SAS WFD QMS

RESTRIC
DECLARATION BY THE LEARNER
I, __________________________________________ ID No: ______
Hereby declare that I am satisfied/not satisfied with the pre-assessmen
that all my questions have/have not been fully attended to.
SIGNED AT _____________________ON THE _____ DAY OF _____
SIGNATURES

CANDIDATE: _________________________________

RESTR

CTED D-6

_________________
nt meeting, that I was/was not provided with the necessary inputs and

___________ 20__

ASSESSOR: __________________________________

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APPENDIX E

TO SOP FOR ASSESSMENT PROCESS

DATED JANUARY 2016

REVIEW OF ASSESSMENT PLAN

CHECKLIST FOR ASSESSMENT PLAN

R No Criteria Yes No Observable Evidence
01
02 Required
03
Legislative Framework
04
05 The applicable policy documents are
06
listed.

Unit Standard

The name of the unit standard is listed.

The field is listed.

The NQF level is listed.

The number of credits is listed.

Learner

The biographical data of the learner (to

be assessed) is described.

The learner’s language proficiency is

stated.

Provision is made for a translator

(where applicable).

The learner’s educational/training level

is described.

Assessment barriers/special needs

(where applicable) are described.

The candidate assessor explains how

he/she intends to overcome the

identified barriers (where applicable).

Role-players Involved in the Assessment

The role-players involved in the

assessment are stated.

The manner in which the role-plays are

informed of the assessment is stated.

Date of Assessment

The date on which the assessment will

take place is recorded.

Time of Assessment

The time that the assessment will take

place is recorded.

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R No Criteria Yes No Observable Evidence
Required

07 Location/Environment
A description is given of the location
where the assessment will take place.
Accessibility and safety of the
environment.

08 Sources Needed
Sources needed to conduct the
assessment are listed.
The responsible persons are
described.
The task of the responsible persons is
described.

09 Cost Effectiveness
The cost involved in the assessment
process.
The impact that it has on the company.

10 Component of the Applicable Unit Standard
The purpose of the unit standard is
described.
The applicable critical cross-field
outcomes are described.
The applicable specific outcomes are
described.
The assessment criteria for each
specific outcome are described.
The essential embedded knowledge is
described.
The range statement is described.

11 Assessment Method
A suitable assessment method is
decided upon.

12 Assessment Instrument
A suitable pre-designed assessment
instrument is selected.

13 Conducting the Assessment
Pre assessment meeting minutes.
The principles that the candidate
assessor should adhere to are listed.

14 Evaluate Evidence/Making a Judgment
The candidate assessor explains how
he/she intends to make a judgment
(competent/not yet competent) against
pre-determine assessment criteria.

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R No Criteria Yes No Observable Evidence
Required

15 Providing Feedback to the Learner
The candidate assessor explains
how/she intends to provide feedback to
the learner.
Provision is made for an appeals
procedure.
Provision is made for re-assessing the
learner (where applicable)

16 Moderation
The candidate assessor explains the
moderation process.

17 Record Keeping
The candidate assessor explains how
he/she intends to keep records
according to internal policies, ETQA
and SAQA guidelines.

18 Review the Assessment
The candidate assessor explains how
she/he intends to review the
assessment.

ASSESSOR SIGNATURE: _____________________ DATE: _________________

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APPENDIX F

TO SOP FOR ASSESSMENT PROCESS

DATED JANUARY 2016

Unit Standard: ( ) Level: ________________ Credits: _________

Name of Candidate: __________________________ Number: __________________________

Name of Assessor: _____________________________ Number: __________________________

Date of Summative Assessment: ________________ Date of Feedback: _________________________

SUMMATIVE REPORT

Serial Specific Outcomes and Critical Cross Field Outcomes Achieved
No Yes No

1

2

3

4

5

6

CRITICAL CROSS FIELD OUTCOMES

7

8

9

10

11

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Candidates Feedback

Assessors Feedback

This candidate has been declared competent/not yet competent by the Assessor.

Assessor: _________________ Signature: _________________ Date: _______________

Candidate: _______________ Signature: _________________ Date: _______________

Section Head: _____________ Signature: _________________ Date: _______________

Date: Name: Comments:

____________
___________________

Quality Signature:
Assurance ___________________
Moderation

Contact No:
___________________

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RESTRIC

COLLECT ADDITI

Name of candidate: __________________________________

Unit standard assessed against: ________________________

Specific Outcomes Evidence Still to be Gathered S
and

Assessment Criteria
Specific Outcome 1

Specific Outcome 2

Specific Outcome 3

I (the candidate) agree / do not agree with this action plan p

Candidate’s Signature:

Name of Assessor: Cont

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CTED G-1

APPENDIX G

TO SOP FOR ASSESSMENT PROCESS

DATED JANUARY 2016

IONAL EVIDENCE

___________________ Assessment date: _______________

__________________________________________________

Specific Actions to Take Due
Date

proposed by the learner-assessor.

Date: / / 20

tact No:

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CTED G-2

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APPENDIX H

TO SOP FOR ASSESSMENT PROCESS

DATED JANUARY 2016

CANDIDATE’S FEEDBACK REGARDING
ASSESSMENT PROCESS

Name of Candidate:

Name of Learner-Assessor:

Title of Unit Standard that was Assessed:

Date of Assessment:

Candidate, respond by ticking in the appropriate box Def No Not Yes Yes

Not Sure Def

Did the assessor help you to feel relaxed and comfortable?

Did he/she explain the assessment procedure clearly? Did
you agree with it?

Did he/she explain the appeals procedure to you before the
assessment?

Did he/she encourage you to take part and to link your
evidence to the standards?

Were you properly prepared for the assessment?

Could you choose the language you used?

Was the place where the assessment took place good
enough? (Was there enough light and, air, the right
equipment, etc.)

Were the questions asked of you clear? Were they relevant
to the right assessment criteria?

Did you have enough time to answer the questions?

Did your learner-assessor make sure that all assessment
criteria and the ranges were covered?

Was there enough time for you to complete the
assessment?

Were you given clear feedback against each criterion?

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Candidate, respond by ticking in the appropriate box Def. No Not Yes Yes
Were all possible sources of evidence considered?
Not Sure Def.

