Education, Training and Development Practices Sector Education and Training Authority

ETDQA: Moderation Pack

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 Education, Training and Development Practices Sector Education and Training Authority

Table of Contents

SECTION PAGE
1. Introduction
2
2. Purpose of this Pack
2
3. The various levels of Moderation
4
4. Functions of the Moderator (In a NUTSHELL)
5
5. ETDP SETA s Model for Moderation
Internal Moderation 6
External Moderation 6
11
6. De-registration of Moderators
12
7. Glossary of Terms
13
8. Moderation Reporting Template
14
9. Reference Documentation
15
10. Internal Moderation Reporting Template - Sample
16

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Introduction

The South African Qualifications Authority (SAQA) and the Quality Council on Trades and Occupations
(QCTO) views assessment as one of the key elements within Education and Training. The Education and
Training System is one in which learning attainment is based on achievement through appropriate
assessment of learning outcomes specified in NQF registered standards and qualifications. As per
regulations stipulated by SAQA, ETQAs are required to monitor the quality of assessments, conducted by
constituent providers who have been awarded accreditation. Moderation is therefore a crucial element
in the quality assurance of assessment.

Moderation is the process of ensuring that assessments conducted are Fair, valid, Reliable, Consistent
and Practical. Through this process, the credibility and quality of qualifications awarded within the
National qualifications Framework can be maintained.

Purpose of this Pack

This pack is aimed at providers who have been awarded Provisional Accreditation by ETDP SETA , ETDP
SETA ETDQA Constituent Registered Moderators.

The ETDP SETA ETDQA provisionally accredited provider is not only required to conduct training that is
aligned to the NQF registered unit standards and/or qualifications, but to also conduct assessments and
internal moderation activities. Note that Moderation of assessment organised and conducted by a
provider is a SAQA requirement for provider accreditation. Moderation covers assessment instruments,
assessment design and methodology, assessment records, assessment decisions, reporting and feedback
mechanisms.

Where a training provider is participating in a learnership, the provider will be required to submit a total
of four Internal Moderation Reports during the twelve month period of a learnership. Where the training
provider is offering training against a single unit standard or a cluster of unit standards, the provider is
still required to conduct Internal Moderation activities, in line with ETDP SETAs policy and the providers
Quality Management System.

As the Certification Partners (Outsourced Partners) are responsible for assisting ETDP SETA by promoting
and maintaining quality within their respective industries, in line with ETDP SETA s requirements, the
Certification Partners need to have a clear understanding of Moderation activities and systems.

Individuals that have been registered with ETDP SETA as Constituent Registered Moderators usually
operate in various structures, as a result they have been exposed to various policies and reporting
processes. In order to ensure consistency in the information collated through the Moderation reports,
ETDP SETA has developed this pack.

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 Education, Training and Development Practices Sector Education and Training Authority

The credibility of Learner achievements is dependent on quality assured assessment and Moderation
Systems.

The various Levels of Moderation

CERTIFICATION OF
COMPETENT LEARNERS

5. EXTERNAL MODERATION
(Evaluation of QA systems)

4. EXTERNAL MODERATION
(ETQA Level)

2. Provider facilitates
training and conducts
assessments, as per the
approved QMS, utilising
registered constituent
Assessors
3. INTERNAL
MODERATION
(Provider Level)
1. The Training Provider
is awarded Provisional
Accreditation by
SETQAA

INTERNAL MODERATION

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Internal Moderation occurs at training provider level. The ETDP SETA accredited provider is required to
have registered Constituent Moderators for fulfilling this requirement. All internal Moderation Processes
shall be defined and documented within the Providers Assessment Policies and Procedures.

EXTERNAL MODERATION

External Moderation is conducted at ETDQA Level, on a random minimum sample of 10%. It usually
involves evaluating the learners Portfolio of Evidence (PoE).

External moderation is the process of gathering information and making findings about moderation
systems, where broader quality assurance systems are evaluated. Through this process, providers are
guided and advised on how to improve their systems. This processes results in the endorsement of
decisions made regarding learners competence, for the purpose of certificating successful learners.

Functions of the Moderator (In a NUTSHELL):

To verify that Assessments are fair, valid, reliable and practical
To evaluate assessment design, assessment process, assessment outcomes including
documenting proof of individual learners competence status.
To evaluate the performance of registered Assessors
To identify and provide evidence for the de-registration of Registered Constituent Assessors
To identify areas of improvements within the Assessment System
To identify the need to redesign assessments, assessment tools/instruments if required
To provide an appeals procedure for dissatisfied Learners
To provide feedback to ETDP SETA on Unit Standards and Qualifications

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ETDP SETAs Model for Moderation

Note that Moderation can take place at different intervals.
Moderation activities need to be sufficient to protect the integrity of standards and qualifications. As a
result, frequent moderation is a requirement in the delivery of learnerships/qualifications.

