probably more validly
assessed by means of free-response assessment instruments such as
extended response questions, but multiple choice questions can be useful if
carefully constructed.
Possible uses: Recall of information
Check understanding; analyses
• Oral questions/restricted response questions
The form and content of the response are limited by the way in which the
question is asked. These questions do not have pre-determined correct
answers (as in short answer questions, etc.) and the assessor has to exercise
his/her professional judgment when interpreting learner’s responses.
Possible uses: Allows for self-expression when questions are oral
Supports observation of tasks where underpinning
knowledge and understanding are tested
• Personal interviews
A personal interview is probably the oldest and best-known means of eliciting
information directly from learners. It combines two assessment methods,
namely observation and questioning. An interview is a dialogue between the
assessor and the learner, creating opportunities for learner questions.
Possible uses: A range of applications using different forms of
questions, particularly open-ended questions

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Guidance and support to the learner

• Questionnaires
A questionnaire is a structured written interview consisting of a set of
questions relating to particular areas of performance. Unlike a personal
interview, it is administered and judged under standard conditions.
Possible uses: Assessment of outcomes particularly concerned with
attitudes, feelings, interests and experiences
• Structured questions
A structured question consists of a stem (which describes a situation),
followed by a series of related questions. The stem can be text, a diagram, a
picture, a video, etc.
Possible uses: Recall of information
Application of knowledge and understanding
Analyses
Debates
Arguments
Note:
Try not to ask questions one after the other, as it can sound like an interrogation.
Pace your questions and ask them at appropriate times.

Do not use leading questions

Ensure that communication with learners is non-leading, and is appropriate to the
assessment at hand and the language ability of the learner. Leading questions are
questions that contain by word or tone the answer you want, such as "You wouldn't
use that would you?" When you ask leading questions, you are inadvertently or
deliberately influencing the evidence learners produce through the style of
questioning, instructions or responses to learners.

Listening
The other side of questioning and speaking is listening, and this is another important
skill for an assessor. Active listening is the key to showing that you are genuinely
interested in what the learner is saying. Your response to a comment or question
from a learner can have immediate positive or negative effects on that person. For
example, raising your eyebrows or sighing loudly at an inappropriate time can distract
or even distress the learner and impact negatively on their assessment.
Always give the learner the opportunity to elaborate on points they have made. Be
prepared to rephrase questions and provide examples if necessary to help them
understand. Finish the assessment with an open-ended question like:
"I'd like to give you the opportunity to tell me if I've overlooked anything?"

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3.4 Gather sufficient evidence

You need to gather sufficient evidence, including evidence generated over time, to
enable valid, consistent, reliable and fair assessment judgements to be made.
The assessor will at this stage, apply the rule of evidence to make evaluation of
evidence and make judgments. This is another stage of the assessment process; the
assessor is evaluating the evidence gathered by the learner. The assessor will deem
the learner either:
• Competent – if the evidence gathered has met all the specific outcomes of
the unit standard and their related assessment criteria, or
• Not Yet Competent (NYC) – if the evidence gathered does not meet the
specific outcomes and criteria or more evidence is required. The assessor
plays a pivotal role at this point in time. The feedback must be relevant and
constructive. Further assessment will require that the learner be reassessed
against the outstanding specific outcomes and criteria. This allows the learner
to close gaps.
What is evidence?
Evidence is a demonstrated proof of competence.

Rules of evidence
When assessing the learner’s evidence, the assessor needs to ensure that the
evidence is:
• valid – meets the specific outcomes and its related assessment criteria i.e. is
fit for purpose
• authentic – is created by the learner
• consistent/reliable –will give the same results about the learner’s
competence either by different assessors or over a period of time
• current – applies to the latest version of the standard or reflect current
practises
• sufficient –covers all the specific outcomes and criteria and the learner can
demonstrate competency at an acceptable level.
These rules can be remembered using the acronym VACCS or VARCS.

Types of evidence
The best type of evidence is that which can be observed directly by the assessor.
This means that evidence must be collected from activities that are as similar as
possible to actual conditions. However, there are other types of evidence that are
also valid if checked and verified. The three main types of evidence are:
• Direct evidence
Direct evidence is actual evidence produced by the learner. This is the most
valid type of evidence. Direct evidence also easily establishes authenticity.
This should be the assessor’s primary source of evidence.
Sources of direct evidence include:
o direct observation of tasks, activities, etc.
o questioning, i.e. written/oral
o product and output evaluation.

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It may be necessary to verify evidence, for example a written assignment or

product, to ensure that it is the learner’s own work.

• Indirect evidence
Indirect evidence is evidence produced about the learner from another
source. This usually in the form of reports of third party sources i.e. sources
other than that of the assessor. Indirect evidence can be used to verify the
authenticity of other forms of evidence. It may be necessary to corroborate
these forms of evidence.
Sources of indirect evidence include:
o team outputs
o work completed at an earlier stage
o testimonials
o reviews and commendations
o certificates and qualifications
o medals, prizes and trophies.

• Historical Evidence
This type of evidence tells the assessor what the learner was capable of
doing in the past. It is the least valid form of evidence because it does not
necessarily prove current competence. Historical evidence usually needs to
be checked for authenticity. The assessor should guard against discrepancies
regarding this kind of evidence, but it is still a useful supplement to the
assessment process, more especially for Recognition of Prior Learning.
Some examples of historical evidence are:
o projects and portfolios
o video/audio taped performance/photographs
o documents completed by the learner
o testimonials
o reviews and commendations
o certificates and qualification
o medals, prizes and trophies.

The methods used to collect evidence are:

• tests
• observation
• questions and answers
• role plays
• written reports
• verbal reports
• portfolios/samples of work.

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Tests can include short or long answer questions. They can require ticking a response,
matching, answering multiple-choice or essay-type responses. They relate to what the key
focus of the test is e:
• the ability to write a response; or
• the actual knowledge itself, whether comprehension; or
• recall; or
• problem solving.

Oral tests involving questions and answers are used to identify listening, interpreting,
analytical and communication skills.

Observation is used to identify the learner's ability to perform under a specific set of
circumstances, which usually relates to a practical task. A valid way of assessing performance
using this method is to use checklists or logs as a validation.

Role-plays are used when it is inappropriate for direct observation or direct contact. In this
case a useful alternative is a role-play or simulation of a real world scenario. Another version
of this is the use of case studies where the learner is asked to respond to a particular situation
presented, usually in a written form.

Reports are useful as assessment tools because they require the application of knowledge in
a specific context and are usually used to show some analysis or application of theory.

Portfolios are useful for gathering material relating to performance criteria over an extended
period of time and may include different types of evidence:
• direct
• indirect; and
• supplementary.

For each of these methods, the assessor must ensure that the learner understands
exactly what is required, both in terms of the actual format or presentation and in
terms of how much is required.

3.5 Ensure that assessment judgements are consistent

You need to ensure that assessment judgements are:
• consistent with judgements made on similar evidence, and
• justified by the:
o authenticity of the evidence
o validity of the evidence
o sufficiency of the evidence, and
o currency of the evidence.
The most important criteria for evaluating the overall quality of assessment are the
following:

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Assessment must be:

• Fair and objective: Assessment must set out to evaluate what knowledge,
skills and attitudes the learners have acquired. Many assessors will fail in this
respect, because they attempt to find out what the learners do not know by
trying to catch them out. Check to see that each assessment question is
adequately covered by appropriate objectives. Pay particular attention to the
action or verb used in the instructional objective. This will guide you in
selecting the type of question.
• Comprehensive: The breadth of coverage of the assessment must be
comprehensive enough to cover the objectives of the programme, unit or
lesson.
• Functional: The assessment must be easy to administer and mark. Here are
a few guidelines in this regard:
• arrange assessment from easy to difficult
• make sure the layout of the assessment is used consistently
throughout the assessment
• group all the items of the same type
• provide clear, concise directions to learners and the people who must
administer it.
• Valid: The assessment must measure what it is intended to measure.
• Reliable: The marks obtained on the assessment by a particular learner must
remain the same when the learner is tested more than once, using the same
instrument, taking into account any learning that might have occurred as a
result of already having taken the test.
• Discriminating: The assessment should differentiate those learners who
have made more progress during the learning programme from those who
have not.
• Cost-effective: This means that the expense of administering the
assessment should not exceed the benefits of the results derived from it.
• True to the purpose of the test: If we are conducting a diagnostic
assessment, the results should succeed in accurately diagnosing specific
shortcomings in the learning outcomes of the learner.
• Provide clear instructions: Test instructions must only allow one
interpretation by the learner.

Judgment of evidence
Evidence is judged by you, the assessor, on the basis of evidence provided by the
learner as being valid, authentic, sufficient and current.
Let us now look at how to process the evidence provided by learners to enable fair
and consistent assessment practises. The evidence needs to be valid, authentic,
reliable, current, consistent, sufficient:

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Valid The evidence covers all of the specific outcomes, assessment criteria,
embedded knowledge and critical cross field outcomes of the unit
standards in this qualification.
The assessment tools measure the requirements of this unit standard.
Authentic The learner signed a declaration of authenticity that states that he / she
submitted their own work.
The assessor is satisfied that the work being assessed belongs to the
learner being assessed
Reliable The assessor is satisfied that this performance can be repeated
consistently with the same results.
Evidence submitted is from a reliable source, e.g. references provided,
letterheads, email printouts, etc.
Consistent results will be obtained with different assessors by making
use of these assessment tools.
Current The evidence is current (not older than 3 years).
The evidence demonstrates current competence.
Consistent The same assessor would make the same judgement again in similar
circumstances.
The judgement made is similar to the judgement that would be made by
other assessors
Sufficient The learner has provided enough evidence (as per the requirements in
the range statements) to show that he/she has met the criteria and
specific outcomes required to be found competent against this unit
standard.
The assessment tools selected for this assessment provides enough
evidence to show that the learners have met the criteria and specific
outcomes required to be found competent against these unit standards in
the qualification

Reaching assessment results

The following guidelines regarding reaching an assessment result should be born in
mind:
• assessors should work to explicit grading or assessment instructions
• adequate and specific training must be provided for assessors to arrive at
comparable results, e.g. when large groups of assessors such as markers are
called for in a particular session (to mark examination scripts, assignments or
portfolios)
• appropriate documentation (marking memos, observation sheets, etc.) should
be provided
• indicators for the identification of irregularities should exist (false evidence,
work has not been done by the registered learner, etc.)
• a system for dealing with identified irregularities must be in place
• the capturing and recording (electronic or manual) of results must be checked
at least twice
• results must be processed timeously
• an appeals system for learners to query their results must be in place

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• learner results must be submitted to the ETQA for certification according to

the specified procedures
• feedback about the assessment must be given to all relevant parties,
including learners, facilitators, moderators, etc., as applicable.

The usual way of reporting the results of assessment in the context of industry/work
has been: Competent/Not yet Competent. This makes sense because so many of
the requirements are absolute. No-one wants a surgeon who understands and
applies 60% of the requirements for operating on a patient. Minimum requirements
are spelt out and each one must be met. The significance of recording ‘Not yet
Competent’ rather than ‘Not Competent’ is to indicate that the need for lifelong
learning is recognised, and learners may have opportunities to work at improving
performance until they are ready to be reassessed and hopefully found competent at
a later stage.
The assessment result is quite correctly either competent or not yet competent, and
might be reported something like this:

Evidence meets
Did the learner demonstrate VARCS
Reference Assessor comments requirements
the following: C NYC
Yes/No
UNIT STANDARD SPECIFIC OUTCOMES AND ASSESSMENT CRITERIA
Unit Standard Range
The typical scope of this unit standard is
• The effect of HIV/AIDS on the individual, the workplace and society.
• The effect of the HIV/AIDS pandemic on the economy, a sub-sector, and organisation and a specific workplace.
Specific Outcome 1
Know and understand HIV/AIDS and its effects on the human immune system
1. Learner Workbook Assessor writes relevant comments ✓ Y
Class Activity 1 here
The terms HIV and AIDS are Learner PoE Guide
known and explained at a basic Practical Activity 1
level of understanding Witness Testimony
2. Learner Workbook Assessor writes relevant comments ✓ Y
Class Activity 1 here
The way in which the immune Learner PoE Guide
system works is explained with Practical Activity 1
reference to the role of Witness Testimony
antibodies in the immune system

Moderation
The assessor should submit the following documents to the moderator:
• all the marked scripts of a particular programme
• a copy of the original questions
• his/her report on the outcome, if available
• a list of all the outcomes (e.g. specific outcomes, learning outcomes, critical
cross-field outcomes) covered by the examination (e.g. in the form of a
curriculum or unit standard)
• a detailed memorandum (model answer) that indicates the solution/correct
answer to each question, an indication of the marks allocated to each
question and a clear explanation of the way the scripts were marked and
scored.

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Processing of assessment results

The following rules can apply to the processing of assessment results:
• both formative and summative assessment normally takes place on
programmes s
• for formative assessment learners are primarily assessed in terms of “class
attendance”, participation in interactive communication during classes or
lectures and objective-type questionnaires
• summative (final) assessments are done under the supervision of a facilitator,
assessor or contracted invigilator; both theoretical and practical assessment
instruments can be used for summative assessment
• final assessments are done at the school, college or workplace of the learner;
theoretical examinations can be done “open book”, unless there is a specific
reason why the learners need to memorise theoretical information; practical
examinations mostly consist of the compilation and submission of a portfolio
of evidence, showing whether the learner has attained competence in the
learning outcomes of the programme or not.
• In some instances, it might be necessary for learners to deliver oral
presentations. This can be done at a central venue arranged by the learning
provider, at the firm where the learner is employed, or at the learner’s home
under the supervision of an invigilator.

Reporting procedures
Learning and/or assessment providers should have specific rules on how, when and
by whom assessment results may be communicated and who may receive such
information. The following are some options of how one can communicate
assessment results:
• learners can normally obtain official results from the learning or assessment
provider’s administration office
• a specific person should be appointed and authorised to inform learners of
official results
• results can also be communicated to learners via the Internet, provided that
each learner has exclusive access to his or her results, e.g. by means of a
personal identification number
• a cut-off period should be specified when results will be available, e.g. not
later than one week after the assessment
• special certificate and diploma awarding ceremonies may be arranged for the
awarding of full qualifications and verifier-endorsed Unit Standard-based
programmes.

Rules and procedures for marking

Education, Training and Development (ETD) Providers will not be able to issue
accredited certificates if they are not accredited by an authorised quality assurance
body, and if examinations and tests are not conducted in terms of the quality
assurance body’s requirements.