Were assessment decisions clear? Were they made in a
positive manner?

Did you agree with the decision?

If not, are you going to appeal in writing?

Have you completed and signed all the necessary
documentation?

Did you have an observer representing you during the
assessment?

Candidate, briefly explain how you feel about your own performance during the assessment.

Candidate, can you make recommendations to improve the assessment process?

Signature of Candidate:
Date of Assessment:

THANK YOU FOR COMPLETING THIS EVALUATION!

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OBSERVER’S FEEDBACK FORM Comments for
learner-assessor
(only where an observer was present)

Name of Assessor:
Organisation:
Qualification:
Name of Observer:
Unit Standard Assessed:

Stage in Questions observer should ask Yes/
assessment No
process Did the learner-assessor
1. Pre-
assessment help the candidate relax?
interview explain the assessment process?
conduct the interview in a professional
2. Assessing manner? (i.e. thoroughly without being
the evidence aggressive, friendly without being over-
familiar, respectful but drawing attention to
the inadequacies of the evidence)
explain the appeals procedure?
complete the pre-assessment agreement,
remembering to
 cover all assessment options?
 get the candidate’s co-operation?
 sign the agreement?
Did the learner-assessor

follow the assessment process as agreed?
Evaluate the evidence against the
assessment criteria?
Check the evidence across the range
statement?
Assess the critical cross-field outcomes?

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3. Feedback Did the learner-assessor
interview
make the candidate relax and elicit
response from the candidate?
follow the feedback model of positive,
negative, positive?
clearly identify the assessment criteria
that need additional evidence?

clearly state that the candidate was
found competent / not yet competed?
advise unhappy candidate of appeal
procedures?
complete and sign the appropriate
assessment documents and attach all
other assessment evidence?
help the candidate make further
developmental decisions?
conclude the feedback in a positive,
friendly manner?

To the assessor:
What did you learn from the observations of the observer?

How can you improve on your assessment?

DECLARATION: THE LEARNER-ASSESSOR CONDUCTED THE ASSESSMENT IN A FAIR AND
RELIABLE MANNER.

Signature of Observer:
Date:

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APPENDIX I

TO SOP FOR ASSESSMENT PROCESS

DATED JANUARY 2016

RECORD OF COMMUNICATION BETWEEN ASSESSOR AND
CANDIDATE

Date Means of Reason Response Received

communication

ASSESSOR’S SIGNATURE: ___________________ DATE: _____________
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APPENDIX J

TO SOP FOR ASSESSMENT PROCESS

DATED JANUARY 2016

ASSESSMENT REVIEW

PURPOSE OF ASSESSMENT REVIEW

The purpose of the assessment review is for the assessor to reflect on the effect and success
of the assessment. It is important to take comments of fellow assessors and learners into
consideration to determine the strengths and areas for improvement of the assessment. It is of
utmost importance that recommendations for future assessments are given.

LEARNING PROGRAMME DETAIL
Number:

Name of Module:

Unit Standard Number: NQF Level: Credits:

Unit Standard Title:

Date of Programme: Venue:

Name of Coordinator:

Contact Detail of Coordinator:

ASSESSOR DETAIL
Name:

Force Number:

Assessor Number:

Contact Detail:

ASSESSMENT REVIEW FORM

1. Assessment Instruments

a. Review the Assessment Instruments used during the assessment against the
applicable assessment principles:

Principle Description Yes No

Fair  Were the instruments fair in that they did not advantage or
disadvantage any particular group based on race, religion and
gender or language preferences?

 Were the outcomes of the assessment at the appropriate level
for the candidate?

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Principle Description Yes No

Appropriate  Were the instruments suitable to the candidate, assessment
and the organisational context?

 Were the assessment instruments suitable to the assessment
that was conducted?

Manageable  Were the instruments practically packaged in terms of the
number of assessment items, the number of pages per
checklist, the administrative procedures etc?

 Were the instructions understandable to anyone who would
need to interpret them?

Integrated  Was the assessment process integrated into the candidate’s

into work work routine and the overall business process?

and learning

b. Record the strengths and weaknesses identified, indicate whether fairness
was compromised by the weaknesses and how you dealt with it according to
the organisation’s policy.

Criteria Comments

Strengths

Weaknesses

Fairness
Compromised

Action Taken

2. Assessment Process

a. Review the Assessment Process followed during the assessment against the
applicable assessment principles:

Principle Criteria for Compliance Yes No

Systematic  Was the assessment process managed in a step-by-step

manner as agreed between all the parties during the

assessment preparation stage and as per plan?

Open  Was the process transparent for all parties concerned?

 Did the candidate declare him/herself ready to be assessed?

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Principle Criteria for Compliance Yes No

Consistent  Was the process consistent with the other assessment

processes for the same learning programme?

 Would another assessor have conducted the process in the

same manner?

 Would the process have been the same for another

candidate/group of candidates in similar circumstances?

b. Record the strengths and weaknesses identified, indicate whether fairness
was compromised by the weaknesses and how you dealt with it according to
the organisation’s policy?

Criteria Comments

Strengths

Weaknesses

Fairness
Compromised

Action Taken

3. Unit Standard. Review the Unit Standard to determine whether poorly defined
outcomes and criteria that were identified, gave rise to weaknesses in the assessment.
Indicate the steps that are taken to inform relevant bodies.

Aspect Criteria for Compliance Yes No

Outcomes  Is the Unit Standard applicable to the assessment that was

and conducted?

Criteria  Are the evidence requirements clear?

 Are the outcomes and criteria unambiguous?

Record

Weaknesses Description

Inform Moderator
Relevant Designer
Bodies

Link with
Candidate’s Description
Job

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4. How do you as an Assessor ensure that the Review Feedback is used to influence
future assessments positively?