Moderation at Provider level (Internal Moderation)

For learning programmes aligned to one or more NQF registered unit standards, ETDP SETA does not
specify the exact interval between the beginning of training delivery and the assessment of learners, as
well as the Internal Moderation of such assessments. However, the provider is required to ensure that
assessments and Internal Moderation activities are conducted according to ETDP SETA requirements.

Conversely, in the implementation of leanerships ETDP SETA has prescribed the intervals at which
Internal Moderation is expected to take place.

Note that the Internal Moderator is required to submit the reports to ETDP SETA at the specified
intervals. ETDP SETA will analyse the reports and provide feedback to the provider, throughout the
delivery of the learnership/qualification. This is primarily aimed at supporting and guiding training
providers, in order to ensure that our system is geared at producing successful learners at the end of the
training intervention.

The Intervals of submitting Internal Moderation Reports are as follows:

Month 3 of the learnership/qualification, the Internal Moderator is required to submit the first
report to ETDP SETA. In this report, the Internal Moderator is advised to focus on the assessment
systems that have been put in place. This is a method of ensuring that the training provider is
prepared adequately at the commencement of the learnership/qualification. Examples of areas
that the Internal moderator must focus on are as follows:

- Implementation mechanisms of the providers QMS

- The providers Assessment Tools that will be used for formative assessments
- The Providers assessment plan
- Design of assessment activities and the process that will be followed
- The providers assessment guides
- Sampling requirements
- Note that at three months, there should have been formative assessments conducted
already, meaning that the Moderator would have had an opportunity of conducting
Moderation as assessments are being conducted, i.e. observing the assessment methods
and practice used.

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With the expanded concept of learning, its increasingly important to remember that paper-
and-pencil testing is only one way of collecting information on learning. Assessment includes
paper-and-pencil testing but should also include other procedure such as:
Rating items on scales
Work samples
Simulations
Role Plays
Observing learner performance
Critiquing learner products
Conducting interviews
Reviewing a learners background or previous performance by means of
portfolios

The Internal Moderator is required to moderate the assessment tools that the provider will be
using. The Moderator must note that the choice of the actual instrument types depends on
two factors:

The content of the standard to be assessed.

The professional judgement of the Assessor in terms of

Level of candidate
Resources available
Experiential background of the candidate
Purpose of assessment
Credits to be awarded

Month 6 is already half way through the learnership/qualification, and various integrated
formative assessments should have been conducted. At this point, the Moderator is advised to
conduct Moderation as the assessments happen as well as after assessments in order to identify
gaps from the tools and processes followed and to provide recommendations to the Assessor.
Part of this report should indicate how the areas of remediation, from the Month three report,
have been addressed.

Conducting Moderation during the assessment process can enhance the quality and efficacy of
moderation. Examples of areas that the Internal moderator must focus on are as follows:

- The assessment is fit for purpose, i.e it focussed on the requirements laid down in the
standard.
- The work being assessed is the learners own work.
- The evidence assessed reflects the current level of the learners competence.
- Consistency, reliability, validity, appropriateness and practicability of the assessment (Note
that all the principles of assessment are applicable).

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- Sufficiency and currency of evidence.

- Ensure that the assessment process is fair, unbiased and doesnt present any barriers for
the learner.
- The assessment must be conducted in line with the providers policies, which must be
aligned to ETDP SETA s policies.
- The Assessor must be interviewed by the Internal Moderator.
- Learners who were assessed must also be interviewed; this may be done on a sample
basis.
- Assessments conducted by various assessors to check reliability and consistency of the
assessment practices (including a combination of Competent and Not Yet Competent
results).
- The internal Moderator is required to provide feedback to the Assessor.
- The Internal Moderator is required to review the moderation conducted.

Month 9, the Moderator should have received enough guidance from ETDP SETA allowing
him/her to remedy any shortfalls identified and to test the recommendations provided.
Assessments that take place during this period are critical as the learner is nearing the end of the
training intervention. The role of the Internal Moderator is therefore very crucial in guiding and
informing the assessment processes that are meant to prepare the learners for Summative
Assessments. The Internal Moderator is advised to utilise the guidance and support provided by
ETDP SETA thus far, for the purpose of preparing for External Moderation. Note that the internal
Moderation that will be conducted at this stage is similar to the moderation conducted at Month
six.