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The assessment design report or the provider’s assessment policy should specify the
mark weights of assessment instruments, subjects or Unit Standard-based
programmes.
In outcomes-based assessment, numerical marks need not be given – learners can
be found competent if they meet the requirements of all assessment criteria.

The use of rubrics

A rubric is a scoring tool for subjective assessments. It is a set of criteria and
standards linked to learning objectives and is used to assess a learner's performance
on papers, projects, essays, and other assignments. Rubrics allow for standardised
evaluation according to specified criteria, making reaching an assessment judgement
simpler and more transparent.
Rubrics are generally thought to promote more consistent assessment results and to
develop self-evaluation skills in learners as they monitor their performance relative to
the rubric.
Rubrics and grades are often used in the education sector, and they are perfectly
acceptable in an OBET system.
In fact, in some contexts the level of achievement can best be described in relation to
rubrics. A rubric is used when it is important to distinguish different levels of
performance, but relate these to clear assessment criteria rather than by giving a
mark or a percentage. A percentage or mark is usually reached by using assessment
criteria, but, unfortunately, different assessors can award different marks or
percentages to the same piece of work.
Rubrics are often written as a set of ascending or descending criteria, as in the
following example of a marking rubric for oral communication:
Components 3-Sophisticated 2-Competent 1-Not Yet Competent
Organisation Presentation is clear, Presentation is Organisation is
logical, and organised. generally clear and haphazard; listener
Listener can follow line well organised. A few can follow
of reasoning. minor points may be presentation only with
confusing. effort. Arguments are
not clear.
Style Level of presentation is Level of presentation Aspects of
appropriate for the is generally presentation are too
audience. Presentation appropriate. Pacing is elementary or too
is a planned sometimes too fast or sophisticated for
conversation, paced for too slow. Presenter audience. Presenter
audience seems slightly seems uncomfortable
understanding. It is not uncomfortable at and can be heard
a reading of a paper. times and audience only if listener is very
Speaker is comfortable occasionally has attentive. Much of the
in front of the group and trouble hearing information is read.
can be heard by all. him/her.

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Components 3-Sophisticated 2-Competent 1-Not Yet Competent

Use of Communication aids Communication aids Communication aids
Communication enhance presentation. contribute to the are poorly prepared
Aids The font on the visuals quality of the or used
is readable. presentation. inappropriately.
Information is Font size is mostly Font size is too small
represented and readable. to read.
organised to maximise Appropriate Too much information
audience information is is included.
comprehension. included. Details or some
Details are minimised Some material is not unimportant
so that main points supported by visual information is
stand out. aids. highlighted and may
confuse the audience.
Content
Depth of Content Speaker provides For the most part, Explanations of
accurate and complete explanations of concepts and/or
explanations of key concepts and theories theories are
concepts and theories, are accurate and inaccurate or
drawing on relevant complete. Some incomplete. Little
literature. Applications helpful applications attempt is made to tie
of theory illuminate are included. theory to practice.
issues. Listeners gain Listeners gain little
insights. from the presentation.
Accuracy of
No significant errors
Content Information (names, Enough errors are
are made. Listeners
facts, etc.) included in made to distract a
recognise any errors
the presentation is knowledgeable
to be the result of
consistently accurate. listener. Some
nervousness or
information is
oversight.
accurate, but the
listener must
determine what
information is reliable.
Use of Language
Grammar and Sentences are complete Sentences are Listeners can follow
Word Choice and grammatical. They complete and presentation, but they
flow together easily. grammatical for the are distracted by
Words are well chosen; most part. They flow some grammatical
they express the together easily. With errors and use of
intended meaning some exceptions, slang. Some
precisely. words are well chosen sentences are halting,
and precise. incomplete, or
vocabulary is limited
or inappropriate.
Freedom from Both oral language and Oral language and Oral language and/or
Bias (e.g., body language are free body language are body language
sexism, racism, from bias. free from bias, with includes some
ageism, etc.) one or two minor identifiable bias.
exceptions. Some listeners will be
offended.

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Components 3-Sophisticated 2-Competent 1-Not Yet Competent

Responsiveness to Audience
Verbal Consistently clarifies, Generally responsive Responds to
Interaction restates, and responds to audience questions questions
to questions. and needs. Misses inadequately.
Summarises when some opportunities for
needed. interaction.
Body Language
Body language reflects Body language Body language
comfort interacting with reflects some reveals a reluctance
audience discomfort interacting to interact with
with audience. audience.
Source: Adapted from Huba, M.E., & Freed, J.E. (2000). Learner-centered assessment on college campuses: Shifting the focus from
teaching to learning (pp. 156-157). Allyn & Bacon: Needham Heights, MA

If a rubric is used for summative assessment, it is necessary to define what

description fitted the minimum requirement for the unit standard in question, and thus
determine the point at which competence is achieved. It is perfectly acceptable, and
often helpful in terms of feedback, to record learner achievements using rubrics or
other scales, grades or symbols linked to criteria, but naturally the point at which
competence is achieved must be defined. Therefore, if using the rubric in the
example above, it might be decided that a minimum score of 2 is required for
competence.
Unit Standards ideally spell out exactly what level of competence is required in the
particular context, so the distinction between ‘Competent’ and ‘Not Yet Competent’ is
clear.
SAQA does not prescribe the format or method of recording and reporting. It simply
expects assessors to assess against unit standards and assessment criteria in a
transparent way, and record in such a way that the evidence of achievement and the
reasoning behind the assessment judgement are available for scrutiny by the
moderator and verifier. It expects providers to have in place an assessment
management system that ensures moderation is properly conducted and that
verifiers have access to evidence of learner achievement and moderation reports.

3.6 Ensure that records of the assessment are in line with the quality
assurance system
You need to ensure that records of the assessment are in line with the requirements
of the organisation's quality assurance system.
Your assessment records need to meet requirements for:
• making assessment judgements
• giving meaningful feedback
• supporting internal and external moderation, and
• addressing possible appeals.
Recording and reporting in an effective way is the key to good assessment, and to the
smooth implementation of skills programmes, learnerships, and other qualifications. All
assessment evidence and results for individual learners must be recorded and stored
in a secure place, to ensure availability in case of appeals, reassessments and for
verification purposes.

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Data capture systems must be suitable for processing and recording results and for
submitting results to the ETDQA in the required format. These are in line with the
requirements of SAQA’s National Learner Records Database (NLRD), and make it
possible to upload learner achievements and other information to the central NLRD.

The ETDQA suggests that providers consider the following elements for a recording
and reporting system:
• An internal learner record per learner: every provider must keep learning
records for each individual, capturing registration information and personal
details. The provider will have submitted the ETQA Learner Registration Form
to the ETQA at the beginning of the programme or RPL process.
• A learner assessment record: every learner will have his/her own assessment
record, which records assessment results and achievements of unit standards
throughout the course/learning programme. The design of this form could vary:
its purpose is to record competency judgements against unit standards, and it
should include any reporting and observation tools and forms signed off by an
assessor. It does not include the direct evidence generated by a learner (e.g.
observation records, assignments, etc.) as these will go into a learner’s portfolio
of evidence (see below). When all necessary requirements have been met and
the learner has been assessed as competent, the ETQA Submission of
Learner Results will be submitted on the required form. This will trigger the
necessary verification processes. The ETQA will then upload the information to
SAQA so that the learners'’ achievements are recorded on the NLRD. This form
is provided in the ETQA file and is also now available electronically.
• A portfolio of evidence (PoE): this is the file in which all assessment evidence
(e.g. assignments, third party evidence, performance reports, tests and
observations) is gathered and kept. It would include copies of reporting and
observation tools that go in to a learner’s assessment record, and any other
products that have been used for assessment. The ETDQA may request
samples of PoEs, in conjunction with the relevant learners’ assessment records,
as part of its verification process.
• Moderators’ reports: moderation should occur at provider level, especially in
cases where training is happening at different sites. Moderator reports, noting
issues of process and the standard of assessment evidence and judgements,
should be an integral part of the recording and reporting process

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Assessment records
These checklists could be used to assure that the assessment records meet the
requirements for making judgements, giving meaningful feedback, supporting internal
and external moderation and addressing possible appeals.

Assessor checklist
Assessment principles Yes No Comment / Evidence
Fair
1. All learners understand the assessment procedures and
the criteria on which performance will be judged.
2. Barriers to learning or special needs are considered
during assessments.
3. Assessment adjustments for barriers to learning do not
provide the learner with an unfair advantage and/or
influence the reliability and validity of the assessment.
4. Procedures are established for appropriate
reassessment opportunities and appeals, if required.
5. Procedures are in place where learners provide
feedback on the assessment process and can challenge
the assessment if necessary, i.e. the appeals process.
6. Sample group on which the assessment is piloted is
representative of learners of all races, gender, social and
cultural backgrounds.
7. Assessment process is as transparent as possible.
Transparency is obtained through effective
communication with learners who are being assessed.
8. Avoiding the comparison of one learner’s work with
another learner’s work (norm-referencing).
9. An assessment guide based on the unit
standard/qualification assessed is well planned and used
when conducting an assessment.
Valid
10. Assessment activities accurately assess all the
outcomes and assessment criteria covered in the unit
standards or qualifications in terms of knowledge, skills,
attitudes and values.
11. The number of assessment items/opportunities per
competency reflects the relative importance of that
competency to the unit standard.
12. Assessors must be able to relate the assessment
activities to a specific unit standard.
13. The level of the assessment correlates with the level of
the learning (Bloom’s Taxonomy).
14. Assessors should be subject matter experts who are
competent at using appropriate assessment activities.
15. The appropriate sources of evidence are allocated.
16. The appropriate method is selected to conduct the
assessment.

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Assessment principles Yes No Comment / Evidence

Reliable
17. Instructions in the assessment guides is clear,
unambiguous, and consistent irrespective of who is
reading them.
18. Assessment is based directly on the outcomes and
assessment criteria of the unit standard.
19. Outcomes, assessment criteria, etc. remain constant
regardless who is being assessed or who the assessor
is.
20. Assessment includes as many assessment
instruments/tools as possible, as this leads to a higher
probability that the assessment results will be reliable.
21. Assessment guides are revised regularly.
22. Assessors should meet and talk to one another.
23. Assessors should have extensive knowledge/expertise of
the field in which they are assessing.
24. Assessment tools include as many checklists as possible
to limit the level of subjective judgements required by the
assessors.
25. Assessment process ensures that sufficient evidence is
gathered.
Consistent
26. That consistency in assessment is practiced.
27. Assessors are familiar with the assessment guides.
28. Similar assessment activities are administered in the
same way, if possible.
29. That the assessor checks for consistency in the learner’s
performance.
Practicable and cost effective
30. Assessments are cost effective in terms of finance and
time.
31. Assessment method has minimal impact on resources
and employee / learner productivity.
32. Naturally occurring evidence is used as far as possible.
Open
33. Learners are made aware of the assessment process,
methods to be used and evidence required before the
assessment process commences.
34. Learners contribute to the planning and the accumulation
of evidence.
35. An open feedback process ensures that the learners are
kept informed of assessment outcomes.
Systematically recorded
36. Assessment planning and record keeping is sufficiently
rigorous.

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Assessment principles Yes No Comment / Evidence

Integrative
37. An appropriate combination of assessment methods and
instruments are used (applied competence, i.e. practical
+ foundational + reflective competence).
38. Assessment activities are tailored to the learning
programme or work that the learner is currently doing.
Appropriate
39. Appropriate methods and instruments are used.
40. Assessment methods used are suitable to the
performance being assessed and the learner’s
environment.
41. Assessment methods and instruments are suitable to
learners with special needs.
Reasonably adjustable
42. Instruments and methods used do not present artificial
barriers.
43. Learners are informed and consulted before any
adjustments are made.
Manageable
44. Assessment methods and instruments are easily
arranged.
45. Assessment methods and instruments do not interfere
unduly with learning or work.

Evidence collected Yes No Comment / Evidence

Direct
1. The assessment method used requires the learner to
perform the EXACT skill that is being assessed.
2. Assessment situation and tasks are as authentic as
possible.
3. Projects, realistic case studies, simulations,
observations, demonstrations and oral interviews are
used to gather evidence of competency.
4. Evidence is collected from activities that are similar to
the conditions of actual performance.
Sufficient
5. Evidence that is enough and of the right quality is
collected.
6. Evidence that is collected indicates that the learner is
competent.
7. A variety of assessment activities and various sources of
evidence are used.
8. Every competence is covered by an assessment task.
9. That the learners are assessed at various stages and
contexts as specified in the assessment guide.
10. An assessment scenario should cover the most
important situations in which the competence can be
used.

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Evidence collected Yes No Comment / Evidence

Authentic
11. Authenticity of evidence collected is checked thoroughly.
12. Evidence provided is attributable to the learner being
assessed.
13. That evidence that has not been directly assessed is
verified.
14. Learners to submit a witness testimony.
15. Learners are to sign an affidavit confirming that the work
is their own.
16. Obtain as many evidence samples through varied
assessment methods, as possible.
17. Conduct an oral interview during or after the submission
of a PoE.
Related to competency
18. The collected evidence relates to the learner’s current
competence.

The role of the assessor Yes No Comment / Evidence

Planning
1. The assessor discussed the purpose of assessment with
the learner and other stakeholders.
2. The assessor selected appropriate methods of
assessment taking into account the purpose,
environment and evidence to be collected.
3. The assessor selected appropriate assessment activities
and instruments to ensure the evidence gathered is
adequate to prove competence.
Guidance to learner
4. The assessor prepared the learner for the assessment.
5. The assessor discussed with the learner the learning
requirements, prior knowledge and experience.
Assessment process
6. The assessor ensured that the learner is at ease.
7. The assessor conducted the assessment according to
established principles of good assessment.
Decision making
8. The assessor makes assessment decisions about
learner’s competence against the evaluation of the
evidence collected using the assessment criteria.
Administration of moderation
9. Agreed timeframes are adhered to in reporting the
assessment results in accordance with the provider’s
and SETA’s requirements.
10. Records are kept and submitted to the relevant
Administrative Division or centralised site.
11. Confidentiality of information relating to learner is

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The role of the assessor Yes No Comment / Evidence

preserved.
Learner feedback
12. Feedback is given timeously, in an appropriate
environment, to the learner.
13. Feedback is given in an affirming, constructive and
interactive way.
Assessment evaluation
14. The assessor evaluated the assessment process
identifying strengths and weaknesses in the facilitators
and his/her own performance.
15. A process is in place to integrate lessons learned in
future assessments.