ASSESSOR SIGNATURE DATE

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NBS/WFD/R/103/2/3

SAS WINGFIELD TRAINING SOP: NO 23/18

Issued by

96719489MC CDR B. GOUSSARD
TRAINING COMMANDER SAS WINGFIELD

Telephone: 021 590 2665 SAS WINGFIELD
SSN: 820 2665 Private Bag X1
Facsimile: 021 590 2662 Goodwood
Enquiries: WO1 S. Tilley 7459

January 2018

STANDARD OPERATING PROCEDURE FOR MODERATION PROCESS

INTRODUCTION

1. The aim of this order is to promulgate processes wrt moderation at SAS
WINGFIELD.

EXECUTION

2. The process must be followed so as to ensure the effective and efficient
moderation takes place at SAS WINGFIELD.

EXECUTION DATE

3. This SOP comes into with immediate effect, and will be reviewed one year
after the date of implementation.

INTRODUCTION

4. Moderation is the process which ensures that assessment of the outcomes
described in the National Qualifications standards and qualification is fair, valid and
reliable. It ensures that all assessors who assess a particular unit standard or
qualification are using comparable assessment methods and are making similar and
consistent judgments about learner performance. One moderator usually checks the
work of several assessors to ensure consistency. The management of internal
moderation is the responsibility of the provider.

5. Internal moderation will be conducted by the SAS WINGFIELD to ensure that
learner assessments conducted are consistent, accurate and well designed.

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External moderation is a process of ensuring that two or more providers delivering
programmes with the same unit standards and qualifications are assessing
consistently according to the same standard and in a well designed manner.
External moderation will take place by the relevant Education and Training Quality
Assuror.

6. A moderator is a person who moderates assessment practices against unit
standards and/or qualifications. The minimum requirement that a moderator must
comply with is the South African Qualifications Authority Unit Standard ID 115759
“Conduct Moderation of Outcomes-based Assessment”. The moderator must be
registered with the appropriate ETQA of the specific field in which the individual will
be moderating.

Note 1: External Moderation will be done by the respective ETQA once an LO
has been completed. It is important that the Internal Assessor and Moderator
for the Modules (Unit Standards) are available during the external moderation
process.

FUNCTIONS OF THE MODERATION PROCESS

7. The Training Commander is responsible to ensure that moderation practices
are followed according to the process and procedures described in this Standard
Operating Procedure (SOP). One moderator will monitor the work of several
assessors to ensure consistency. Moderation will take place randomly. The Training
Evaluator(TE) will be responsible for the Quality Assurance of the moderation
process.

8. Ten percent (10%) or a minimum of 4 of all assessments will be moderated.

9. Hundred percent (100%) of Recognition of Prior Learning assessments
will be moderated.

10. Hundred percent (100%) of all Not Yet Competent assessments will be
moderated.

11. Hundred percent (100%) of appeals on assessments will be moderated.

12. Two unit standard/modules of a new assessor will be hundred percent
(100%) moderated.

13. The main functions of the moderation process are to:

14. Verify that the assessments are fair, valid, reliable and practical;

15. Identify the need to redesign assessments if required;

16. Provide an appeal process for dissatisfied learners;

17. Evaluate the performance of assessors;

18. Provide procedures for the de-registration of unsatisfactory assessors; and

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19. Provide feedback to the National Standards Bodies (NSB) on unit standards
and qualifications.
MODERATION PROCESS
20. The following steps must be followed by the moderator:
21. Step 1: Plan and Prepare for moderation.
22. Step 2: Conduct the Moderation.
23. Step 3: Advise and Support Assessors.
24. Step 4: Report, Record and Administer Moderation.
25. Step 5: Review Moderation Process and System.
26. The following procedures need to be followed for the planning and
preparation of moderation:
27. Confirm the moderation system (Includes policies and procedures).
28. Confirm the scope of the moderation with relevant parties.
29. Plan the scope and nature of the moderation activities.
30. Clarify the context of the moderation with the assessor.
31. Confirm that the moderation processes are sufficient to deal with all forms of
evidence.
32. Confirm process with relevant parties.
33. Confirm physical and human resources.
34. Prepare documentation that is in line with the moderation system/process.
35. The following procedures must be followed for the conduct of moderation:
36. Ensure that moderation is conducted in accordance with the moderation plan.
37. Check and judge the assessment process and instruments to make sure that it
is valid, authentic, current, and sufficient (VACS):
38. Check the interpretation of the assessment criteria.
39. Check the application of the assessment process.
40. Check the consistency of the assessment decisions made by the assessor.
41. Confirm that special needs of candidates have been provided for without
compromising the required standards.

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42. Check that appeal against assessment decisions are handled in accordance
with the appeal procedures.

43. Check that the principles of assessment are described in terms of their
importance and effect on the assessment.

44. A SWOT analysis is conducted by the moderator in terms of assessment
methods.

45. The following procedures must be followed for the advice and support of
assessors:

46. Advise assessor, on the moderation plan and process.

47. Advise assessor, on the QMS including; planning, staffing, resources, training
and recording system.

48. Ensure that all communication (between assessor and learner) is conducted in
accordance with relevant confidentiality requirements.

49. The following procedures must be followed for the reporting, recording and
administration of moderation:

50. Report moderation findings to relevant parties, within timeframes and
according to the ETQA requirements.

51. Records are kept and maintained according to the ETQA requirements.

52. Confidentiality of information relating to candidates and assessors is
preserved in accordance to the ETQA requirements.

53. The following procedures must be followed for the reviewing of the
moderation process and system:

54. Conduct a SWOT analysis on the moderation system in terms of
manageability and potential to make judgments on the quality and validity of
assessment decisions.

55. Make recommendations to the moderation system and process in terms of
alignment to the ETQA requirements.

56. Make a judgment in terms of the credibility and validity of the moderation
system and process.

57. Review the performance of staff in terms of data capturing, record keeping,
support staff, and personnel staff.

58. Review the Unit Standard, is it acceptable or must it be changed?

59. Review system against Chapter 7 of SAQA policy document: Criteria and
Guidelines for Assessment of NQF registered unit standards and qualifications, Oct
2004.

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60. Prepare feedback for the Moderator’s Forum.

61. Forward the moderation review report to the TC for further action.

PLAN AND PREPARE FOR MODERATION

62. The moderator is to compile a Moderation Plan for the moderation (Appendix
A).

63. The Moderator is to compile a Pre-moderation Briefing Agenda (Appendix B).

64. The Moderator is to distribute all moderation documentation to all role-players
prior to Pre-moderation Meeting.

65. The Moderator is to hold a Pre-moderation Meeting with all role-players to
confirm the moderation aspects and criteria, compile the pre-moderation meeting
minutes and distribute to relevant parties (Appendix C). Role-players are to sign the
declaration of acceptance of Moderation Plan (Appendix A).

