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ASSESSORS / MODERATORS /
EXTERNAL MODERATORS

CODE OF CONDUCT
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INDEX

Section Page Number

Personal Details 3

1. Purpose and Principles Underpinning This Code 4

2. Personal Conduct 4

3. Professional Competence 5

4. Professional Conduct 5

5. Responsibility Towards Learners / Providers 6

6. Assessor / Moderator / External Moderator
7
Responsibilities
7. Breach Of The Code And De-Registration 8

8. Agreement 9

DEFINITIONS & ACRONYMS

1.1 CAM- Constituent Assessors and Moderators

1.2 QMD – Quality Management Division
1.3 FET – Further Education and Training
1.4 HET – Higher Education and Training
1.5 SAQA – South African Qualifications Authority
1.6 QALA – Quality Assurance of Learning Achievements
1.7 RPL – Recognition of Prior Learning
1.8 CEO – Chief Executive Officer
1.9 NQF – National Qualifications Framework
1.10 QCTO – Quality Council for Trades and Occupations
1.11 SSQMD – Services SETA Quality Management Department
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1. PURPOSE
This Code of Conduct provides a framework for the ethical and professional conduct of Assessors /
Moderators / External Moderators registered with the Services SETA. It is intended to guide assessors,
moderators, external moderators in their dealings with learners and other parties during assessment,
moderation and external moderation activities.

The Code applies to all individuals who are registered as constituent Assessors / Moderators / External
Moderators for a specified period of time. Assessors / Moderators / External Moderators will be required from
time to time to read and sign revised versions of the Code of Conduct to confirm their continued commitment
to quality service as Services SETA representatives.

1.1 PRINCIPLES UNDERPINNING THIS CODE

1.1.2 Principles of Assessment
1.1.3 Principles of the NQF
1.1.4 Assessment, Moderation and External Moderation criteria guidelines of the Services Seta as per the
Delegation of Authority assigned to the Services Seta on 25 September 2012 by the Quality Council
for Trades and Occupations (QCTO).

2. PERSONAL CONDUCT

Assessors / Moderators / External Moderator will:

2.1 Respect the legal, social and moral norms of society and communities in which they work
2.2 Behave in an ethical, honest manner and ensure that behaviour is consistent with this Code of
Conduct at all times.
2.3 Maintain confidentiality in all their dealings and in this way protect the reputation of all parties involved
in the assessment process.
2.4 Maintain currency of knowledge and skills through continuous professional development (CPD)
across the learning and development landscape.
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3. PROFFESSIONAL COMPETENCE
(Note: This section should be read in conjunction with the Assessor / Moderator Registration Policy available
on the Services Seta website.www.serviceseta.org.za)

Assessors / Moderators / External Moderators will:

3.1 Disclose their qualifications and experience truthfully when applying for registration against
qualifications within the scope of the Services SETA
3.2 Maintain and continually update relevant knowledge and skills, reflecting technical, educational and
legislative changes
3.3 Operate only within the parameters of their own competence
3.4 Participate in CPD to maintain best practice through continuous professional development in
assessment practice as well as subject matter expertise for which they are constituently registered.

4. PROFESSIONAL CONDUCT
Assessors / Moderators / External Moderators must carry out their duties honestly, responsibly and impartially
at all times.

In the course of their activities, Assessors/ Moderators / External Moderators must:

4.1 Refrain from discrimination on the basis of disability, race, religion, gender or any other consideration
4.2 Undertake assessment, moderation and external moderation only on the basis of learner readiness /
preparedness, sufficient client information and in accordance with assessment / moderation and
external moderation standards and procedures and other relevant framework documentation
4.3 Avoid activities which may give rise to conflict of interest or lack of impartiality, and to make explicit
to all concerned any necessary and relevant conflict of interest
4.4 Disregard prospects of advancement or personal gain when making professional decisions
4.5 Refrain from guaranteeing the results of assessment / moderation / external moderation
4.6 Making false or exaggerated claims when advertising own service
4.7 Misuse of Services SETA logo
4.8 Not to market own services to the Service Provider that you moderate for.
4.9 Ensure that providers are accredited for the unit standards and /or qualifications that require
assessment and take the necessary steps to report any irregularities to the Services SETA or its
representative without delay.
4.10 Report providers to the SSQMD who they suspect of enrolling learners when they are not accredited
by QMD or QCTO
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4.11 Report providers and/or other assessors, moderators and external moderators to the SSQMD if they
suspect that the provider/other assessors, moderators and external moderators are colluding to
commit unfair or unethical assessments, moderation and external moderation.