Learner appeal process Yes No Comment / Evidence

Valid
1. A process is in place that enables appeals to be lodged
and handled against an appeal policy and procedure.
Open
2. Policy and procedures are in place that ensure that the
learner understands the appeal process
3. An open feedback process ensures that the learner is
kept informed of the appeal outcome.
Fair
4. Clear information about the appeal process is provided
to the learner.
5. Appropriate re-appeal opportunities are provided to the
learner.

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INSTRUMENTS AND METHODS OF ASSESSMENT

What methods and instruments of assessment have been used? PER UNIT STANDARD
Note: The specific methods used for each instrument would be specific to the requirements of the
Unit Standard. The X’s indicated below are just examples
Instruments/Tools Methods
Observation Product Questioning,
evaluation written, oral
Alternative response questions X X X
Assertion / reason questions X
Assignments X X
Aural / oral tests X X
Case studies X X
Completion questions X X X

Examinations / tests
Extended response questions
Grid questions
Logbooks
Matching questions
Multiple choice questions X
Oral questions X X X
Personal interviews
Practical exercises / demonstrations X X
Portfolios X
Projects
Questionnaires X X
Restricted response questions
Role-plays X
Simulations
Short answer questions X X
Structured questions X X

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Written assessments
What types of evidence have been collected (used)? PER UNIT STANDARD
Note: The specific methods used for each instrument would be specific to the requirements of the
Unit Standard. The X’s indicated below are just examples
Examples Types of Evidence:
Direct Indirect Historical
Certificates and qualifications
Completed work (product) X
Direct observation of tasks, activities, etc. X X
Documentary evidence completed by learner
Medals, prizes and trophies
Product and output evaluation
Projects and portfolios X X
Questioning, i.e. oral, written X X
Reviews and commendations
Team outputs
Testimonials X X
Training records
Video / photo / audio-taped performance
Work completed at an earlier stage

Please ensure that the Assessment Guide is available and reflects at least the
CHECK
following documented evidence:
Learner information
Unit Standard ID no, programme name, etc.
Learner request / acknowledgement of assessment
Relevant role player’s acknowledgement of assessment
Learner Declaration of Authenticity
Pre-assessment briefing and signed agreements (inclusive of Appeals Process)
Assessment (Foundational, Reflective, Practical competence)
Assessment plan (according to ETQA Guidelines)
Assessment instruments and tools
Formative assessments record of results
Post-assessment feedback (competent or non-competence guidance)
Declaration of competence
Provision for proper recording of evidence gathered
Provision for learner’s feedback
Provision for moderation comments and signature
Availability of learner’s Journal / Logbook
Availability of workplace training programme including mentor signatures if
Learnership
Review / changes made to assessment plan/s

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Class Activity 3: Conduct assessments

Please follow the instructions from the facilitator to complete the
formative activity in your Learner Workbook

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Module 4
Provide feedback on assessments

After completing this module, the candidate-assessor will be able to provide feedback
on assessments, by successfully completing the following:

• Give feedback to relevant parties in accordance with confidentiality requirements,

in an appropriate sequence and within agreed timeframes
• Ensure that feedback is clear and confined to strengths and weaknesses in
performance and/or requirements for further evidence in relation to the outcome/s
at hand
• Ensure that the type and manner of feedback is constructive, culturally sensitive
and related to the relevant party's needs. Provide sufficient information to enable
the purpose of the assessment to be met, and to enable parties to make further
decisions
• Obtain feedback on the assessment process from the learner and provide
opportunities for clarification and explanations concerning the entire assessment
• Deal with disputes and/or appeals that arise according to the assessment policy
• Record agreements reached and key elements of the feedback in line with the
requirements of the organisation's quality assurance system

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Provide feedback on assessments

Learners must receive specific feedback on both their work and their self-assessment
of that work, if applicable. By reporting results, assessors could provide learners with
more than mere feedback on their progress. They could also be offering helpful
suggestions on how learners could improve their performance and how they should,
in future, tackle assessment tasks. As such, reporting becomes an integral part of
facilitating, i.e. it serves a formative purpose.
The assessor needs to portray professionalism, accuracy and not be biased when
giving assessment feedback to learners.

Plan and Conduct Provide

prepare for feedback on
assessments assessments assessments

The organisational code of conduct comes into play here as this process includes
factors such as:
• confidentiality
• privacy.
The feedback can only be given to the learner and other parties as outlined in the
organisational policy.

4.1 Give feedback to relevant parties

You need to give feedback to relevant parties:
• in accordance with confidentiality requirements
• in an appropriate sequence, and
• within agreed timeframes.
The relevant parties could be all or some of the following:
• learners
• teachers, lecturers, facilitators, educators, supervisors, mentors or
coaches
• assessors
• moderators.

Feedback to learners can take place verbally or in writing, however learners must
always sign off a document confirming that feedback was provided.
Facilitators, or peers, could provide feedback to a particular learner’s contribution to
classroom activities, or a piece of work submitted after experiential learning.

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Recording learner performances electronically, for example, is particularly helpful for

discussion purposes and for self-assessment.
Spoken feedback should be constructive, informal and instantaneous, giving credit
for effort, encouraging perseverance and offering suggestions for overcoming
difficulties.
Written comments should be clear, specific, supportive and reader-friendly.

4.2 Give clear and specific feedback

You need to ensure that the feedback that you give to the learner is:
• clear
• confined to strengths and weaknesses in performance
• specific to the requirements for further evidence
• in relation to the outcome/s at hand.

Performance: the demonstration of skills, knowledge, understanding and

attitudes, and the ability to transfer these to new situations
Definition

The assessor has to decide when to say that the learner has given enough evidence
of appropriate quality to confirm that s/he is capable of performing the outcome/s
consistently and to the required standard.
Sufficient evidence can include evidence generated over time, to enable valid,
consistent and fair assessment judgements to be made.
This judgement is made against the outcomes and assessment criteria in the unit
standards and evidence guides, taking the range (scope, context, underpinning
knowledge and any other relevant information) into account.
Supplementary evidence may be used when necessary, for example results of
formative assessment, class participation, etc.

The assessor decides on the competence of the learner once sufficient evidence has
been collected. The ability to make assessment judgments must be demonstrated
using diverse sources of evidence and in situations where:
• special needs of learners are considered
• learners meet all criteria
• learners clearly do not meet the criteria
• learners meet some, but not all criteria, and more evidence is required in
order to make a judgment.

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Delivering effective feedback involves firstly asking the learners to critique

themselves. After they have provided feedback on what they feel went well and what
they would do differently next time, then the assessor may provide additional
feedback. It is useful to use questioning techniques to do this. For example:
• "If you were in that situation, how would you feel…?"
• "Effective body language was one of the aspects we talked about earlier. How
did you display effective body language during the task just demonstrated?"

Overall, as the assessor providing feedback:

• be positive
• be precise about gaps in the learner’s performance
• identify whether specific parts of the assessment need to be repeated
• provide another assessment date.

Example:

"The first 3 steps were exactly according to the performance criteria, as were the
5th and 6th steps. It is only the 4th step that you need to practise.

You have demonstrated you understand the theory; it is only where you are
required to actually perform the task that you need to demonstrate to me again.
Some more practise will do the trick.

Why don't we meet again here, next Tuesday (I'll arrange it) and you can have
another go. I think that's probably all it will take. Try to fit in some more practice
between now and then".

In the event that the learner has not achieved competency the assessor should
reinforce the need for:

• consistent and valid preparation for assessment, and

• familiarity with the performance criteria.

The quality and type of evidence can be assessed in terms of the assessment
outcomes, against all the assessment criteria in the relevant unit standard or
qualifications. Assessment judgments are always justified by the quality and
sufficiency of the evidence. Judgments should be substantiated in terms of the
consistency and repeatability of the learner’s performance and evidence from various
sources and time periods.

The learner has to be informed what was correctly done and achieved, and if
necessary, what was not correctly done and achieved.
The learner should be told that s/he has been deemed competent or not yet
competent.

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In formative assessment the learner should be told what his/her strengths and
weaknesses are, why s/he has the strengths and weaknesses, and what s/he needs
to do to deal with the weaknesses.
In summative assessment the learner has to be informed that s/he is competent or
not and why. If judged not yet competent, then s/he should be told what steps could
be taken to get him/her to competency.

Not all learners going through the same learning programme will reach competency
at the same time and the assessors should keep this in mind. Furthermore, some
learners may never be able to achieve competence based on a number of factors
and the reasons for this have to be explained to them and advice given of other
avenues which may be available; e.g., changing to other learning programmes.

When making the decision:

• compare the evidence with the requirements of the assessment criteria
• make a decision on each point
• make an overall decision
• be prepared to explain and justify every decision made.

Beware of:
• identifying with the learner
• being influenced by the learner’s past performance
• making assumptions, or being discriminating
• being overly influenced by one particular thing the learner does, especially if it
happens early on in the process.

Feedback should be given to relevant parties in accordance with confidentiality

requirements, in an appropriate sequence and within agreed timeframes.

Confidentiality requirements
It is in the interest of the provider to treat the assessment results of every
learner as confidential. Only those who are entitled to be informed should be
informed. Of course, the person who is most entitled to the results is the
particular learner. The facilitator, assessor, moderator and administrative person
responsible for processing and filing assessment results will inevitably also know
what the results are. They are also the people who must secure the information
from those who are not entitled to it.
A second element of confidentiality is that assessment results should not be made
available before moderation was done, since the moderator might change the
assessor’s recommendations. This is not always possible, since learners are
always impatient to know the results. It is important to inform the learners that
the results are still subject to moderation if this is the case.

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Feedback should focus on the quality and sufficiency of the learner’s performance in
relation to the agreed outcomes and criteria. The type of feedback and manner of
giving feedback should be constructive and related to the relevant party’s needs.
Sufficient information must be provided to enable the purpose of the assessment to
be met, and to enable parties to make further decisions. (Further decisions include
awarding of credits and redirecting learners to alternative learning or reassessment.)
Feedback processes and models should be described in terms of the potential
impact on learners and further learning and assessment.

Feedback about the assessment should be given:

• as soon as possible
• in an appropriate place
• in a constructive and affirming way (see Module 1)
• in a manner based on facts and the evidence collected in the assessment.

The learner needs:

• time to discuss the assessment
• to be able to ask questions
• to ask the moderator for feedback in their methods and approach and their
use of different types of evidence
• to ask for advice on further steps to take in terms of training and assessment
• where appropriate, to ask for advice on the appeal procedure
• to provide their own comments on the process.

Do’s on giving feedback:

• try to give feedback as soon as possible after the evidence-collection process
• always say something positive first
• be specific in one’s praise: there must be something the learner did right;
name it clearly; don’t be vague or make generalisations
• be sensitive and tactful
• be reassuring and constructive
• be helpful and encouraging
• give reasons
• describe rather than judge
• be professional and focus on the competency not the personality
• end on a positive note.

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Don’ts on giving feedback:

• don’t be vague
• don’t make generalised comments like “Your problem solving skills are not
acceptable”
• don’t be judgmental or evaluative: don’t say “The way you did that was good”
but rather “The way you did that matched the requirements of the assessment
criteria exactly”
• don’t blame, or behave as if problems are the learner’s fault
• don’t end off without making suggestions about how the problems can be
addressed.

The assessor must be objective and fair. Agreements reached and key elements of
the feedback must be recorded in line with the organisational quality assurance
system.

4.3 Use the correct type and manner to give feedback

You need to unsure that the type and manner of feedback is:
• constructive
• culturally sensitive, and
• related to the relevant party's needs.
There are primarily four “types” of results that feedback must be provided on and
each of them should be approached differently.
1. The easiest type is where the learner meets all the requirements to be found
competent. In this instance the learner will be given the results, receive
credits and a certificate, if applicable. No further action is necessary.
2. The second situation would be where the learner clearly does not meet any of
the criteria for a particular outcome. This must be communicated to the
learner in writing and the learner must be informed what he or she needs to
do to be found competent. It might be necessary to suggest to the learner that
he or she should rather follow a different learning pathway or switch to a lower
level programme. Remember, however, that in outcomes-based learning a
learner who is willing to work should be given an opportunity to do so.
3. The third situation is where the learner meets some of the criteria. In this
instance the learner may be allowed to resubmit questions or exercises on
the assessment criteria that he or she does not meet yet. If the learner clearly
needs further guidance, the assessor or facilitator will ask the learner to visit
him or her to discuss the problem and to provide the necessary guidance and
support.
4. The fourth situation is where more evidence is required in order to make a
judgement of competence. In this instance the learner may be allowed to
submit outstanding questions or exercises on the assessment criteria that he
or she had not provided evidence of competence against yet. If the learner
clearly needs further guidance, the assessor or facilitator will ask the learner
to visit him or her to discuss the problem and to provide the necessary
guidance and support.

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Provide sufficient information

You need to provide sufficient information:
• to enable the purpose of the assessment to be met, and
• to enable parties to make further decisions on the following:
o awarding of credits
o redirecting learners to further learning
o guiding learner to further application
o guiding learner to reassessment.

Qualities of feedback
Feedback is:
• a two-way process (there is communication between the learner and the
assessor)
• constructive and developmental
• given as soon as the assessor has evaluated evidence
• provided so that the assessor and the learner can identify weaknesses
• handled confidentially
• provided so that the assessor and the learner can use it to develop an action
plan for further development or a reassessment process.

Procedures for giving feedback

• Feedback is given in a manner based on facts that are related to the unit
standard.
• Feedback must be given in an appropriate sequence.
• Feedback must be given inan open and relaxed atmosphere.
• The assessor should be precise about gaps in the learner’s performance
when giving feedback.

If the learner is Not Yet Competent, then:

• the learner needs your support
• start with the good things you have identified
• do not blame the learner
• give detailed feedback that is constructive and affirming
• make judgments for each Specific Outcome.
• the learner should be told what steps s/he can take to close gaps
• close the session with motivating comments or suggestions.

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The summative assessment results should not be the end of the road for most
learners. It is the responsibility of the learning provider, facilitator and/or assessor to
motivate learners to continue learning. The following will typically happen after
assessment and the completion of a particular learning intervention, be it a unit
standard-based programme, a learnership, a learning programme or a national
qualification.
• Awarding of credits. Credits can only be awarded once the verifier or
verifiers endorse the decision of the moderator. Awarding of credits is done by
inputting the successful learner’s credits into the National Learner Record
Database (NLRD). The learning provider forwards the results to the ETQA,
where the person responsible will input the credits into the NLRD.
• Redirecting learners for further learning. In a strategy of lifelong learning,
successful learners should be urged to enrol for learning on a higher level or
the same level, perhaps in a different field. This also applies to unsuccessful
learners, since they will often perform better in a different field of learning or at
a lower level.