CONDUCT THE MODERATION

66. Facilitators who are recognised as competent in their learning field will fulfill
the role of assessor for the formative and summative assessments. They will
preferably be the facilitators of the learning programme.
67. The unit will use its internal facilitators (who have not been involved in
presenting the specific learning programme and who are competent in the learning
field) as internal moderators.
68. WFD will appoint facilitators who are competent in the specific learning field
from other accredited providers as external moderators.
69. The ETQA body will fulfill the function of final moderation of the assessment
procedures, methods and learner achievements.
70. Internal and external moderators will be responsible for:

a. Checking the credibility of assessment methods and instruments.
b. Checking the assessment and internal moderation system for effec-

tiveness.
c. Monitoring and observing assessment processes and candidates' evi-

dence (through sampling).
d. Checking assessors' decisions.
e. Providing advice and guidance to providers on system improvements.
f. Checking that all the staff involved in assessments are appropriately

qualified and experienced.
g. Fulfill the designated responsibilities in the candidate appeals proce-

dure.
71. All assessors and moderators must be formally registered and accredited by
the ETQA body.

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72. The moderator must evaluate all learning material.

73. On receipt of all Portfolio of Evidence the moderator must complete the
Moderation Control Sheet (Appendix D).

74. Moderator to complete Moderation Aspects (Appendix E) and Moderation
Checklist (Appendix F).

75. Moderator to communicate all aspects to the Assessor. Moderator to Advise
and Support Assessor Communication (Appendix G).

REPORTING, RECORDING AND ADMINISTRATION

76. The moderator to compile the Moderation Report (Appendix H).

REVIEW OF MODERATION PROCESS AND SYSTEM

77. A Moderation Review Report (Appendix I) must be written by the moderator
and submitted to the TC, including the following information:

78. A SWOT analysis on the moderation system and process.

79. Recommendations in terms of alignment of the moderation system to ETQA
requirements.

80. Judgment in terms of the credibility and validity of the moderation system and
process.

81. Comments on data capturing, record keeping, support staff and personnel.

82. Comments on the Unit Standard content.

83. Conduct Moderation Forum with relevant parties to discuss both reports.

Note 1: Appendixes. The comments/discussion columns have been
completed by the TE to assist the moderator with the moderation process.
However the moderator must capture his own findings when completing the
relevant appendixes.

REFERENCE LIST

Department of Defence Instruction: TRG No 6/2003 (Edition 2)

SA Navy Training Instruction No 05/09: Re-Assessment

SAS WINGFIELD Quality Management System Manual

RESPONSIBILITY FOR EXECUTION

84. The TC and ATO are responsible to see that this instruction is complied with.

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PROCEDURE FOR MODERATION

Issue Date 2013 Responsibility Provider
Activity
Purpose Moderation Compliance DODI NO 6/2003 EDITION 2

Forms and This Procedure is intended to promote quality and prepare for internal and external
Documentation auditing.

Moderation Plan (Appendix A)
Pre-Moderation Briefing Agenda (Appendix B)
Pre-Moderation Briefing Minutes (Appendix C)
Moderation Control Sheet (Appendix D)
Moderation Aspect Sheet (Appendix E)
Moderation Checklist (Appendix F)
Communication Control Sheet (Appendix G)
Moderation Report (Appendix H)
Moderation Review Report (Appendix I)
Index to Moderation File (as per given Table of Content – Appendix J)

Step Moderator opens a Moderation file, indicating the programme name and date, the
1 Unit Standard number and title. Moderator to file all documentation that has been
used for the moderation process on this file and forward it to Training Administrative
Office 2 weeks after moderation for safekeeping.

Step Moderation Plan (Appendix A) and Pre-moderation Briefing Agenda (Appendix B)
2 is forwarded to the Training Evaluator, the Assessor and the facilitator by the
Moderator. (1 week before the Pre-Moderation Briefing).

Step The Moderator conducts pre-Moderation Briefing and the Assessor submits the
3 relevant documentation. The Moderator compiles the Pre-Moderation Briefing
Minutes (Appendix C) and distributes to members 3 days after the meeting.
(Moderation briefing is to take place two weeks prior to the moderation).

Step Moderators are to moderate Learning Material prior to commencement of the
4 programme. Moderator has to sign off all Learning Material prior to re-production
thereof. The Moderator has to record all communication with the Assessor on the
Communication Control Sheet (Appendix G).

Step Moderator to receive the POE’s within 3 days after the assessment takes place. On
5 receipt of the Portfolios of Evidence, the Moderator to complete the Moderation
Control Sheet (Appendix D), the Moderation Aspect (Appendix E) and the
Step Moderation Checklist (Appendix F).
6
Moderator compiles the Moderation Report (Appendix H) as well as the
Moderation Review Report (Appendix I), and forwards it to the Training Evaluator
and the Assessor.

Moderator conducts a moderation Forum one week after the moderation is

Step completed and discusses both the moderation report and the moderation review
7
report with relevant parties. Relevant parties are to sign the Moderation Review
Report. The Moderator forwards the signed document to Training Administrative

Office.

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COPY _____ OF _____

SAS WINGFIELD

STANDING OPERATING PROCEDURE FOR
MODERATION PROCESS

THIS DOCUMENT IS THE PROPERTY OF THE SAS WINGFIELD AND IS ISSUED ONLY TO
THOSE MEMBERS REQUIRING IT IN THE EXECUTION OF THEIR OFFICIAL DUTIES. ANY
PERSON FINDING THIS DOCUMENT MUST HAND IT IN AT THE NEAREST SANDF UNIT OR
SOUTH AFRICAN POLICE SERVICES STATION FOR TRANSMISSION TO THE CHIEF OF THE
SOUTH ARICAN NAVY, PRIVATE BAG X104, PRETORIA 0001, WITH PARTICULARS OF THE
CIRCUMSTANCES UNDER WHICH IT WAS FOUND.

