NATIONAL CERTIFICATE: BUSINESS ANALYSIS

ID 63909 LEVEL 6 – CREDITS 149

ASSESMENT GUIDE
SAQA ID: 12891
Apply concepts and principles of business ethics in the
professional environment

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
 CANDIDATE DETAILS

Candidate Name:

Physical Address: Contact Details:

Identity Number

Tel: Email:

Assessor Name: Shari Mattera

Tel:0840358472 Email: csmattera@gmail.com

Moderator Name: Cynthia Banda

Tel: Email

Physical Address: Mindworx Academy, The Mall Offices, 11 Cradock Ave, Rosebank, 2193

Tel:

Declaration:

I, __________________________________ (assessor) hereby declare that the information contained in the

attached documentation is, to my knowledge, correct and valid.

Candidate signature Date

Assessor signature Date

Moderator signature Date

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 ASSESSMENT STRATEGY

NATIONAL CERTIFICATE: BUSINESS

Qualification
ANALYSIS SAQA QUAL ID 63909
Title

Total Credit
Level
NQF Level 6 Value 149
People credited with this unit standard are able to describe and participate in the study,
Target Group acquisition, implementation and maintenance information systems in an accounting
environment.

The Purpose of the Assessment

Assessment
Context of

Range Addressed
 The range covered, refers to all the unit standards, specific outcomes and assessment
criteria as outlined by the Qualification.

Assessment Approach
Assessment is focused on the applied competence of the learner and the relevant unit
standards determine the assessment criteria.

Summative Assessment
This is a summative assessment and assesses candidates NATIONAL CERTIFICATE:
BUSINESS ANALYSIS
Learners are rated “Competent" or "Not Yet Competent”.

Assessment Instruments

Types of Evidence Assessment Method

Knowledge Questionnaire:
Knowledge will be assessed by a knowledge questionnaire.
Product Sampling:
Direct All your documented evidence on completion of the assessment
process will be evaluated.

Assessment Conditions

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 The collection of evidence for the purposes of this assessment will take place in either the
candidate’s home-based environment or in the classroom. The candidate will be expected to
manage basic personal finance as stipulated by the Unit Standards specific outcomes, range
statements and assessment criteria.

Assessment Team

The assessment team consists of the following:

 Evidence Collection Facilitator

 Assessor
 Internal Moderator (20% of all portfolios are moderated)
 External Moderator (20% of portfolios are moderated)

Special Assessment Needs

Special needs are dealt with in the Assessment Preparation Interview. Should the candidate
present any special needs requests, the assessment will be adjusted, provided that the
fairness, validity and reliability of the assessment are not compromised?

In addition the knowledge test may be administered as an oral interview or as a written test
depending on the confidence and language levels of the candidates.

ASSESSMENT PROCESS

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 The Steps: How:

1. Review this assessment guide to:

 Ensure that you understand all the requirements of the assessment in terms of
evidence required to prove competence.
 Validate the assessment instruments against the candidate’s context.
 Ensure that you have familiarised yourself with all the policies and procedures
referred to in the assessment guide.
Prepare for the
Assessment
2. Identify and prepare the candidate for the assessment by:

 Conducting the “Assessment Preparation Interview, Sheet” where all the details
regarding the assessment are discussed and agreed to by all parties.
OR
 Provide the candidate with a letter detailing all the specifications covered in the
“Assessment Preparation Interview Sheet.”
1. Review the assessment plan with the candidate.

2. Collect the evidence in accordance with the instrument requirements.

Please note that the checklist covers the following:

Conduct
Assessment Knowledge Questioning
This assessment covers all the foundational competence as outlined by the specific
outcomes, range statements and assessment criteria in the unit standard and may be
conducted as a written or oral test.

Gather record and make judgments on all the evidence.

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 The Steps: How:

1. Make assessment decision and discuss the results with the learner in a face-to-
face interview.

2. Ensure that your feedback is developmental and supportive in nature.

3. Advise the candidate on what action to follow in the event of a “Not-Yet-

Competent”.

4. Advise the candidate on what action to take where he/she feels the need to
Make assessment appeal your decision.
Decision
5. Allow the candidate time to provide you with feedback relevant to the process.

6. Ensure the candidate counter-signs the “Assessment Decision” to indicate

his/her agreement to the feedback and overall score.