5. RESPONSIBILITY TOWARDS LEARNERS / PROVIDERS

Assessors / Moderators / External Moderators must:

5.1 Respect the needs and opinions of clients and/or learners.
5.2 Not enter into inappropriate personal relationships with clients and/or learners.
5.3 Inform clients of the nature of the proposed assessment strategies and ensure that they are compliant
and aligned with appropriate policies and other relevant documentation.
5.4 Prepare detailed Assessor / Moderator / External Moderator reports after each Assessment /
Moderation / External Moderation and highlight areas that could impact on successfully exiting
learners from the system within 14 days
5.5 Conduct an accurate analysis for development purposes and recommend appropriate follow-up
actions for continuous improvement.
5.6 Ensure that assessment results provided in the report are true and correct.
5.7 Gain agreement from the client that the report is a true reflection of the assessment/ moderation /
external moderation process and provide clarity on any areas of dispute.
5.8 Gain consent for the report/s to be sent to the appropriate institutions in accordance with current data
protection legislation and as specified on the report
5.9 Retain the strictest confidentiality of information including that acquired in the course of non –
assessment moderation and external moderation duties, except in the following cases:
5.9.1 Where there is valid consent by the client or the client’s authorised representative to disclose
specific information e.g. as part of performance development
5.9.2 Where there is a wider ethical or legal duty to disclose information.
5.10 Carry out their duties in a professional, responsible and conscientious manner
5.11 Carry out official directives and policies in a faithful, impartial and transparent manner
5.12 Ensure decisions can be seen to be reasonable, fair and appropriate to the circumstances based
on consideration of the relevant facts and supported by adequate documentation
5.13 Take reasonable steps to ensure adequate protection of all confidential information including
portfolios of evidence
5.14 Work within an agreed contractual arrangement and in accordance with policies and procedures
and the standard framework documents
5.15 Review and assess learner progress in line with appropriate quality assurance procedures
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6. ASSESSOR / MODERATOR / EXTERNAL MODERATOR RESPONSIBILITIES

Assessors / Moderators / External Moderators must:

6.1 Document and communicate assessment / moderation / external moderation strategy as discussed
and agreed with the client, learners and internal moderator
6.2 Ensure that the assessment / moderation / external moderation activities are sufficient to produce
evidence of applied knowledge, application of skills over a period of time, attitudes and values,
critical cross-field outcomes, exit level outcomes and the ability to adapt to changed circumstances
6.3 Assess all portfolios and Moderate 25% of portfolios as per the Moderator process of the Services
SETA. Evidence fairly, objectively and consistently in any particular course
6.4 Give clear, timely and accessible information about the nature of and criteria for assessment /
moderations / external moderations in all courses
6.5 Give constructive and developmental, written feedback to learners on all items of formative/
summative assessments within 14 days.
6.6 Conduct assessments / moderation within appropriate assessment periods in line with external
moderation requirements
6.7 Handle all reviews within 28 days and complaints within 2 days according to the policies of the
SSETA, the client’s policies and procedures and free from re-crimination.
6.8 Seek direction and advice from the appointed internal moderator prior to the commencement of
the assessment, moderation and external moderation process.
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7. BREACH OF THE CODE AND DE-REGISTRATION

In determining whether a breach of code has occurred, the Service SETA will:
7.1 Consider and investigate, if appropriate, allegations of behaviour that may breach this Code or other
SSETA QMD policies
7.2 Take all reasonable steps to provide protection of learners or other parties who make disclosures in
good faith regarding conduct that is inconsistent with the Code
7.3 Follow the appropriate disciplinary and/or legal procedures depending on the issues/concerns raised
7.4 The SSETA QMD shall de-register Assessors / Moderators / External Moderators who do not comply
with the relevant policies and Code of Conduct for Assessors / Moderators / External Moderators in
the following instances:
7.4.1 The SETA QMD is in receipt of sufficient written evidence which indicates that the Assessor /
Moderator / External Moderator has been involved in irregularities that put the validity and
reliability of the assessment/ moderation / external moderation decisions made by the Assessor
/Moderator / External Moderator in question at risk
7.4.2 If the SSETA QMD’s established mechanisms for quality assurance process find that the
assessor/moderator/external evaluator, failed to perform his/her functions satisfactory in terms
of validity and reliability of assessment, moderation and external moderation decisions
7.4.3 Where the SSETA quality assurance processes find that the assessor still fails to meet the
assessor registration criteria after being given sufficient feedback and a reasonable time frame
to improve

The provider with which the assessor, moderator and external moderator is associated shall be
responsible to implement the required preventative and corrective actions to safeguard the validity and
reliability of assessment, moderation, external moderation decisions being made by the assessor,
moderator, external moderator in question in the interest of the affected learner(s).

7.5 De-registration may also be as a result of one of the following:

7.5.1 Assessor / Moderator / External Moderator seeking voluntary de-registration
7.5.2 Non-conforming Assessors/ Moderators / External Moderators identified through the
moderation and external moderation process
7.5.3 Non-compliance with legislative and/or regulatory requirements
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8. AGREEMENT

I agree that i shall conduct my work in line with this Code of Conduct as well as SSETA policies and procedures
to improve the quality of Education and Training in order to achieve the NQF objectives.