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RECORD OF AMENDMENTS AND CORRECTIONS
Personnel incorporating amendments and corrections in this manual are responsible
for ensuring that all previous amendments and corrections have been incorporated.
The Quality Assurance Section is responsible to update and change information.

Change Amendments/ Amendments/Corrections
no Corrections
incorporated by

Signature Date Name (print)

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FOREWORD
1. This SAS WINGFIELD Standard Operating Procedure (SOP) has been
promulgated by order of the Letter of Promulgation signed by the Officer
Commanding of SAS WINGFIELD, for compliance by all personnel concerned.
2. The requirement for this SOP originated at national level when a new National
Qualification Framework (NQF) was established. The National Qualifications
Framework (NQF) is a framework on which qualifications, learning programmes and
unit standards are registered, and against which learner achievements are recorded.
This enables skills and knowledge to be recorded, and recognised nationally. This
helps to create an integrated system that encourages life-long learning. To achieve
its purpose SAS WINGFIELD requires competent personnel. This SOP must guide
all stakeholders involved in the Moderation Process to provide quality products,
aligned with National Qualifications Framework (NQF) objectives.
3. This SOP for Moderation Process was prepared by Quality Assurance
Section at SAS WINGFIELD.
REVIEW DATE: Annually during January.

(A.C. KRIGER)
COMMANDING OFFICER SAS WINGFIELD: CAPT(SAN)

APPROVAL DATE:_____________________

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TABLE OF CONTENT 1
1
Ser Content 2-3
1 Introduction 4
2 Functions of the Moderation Process 4
3 Moderation Process 5
4 Plan and Prepare for Moderation 5
5 Conduct the Moderation 5
6 Reporting, Recording and Administration 6
7 Review of Moderation Process and System
8 Reference List A
9 Procedure for Moderation B
Appendix C
1 Moderation Plan D
2 Pre-Moderation Briefing Agenda E
3 Pre-Moderation Briefing Minutes F
4 Moderation Control Sheet G
5 Moderation Aspects H
6 Moderation Checklist I
7 Communication Control Sheet J
8 Moderation Report
9 Moderation Review Report
10 Index to Moderation File

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LIST OF ABBREVIATIONS

Ser Abbreviation Description

1 ETQA Education and Training Quality Assurance
2 NSB National Standards Body
3 NQF National Qualifications Framework
4 POE Portfolio of Evidence
5 SAQA South African Qualifications Authority
6 SWOT Analysis Strong, Weak, Opportunity and Threat Analysis
7 SOP Standard Operating Procedure
8 TIC Training Integrity Centre
9 TC Training Commander
10 TE Training Evaluator
11 QA Quality Assurance
12 VACS Validity, Authenticity, Credibility and Sufficiency

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MODERATION POLICY SAAFCOL: 0000

MODERATION POLICY

1. INTRODUCTION

1.1 Moderation is the process which ensures that assessment of the outcomes
described in the National Qualifications standards and qualification is fair, valid
and reliable. It ensures that all assessors who assess a particular unit
standard or qualification are using comparable assessment methods and are
making similar and consistent judgments about learner performance. One
moderator usually checks the work of several assessors to ensure
consistency. The management of internal moderation is the responsibility of
the provider.

1.2 Internal moderation will be conducted by the SA Air Force College (SAAF
COL) to ensure that learner assessments conducted are consistent, accurate
and well designed. External moderation is a process of ensuring that two or
more providers delivering programmes with the same unit standards and
qualifications are assessing consistently according to the same standard and
in a well designed manner. External moderation will take place by the relevant
Education and Training Quality Assuror.

1.3 A moderator is a person who moderates assessment practices against unit
standards and/or qualifications. The minimum requirement that a moderator
must comply with is the South African Qualifications Authority Unit Standard ID
115759 “Conduct Moderation of Outcomes-based Assessment”. The
moderator must be registered with the appropriate ETQA of the specific field in
which the individual will be moderating.

2. FUNCTIONS OF THE MODERATION PROCESS

2.1 The Training Commander(TC) is responsible to ensure that moderation
practices are followed according to the process and procedures described in
this policy. One moderator will monitor the work of several assessors to
ensure consistency. Moderation will take place randomly. The Training
Evaluator(TE) will be responsible for the Quality Assurance of the moderation
process

2.1.2 Ten percent (10%) or a minimum of 4 of all assessments will be moderated.

2.1.3 Hundred percent (100%) of Recognition of Prior Learning assessments will be
moderated.

2.1.4 Hundred percent (100%) of all Not Yet Competent assessments will be
moderated.

2.1.5 Hundred percent (100%) of appeals on assessments will be moderated.

2.1.6 Two unit standards/modules of a new assessor will be hundred percent
(100%) moderated.

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MODERATION POLICY SAAFCOL: 0000

2.2 The main functions of the moderation process are to:
2.2.1 Verify that the assessments are fair, valid, reliable and practical;
2.2.2 Identify the need to redesign assessments if required;
2.2.3 Provide an appeal process for dissatisfied learners;
2.2.4 Evaluate the performance of assessors;
2.2.5 Provide procedures for the de-registration of unsatisfactory assessors;
2.2.6 Provide feedback to the National Standards Bodies (NSB) on unit standards

and qualifications.
3. MODERATION PROCESS
3.1 The following steps must be followed by the moderator:
3.1.1 Step 1: Plan and Prepare for moderation
3.1.2 Step 2: Conduct the Moderation
3.1.3 Step 3: Advise and Support Assessors
3.1.4 Step 4: Report, Record and Administer Moderation
3.1.5 Step 5: Review Moderation Process and System
3.2 The following procedures need to be followed for the planning and

preparation of moderation:
3.2.1 Confirm the moderation system (Includes policies and procedures)
3.2.2 Confirm the scope of the moderation with relevant parties
3.2.3 Plan the scope and nature of the moderation activities
3.2.4 Clarify the context of the moderation with the assessor
3.2.5 Confirm that the moderation processes are sufficient to deal with all forms of

evidence
3.2.6 Confirm process with relevant parties
3.2.7 Confirm physical and human resources
3.2.8 Prepare documentation that is in line with the moderation system/process
3.3 The following procedures must be followed for the conduct of moderation:

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3.3.1 Ensure that moderation is conducted in accordance with the moderation plan

3.3.2 Check and judge the assessment process and instruments to make sure that it
is valid, authentic, current, and sufficient (VACS):

3.3.3 Check the interpretation of the assessment criteria

3.3.4 Check the application of the assessment process

3.3.5 Check the consistency of the assessment decisions made by the assessor

3.3.6 Confirm that special needs of candidates have been provided for without
compromising the required standards

3.3.7 Check that appeal against assessment decisions are handled in accordance
with the appeal procedures

3.3.8 Check that the principles of assessment are described in terms of their
importance and effect on the assessment

3.3.9 A SWOT analysis is conducted by the moderator in terms of assessment
methods

3.4 The following procedures must be followed for the advice and support of
assessors:

3.4.1 Advise assessor, on the moderation plan and process

3.4.2 Advise assessor, on the QMS including; planning, staffing, resources, training
and recording system

3.4.3 Ensure that all communication (between assessor and learner) is conducted in
accordance with relevant confidentiality requirements

3.5 The following procedures must be followed for the reporting, recording and
administration of moderation:

3.5.1 Report moderation findings to relevant parties, within timeframes and
according to the ETQA requirements

3.5.2 Records are kept and maintained according to the ETQA requirements

3.5.3 Confidentiality of information relating to candidates and assessors is
preserved in accordance to the ETQA requirements

3.6. The following procedures must be followed for the reviewing of the
moderation process and system:

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3.6.1 Conduct a SWOT analysis on the moderation system in terms of
manageability and potential to make judgments on the quality and validity of
assessment decisions.

3.6.2 Make recommendations to the moderation system and process in terms of
alignment to the ETQA requirements

3.6.3 Make a judgment in terms of the credibility and validity of the moderation
system and process

3.6.4 Review the performance of staff in terms of data capturing, record keeping,
support staff, and personnel staff

3.6.5 Review the Unit Standard is it acceptable of must it be changed?

3.6.6 Review system against Chapter 7 of SAQA policy document: Criteria and
Guidelines for Assessment of NQF registered unit standards and
qualifications, Oct 2004.

3.6.7 Prepare feedback for the Moderator’s Forum.

3.6.8 Forward the moderation review report to the Programme Manager for further
action.

4. PLAN AND PREPARE FOR MODERATION

4.1 The moderator is to compile a Moderation Plan for the moderation (Appendix
A)

4.2 The Moderator is to compile a Pre-moderation Briefing Agenda (Appendix B)

4.3 The Moderator is distribute all moderation documentation to all role-players
prior to Pre-moderation Meeting

4.4 The Moderator is to hold a Pre-moderation Meeting with all role-players to
confirm the moderation aspects and criteria, compile the pre-moderation
meeting minutes and distribute to relevant parties (Appendix C). Role-players
are to sign the declaration of acceptance of Moderation Plan (Appendix A)

5. CONDUCT THE MODERATION

5.1 The moderator must evaluate all learning material (Appendix D)

5.2 On receipt of all Portfolio of Evidence the moderator must complete the
moderation control sheet (Appendix E)

5.3 Moderator to complete Moderation Aspects (Appendix F) and Checklist
(Appendix G)

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5.4 Moderator to communicate all aspects to the Assessor. Moderator to Advise
and Support Assessor Communication (Appendix H)

6. REPORTING, RECORDING AND ADMINISTRATION

6.1 The moderator to compile the moderation report (Appendix I)

7. REVIEW OF MODERATION PROCESS AND SYSTEM

7.1 A moderation review report (Appendix J) must be written by the moderator and
submitted to the TC, including the following information:

7.1.1 A SWOT analysis on the moderation system and process.

7.1.2 Recommendations in terms of alignment of the moderation system to ETQA
requirements.

7.1.3 Judgment in terms of the credibility and validity of the moderation system and
process.

7.1.4 Comments on data capturing, record keeping, support staff and personnel.

7.1.5 Comments on the Unit Standard content.

7.1.6 Conduct Moderation Forum with relevant parties to discuss both reports.

REFERENCE LIST

Coetzee, M. 2002. Getting and keeping your accreditation. Pretoria: Van Schaik

Department of Defence Instruction: TRG No 6/2003 (Edition 2)

Management of Learner Assessment by Providers in the DOD (DS/CJ
TRNG/R/103/1/P

SA Air Force, Human Resource Development Quality Assurance Manual. MRI:
013755

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PROCEDURE FOR MODERATION

Issue Date 2010 Responsibility Provider

Activity Moderation Compliance DS/CJ TRG/R/103/1/P
Purpose
This Procedure is intended to promote quality and prepare for internal and external
Forms and auditing.
Documentation
Moderation Plan (Appendix A)
Pre-Moderation Briefing Agenda (Appendix B)
Pre-Moderation Briefing Minutes (Appendix C)
Moderation of Learning Material (Appendix D)
Moderation Control Sheet (Appendix E)
Moderation Aspect Sheet (Appendix F)
Moderation Checklist (Appendix G)
Communication Control Sheet (Appendix H)
Moderation Report (Appendix I)
Moderation Review Report (Appendix J)

Step Moderator opens a Moderation file, indicating the programme name and date, the
1 Unit Standard number and title. Moderator to file all documentation that has been
used for the moderation process on this file and forward it to the Training
Administration Office 2 weeks after moderation for safekeeping.

Step Moderation Plan (Appendix A) and Pre-moderation Briefing Agenda (Appendix B) is
2 forwarded to the TC, the Assessor and the facilitator by the Moderator. (1 week
before the Pre-Moderation Briefing).

Step The Moderator conducts pre-Moderation Briefing and the Assessor submits the
3 relevant documentation. The Moderator compiles the Pre-Moderation Briefing
Minutes (Appendix C) and distributes to members 3 days after the meeting.
(Moderation briefing is to take place two weeks prior to the moderation).