In Month 11 the Internal Moderator will provide the final report. This report should consist of
Moderation activities conducted during assessments and after assessments. The moderation
conducted must cover the learners PoE as a whole. Note that the Training Provider is required
to send a request for External Moderation and Summative Assessment, where applicable, at the
beginning of Month ten of the learnership/qualification.

Note that the Internal Moderator must always use a random sample of 25% of the learners
PoEs or assessments conducted, where necessary this percentage can be increased.

Moderation at ETQA Level (External Moderation)

ETDP SETA will follow the ETDP SETA ETDQA procurement processes for selecting external appointees
who have been registered as Constituent External Moderators against the relevant qualfication at this
level, for the purpose of conducting External Moderation.

In order to ensure that Moderation Systems put in place meet the expectations, are accessible, makes
optimum use of resources and the proposed arrangements are sufficient, ETDP SETA will review these
systems on a regular basis.

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The External Moderator would evaluate evidence to determine that the internal assessment system
measures the following:

Sample the assessment processes and Learners evidence to verify consistency across
Assessments conducted within and across Providers.
Verify that the systems required to support the provision of learning programmes are
appropriate and work effectively.
Assessment Processes are performed to SAQA Standards.
Verify the registration status of Assessors and Internal Moderators.
Assessments are conducted according to Providers Policy and Procedure, aligned to ETDP SETA s
standard.
Check the credibility of assessment methods and instruments.
Assessors reach the correct decision in a fair valid and reliable manner.
Assessors uphold the principles of assessment throughout.
Assessors Conduct.
Verify the existence and efficiency of the internal Moderation systems.
Provide advice and guidance to Accredited Providers.
Check Assessors decisions.
Relevance of the Unit Standards & Qualification.
Sufficiency of evidence in the learners PoE.

The External Moderator will need to have access to the following information:

Training Providers Accreditation Report

Candidate Assessment Portfolios (PoE)
Moderator (Internal) Reports
Project Report
Detailed Database of Learners/Assessor/Moderator
Training Providers Internal Moderation reports
ETDP SETA s Assessment and Moderation policies and procedures

DE-REGISTRATION OF MODERATORS
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De-registration of Moderators will be as a result of one of the following:

Non-conforming Moderators identified within the moderation system

Moderators seeking voluntary de-registration.
De-registration resulting from non-compliance with legislative and/or regulations.

Note that All ETDP SETA Constituent Registered Assessors and Moderators are required to sign a Code
of Conduct.

Short Glossary of Terms

NQF The National Qualifications Authority

SETA Sector Education and Training Authority
ETQA A body in terms of section 5(1)(a)(ii) of the SAQA Act, responsible for monitoring and
auditing achievement in terms of national standards or qualifications, and to which specific
functions relating to the monitoring and auditing of national standards and/or qualifications
have been assigned in terms of sections 5(1)(b)(i) of the SAQA Act.
ETDP SETA ETDP SETA ETDQA Quality Assurance Authority
Assessment The process of collecting evidence of the learners work to measure and make judgements
about the achievement or non-achievement of specified NQF standards and/or
qualifications.
Moderation The process which ensures that assessment of the outcomes described in the NQF standards
and/or qualifications is fair, valid and reliable.
Constituent Means belonging to the defined or delegated constituency of an organisation or body.
Provider A body which delivers learning programmes which culminate in specified NQF standards or
qualifications, and manages the assessment thereof.

Moderation Reporting Template

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The Important areas that are required to be addressed by the Moderator in the Report are as follows:

Plan and prepare for Moderation

Pre-moderation interaction and standards discussion
Conduct moderation

o Type of evidence gathered for the purpose of moderation, e.g. assessment techniques; work
samples simulations, learners PoEs, Role plays and written questionnaires.
o Evaluation of the gathered evidence
o Comments on the non-conformances identified, where applicable
o Decision reached by the Moderator

Advise and support assessors (feedback mechanisms)

Report, record and administer Moderation
Review Moderation Systems and processes
Providing recommendations
How are special needs addressed in the assessment process as per the providers Quality
Management System.
Details on the assessment practices that were moderated (e.g. assessment instruments,
assessment design and methodology, assessment records, reporting and feedback mechanisms).
As per the providers Quality Management System

INTERNAL MODERATION REPORT of .