7. Record the candidate’s feedback in this guide and ensure that it is provided to
the person responsible for the quality assurance of assessment tools.

8. Handle any disputes and identify matter that requires contingency planning.

Review the
Complete the “Assessment Review” documents and submit to the assessment co-
Assessment
ordinator.
Process

Assessor Signature Date

ASSESSMENT CONFIRMATION

Dear :

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 (Candidate Name & Surname)

This serves as a confirmation that your “Assessment Preparation Interview” will be conducted on the
_________________ (date) at _____________________ (venue).

We will discuss:

 The purpose of the assessment.

 The date, time and venue of your assessment.
 The context of the NQF.
 And select the Unit Standard against which you will be assessed.
 The credit value, level, of the unit standard against which you will be assessed.
 The assessment procedure.
 The assessment methods to be used in your assessment.
 How the evidence will be collected.
 What evidence you are required to present on the day, whether direct, historical or indirect.
 Your special requirements, whether medical or personal, that will affect the assessment procedure.
 And agree to feedback procedures.
 The moderation process.
 Appeals procedure.
 Agree to and sign the assessment plan.

Please do not hesitate to contact me should you have any further queries.

Thank you

Assessor Signature Date

Candidate Signature Date

ASSESSMENT PREPARATION INTERVIEW SHEET

DESCRIPTION YE NO COMMENTS/CONTINGENCY
S
This assessment is a formative assessment and it is based on the
outlined unit standard/s for the Apply concepts and principles of
business ethics in the professional environment module.

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Your assessment evidence for Apply concepts and principles of
business ethics in the professional environment module needs
to be submitted on....... (Day) of............... (Month)........... (Year)
at the following
address/place................................................................
You will be assessed based on the outlined Unit Standards. The
assessment activities are linked to specific outcomes/assessment
criteria of the outlined Unit Standards.
To determine your competence level, the following are the
methods to be used for this assessment:
1. Knowledge questionnaire
2. Product Sampling
To be declared competent on the Apply concepts and principles
of business ethics in the professional environment module
(formative assessment), you should have obtained at least 80% of
the total mark of this assessment.
You will be provided with detailed feedback on your performance
of this assessment as follows:
1. Written Feedback
2. Verbal Feedback
Should you be declared “not yet competent” on this assessment,
you will be entitled for re-assessment opportunity/ies.
You will be required to re-submit evidence (only for areas) you
were declared not yet competent. A date for re-submission will be
agreed with the assessor.
You will be entitled to lodge an appeal should you not be satisfied
with the assessment decision of your assessment.
You will be required to provide the assessor feedback on
assessment procedure – this is to assist in improving the
assessment practices.
Your results of assessment and portfolio of evidence information
will not be provided to any person without your written consent.

Learner’s Declaration

I…………………………………………………………………………………………….herewith declare that I am

ready for the assessment, that we have reviewed the assessment preparation and plan, I understand the assessment

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process and I am happy that the assessment will be conducted in a fair manner.
Learner Signature: Date: Assessor Signature: Date:

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 COMPETENCE JUDGEMENT

OVERALL COMPETENCE RECORD

Candidate Assessor Shari Mattera

Venue Date

Qualification NATIONAL CERTIFICATE: BUSINESS ANALYSIS

Evidence evaluation Relevant Valid Authentic Consistent Current Sufficient

Knowledge questionnaire

EVIDENCE SUMMARY
TYPES OF ASSESSMENT FEEDBACK REQUIREMENTS
EVIDENCE METHODS MET

YES NO

DIRECT KNOWLEDGE
QUESTIONNAIRE

Additional Feedback From Assessor

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 ASSESSMENT DECISION

The candidate has submitted evidence that is valid, relevant, current, sufficient and authentic against the
listed specific outcomes and covered all range statements. (Yes/No)

The candidate is competent in all the assessment criteria listed. (Yes/No)

The candidate is not yet competent in the following The following items needed some corrective action or
criteria: improvement:

RE-ASSESSMENT DECISION: 1

The candidate has submitted additional evidence that was required. The evidence is valid, relevant, sufficient
and authentic against the listed specific outcomes and covered all range statements. (Yes/No)

The candidate is competent in all the assessment criteria listed. (Yes/No)

RE-ASSESSMENT DECISION: 2

The candidate has submitted additional evidence that was required. The evidence is valid, relevant, sufficient
and authentic against the listed specific outcomes and covered all range statements. (Yes/No)

The candidate is competent in all the assessment criteria listed. (Yes/No)

Assessor’s name, surname and signature Date

Shari Mattera 

Declaration by candidate

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I, …………………………………………………………………….declare that I am satisfied that the feedback given
to me by the Assessor was relevant, sufficient and done in a constructive manner. I accept the assessment decisions
and have no further questions relating to this particular assessment process.