Step Moderators are to moderate Learning Material (Appendix D) prior to commencement
4 of the programme. Moderator to sign off all Learning Material prior to re-
production thereof. The Moderator to record all communication with the Assessor
Step on the Communication Control Sheet (Appendix H)
5
Moderator to receive the POE’s within 3 days after the assessment takes place.
Step On receipt of the Portfolios of Evidence, the Moderator to complete the Control
6 Sheet (Appendix E), the Moderation Aspect Sheet (Appendix F) and the Checklist

(Appendix G)

Moderator compiles the Moderation Report (Appendix I) as well as the Moderation
Review Report (Appendix J), and forwards it to the Programme Manager, the
Assessor.

Moderator conducts a moderation Forum one week after the moderation is
Step completed and discusses both the moderation report and the moderation review

7 report with relevant parties. Relevant parties are to sign the Moderation Review

Report. The Moderator forwards the signed document to Record Keeping Centre.

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APPENDIX A
TO SOP FOR
MODERATION PROCESS

SAS WINGFIELD
MODERATION PLAN

LEARNING PROGRAMME DETAIL Venue:
Programme Name:
Unit Standard Title:
Unit Standard Number:
NQF Level:
Credits:
Date of Training:
Name of Training Commander:
Contact Detail of Training Commander:

MODERATION DETAIL
Number of Learners:
Number of Assignments/Learner Evidence to be Moderated: As per
SAS WINGFIELD SOP for Moderation Process, par 2.1.2, ten percent (10%) or a
minimum of 4 of all assessments must be moderated.
Date of Moderation:
Venue for Moderation:

MODERATOR’S PARTICULARS
Name in Full:
Moderator Number:
Contact Number(s):
E-mail Address:
Postal Address: SAS WINGFIELD, Private Bag X1, Goodwood, 7459

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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ASSESSOR’S PARTICULARS
Name of Assessor:
Assessor Number:
Contact Detail of Assessor:
E-mail Address:
Postal Address: SAS WINGFIELD, Private Bag X1, Goodwood, 7459

RESOURCES NEEDED TO CONDUCT THE MODERATION

RESOURCE OBTAINABLE COMMENTS
SOP for Assessment/Moderation FROM
The moderator will
Learner Assessment Guide provide the moderation
Assessment Plan policy. The assessor will
be moderated against
Learner Certification – Receipt of the assessment policy.
Assessor Guide/Assessments The assessor must
Instruments/Appeals Process have this policy always
Port Folios of Evidence available with him.
Moderator wants to
establish if the learners
will be adequately
guided to be assessed.
The assessment plan
will be reviewed to
ensure that the learners
will know what method
will be used for
assessment.
Template will be
reviewed for
transparency and that
the learners will receive
all of above.
The moderator wants to
review if the POE guide,
will guide the learners
how to compile it.

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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RESOURCE OBTAINABLE COMMENTS
Assessment Feedback FROM
The moderator will
Moderated Assessment Instruments review the template to
see that the information
in the document will be
adequate to provide
constructive and
developmental feedback
from the learners to
improve the assessment
instruments.
Although the
assessments were
moderated, the
moderation will review
the assessments
instruments to
determine that it covers
the assessment criteria.

MODERATION METHOD

Documentary moderation will be done internally by (Name of moderator) by means of
sampling. As per SOP for Moderation Process policy, par 2.1.2, ten percent(10%) or a
minimum of 4 of all assessments must be moderated. Therefore (number) learners will
be moderated.

REPORTS

Moderation Plan and the Pre - Moderation Briefing Agenda must be forwarded to the
Program Manager, the Assessor and the Facilitator by the moderator.

Pre-Moderation Briefing Minutes – The Moderator compiles the Pre-Moderation Briefing
Minutes and distributes the minutes 3 days after meeting (date).
Moderation of Learning Material - Moderator must moderate learning material prior to
commencement of the LO. Moderator to sign off all learning material prior to the
reproduction of it.

Moderation Control Sheet – The moderator to record all communication with the
assessor on the moderation control sheet. Moderator to receive the POE’s within 3 days
after the assessments takes place and also record it in the moderation control sheet

Moderation Aspect Sheet – On receive off the POE’s the moderator must also
record it in the Moderation Aspect Sheet.

Moderation Checklist – On receiving off the POE’s the moderator must also record it
in the Moderation Checklist.

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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Communication Control Sheet.

Moderation Report & Moderation Review Report – Moderator must complete the
Moderation Report & Moderation Review Report and forwards it to the Training
Commander and the assessor.

Moderation File.

EVALUATION

This will be done by the internal QA(TE) Section’s.

MODERATION PROCESS AND SYSTEM

The moderation system and process as laid down in the SAS WINGFIELD QMS will be
utilised.

MODERATION INSTRUMENTS

MODERATION ASPECTS

ASPECTS TO DOCUMENTS TO RECEIVED EVIDENCE
BE
BE PROVIDED FOR YES NO
MODERATED
MODERATION

ASSESSMENT DESIGN

Assessment  Assessment
Design Guide

 Learner Manual

 Unit Standard

Planning for  Assessment
Assessment instruments
ASSESSMENT PROCESS

 Assessment
Policy

 Assessment Plan

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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ASPECTS TO DOCUMENTS TO RECEIVED EVIDENCE
BE BE PROVIDED FOR YES NO
MODERATION
MODERATED  Pre-assessment
Learner
Preparation for interview
the
Assessment  Minutes of Pre-
assessment
meeting

 Assessor-
Learner
Agreement

Review of the  Letter of
Assessment understanding of
plan assignment
Conduct of the
Assessment Review of
assessment plan
review template
Assessment
Instruments

Evidence Collected in the Learner Portfolio

Validity

Comment:
Authenticity

Comment:
Currency

Comment:
Sufficiency

Feedback to Comment:
Learner
 Assessment
feedback form –
completed
template

Assessment  Assessment
Decision Feedback
Assessment Minutes
Management
Results records

Assessment Review

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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ASPECTS TO DOCUMENTS TO RECEIVED EVIDENCE
BE
BE PROVIDED FOR YES NO
MODERATED
MODERATION

QUALITY OF ASSESSMENT

Quality Fair

Comment:
Valid

Comment:
Reliable

Comment:
Practicability

Comment:

MODERATION CRITERIA CHECKLIST

ASSESSMENT PLANNING

CHECKPOINTS YES NO EVIDENCE

1. Did the assessor plan according to the SAS

WINGFIELD policy on assessment?