4.4 Obtain feedback on the assessment process from the learner

You need to obtain feedback on the assessment process from the learner.
Feedback is not a one-way process. The learner should also be given an opportunity
to give feedback on how he or she experienced the assessment.
A Review Checklist, like the one that follows, one can be completed by the learner.
The tick list covers the general feedback, while the questions where the learner has
to give his/her written opinion, give him/her an opportunity to expand and elaborate
on areas that might not have been satisfactory:

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Example: Learner’s Review of the Assessment Process

Programme

Unit Standard(s)

Assessor

Learner

Date

Venue
Review dimensions Agree Disagree
1. The principles/criteria for good assessment were achieved.

2. The assessment related to the registered unit standard.

3. The assessment was practical.

4. The assessment was time efficient and cost effective and did not
interfere with the normal responsibilities of the learner.

5. The assessment instruments were fair, clear and understandable.

6. The assessment judgements were made against the set requirements

of the unit standard.
7. Special needs of the learner (me) were identified and the assessment
plan was adjusted (if required).
8. Feedback to the learner (me) was constructive against the evidence
required, when I requested assistance.
9. The learner (me) was made aware of the opportunity to appeal against
the outcome of the assessment.

10. The evidence was recorded in the assessment process.

11. Did you find any parts of the Assessment Guide particularly helpful?

12. Did you find any parts of the Assessment Guide particularly awkward or difficult to understand?

Learner’s declaration of understanding

I am aware that the assessor will provide me with feedback about the assessment and of the
moderation process and understand that the moderator could declare the assessment decision
invalid.

Learner Date Assessor Date Moderator Date

Thank you for taking the time to complete this evaluation form.

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Provide opportunities for clarification and explanations

You need to provide the learner with opportunities for clarification and explanations
concerning the entire assessment.
You need to ensure that you do not breach/compromise the rights of the learner
when giving feedback. The rights of the learner when receiving feedback, include:
• having time to discuss the assessment
• having the freedom to be able to ask questions
• having the opportunity to ask the moderator for feedback in their methods and
approach and their use of different types of evidence
• being able task for advice on further steps to take in terms of training and
assessment
• where appropriate, being able to ask for advice on the appeal procedure
• being able to provide their own comments on the process.
In the discussion of tests or assignments, some learners may object to the scoring of
a given item or items. The first response by the assessor to any allegation about an
item is to ask the learners to explain their answers. One should listen to the
explanation. A response that begins, “You feel that …” which then essentially
paraphrases the learner’s explanation is a good way to put the explanation back to
learners. They hear their own position and have a chance to rethink it. One can now
wait for their next response.
The assessor may also wish to ask other learners, who got the answer correct, to
explain why they chose their answer. Then the assessor can return to the concept on
which the test items were developed and explain how the item was derived out of
that concept.
If the item analysis shows that an overwhelming portion of the class got the right
answer, the question was probably correctly formulated and in line with the
assessment criteria. But if item analysis shows evidence of ambiguity (good learners
missed the item, and/or less capable learners got it right) the assessor may wish to
eliminate the item from scoring, which should be done before handing the papers
back to the class. Having item analysis data on hand will also aid in discussing items
in the test.

4.5 Deal with disputes and/or appeals that arise

You need to deal with disputes and/or appeals that arise according to the
assessment policy.
If the learner is not satisfied with the results, then s/he must follow the Appeals and
Disputes Procedures as stipulated in the training provider’s policies.
An appeal against an assessment decision or the manner in which the assessment
was conducted may be lodged by any of the role players in the assessment process.
This is the sequence of events that lead up and include an appeal:
• Assessment is conducted.
• Feedback is given to the learner.
• An appeal is lodged within 3 working days.

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• An internal moderator is appointed to facilitate the appeal’s process, by

having a meeting with the learner and verifying the appeal issue. look at the
judgement being appealed.
• The moderator’s findings are submitted to the Education and Training
Committee of the training provider.
• The committee makes a final decision on the appeal.

The assessment process has to have built in a process for reassessment. When a
learner has to undergo reassessment they have to be given feedback so as to
concentrate on areas of weakness. Ideally continuously conducting formative
assessment should minimise the need for reassessment as the assessor and learner
will decide on carrying out summative assessment when both have agreed that the
learner is ready for it. Reassessment should comply with the following conditions
(SAQA Guidelines, 1999: 29.):
• the reassessment should take place in the same situation or context and
under the same conditions
• the same method and instrument may be used, but, the task and materials
should be different – the task and materials should, however, be of the same
complexity and level as the previous ones – in case the methods and
instruments are changed it must be ensured that they are appropriate for the
outcomes specified.
Care should be taken regarding how often reassessment can be taken and the length
of time between the original assessment and the reassessment. Limits should be set
to the number of times a learner can undergo reassessment and for the length of
time between assessments. A learner who is repeatedly unsuccessful should be
given guidance on other possible and more suitable learning avenues.
There should be appeal procedures in place. The learners should have the security
of knowing that in the case of unfairness, invalidity, unreliability, impracticability,
inadequacy of expertise and experience, and unethical practices they are able to
appeal (SAQA Guidelines, 1999: 29.).
• Appeals are normally lodged in writing and the merits of all appeals must be
investigated.
• A learning or assessment provider must have a clear and fair appeal
procedure and this must be brought to the attention of all learners.
• An appeal against an assessment decision or the manner in which the
assessment was conducted may be lodged by any of the role players in the
assessment process.

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Example of an Appeal Form:

Appeal Form
CONDITION/S UNDER WHICH I AM SELECTING TO MAKE THIS APPEAL (select one)
▪ I do not agree with my assessment decision – I feel I have provided sufficient evidence.
▪ I was not briefed properly of the nature and requirements of assessment.
▪ I was unfairly discriminated against.
▪ My special needs for this assessment were not accommodated.

I hereby appeal against the assessment decision:

(name and surname)
Training provider
Skills programme
Unit Standard(s)
Assessor Assessment Date

Reason for appeal

Learner signature Date of Appeal

Stage 1: Assessor response
Decision amended Decision upheld
Assessor’s rationale for
decision

Assessor signature Date of response

The above decision has been explained to me and I accept the decision YES NO
Learner signature Date
Stage 2: Moderator response
Decision amended Decision upheld
Moderator’s rationale
for decision
Moderator name Date of response
Moderator signature
The above decision has been explained to me and I accept the decision YES NO
Learner signature Date
Stage 3: Management response
Decision amended Decision upheld
Rationale for decision

Panel Date of response

Name Signature
Name Signature
Name Signature
The above decision has been explained to me and I accept the decision YES NO
Learner signature Date
Stage 4: ETQA The appeal has been referred for investigation YES NO

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4.6 Record agreements reached

You need to record agreements reached and key elements of the feedback in line
with the requirements of the training provider’s / institution’s quality assurance
system.
Once feedback has been provided and mutual agreement is reached, the assessor
needs to ensure that the learner has signed off all feedback documentation and this
must be recorded, archived and made available with the learner’s PoE. All relevant
evidence must be submitted.
ETQA Verifiers will inspect and verify this and it is therefore essential as part of the
Quality Assurance System that the internal moderator has also approved, signed off
and made appropriate recommendations/remarks to the agreement feedback
provided and mutual agreement reached; e.g.:

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Example of the aAssessor’s and moderator’s review of the assessment

Programme

Unit Standard(s)

Assessor name

Moderator name

Date

Venue

Review dimensions Assessor Moderator

Agree Agree
1. The principles / criteria for good assessment were achieved. Disagree Disagree
Agree Agree
2. The assessment related to the registered unit standard. Disagree Disagree
Agree Agree
3. The assessment was practical. Disagree Disagree
4. The assessment was time efficient and cost effective and did not interfere Agree Agree
with the normal responsibilities of the learner. Disagree Disagree
Agree Agree
5. The assessment instruments were fair, clear and understandable. Disagree Disagree
6. The assessment judgements were made against the set requirements of the Agree Agree
unit standard. Disagree Disagree

7. Special needs of the learner were identified and the assessment plan was Agree Agree
adjusted (if required). Disagree Disagree
Agree Agree
8. Feedback to the learner was constructive against the evidence required. Disagree Disagree
9. The learner was made aware of the opportunity to appeal against the Agree Agree
outcome of the assessment. Disagree Disagree
Agree Agree
10. The evidence was recorded in the assessment process. Disagree Disagree
11. Did you find any problems with the assessment instruments and assessment guide that you have used in
this assessment? Please provide recommendations.

12. Did you find any problems with regard to the performance of the learners from the same organisation in
this assessment?

Signed and Assessor Moderator

dated
Date Date
Number Number

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Class Activity 4: Provide feedback on assessments

Please follow the instructions from the facilitator to complete the
formative activity in your Learner Workbook

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Module 5
Review assessments

After completing this module, the candidate-assessor will be able to review

assessments, by successfully completing the following:

• Ensure that the review identifies strengths and weaknesses in the instruments
and process, and record these for incorporation in assessment redesign
• Analyse feedback from relevant parties and use it to influence future
assessments positively
• Identify weaknesses in the assessment design and process that could have
compromised the fairness of assessment and deal with it according to the
organisation's assessment policy
• Identify weaknesses in the assessment arising from poorly defined outcomes and
criteria, and take effective steps to inform relevant bodies

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Review assessments
A final but extremely important part of the assessment process is the review and
evaluation of the assessment policies, strategies, methods and activities.

Let’s quickly review the assessment process before we continue:

The assessment process

The following table shows the assessment process:
Process Brief Description
Getting to know the unit standard or Purpose
qualification Specific outcomes
Critical outcomes
Range statements
Assessment criteria
Other relevant information
Planning the assessment Discussion of assessment with other assessors
Discussion with the learner
Discussion with the facilitator
Deciding on the timing
Informing the learner Kinds of assessments
Standard and level of performance expected
Type and amount of evidence to be collected
Learner responsibility
Designing the assessment Determine the assessment methods
Determine the instruments
Development of appropriate assessment materials
Conducting the assessment and Appropriate environment
collecting evidence Non-threatening environment
Making judgments and providing Inform learner about what s/he did
feedback correctly/incorrectly and what s/he achieved.
Completing administrative Record the results of the assessment
requirements
Evaluating the assessment process Feedback
Review
Making appropriate changes
Reassessment Takes place in the same relative situation or context
Appealing against an assessment Appeal to either the practitioner or assessor
outcome Still unsatisfied, appeal to the training provider
Then SETA
Then SAQA
Then QCTO
Finally, to the Minister of Education (if in a school
environment and the Minister of Labour (if a
learnership is involved)
Reporting and storage Track process
Report process
Securely record assessment results
Evaluating the assessment process Feedback
Review
Make appropriate changes

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Any system needs to be regularly reviewed so it is dynamic and addresses changing

needs. You should regularly review your own performance and check that you
provide clear:
• instruction
• advice
• feedback.
The learners will look to you, the assessor, for direction on what they should be doing
and when they should do it. The quality of your instructions before the assessment,
the advice you give and the constructiveness of your feedback will impact on how
well the assessment process proceeds.

5.1 Review the assessment

Reviewing assessment is a process of quality assurance and should probably be
seen as a research process rather than assessment as such. The existing
assessment instruments are evaluated and, based on the results of the evaluation,
improved, changed or replaced.
You need to ensure that the review identifies strengths and weaknesses in the
instruments and process, and record these for incorporation in assessment redesign.

What do you look at when you review the assessment process and design?
• The good and bad practices in the assessment design and process.
• The recommendations for improvements.
• Feedback given by the parties who were involved in the process. For
example, the assessor should read the comments made by the learners and
other parties about the whole process when they do evaluation that could
assist him/her to identify the weaknesses and strengths.
• The credibility of assessment.
• The quality of the unit standard.

Review the assessment instruments

There is no such thing as a perfect assessment instrument. All assessment
instruments have flaws, simply because they were designed and developed by
human beings, and we all know how fallible human beings can be. Nevertheless, this
does not mean that we should accept less than the best quality instruments. It is in
the interest of our learners to ensure that they receive a fair and equal chance of
achieving success in assessment.
The quality of your assessment tools will have a major bearing on the accuracy of the
results. Outdated assessment tools are unlikely to produce an accurate indication of
the learner's competency.

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Remember to constantly check whether the assessment is:

• valid
• fair
• reliable
• flexible
• designed to reflect the competencies for which they are being used.

Review the assessment process

It is important to regularly review the assessment process to ensure that it is the
most:
• efficient
• appropriate method to use for this learner and situation
• relevant tool to collect the evidence you need to make a competency
decision.
Reviewing the assessment process can occur in a number of ways:
• talking with the learner can provide useful information
• self-assessment by the assessor is a second form of feedback
• assessments done by people other than the learner, such as a teacher,
lecturer, fellow assessor or supervisor.

Talking to the learners

Developing an understanding of the assessment process from the learner's
perspective can help you to redesign, modify or change the process to be more
effective.
Your discussions may range from an informal discussion with the learner through to a
multi-question written survey. Whichever method you decide to use, it is important to
focus on the assessment process itself, not how the person felt.
Areas to consider include:
• Was your explanation of the assessment clear enough?
• Were the assessment tasks clearly related to the training?
• Were your assessment methods appropriate?
• Was the assessment:
o fair?
o reliable?
o valid?
o flexible?

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Using self-assessment
It is important to be honest and objective in this step. Review the entire assessment
process and ask yourself:
• How do you feel it went?
• Were there problems with any part of the assessment process?
• Was the communication between assessor and learner positive?
• How was the feedback process handled?
• What could you do differently?
• Are there any other problems/concerns?
The assessment process should be reviewed every time the instruments are used.
The moderator would have evaluated the assessment instrument before it was used,
but even this does not mean that the instrument is perfect. Using the instruments is
probably the best test for any assessment instrument. The following is a list of items
that should be reviewed:
• Was the assessment instrument designed in accordance with the quality
assurance policy?
• Are instructions to the learners clear and unambiguous?
• Was the assessment instrument sufficient to protect the integrity of standards
and qualifications?
• Is each assessment task clearly described and outlined?
• Is the purpose of each task clear and clearly linked to the purpose of the
learning programme?
• Are the tasks relevant to the learner’s context?
• Are the assessment methods and tasks fit for purpose?
• Is the evidence collection integrated into the place of learning or work where
appropriate?
• Was the choice and design of assessment methods and instruments
appropriate to the unit standards and qualifications being assessed?
• Is the assessment instrument consistent, accurate and well designed?
• Does the assessment instrument make provision for reassessment?
• Will it be necessary to redesign the assessment instrument?
• Has the memorandum been prepared according to the quality assurance
policy?
• If annotated drawings are required, do complete drawings with annotations
appear in the memorandum?
• Is the design of the assessment instrument linked to an assessment strategy?
(Environmental analysis helps find the best assessment opportunities and
approach.)
• Is the grading design (assessment criteria, weighting, format for judgements,
etc.) compatible with the assessment instrument?
• Is the assessment instrument feasible within any reasonable site costs and
time requirements?
• Are marks for sections and subsections shown clearly?