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Month 3 6 9 11 Date

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Full Qualification Date

Skills Programme Date

Training Provider Information Comments

Name
Decision/ Accreditation number
Training Provider Representative
person
Tel No:
Fax No:
Mobile No:
E-mail
Physical
Address

Qualification Details Comments

Qualification Registration No:
Title: Qualifications:
NQF Level:
NQF Credits:

Registered Constituent Moderator Information Comments

Name of Moderator:
ID. No:
SSETA Registration No:
Tel No:
Mobile No:
E-mail
Physical
Address

Details of the type of Moderation Conducted (Scope of Moderation)

(Refer to pages 7 to 10 of this document and provide full details on Comments
the scope of Moderation)

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Sample Details
Comments
Total no of assessments:
Sample percentage:
Sample Details:

Total number of Assessors

Assessor Details
Comments
Name
SSETA registration
Qualification / Unit standard

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Learner Details
Names of learners in the Learner ID Number Special Needs Address 18.1 Or 18.2 Comments
sampling population (where applicable)

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Moderator Checklist Moderation of Tools

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Criteria Comments
Evidence No evidence
confirmed available
Assessment Plan
Appropriateness of the tool
Fairness of the tool
Validity of the tool
The tool allows for judgements of competence in line with SAQAs definition of
competence (embraces foundational, practical and reflexive dimensions of
competence)
All range statements/critical cross field outcomes are covered in the
assessment Tools
The evidence required is clearly defined in the assessment tool
The assessment tool provides for an opportunity for additional questions and
comments from the learner
The assessment tool has a feedback section
The assessment tool has a declaration of acceptance from the learner
Checklist of how principles of assessment were mindfully adhered to during
assessment design
Copies of model evidence against which learner presented evidence is judged.

Moderator Checklist During Assessment

Criteria Comments

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Preparation for Moderation during assessment Evidence No evidence

confirmed available
Assessor is registered as a Constituent Assessor with ETDP SETA
Assessment tool used has been moderated by the Internal Moderator (The
Moderator must address the design of assessment in terms of the extent to
which the principles of good assessment are upheld)
Providers policies and procedures on assessment and moderation are in line
with ETDP SETA s requirements
The assessment strategy covers all the specific outcomes?
Assessment guides are available for Assessors
The assessment plan corresponds with actual assessment

Observation During Assessment Evidence No evidence Comments

confirmed available
Learner is prepared by the assessor and the relevant forms completed
Special needs of candidate are provided for, without compromising the
requirements specified in the relevant outcome statements
Language level is suited to the learners needs
Learners answers and/or observations are recorded accurately
There is sufficient evidence in accordance with the assessment criteria of each
unit standard
Assessor has complied with assessment criteria
Assessment documents are completed in accordance with ETDP SETA
requirements

Observation During Assessment Evidence No evidence Comments

confirmed available

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Assessor evaluates the learners evidence against outcomes.

Unforeseen events are handled without compromising the validity of the
moderation.

Post Assessment Evidence No evidence Comments

confirmed available
Learner is given constructive feedback after assessment
Learner is given opportunity to give feedback
The assessors decision on the learners competence is evaluated in terms of:
Validity
Authenticity
Reliability
Sufficiency
Currency
Consistency
Fairness
The Assessor reviews the assessment conducted

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Reporting on the Moderation Conducted

Criteria Evidence Required Comments

Evidence of confirmation of the scope of Moderation with the relevant parties Signed copy of the minutes of
the meeting/signed
confirmation of the scope
Evidence of pre-assessment interactions with the assessors Signed copy of the
minutes/relevant
documentation
Moderation Plan (Attach a copy of the plan)
Interactions during assessments Documented evedience
signed by the all relevant
parties
The moderation decision is consistent with SAQAs requirements for Fairness, (Attach a detailed report)
validity and reliability.
Post-assessment interactions Signed evidence of the
(Advising and supporting Assessors) feedback provided by the
Moderator to the Assessor
Non-Compliances are documented Full report detailing the
identified non-compliances
Appeals against assessment decisions are handled in accordance with Evidence of implementation
organisational appeal procedures of the policy (only where
applicable)

Compliance to assessment principles: Detailed report

o Validity
o Reliability
o Consistency

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Reporting on the Moderation Conducted

Criteria Evidence Required Comments

o Currency
o Authenticity
o Sufficiency
o Appropriateness
o Fairness
o Systematic

An agreement on confidentiality of information relating to candidates and Copy of the signed

assessors is preserved in accordance with organisational and ETQA agreement
requirements.
Review of Moderation systems and processes. Documented review process
Strengths and weaknesses of moderation systems and processes are identified Detailed report
in terms of their mageability and effectiveness.
Did the moderation process confirm/uphold assessment results?

Assessor Signature Moderator Signature

Date Date

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