Comments:

2. Did the assessor utilise an assessment plan/guide
for conducting the assessment?

Comments:

3. Reference to the Pre-briefing for the learning
programme:

Comments:

LEARNER PREPARATION FOR THE ASSESSMENT

CHECKPOINTS YES NO EVIDENCE
4. Was the learner briefed before the assessment?

Comments:
5. Did the learner receive an assessment plan?

Comments:

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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CHECKPOINTS YES NO EVIDENCE
6. Did the learner receive an assessment guide that
included the policies and procedures for the assessment
before the assessment?

Comments:
7. Did the learner receive a briefing on the appeals
process before the assessment?

Comments:
8. Was the learner’s special needs identified and
addressed before the assessment?

Comments:
9. Was opportunity given to the learner to voice
opinions that would contribute to a valid assessment?

Comments:
10. Did the learner sign the Assessor-Learner
Agreement?

Comments:

CONDUCT THE ASSESSMENT

CHECKPOINTS YES NO EVIDENCE
11. Did the assessor ensure that the required physical
and human resources were available and ready for use
during the assessment?

Comments:

12. Did the assessor conduct the assessment according
to the assessment guide/plan?

Comments:
13. Was the assessor flexible according to the situation
without compromising the validity, authenticity and fairness
of the assessment?

Comments:

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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FEEDBACK TO LEARNER

CHECKPOINTS YES NO EVIDENCE

14. Was feedback given to the learner in accordance

with the policies, SOP and confidentiality requirements?

Comments:

15. Was feedback given within the agreed timeframes?

Comments:

ASSESSMENT DECISION

CHECKPOINTS YES NO EVIDENCE
16. Does the assessment review provide sufficient
information for the moderator to accept the assessment
decision made by the assessor?

Comments:

ASSESSMENT MANAGEMENT

CHECKPOINTS YES NO EVIDENCE

17. Are the assessment results recorded on the
appropriate forms as detailed in the Assessment Policy?

Comments:
18. Are all the relevant assessment forms clearly
identifiable and fully completed?

Comments:

QUALITY OF ASSESSMENT

Name of candidate: (To be completed for each POE moderated)

CHECKPOINTS YES NO EVIDENCE

19. Did the assessor apply the principles of
assessment and evidence namely:

 Validity.

Comments:
 Authenticity.

Comments:

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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CHECKPOINTS YES NO EVIDENCE
 Currency.

Comments:
 Sufficiency.

Comments:
 Fairness.

Comments:
 Consistency.

Comments:

20. Does the following evidence provided
substantiate the assessment judgments made by the
assessor?

Assignments in relation to the specific outcomes of
Unit Standard?

Comments:

Assignments in relation to the assessment criteria
of the unit standard?

Comments:

The essential embedded knowledge is included in
the assessment strategy?

Comments:

The critical cross-field outcomes?

Comments:

21. Did the assessor make sound judgments based
on the learner evidence?

Comments:
22. Did the assessor record his/her judgments
sufficiently for providing meaningful feedback,
moderation opportunity and possible appeals?

Comments:

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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CHECKPOINTS YES NO EVIDENCE
23. Does the feedback to the learner focus on the
quality and sufficiency of the candidate’s performance in
relation to the agreed outcomes and criteria?

Comments:
24. Is the type and manner of giving feedback
constructive?

Comments:

25. Is the assessment decision valid in relation to
the assessment criteria?

Comments:

26. Is the assessment decision fair towards the
learner and the DoD?

Comments:

MODERATION CRITERIA CHECKLIST

ASSESSMENT PLANNING

CHECKPOINTS YES NO EVIDENCE

1. Did the assessor plan according to the SAS

WINGFIELD policy on assessment?

Comments:

2. Did the assessor utilise an assessment plan/guide
for conducting the assessment?

Comments:

3. Reference to the Pre-briefing for the learning
programme:

Comments:

LEARNER PREPARATION FOR THE ASSESSMENT

CHECKPOINTS YES NO EVIDENCE
4. Was the learner briefed before the assessment?

Comments:

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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CHECKPOINTS YES NO EVIDENCE
5. Did the learner receive an assessment plan?

Comments:
6. Did the learner receive an assessment guide that
included the policies and procedures for the assessment
before the assessment?

Comments:
7. Did the learner receive a briefing on the appeals
process before the assessment?

Comments:
8. Was the learner’s special needs identified and
addressed before the assessment?

Comments:
9. Was opportunity given to the learner to voice
opinions that would contribute to a valid assessment?

Comments:
10. Did the learner sign the Assessor-Learner
Agreement?

Comments:

CONDUCT THE ASSESSMENT

CHECKPOINTS YES NO EVIDENCE
11. Did the assessor ensure that the required physical
and human resources were available and ready for use
during the assessment?

Comments:

12. Did the assessor conduct the assessment according
to the assessment guide/plan?

Comments:
13. Was the assessor flexible according to the situation
without compromising the validity, authenticity and fairness
of the assessment?

Comments:

Moderarion Plan Subject: ___________________
Programme: ___________________________ U/S No: ____________________

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FEEDBACK TO LEARNER

CHECKPOINTS YES NO EVIDENCE

14. Was feedback given to the learner in accordance

with the policies, SOP and confidentiality requirements?

Comments:

15. Was feedback given within the agreed timeframes?

Comments:

ASSESSMENT DECISION

CHECKPOINTS YES NO EVIDENCE
16. Does the assessment review provide sufficient
information for the moderator to accept the assessment
decision made by the assessor?

Comments:

ASSESSMENT MANAGEMENT

CHECKPOINTS YES NO EVIDENCE

17. Are the assessment results recorded on the
appropriate forms as detailed in the Assessment SOP?

Comments:
18. Are all the relevant assessment forms clearly
identifiable and fully completed?

Comments:

QUALITY OF ASSESSMENT

Name of candidate: (To be completed for each POE moderated)

CHECKPOINTS YES NO EVIDENCE

19. Did the assessor apply the principles of
assessment and evidence namely:

 Validity.

Comments:
 Authenticity.

Comments: Subject: ___________________
U/S No: ____________________
Moderarion Plan
Programme: ___________________________

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