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• Did the assessment instrument make provision for special needs without
compromising the validity of the assessment?
• Does the assessment instrument endeavour to determine the attitude of the
learner towards his/her vocation as well as his/her sense of responsibility
towards the vocation?
• Was the assessment instrument career- and practice-oriented?
• Are critical cross-field outcomes also assessed?
• Does the recording format clearly state criteria and evidence requirements?
• Does the recording format allow for third party testimony/witness statement?
(This is especially relevant to RPL.)
• Does the recording format allow for levels of performance to be recorded?
• Does the recording format enable accurate recording of administrative
information?

5.2 Analyse feedback and use it to influence future assessments

You need to analyse feedback from relevant parties and use it to influence future
assessments positively. The parties involved in the review would include the learner
and the assessment team:
• The learner
The learner is given the evaluation form where s/he is given an opportunity to
evaluate the assessor.
This assists the assessor to gather feedback from the learner with the aim of
improving her/his assessment skill in the future.

• The assessment team

These can include the facilitator (training personnel), the moderator and the
verifier.
The assessor needs to have a meeting with this team to discuss both the
strengths and the weaknesses of the assessment.
This is also the time when the assessor shares any challenges s/he had during
the assessment process and how s/he handled those challenges.
The team is also expected to give formal input which is recorded and utilised in
conducting future assessment.

Type of evidence required at this time:

• The evaluation form from the assessed learner.
• The final report from the assessor indicating the challenges and weaknesses
of the assessment.
• The agenda for the assessment team meeting
• The minutes of the assessment team meeting signed by all members who
attended the meeting.

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5.3 Identify weaknesses in the assessment design and process

You need to identify weaknesses in the assessment design and process that could
have compromised the fairness of assessment and deal with it according to the
training provider’s / institution’s assessment policy.
Assessment instruments and procedures should be reviewed on a regular basis, in
the light of ETQA feedback, SAQA feedback regarding development of new
standards, and learner feedback. Reviewing assessment and moderation systems
should be coordinated by a person specifically tasked with the responsibility. This is
done prior to and also after tests or examinations have been taken to identify good
and bad practices in assessment design and processes, and to incorporate it in the
assessment redesign. Changes to assessment can take place at different levels i.e.
at the level of the individual facilitator, programme team6 or the training provider.
Weaknesses in the assessment design and processes that could have compromised
the fairness, consistency and reliability of the assessment should be identified and
changed. Weaknesses arising from poor quality unit standards or qualifications may
also be identified and brought to the attention of the relevant bodies (such as the
Standards Generating Body (SGB).
You also need to evaluate your own role during the process of conducting the
assessment. The common questions for an assessor to ask revolve around the
principles of good assessment:
• was the process fair, valid, reliable and practical?
• was the assessment method fair, valid, reliable and practical?
• did the learner understand the feedback and was s/he given an opportunity to
ask questions about the results?
Steps to take when the assessment design and process have compromised the
fairness of assessment:
1. Define the problem.
2. Develop goals based on problem identification.
3. Describe how your problem and goal are aligned with organisational mission
and goals.
4. Identify stakeholders, e.g. assessors, moderators, designers, etc.
5. Identify/develop the theoretical/conceptual framework for the foundation for
reaching the goal.
6. Identify/develop the measurable summative outcomes that would exist if the
goal is reached.
7. Identify and develop outputs.
8. Identify and measure inputs.
9. Develop strategies anchored in a theoretical/conceptual framework to reach a
goal.
10. Develop action steps anchored in the theoretical/conceptual framework to
implement the strategies.
11. Develop, measure and evaluate formative assessment for strategies and
outcomes.
12. Measure outputs.
13. Measure summative outcomes.

6 Programme team: staff that deal with assessment, portfolios, coaching, etc. at the Training Provider

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14. Evaluate outcome data.

15. Report/present summative and formative evaluation.
16. Review/reallocate/advocate for more resources to ensure that the formative
and summative assessments are implemented.

5.4 Identify weaknesses in the assessment arising from poorly defined

outcomes and criteria
You need to identify weaknesses in the assessment arising from poorly defined
outcomes and criteria, and take effective steps to inform relevant bodies.
Weaknesses in the assessment design and processes that could have compromised
the fairness of the assessment should be identified and changed in accordance with
the institution’s assessment policy. Weaknesses in the assessment arising from poor
quality Unit Standards or qualifications should also be identified and relevant bodies
be informed if changes call for their participation.
All identified weakness in the Unit Standards, outcomes and assessment practices
must be highlighted for the external moderator during verification visits. This is
normally drafted and compiled with the moderator’s report. Verifiers will specifically
look for this and unless assessors have not focused the internal moderator’s
attention on this and made sure that the internal moderator reports on it, it may
happen that the internal moderator might leave out these critical feedback elements
to the ETQA.
Changes to assessment can take place at different levels – the individual assessor,
programme team, department and learning institution. At any of these levels, it is
possible to make a change. For example, an individual assessor may wish to
introduce a new assessment method and may be able to do this without affecting
other people. At the other end of the scale, the learning institution or training provider
may formulate a mission that requires changes in the design and implementation of
assessment – for example, producing more independent learners or achieving better
results. Some changes require a concerted effort at more than one level. For
example, to achieve a consistent approach to assessment in financial management
would require agreement by individual facilitators, programme teams and the
department. Learners may also be involved in the review process.

Class Activity 5: Review assessments

Please follow the instructions from the facilitator to complete the
formative activity in your Learner Workbook

Reflection
Individually, complete the formative activity in your Learner Workbook.

Facilitator Observation Checklist

The facilitator will provide you with feedback about your participation
during the class activities in your Learner Workbook.

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 Module 5

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 Summative Assessment Guidelines

Summative Assessment
You are required to complete a number of summative assessment activities in your
Learner Portfolio of Evidence Guide. The Learner Portfolio of Evidence Guide will
guide you as to what you are required to do:
• Complete all the required administration documents and submit all the
required documentation, such as a certified copy of your ID, a copy of your
CV and relevant certificates of achievement:
• Learner/candidate-assessor personal information form
• Pre-assessment preparation sheet
• Assessment plan document
• Declaration of authenticity form
• Appeal procedure declaration form
• Place your complete Learner Workbook (with the completed Class Activities)
in the specified place in the Learner Portfolio of Evidence Guide.
• Complete the summative assessment activities in your workplace:

Knowledge Questions
Individually, complete this summative activity in your Learner Portfolio of
Evidence Guide

Practical Activities
Individually, complete this summative activity in your Learner Portfolio of
Evidence Guide

Witness Testimony
Individually, complete this summative activity in your Learner Portfolio of
Evidence Guide

Logbook
Individually, complete this summative activity in your Learner Portfolio of
Evidence Guide

Once you have completed all the summative activities in your Learner Portfolio of
Evidence Guide, complete the Assessment Activities Checklist to ensure that you
have submitted all the required evidence for your portfolio, before submitting your
portfolio for assessment.

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 Glossary

Glossary
Accreditation The certification, usually for a particular period of time, of a person, a body or
an institution as having the capacity to fulfil a particular function within the
quality assurance system set up by SAQA
Achievement Recognition granted to a learner when all required learning outcomes have
been successfully demonstrated
Applied competence The ability to put into practice in the relevant context the learning outcomes
acquired in obtaining a qualification
Assessment A process in which evidence is gathered and evaluated against agreed
criteria in order to make a judgement of competence for developmental
and/or recognition purposes.
The process 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
Formative Assessment
Refers to assessment that takes place during the process of learning and
teaching.
Summative Assessment
Is assessment for making a judgement about achievement. This is carried out
when a learner is ready to be assessed at the end of a programme of
learning
Assessment what a learner / candidate does or is involved in as a means of producing
activities evidence e.g. designing things, making things, repairing things, reporting on
something, answering questions, solving problems, demonstrating techniques
Assessment criteria descriptions of the required type and quality of evidence against which
learners / candidates are to be assessed
Assessment design The analysis of defined outcomes and criteria to produce a detailed
description of how an assessment should take place, including all instructions
and information regarding the assessment activities and assessment
methods. The product of assessment design could be termed an Assessment
Guide
Assessment (or evidence facilitator) - a person who works within particular contexts, under
facilitator the supervision of registered assessors, to help candidates/learners gather,
produce and organise evidence for assessment
Assessment guide This is a complete package based on a thorough analysis of specified
outcomes and criteria, assessment requirements and a particular assessment
context. Assessment Guides are designed primarily for use by assessors to
conduct an assessment (or possibly a series of related assessments) in terms
of a significant and coherent outcome of learning e.g. a unit standard.
Assessment Guides address the following key aspects in detail:
• How will the assessment take place?
• What is needed to make the assessment happen?
• How will evidence be gathered, recorded and judged?
In general, Assessment Guides include descriptions of the approach to the
assessment, assessment conditions, assessment activities, instructions to
assessors and candidates/learners, assessment methods, assessment
instruments (e.g. scenarios, role-plays, questions, tasks), resource
requirements, guidance for contextualising assessments, relevant standard
operating procedures, administrative procedures, moderation requirements,
assessment outcomes and criteria, observations sheets, checklists, possible
or required sources of evidence and guidance on expected quality of
evidence including exemplars, memoranda or rubrics
Assessment those items that an assessor uses or a learner / candidate uses as part of the
instruments assessment e.g. scenarios with questions, case studies, description of tasks
to be performed, descriptions of role play situations
Assessment method For the most part, assessment methods relate to what an assessor does to
gather and evaluate evidence. Assessment methods include observing
learners, questioning learners, interviewing supervisors / colleagues /

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managers of learners, listening to learners, reviewing written material, testing

products
Assessment plan This is produced at provider level, and gives an overview of the timeframes
and responsibilities for assessment and moderation for the agreed delivery
period. The plan addresses practical implementation details, including, for
example, decisions about the clustering of certain outcomes or unit
standards/outcomes for integrated assessment, any planned RPL, and the
relation of assessment and moderation to delivery of modules/ programmes
in terms of timeframes
Assessment Methods of Assessment:
principles • Appropriate: The method of assessment is suited to the outcome
being assessed i.e. is capable of gathering evidence in relation to
the intended outcome, and not something else.
• Fair: The method of assessment does not present any barriers to
achievements, which are not related to the achievement of the
outcome at hand.
• Manageable: The methods used make for easily arranged, cost-
effective assessments that do not unduly interfere with learning.
• Integrated into work or learning: Evidence collection is integrated
into the work or learning process where this is appropriate and
feasible. (Often referred to as naturally occurring evidence).
Evidence:
• Valid: The evidence focuses on the requirements laid down in the
relevant standard and matches the evidence requirements of the
outcome/s at hand under conditions that mirror the conditions of
actual performance as closely as possible
• Current: The evidence is sufficient proof that the learner / candidate
is able to perform the assessment outcomes at the time the
assessor declares the learner / candidate competent.
• Authentic: The assessor is satisfied that the evidence is attributable
to the person being assessed.
• Sufficient: The evidence collected establishes that all criteria have
been met and that performance to the required standard can be
repeated consistently in the future i.e. the performance to standard
is not a "once-off".
Overall Assessment Process:
• Systematic: The overall process ensures assessment is fair,
effective, repeatable and manageable.
• Open: The process is transparent i.e. assessment learner /
candidate understand the assessment process and the criteria that
apply and can contribute to the planning and accumulation of
evidence.
• Reliable/Consistent: The same assessor would make the same
judgement again in similar circumstances and judgements match
judgements made on similar evidence.
Assessor A person who is registered by the relevant ETQA body to measure the
achievement of specified National Qualifications Framework standards or
qualifications
Audit The process undertaken to measure the quality of products or services that
have already been made or delivered
Candidate A person whose performance is being assessed by the assessor
Candidate/learner Person whose performance is being assessed by an assessor. Such people
include those who may already be competent, but who seek assessment for
formal recognition (candidates), as well as those who may have completed or
are in the process of completing learning programmes (learners)
Candidate-assessor the person who is being assessed against this particular unit standard in
order to become competent as an assessor
Conditional The registration of a private higher education institution as specified in the
registration Higher Education Act, (No. 101 of 1997)
Constituent Belonging to the defined or delegated constituency of an organisation or body

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referred to in the NSB and ETQA regulations

Core learning That compulsory learning required in situations contextually relevant to the
particular qualifications
Credit That value assigned by the Authority to ten (10) notional hours of learning
Critical Cross-Field Critical Cross-Field Outcomes refer to those generic outcomes that inform all
Outcomes teaching and learning. For example CCFOs may include working effectively
(CCFO) with others as a member of a team, and/or collecting, analysing, organising
and critically evaluating information
Education and Body accredited in terms of section 5 (1)(a)(ii) of the SAQA Act, responsible
Training Quality for monitoring and auditing achievements in terms of national standards or
Assurance Body qualifications, and to which specific functions relating to the monitoring and
(ETQA) auditing of national standards or qualifications have been assigned in terms
of section 5 (1)(b)(i) of the Act
Elective unit A selection of additional credits at the (level of the National Qualifications
standard Framework specified), from which a choice may be made to ensure that the
purpose of the qualification is achieved
Evaluative expertise The ability to judge the quality of a performance in relation to specified criteria
consistently, reliably and with insight. Evaluative expertise implies deep
subject matter understanding and knowledge about the outcomes being
assessed at a theoretical and practical level, but does not necessarily include
practical ability in the outcome
Evidence Tangible proof produced by or about individuals, that can be perceived with
the senses, bearing a direct relationship to defined outcomes and criteria,
based on which judgements are made concerning the competence of
individuals. Evidence includes plans, products, reports, answers to questions,
testimonials, certificates, descriptions of observed performances, peer review
reports
Evidence facilitator see assessment facilitator
Exit Level Outcomes The outcomes to be achieved by a qualifying learner at the point at which he
or she leaves the programme leading to a qualification and achievement of
which entitles the learner to a qualification
External customer An external person, body or structure that is a beneficiary of the services or
product of a particular organisation.
Facilitator of learning An individual who facilitates learning processes and activities and manages
and assessment or and administers assessment: educator, teacher, trainer, mentor etc.
Formative
Assessment
Field of learning A particular area of learning used as an organising mechanism for the NQF.
Fundamental That learning which forms the grounding or basis needed to undertake the
learning education, training or further learning required in the obtaining of a
qualification and ‘fundamental’ has a corresponding meaning
Grade 12 The highest grade in which education is provided by a school as defined in
the South African Schools Act, 1996
Higher Education All learning programmes leading to qualifications higher than grade 12 or its
and training equivalent in terms of the NQF, including tertiary education
Integrated That form of assessment which permits the learner to demonstrate applied
assessment competence and which uses a range of formative and summative
assessment methods
Internal Customer An internal person, body or structure that is a beneficiary of the service
and/or products of a particular organisation
Learner Any person receiving education and training (in terms of the ABET Act of
2000)
Learnership Refers to a learning programme where the learner spends some time
learning theory and some time learning practical skills in a workplace. It leads
to a qualification registered on the NQF
Learning A structured set of learning offerings and related assessment and attainment
Programme requirements
Level Descriptor That statement describing a particular level of the eight levels of the National

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Qualifications Framework
Moderating Body A body specifically appointed by the Authority for the purpose of moderation
Moderation A process that supports and evaluates the assessment environment, process
and instruments with a view to confirming the reliability and authenticity of
assessment results and improving the quality of assessments and assessors
The process which ensures that assessment of the outcomes described in
the NQF standards and qualifications is fair, reliable and valid
National Learners’ An electronic information system that assists the South African Qualifications
Records Database Authority (SAQA) to manage the National Qualifications Framework
(NLRD)
National Standards A body registered in terms of the SAQA Act, responsible for establishing
Body education and training standards and qualifications, and to which specific
(NSB) functions relating to the registration of national standards and qualifications
have been assigned
Notional hours of Means the learning time that it is conceived it would take an average learner
learning to meet the outcomes defined, and includes concepts such as contact time,
time spent in structured learning in the workplace and individual learning
Outcome Contextually demonstrated end product of the learning process
Outcomes-based a planned process for gathering and judging evidence of competence, in
assessment relation to pre-determined criteria within an outcomes-based paradigm, for
various purposes including further development and recognition of learning
achievements
Performance includes demonstration of skills, knowledge, understanding and attitudes, and
the ability to transfer these to new situations
Portfolio of evidence a carefully organised and complete collection of evidence compiled by
candidates/learners to prove competence in relation to defined outcomes
Primary focus The activity or objective within the sector upon which an organisation or body
concentrates its efforts
Professional body A statutory body registered as such in terms of the legislation applicable to
such bodies, or voluntary body performing the functions contemplated in the
legislation for such bodies but not registered as such.
Programme A coherent set of courses, leading to a qualification
Provider An education and training body (institution/organisation, company, centre,
collaborative partnership, or consultancy) which delivers learning
programmes that culminate in specified NQF standards or qualifications and
manages the assessment thereof
Quality Council for The Quality Council for Trades and Occupations (QCTO) is a Quality Council
Trades and established in terms of the Skills Development Act. Its role is to oversee the
Occupations design, implementation, assessment and certification of occupational
(QCTO) qualifications on the Occupational Qualifications Sub-Framework (OQSF)
Qualification The formal recognition of the achievement of the required number and range
of credits and other requirements at specific levels of the NQF determined by
the relevant bodies registered by SAQA
Quality Assurance The process of ensuring that the degree of excellence specified is achieved
Quality Audit The process of examining the indicators which show the degree of excellence
achieved
Quality Management Means the combination of processes used to ensure that the degree of
Systems excellence specified is achieved
Recognition of Prior The comparison of the previous learning and experience of a learner,
Learning howsoever obtained, against the learning outcomes required for a specified
(RPL) qualification, and the acceptance for purposes of qualification of that which
meets the requirements
Recognition of Prior Learning means the comparison of the previous learning
and experience of a learner against specified learning outcomes required for:
• The award of credits for a specified unit standard or qualification,
• Access to further learning,
• Recognition in terms of meeting minimum requirements for a specific

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job,
• Placement at a particular level in an organisation or institution, or
• Advanced standing or status.
This means that regardless of where, when or how a person obtained the
required skills and knowledge, it could be recognised for credits. In this
sense, RPL is an important principle of the NQF. RPL involves an
assessment process of preparing for RPL, engaging with RPL candidates,
gathering evidence, evaluating and judging evidence in relation to defined
criteria, giving feedback and reporting results. Given that the all candidates
are assessed against the same criteria, credits awarded through RPL are
therefore just as valid as credits awarded through any other assessment
process
Registered Officially registered (recorded) in terms of the National Qualifications
Framework
Registration of Standards or qualification registered on the National Qualifications
standards and Framework.
qualifications
RPL See Recognition of Prior Learning
Sector A defined portion of social, commercial or educational activities used to
prescribe the boundaries of an Education and Training Quality Assurance
body (ETQA)
Sector Education A body responsible for the organisation of education and training
and Training programmes within a specific sector
Authority
(SETA)
Site-Based An assessment undertaken in the workplace making use of naturally
Assessment occurring evidence
South African The body responsible for overseeing the development and implementation of
Qualifications the National Qualifications Framework, established in terms of the SAQA Act
Authority no. 58 of 1995
(SAQA)
Specialised learning That specialised theoretical knowledge which underpins application in the
area of specialisation
Specific outcomes Knowledge, skills and values (demonstrated in context) which support one or
more critical outcomes
Standard The registered statements of desired education and training outcomes and
their associated assessment criteria
Standards A body registered in terms of the SAQA Act, responsible for establishing
Generating Body education and training standards or qualifications, and to which specific
(SGB) functions relating to the establishment of national standards and qualifications
have been assigned
Umalusi Umalusi is the Council for Quality Assurance in General and Further
Education and Training established in terms of the General and Further
Education and Training Quality Assurance Act, 2001 (Act No. 58 of 2001)
Unit Standard Registered statement of desired education and training outcomes and its
associated assessment criteria together with administrative and other
information as specified in the regulations
Verifier Those who operate at systems level to monitor assessment and moderation
practices, trends and results

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Acronyms
CHE Council on Higher Education
DoE Department of Education
DoL Department of Labour
ETQA Education and Training Quality Assurance body
FET Further Education and Training
GET General Education and Training
HE Higher Education
NCS National Curriculum Statements
NPDE National Professional Diploma in Education
NQF National Qualifications Framework
NSB National Standards Body
SAQA South African Qualifications Authority
SETA Sector Education Training Authority

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 Appendix A

Appendix A:
Specific details of assessment against this unit standard
It is important to take note of the range statement provided by SAQA for this skills
programme and unit standard:
1. This generic assessment unit standard applies to assessment in all fields of
learning. However, it is expected that assessments will be contextualised to meet
the requirements of different contexts.
2. Assessment of candidate-assessors will only be valid for award of this unit
standard if the following requirements are met:
• Assessments carried out by the candidate-assessor are in relation to
significant, meaningful and coherent outcome statements that include criteria
for assessment purposes, and allow for judgements of competence in line
with SAQA's definition of competence i.e. embrace foundational, practical and
reflexive dimensions of competence. Outcomes that are highly task-orientated
and do not demand much, if any, in the way of reflexive competence, will not
be sufficient for measuring competence as an assessor in terms of this unit
standard. It is important that candidate-assessors select outcomes that
enable them to meet the requirement laid out here.
• The candidate-assessor demonstrates repeatability by carrying out at least
two assessments:
o One of which may be a simulated assessment (in order to cover a
range of typical assessment situations), and
o At least one of which must involve a real learner in a real assessment
situation, preferably under the guidance of a mentor.
• The assessments may involve two or more learners in relation to the same
outcome.
o Candidate-assessors produce evidence that they can conduct
assessments in RPL situations and for learners who may have fairly
recently acquired the necessary knowledge and skills through courses
or learning programmes. However, candidate-assessors do not need
to carry out both kinds of assessments in practice for the award of this
unit standard. Should candidate-assessors carry out an RPL-related
assessment for the purposes of this unit standard, then it is sufficient
for them to show how they might have conducted the assessment
differently had it been an assessment linked to recent learning, and
vice versa.
3. For the purposes of assessment against this unit standard, candidate-assessors
should have access to Assessment Guides and will not be expected to design
assessments. Candidate-assessors will be expected to interpret the standards at
hand in order to ensure their assessment judgements are in accordance with the
requirements of the standard. In cases where Assessment Guides are not
available, providers should seek ways to make such guides available for the
purposes of this assessment. Where candidate-assessors also intend to design
assessments, then providers are encouraged to integrate the learning and
assessment of the unit standards:
• Conduct outcomes-based assessments

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• Design and develop outcomes-based assessments

4. Candidate-assessors should have access to organisational assessment policies,
procedures and systems (including moderation). It is assumed the organisational
policies and procedures are of a quality sufficient for accreditation purposes.
Where such policies and procedures are not yet available, the provider may make
general policies and procedures available for the purposes of this assessment.

Candidate-assessor: the person who is being assessed against this particular

unit standard
Definition

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 Appendix B

Appendix B: ETDQA Assessment and Moderation Policy

The ETDQA’s minimum criteria for provider accreditation in relation to
assessment can be summarised as follows:
• training providers must use assessors who were trained and registered after
April 2004; up until that date; suitably qualified assessors must be used and
plans must be in place for their training and registration;
• providers must use moderators who were trained and registered after April
2005; up until that date; suitably qualified moderators must be used and plans
must be in place for their training and registration;
• assessors and moderators must conduct their assessments and moderations
in line with the relevant unit standards and the principles of good assessment,
observing the rules of evidence;
• assessors and moderators must sign the relevant ETDQA code of conduct on
or before registration, and observe it at all times;
• providers must moderate at least 10% of all assessments;
• providers must have a learner appeal system and should inform learners
about their right to appeal and the process to follow;
• providers must have a procedures and a system to deal with irregularities in
assessment and moderation;
• providers must submit candidate registration information on form provided;
• providers must submit learner results on form provided;
• providers must cooperate with the ETDQA in relation to verification visits and
processes; and
• providers must have an assessment plan for each learning programme
outlining the different methods, timing, weighting etc.; and candidates must be
given a copy of this.

The ETDQA’s minimum criteria for evaluating assessment practices in relation to

each learning programme can be summarised as follows:

1. Assessors are competent and qualified to assess the programme, and must
have been registered by April 2004.

2. Moderators are in place to moderate assessment; and must have been

registered by April 2005.
• assessment and moderation of a programme needs to be done by different
people
• moderators may be brought in from external providers.

3. The full range of unit standards or exit level outcomes are assessed and
their relevant assessment criteria are applied.
• All unit standards or exit level outcomes are assessed.
• Each unit standard/exit level outcome is fully/adequately assessed.

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4. The assessment practices are valid.

(The assessment measures what it says it is measuring. Assessment
activities and instruments test skills that match the outcomes to be assessed.)
• Types of assessment instruments used (interview, written test, etc.) are
appropriate.
• The subject matter assessed relates to the relevant unit standards.
• Skills assessed relate to the relevant unit standards.

5. The assessment practices are fair.

(Individual learners are not hindered or advantaged by factors not relevant to
the outcomes being assessed.)
• Assessments are not biased in terms of ethnicity, gender, age, context, etc.
• Language used in assessment procedures is appropriate to the level of the
learners.
• Assessment results will not be affected by unequal resources/conditions
during assessments.
• Learners are adequately prepared for assessment events.
• Learners are given adequate support during longer-term assessment tasks
like portfolios.
• Formative assessment is used continuously to enhance the quality of
teaching and learning.
• Learners are given constructive feedback on assessment results.
• Learners have the right to appeal.

6. The assessment practices are reliable:

(There is consistency in the assessment system and the same judgements would be
made by different assessors or in different contexts.)
• Assessors are provided with clear assessment instructions.
• Assessment results are moderated.

7. Assessments are properly administered.

• Learners are informed about the assessment plan, including time-frames,
reassessment opportunities, appeals;
• Appropriate logistical arrangements are made (venue, equipment, etc.)
• Recording procedures are adequate and accurate.
• Adequate security arrangements are made to avoid irregularities.

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 Appendix C

Appendix C: Codes of Conduct

Assessors’ Code of Conduct

Registered Assessor Number:

I, the undersigned, hereby commit myself to abide by the ETDP SETA Code of Conduct in
relation to all my work conducted as an ETDP SETA registered assessor. The Assessors’ code
of conduct has been drawn up to enable ETDQA registered assessors to carry out their
functions objectively in line with ETDQA policies and procedures.

The Code of Conduct to which I agree is as follows:

1. Responsibilities:
• to plan and conduct assessments as outlined in the unit standard ‘Plan and conduct
assessment of learning outcomes’;
• to assess learners / candidates against the relevant unit standard(s) and or
qualification;
• to be guided by the provider’s assessment plan, guide, tools and reporting format;
• to assess in a fair and transparent manner, avoiding bias and addressing barriers to
learning;
• to judge evidence observing the rules of evidence;
• to give constructive written feedback to learners / candidates; and
• to give feedback to moderators on unit standards and qualifications.

2. Declaration of Interest:
On being requested to assess a group of learners / candidates, assessors must inform the
provider in confidence:
• Whether they have (past or present) a family relationship with any of the learners
/ candidates;
• Whether they might have, or be seen to have, difficulty in assessing any learner
objectively because of friendship or other obligation; and
• Any other actual or potential conflict of interest involving learners / candidates,
moderators or other relevant parties.

3. Working Practices and Quality Standards:

• Assessors must act professionally, accurately and in an unbiased manner and be
responsible for their actions in the assessment process.
• Assessors must not accept any inducements, commission, gift or any other
benefit (apart from fair payment), or respond to any threats or harassment from
providers, their employees or any interested party, or keep silent about any
colleagues who do so.
• Assessors must report any assessment irregularities, complaints or appeals and
any attempts to threaten or bribe to the ETDQA in their reports.
• Assessors must not intentionally communicate false or misleading information
that may compromise the integrity of any assessment.
• Assessors should keep relationships with learners / candidates, moderators and
providers on a professional basis.

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4. Confidentiality:
• Information on a provider’s practices and procedure gained during the assessment
process remains confidential to the provider.
• Information about individual learners and their organisations should remain
confidential.

5. Relationship with ETDQA:

• Assessors are registered with the ETDQA; this constitutes a licence to practice in the
sector;
• Complaints submitted by assessors to the ETDQA will be addressed by the
Irregularities Committee;
• Complaints submitted about assessors to the ETDQA will be investigated, and
should the assessor be in breach of the Code of Conduct, the assessor will be de-
registered, and no longer able to practice as an assessor in the sector.
• Souls an assessor believe that he or she has been unfairly refused registration,
extension of registration, or been unfairly de-registered, the ETDQA has a proper
appeals procedure which should be followed.

Signature of Assessor: _____________________________ Date: ________________

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Moderators’ Code of Conduct

Registered Moderator Number:

I, the undersigned, hereby commit myself to abide by the ETDP SETA Code of Conduct in
relation to all my work conducted as an ETDQA registered moderator. The Moderators’ code
of conduct has been drawn up to enable ETDQA registered moderators to carry out their
functions objectively in line with ETDQA policies and procedures.

The Code of Conduct to which I agree is as follows:

1. Responsibilities:
• to plan and conduct moderation as outlined in the unit standard ‘Moderate
Assessment’;
• to moderate learners / candidates with reference to the relevant unit standard(s)
and or qualification;
• to be guided by the provider’s moderation, guide, tools and reporting format,
• to be guided by the assessment manager’s selection of the sample and reasons
given for the selection;
• to moderate in a fair and transparent manner, avoiding bias and interviewing
learners / candidates if this should prove necessary;
• to moderate evidence observing the rules of evidence;
• to give constructive written feedback to assessors; and
• to give feedback to the ETDQA on unit standards and qualifications.

2. Declaration of Interest:
On being requested to moderate a group of assessment, moderators must inform the
provider in confidence:

• Whether they have (past or present) a family relationship with any of the learners
/ candidates or assessors;
• Whether they might have, or be seen to have, difficulty in moderating any
assessments objectively because of friendship or other obligation; and
• Any other actual or potential conflict of interest involving learners / candidates,
assessors or other relevant parties.

3. Working Practices and Quality Standards:

• Moderators must act professionally, accurately and in an unbiased manner and
be responsible for their actions in the moderation process.
• Moderators must not accept any inducements, commission, gift or any other
benefit (apart from fair payment), or respond to any threats or harassment from
providers, their employees or any interested party, or keep silent about any
colleagues who do so.
• Moderators must report any assessment irregularities, complaints or appeals
and any attempts to threaten or bribe to the ETDQA in their reports.
• Moderators must not intentionally communicate false or misleading information
that may compromise the integrity of any assessment.
• Moderators should keep relationships with learners / candidates, assessors and
providers on a professional basis.

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4. Confidentiality
• Information on a provider’s practices and procedure gained during the moderation
process remains confidential to the provider.
• Information about individual learners and their organisations should remain
confidential.

5. Relationship with ETDQA

• Moderators are registered with the ETDQA; this constitutes a licence to practice in
the sector;
• Complaints submitted by moderators to the ETDQA will be addressed by the
Irregularities Committee;
• Complaints submitted about moderators to the ETDQA will be investigated, and,
should the moderator be in breach of the Code of Conduct, the moderator will be
de-registered, and no longer able to practice as a moderator in the sector.
• Should a moderator believe that he or she has been unfairly refused registration,
extension of registration, or been unfairly de-registered, the ETDQA has a proper
appeals procedure which should be followed.

Signature of Moderator:_____________________________ Date: ________________

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 References

References and Further Reading

• DoE, Department of Education, (1996). Curriculum Development Working
Group. A
• Curriculum framework for general and further Education and training.
Pretoria:
• Department of Education.
• DoE, Department of Education, (1997). Report of the National Committee on
Further
• Education. A framework for the transformation of further education and
training in South
• Africa. Pretoria: Department of Education.
• DoE, Department of Education (1998). Report of the national committee.
Pretoria:
• Department of Education:
• Robbins, D. & Coulter, M (1999). Management. New Jersey: Prentice Hall.
• South African Qualifications Authority (SAQA) Act (Act no 58 of 1995).
Pretoria: Government printers.
• http://toolboxes.flexiblelearning.net.au/demosites/series3/314/index.htm?scen
ario/lm01.htm

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Unit Standard details

115753

SOUTH AFRICAN QUALIFICATIONS AUTHORITY

REGISTERED UNIT STANDARD:
Conduct outcomes-based assessment

SAQA US UNIT STANDARD TITLE

ID
115753 Conduct outcomes-based assessment
ORIGINATOR
SGB Assessor Standards
PRIMARY OR DELEGATED QUALITY ASSURANCE FUNCTIONARY
ETDP SETA - Education, Training and Development Practices Sector Education and Training
Authority
FIELD SUBFIELD
Field 05 - Education, Training and Development Higher Education and Training
ABET UNIT PRE-2009 NQF NQF LEVEL CREDITS
BAND STANDARD LEVEL
TYPE
Undefined Regular Level 5 Level TBA: Pre-2009 15
was L5
REGISTRATION STATUS REGISTRATION REGISTRATION SAQA
START DATE END DATE DECISION
NUMBER
Reregistered 2018-07-01 2023-06-30 SAQA
06120/18
LAST DATE FOR LAST DATE FOR ACHIEVEMENT
ENROLMENT
2024-06-30 2027-06-30

PURPOSE OF THE UNIT STANDARD

This generic assessor unit standard is for those who assess people for their achievement of
learning outcomes in terms of specified criteria using pre-designed assessment instruments.
The outcomes and criteria may be defined in a range of documents including but not limited
to unit standards, exit level outcomes, assessment standards, curriculum statements and
qualifications.
Those who achieve this unit standard will be able to conduct assessments within their fields
of expertise. This unit standard will contribute towards the achievement of a variety of
qualifications, particularly within the fields of Education Training and Development Practices
and Human Resource Development.
People credited with this unit standard are able to carry out assessments in a fair, valid,
reliable and practicable manner that is free of all bias and discrimination, paying particular
attention to the three groups targeted for redress: race, gender and disability.

In particular, people credited with this unit standard will be able to:
Demonstrate understanding of outcomes-based assessment;
Prepare for assessments;
Conduct assessments;

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Provide feedback on assessments; and

Review assessments.

LEARNING ASSUMED TO BE IN PLACE AND RECOGNITION OF PRIOR LEARNING

The credit calculation is based on the assumption that those starting to learn towards this unit
standard have no previous assessment experience. It is assumed, though, that the candidate-
assessors have evaluative expertise within the area of learning in which they intend to assess
(see Definition of Terms for a definition of "evaluative expertise").

UNIT STANDARD RANGE

1. This generic assessment unit standard applies to assessment in all fields of learning.
However, it is expected that assessments will be contextualised to meet the requirements of
different contexts.
2. Assessment of candidate-assessors will only be valid for award of this unit standard if the
following requirements are met:
Assessments carried out by the candidate-assessor are in relation to significant,
meaningful and coherent outcome statements that include criteria for assessment purposes,
and allow for judgements of competence in line with SAQA's definition of competence i.e.
embrace foundational, practical and reflexive dimensions of competence. Outcomes that are
highly task-orientated and do not demand much, if any, in the way of reflexive competence,
will not be sufficient for measuring competence as an assessor in terms of this unit standard.
It is important that candidate-assessors select outcomes that enable them to meet the
requirement laid out here.
The candidate-assessor demonstrates repeatability by carrying out at least two
assessments :
- One of which may be a simulated assessment (in order to cover a range of typical
assessment situations), and
- At least one of which must involve a real candidate in a real assessment situation,
preferably under the guidance of a mentor.
The assessments may involve two or more candidates in relation to the same outcome.
Candidate-assessors produce evidence that they can conduct assessments in RPL
situations and for candidates who may have fairly recently acquired the necessary knowledge
and skills through courses or learning programmes. However, candidate assessors do not
need to carry out both kinds of assessments in practice for the award of this unit standard.
Should candidate-assessors carry out an RPL-related assessment for the purposes of this
unit standard, then it is sufficient for them to show how they might have conducted the
assessment differently had it been an assessment linked to recent learning, and vice versa.
3. For the purposes of assessment against this unit standard, candidate-assessors should
have access to Assessment Guides and will not be expected to design assessments. (See
Definition of Terms for a definition of Assessment Guides). Candidate assessors will be
expected to interpret the standards at hand in order to ensure their assessment judgements
are in accordance with the requirements of the standard. In cases where Assessment Guides
are not available, providers should seek ways to make such guides available for the purposes
of this assessment. Where candidate-assessor also intend to design assessments, then
providers are encouraged to integrate the learning and assessment of the unit standards:
Conduct outcomes-based assessments
Design and develop outcomes-based assessments
4. Candidate-assessors should have access to organisational assessment policies,
procedures and systems (including moderation). It is assumed the organisational policies and
procedures are of a quality sufficient for accreditation purposes. Where such policies and
procedures are not yet available, the provider may make general policies and procedures
available for the purposes of this assessment.
Further range statements are provided in the body of the unit standard where they apply to
particular specific outcomes or assessment criteria.

Specific Outcomes and Assessment Criteria:

SPECIFIC OUTCOME 1
Demonstrate understanding of outcomes-based assessment.
ASSESSMENT CRITERIA

ASSESSMENT CRITERION 1
Comparisons between outcomes-based and another form of assessment of learning highlight

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key differences in terms of the underlying philosophies and approaches to assessment,

including an outline of advantages and disadvantages.

ASSESSMENT CRITERION 2
RPL is explained in terms of its purpose, processes and related benefits and challenges.
Explanations highlight the potential impact of RPL on individuals, learning organisations and
the workplace.

ASSESSMENT CRITERION 3
A variety of assessment methods are described and compared in terms of how they could be
used when conducting assessments in different situations.
ASSESSMENT CRITERION RANGE
The description of methods should cover situations for gathering evidence of:
Problem solving ability,
Knowledge and understanding,
Practical and technical skills,
Attitudinal skills and values.

ASSESSMENT CRITERION 4
Key principles of assessment are described and illustrated in practical situations. The
descriptions highlight the importance of applying the principles in terms of the possible effect
on the assessment process and results.

ASSESSMENT CRITERION 5
The approach to giving feedback on assessment results is described in terms of the possible
impact on candidates and further learning and assessment.

SPECIFIC OUTCOME 2
Prepare for assessments.
OUTCOME RANGE
Preparation for assessments relates to organising and preparing resources, people,
schedules, venues, assessment instruments and documentation for a particular assessment
and/or related assessments for an individual or a number of assessment candidates/learners.
Preparation is to be carried out in situations where the candidate assessor has access to:
Relevant organisational assessment and moderation policies and procedures, and
Assessment guides and instruments for the assessment at hand, including the relevant
outcomes and criteria.
ASSESSMENT CRITERIA

ASSESSMENT CRITERION 1
Preparation of assessment resources, logistics, documentation and environment meets the
requirements of the assessment at hand and ensures fairness and safety of assessment.

ASSESSMENT CRITERION 2
Parties involved in the assessment are notified in good time. Checks are carried out to ensure
parties involved in the assessment are ready and available to meet required schedules.
ASSESSMENT CRITERION RANGE
Parties include assessment candidates and moderators, and may include assessment
facilitators and/or assistants, teachers, trainers, invigilators and safety personnel.

ASSESSMENT CRITERION 3
All pre-assessment moderation requirements are carried out in accordance with relevant
assessment policies, moderation plans and ETQA requirements.

ASSESSMENT CRITERION 4
Assessment details are explained to candidates clearly and constructively. Opportunities for
clarification are provided and responses promote understanding of the requirements.
ASSESSMENT CRITERION RANGE

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Assessment details cover the specific purpose, process, expectations, roles, responsibilities
and appeals procedures related to the assessment at hand, as well as the general context of
assessment in terms of the principles and mechanisms of the NQF, as applicable to the
situation and assessment context.

ASSESSMENT CRITERION 5
Inputs are sought from candidates regarding special needs and possible sources of evidence
that could contribute to valid assessment, including RPL opportunities. Modifications made to
the assessment approach on the basis of the inputs do not affect the validity of the
assessment.

ASSESSMENT CRITERION 6
Candidate readiness for assessment is confirmed. In cases where candidates are not yet
ready, actions taken are in line with assessment policies.

SPECIFIC OUTCOME 3
Conduct assessments.
OUTCOME RANGE
The ability to make assessment judgements using diverse sources of evidence must be
demonstrated. Assessments to include cases where candidates have special needs and
where evidence arises through RPL situations. Should it not be feasible to gather evidence
for assessments of special need candidates or in RPL situations, evidence may be produced
through scenarios.
Candidate-assessors must show they can make judgements in situations where:
Candidates meet all criteria for a particular outcome,
Candidates clearly do not meet the criteria for a particular outcome,
Candidates meet some, but not all criteria, and
More evidence is required in order to make a judgement of competence.
ASSESSMENT CRITERIA

ASSESSMENT CRITERION 1
Assessment practices promote effective, manageable, fair and safe assessment. Assessment
practices are in line with quality assurance requirements, recognised codes of practice and
learning-site or work-site standard operating procedures where applicable.
ASSESSMENT CRITERION RANGE
Professional, industry or legislated codes of practice.

ASSESSMENT CRITERION 2
The assessment is carried out according to the assessment design and in line with the
assessment plan. Adjustments are justified by the situation, and unforeseen events and
special needs of candidates are addressed without compromising the validity or fairness of
the assessment.

ASSESSMENT CRITERION 3
Questioning techniques are appropriate and have the potential to successfully elicit
appropriate responses. Communication with candidates is non-leading, and is appropriate to
the assessment at hand and the language ability of the candidate.
ASSESSMENT CRITERION RANGE
"Leading" refers to the practice of inadvertently or deliberately influencing the evidence
candidates produce through the style of questioning, instructions or responses to candidates.

ASSESSMENT CRITERION 4
Sufficient evidence is gathered, including evidence generated over time, to enable valid,
consistent, reliable and fair assessment judgements to be made.

ASSESSMENT CRITERION 5
Assessment judgements are consistent with judgements made on similar evidence and are
justified by the authenticity, validity, sufficiency and currency of the evidence.

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ASSESSMENT CRITERION 6
Records of the assessment are in line with the requirements of the organisation's quality
assurance system. Records meet requirements for making assessment judgements, giving
meaningful feedback, supporting internal and external moderation, and addressing possible
appeals.

SPECIFIC OUTCOME 4
Provide feedback on assessments.
OUTCOME RANGE
Parties include candidates, educators, trainers, managers and moderators as applicable to
the situation.
Evidence must be provided of the ability to give written and oral feedback.
The ability to give feedback must be demonstrated in situations where:
- Candidates meet all criteria in relation to an outcome,
- Candidates clearly do not meet the criteria in relation to an outcome,
- Candidates meet some, but not all criteria, and
- More evidence is required before a judgement is possible.
ASSESSMENT CRITERIA

ASSESSMENT CRITERION 1
Feedback is given to relevant parties in accordance with confidentiality requirements, in an
appropriate sequence and within agreed timeframes.

ASSESSMENT CRITERION 2
Feedback is clear and confined to strengths and weaknesses in performance and/or
requirements for further evidence in relation to the outcome/s at hand.

ASSESSMENT CRITERION 3
The type and manner of feedback is constructive, culturally sensitive and related to the
relevant party's needs. Sufficient information is provided to enable the purpose of the
assessment to be met, and to enable parties to make further decisions.
ASSESSMENT CRITERION RANGE
Further decisions include awarding of credit, redirecting candidates to further learning or
guiding candidates to further application or re-assessment.

ASSESSMENT CRITERION 4
Feedback on the assessment process is obtained from the candidate and opportunities are
provided for clarification and explanations concerning the entire assessment.

ASSESSMENT CRITERION 5
Disputes and/or appeals that arise are dealt with according to the assessment policy.

ASSESSMENT CRITERION 6
Agreements reached and key elements of the feedback are recorded in line with the
requirements of the organisation's quality assurance system.

SPECIFIC OUTCOME 5
Review assessments.
OUTCOME RANGE
The review should address at least the following aspects:
The quality of the assessment instruments, including the outcomes against which
assessment takes place and Assessment Guides used,
The assessment process, and
Candidate readiness for assessment.
ASSESSMENT CRITERIA

ASSESSMENT CRITERION 1

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The review identifies strengths and weaknesses in the instruments and process, and records
these for incorporation in assessment redesign.

ASSESSMENT CRITERION 2
Feedback from relevant parties is analysed and used to influence future assessments
positively.

ASSESSMENT CRITERION 3
Weaknesses in the assessment design and process that could have compromised the
fairness of assessment are identified and dealt with according to the organisation's
assessment policy.

ASSESSMENT CRITERION 4
Weaknesses in the assessment arising from poorly defined outcomes and criteria are
identified, and effective steps are taken to inform relevant bodies.

UNIT STANDARD ACCREDITATION AND MODERATION OPTIONS

A candidate-assessor wishing to be assessed, against this unit standard may apply to an
assessment agency, assessor or provider institution accredited by the relevant ETQA.
Anyone assessing a candidate-assessor against this unit standard must meet the assessor
requirements of the relevant ETQA. In particular, such assessors of candidate-assessors
must demonstrate that they assess in terms of the scope and context defined in all the range
statements.
Any institution offering learning towards this unit standard must be accredited as a provider
with the relevant ETQA.
External moderation of assessment will be conducted by the relevant ETQA at its
discretion.

UNIT STANDARD ESSENTIAL EMBEDDED KNOWLEDGE

The following knowledge is embedded within the unit standard, and will be assessed directly
or indirectly through assessment of the specific outcomes in terms of the assessment criteria:
Outcomes-based education, training and development
Principles of assessment - directly assessed through assessment criterion 'Key principles
of assessment are described and illustrated in practical situations. The descriptions highlight
the importance of applying the principles in terms of the possible effect on the assessment
process and results.', and indirectly assessed via a requirement to apply the principles
throughout the standard.
Principles and practices of RPL - directly assessed through assessment criteria 'RPL is
explained in terms of its purpose, processes and related benefits and challenges.
Explanations highlight the potential impact of RPL on individuals, learning organisations and
the workplace.', 'Inputs are sought from candidates regarding special needs and possible
sources of evidence that could contribute to valid assessment, including RPL opportunities.
Modifications made to the assessment approach on the basis of the inputs do not affect the
validity of the assessment.' and specific outcome 'Conduct assessments.', as well as through
application in the rest of the standard.
Methods of assessment - directly assessed through assessment criterion 'A variety of
assessment methods are described and compared in terms of how they could be used when
conducting assessments in different situations.', and indirectly assessed through application
of the methods
Potential barriers to assessment - assessed when dealing with special needs.
The principles and mechanisms of the NQF - this knowledge underpins the standard
Assessment policies and ETQA requirements
Moderation requirements

UNIT STANDARD DEVELOPMENTAL OUTCOME

N/A

UNIT STANDARD LINKAGES

N/A

Critical Cross-field Outcomes (CCFO):

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UNIT STANDARD CCFO IDENTIFYING

Identify and solve problems using critical and creative thinking: preparing for contingencies,
candidates with special needs, problems that arise during assessment, suggesting changes
to assessment.

UNIT STANDARD CCFO WORKING

Work effectively in a team using critical and creative thinking: working with candidates and
other relevant parties during assessment, as well as post-assessment.

UNIT STANDARD CCFO ORGANISING

Organize and manage oneself and ones activities: preparing, conducting and recording the
assessment.

UNIT STANDARD CCFO COLLECTING

Collect, analyse, organize and critically evaluate information: gather, evaluate and judge
evidence and the assessment process.

UNIT STANDARD CCFO COMMUNICATING

Communicate effectively: prepare candidates for assessment, communicate during
assessment, and provide feedback.

UNIT STANDARD CCFO DEMONSTRATING

Demonstrate the world as a set of related systems: understanding the impact of assessment
on individuals and organisations.

UNIT STANDARD CCFO CONTRIBUTING

Be culturally and aesthetically sensitive across a range of social contexts: give feedback on
assessments in a culturally sensitive manner.

REREGISTRATION HISTORY
As per the SAQA Board decision/s at that time, this unit standard was Reregistered in 2012;
2015.

QUALIFICATIONS UTILISING THIS UNIT STANDARD:

PRE-
PRIMARY OR
QUALIFICATION 2009 NQF END
ID STATUS DELEGATED QA
TITLE NQF LEVEL DATE
FUNCTIONARY
LEVEL
National Certificate: Level
Arts and Culture TBA: 2023-
Core 65030 Level 5 Reregistered CATHSSETA
Development Pre-2009 06-30
Management was L5
National Certificate:
Occupationally Level
Directed Education TBA: 2023-
Core 50334 Level 5 Reregistered ETDP SETA
Training and Pre-2009 06-30
Development was L5
Practices
National Diploma: NQF 2023-
Core 49277 Level 5 Reregistered ETDP SETA
Braille Practice Level 05 06-30
National Diploma:
NQF 2023-
Core 49710 Development Level 5 Reregistered ETDP SETA
Level 05 06-30
Practice
National Diploma: As per Learning
Human Resources NQF 2023- Programmes
Core 61592 Level 5 Reregistered
Management and Level 05 06-30 recorded against
Practices this Qual
National Diploma:
NQF 2023-
Core 50333 Occupationally Level 5 Reregistered ETDP SETA
Level 05 06-30
Directed Education,

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Training and
Development
Practices
National Diploma:
NQF 2023-
Core 67373 Orientation and Level 5 Reregistered ETDP SETA
Level 05 06-30
Mobility Practice
National Diploma:
NQF 2023-
Core 61570 Power Plant Process Level 5 Reregistered EWSETA
Level 05 06-30
Control Operations
Level Passed the
Bachelor of Arts:
TBA: End Date - 2018-
Core 63689 Geographical Level 6
Pre-2009 Status was 06-30
Information Science
was L6 "Reregistered"
Bachelor:
Occupationally As per Learning
Directed Education NQF 2021- Programmes
Core 50330 Level 6 Reregistered
Training and Level 07 06-30 recorded against
Development this Qual
Practices
National Certificate:
Occupationally Level
Directed Education, TBA: 2023-
Core 50331 Level 6 Reregistered ETDP SETA
Training and Pre-2009 06-30
Development was L6
Practices
As per Learning
Further Education and
NQF 2021- Programmes
Elective 78529 Training Certificate: Level 4 Reregistered
Level 04 06-30 recorded against
Chemical Operations
this Qual
Further Education and
Training Certificate:
NQF 2023-
Elective 61669 Community Water, Level 4 Reregistered EWSETA
Level 04 06-30
Health and Sanitation
Facilitation
Further Education and
NQF 2023-
Elective 50480 Training Certificate: Level 4 Reregistered SAPFTC
Level 04 06-30
Firearm Training
Passed the
Further Education and
NQF End Date - 2013-
Elective 66489 Training Certificate: Level 4 MERSETA
Level 04 Status was 11-07
Foundry Operations
"Reregistered"
Further Education and
NQF 2023-
Elective 49092 Training Certificate: Level 4 Reregistered FPMSETA
Level 04 06-30
Furniture Making
As per Learning
Further Education and
NQF 2021- Programmes
Elective 64950 Training Certificate: Level 4 Reregistered
Level 04 06-30 recorded against
Laboratory Analysis
this Qual
Passed the As per Learning
Further Education and
NQF End Date - 2008- Programmes
Elective 58952 Training Certificate: Level 4
Level 04 Status was 08-05 recorded against
Laboratory Analysis
"Registered" this Qual
Further Education and Passed the
Was MQA until
Training Certificate: NQF End Date - 2009-
Elective 49049 Level 4 Last Date for
Lump Ore Level 04 Status was 02-18
Achievement
Beneficiation "Reregistered"
Further Education and
Training Certificate:
NQF 2023-
Elective 48915 Manufacturing and Level 4 Reregistered MERSETA
Level 04 06-30
Assembly Operations
Supervision
Further Education and
Training Certificate: NQF 2023-
Elective 50040 Level 4 Reregistered MERSETA
Optical Manufacturing Level 04 06-30
Processes
Further Education and Passed the
NQF 2013-
Elective 58782 Training Certificate: Level 4 End Date - CETA
Level 04 11-07
Plumbing Status was

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"Reregistered"
Further Education and
Training Certificate: NQF 2023-
Elective 58779 Level 4 Reregistered MERSETA
Production Level 04 06-30
Technology
Further Education and Passed the
Training Certificate: NQF End Date - 2015-
Elective 61949 Level 4 FPMSETA
Pulp and Paper Level 04 Status was 06-30
Operations "Reregistered"
Further Education and Passed the
Was MERSETA
Training Certificate: NQF End Date - 2009-
Elective 50560 Level 4 until Last Date for
Small Craft Level 04 Status was 08-31
Achievement
Construction "Registered"
Further Education and
Training Certificate:
NQF 2023-
Elective 60189 Wastewater and Level 4 Reregistered EWSETA
Level 04 06-30
Water Reticulation
Services
As per Learning
Higher Certificate:
NQF 2021- Programmes
Elective 64649 Early Childhood Level 5 Reregistered
Level 05 06-30 recorded against
Development
this Qual
Level Passed the
National Certificate: TBA: End Date - 2016-
Elective 58580 Level 5 TETA
Aerodrome Control Pre-2009 Status was 12-31
was L5 "Reregistered"
Level
National Certificate: TBA: 2023-
Elective 58581 Level 5 Reregistered TETA
Air Traffic Support Pre-2009 06-30
was L5
Level
National Certificate:
TBA: 2023-
Elective 63309 Defensive Mission Level 5 Reregistered SAS SETA
Pre-2009 06-30
Control
was L5
National Certificate:
Level
Environmental
TBA: 2023-
Elective 22901 Education, Training Level 5 Reregistered ETDP SETA
Pre-2009 06-30
and Development
was L5
Practice
Level As per Learning
National Certificate: TBA: 2023- Programmes
Elective 59201 Level 5 Reregistered
Generic Management Pre-2009 06-30 recorded against
was L5 this Qual
Level
National Certificate: TBA: 2023-
Elective 59429 Level 5 Reregistered ETDP SETA
Inclusive Education Pre-2009 06-30
was L5
Level
National Certificate:
TBA: 2023-
Elective 49743 Manufacturing Level 5 Reregistered FOODBEV
Pre-2009 06-30
Management
was L5
Level As per Learning
National Certificate: TBA: 2021- Programmes
Elective 58625 Level 5 Reregistered
Occupational Safety Pre-2009 06-30 recorded against
was L5 this Qual
National Certificate:
NQF 2023-
Elective 80047 Road Safety Level 5 Reregistered SAS SETA
Level 05 06-30
Development
National Diploma:
NQF 2023-
Elective 49852 Applied Military Level 5 Reregistered SAS SETA
Level 05 06-30
Intelligence
National Diploma: Level Passed the
Was MERSETA
Automotive TBA: End Date - 2009-
Elective 57450 Level 5 until Last Date for
Diagnostics and Pre-2009 Status was 02-18
Achievement
Repair was L5 "Registered"
National Diploma: Level Passed the Was SAS SETA
2008-
Elective 49853 Defensive Mission Level 5 TBA: End Date - until Last Date for
09-17
Control Pre-2009 Status was Achievement

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was L5 "Registered"
As per Learning
National Diploma:
NQF 2021- Programmes
Elective 64650 Early Childhood Level 5 Reregistered
Level 05 06-30 recorded against
Development
this Qual
National Diploma: NQF 2023-
Elective 50500 Level 5 Reregistered SAS SETA
Electronic Warfare Level 05 06-30
National Diploma:
NQF 2023-
Elective 63589 Geographical Level 5 Reregistered CETA
Level 05 06-30
Information Science
As per Learning
National Diploma:
NQF 2023- Programmes
Elective 58784 Geospatial Image Level 5 Reregistered
Level 05 06-30 recorded against
Analysis
this Qual
National Diploma: NQF 2023-
Elective 49023 Level 5 Reregistered QCTO
Liaison Interpreting Level 05 06-30
National Diploma:
NQF 2023-
Elective 49059 Master Craftsmanship Level 5 Reregistered EWSETA
Level 05 06-30
(Electrical)
Advanced Certificate: As per Learning
Education: School NQF 2021- Programmes
Elective 73529 Level 6 Reregistered
Management and Level 06 06-30 recorded against
Leadership this Qual
National Diploma: NQF 2023-
Elective 61729 Level 6 Reregistered SAS SETA
Policing Level 06 06-30
Level
National First Degree: TBA: 2021-
Elective 20485 Level 6 Reregistered ETDP SETA
ABET Practice Pre-2009 06-30
was L6

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