Candidate Date Assessor Date Moderator Date

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 APPEALS APPLICATION

Candidate Application Date

Assessor Assessment Date
Assessment Venue

Qualification against NATIONAL CERTIFICATE: BUSINESS ANALYSIS

which you were

assessed

What was the purpose of the

assessment?

Explain how you were assessed?

List the reasons why you disagree with

the assessment decisions.

Another Assessor

Different Assessment Instrument

Which one of the following options could

Different Assessment Method
resolve the matter?

Different Venue for Assessment

Different Time
List any special needs you may have.

Candidate signature Date

Moderator signature Date

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 RE-ASSESSMENT POLICY

The following will apply with reference to the (Insert company name) re-assessment policy:
1. When a candidate has to undergo re-assessment, he/she will be given specific feedback and guidance so
as to concentrate on areas of weakness.
2. The onus is on the candidate to communicate with the assessor to inform him/her when he/she is ready
for assessment
3. The re-assessment will take place in the same/similar situation or context and under the same conditions
4. The same assessment methods and/or instruments may be used, but the task and materials will be
different but at the same level and complexity as the previous task
5. Re-assessment can take place a maximum of 2 times per candidate, per unit standard. Any further
reassessment must be discussed with the clients so as to arrive at the best solution and advice for the
learner.
6. A maximum of 3 months will be allowed in between each re-assessment, unless otherwise discussed
between the parties
7. Guidance will be given to those candidates who are unsuccessful after 3 attempts, and possible and
more suitable learning avenues will be offered to learners. Costs will be discussed with the SETA and
client and any costs incurred will be at a learners’ cost.

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 ASSESSMENT REVIEW

Candidate Assessor Shari Mattera

Venue Review date
Qualification NATIONAL CERTIFICATE: BUSINESS ANALYSIS

Review Dimension ASSESSOR CANDIDATE ACTION

The principles/criteria for good assessment Agree Agree

were achieved. Disagree Disagree

The assessment related to the registered unit Agree Agree

standard. Disagree Disagree

Agree Agree
The assessment was practicable.
Disagree Disagree
It was time efficient and cost-effective and Agree
Agree
did not interfere with my normal
Disagree Disagree
responsibilities.
The assessment instruments were fair, clear Agree Agree
and understandable. Disagree Disagree

The assessment judgements were made Agree Agree

against set requirements. Disagree Disagree

Agree Agree
The venue and equipment were functional.
Disagree Disagree

Special needs were identified and assessment Agree Agree

plan was adjusted. Disagree Disagree

Feedback was constructive against the Agree Agree

evidence required. Disagree Disagree

Agree Agree
An opportunity to appeals was given.
Disagree Disagree

Agree Agree
The evidence was recorded.
Disagree Disagree

CANDIDATES DECLARATION OF UNDERSTANDING

I am aware of the moderation process and understand that the moderator could declare the assessment decision invalid

Candidate Date Assessor Date Moderator Date

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 Unit Standard Alignment
Assessment Matrix: US ID: 12891

APPLY CONCEPTS AND PRINCIPLES OF BUSINESS ETHICS IN THE NQF

Unit standard ID: 12891 Credits: 5
PROFESSIONAL ENVIRONMENT Level: 6

Unit standard range N/A

Specific
Specific outcomes and Delivery Formative Summative Date &
Media Aids, Formative Outcome
assessment criteria Methods activities Assessment Strategy signature
Resources Assessment Strategy Reference

P = Project Q = Questioning B = Brainstorming R = Role-play CS = Case Study

Formative Assessment Strategy Legend
W = Workplace Activity S = Self Assessment Checklist

O = Observation Q = Questioning PS = Product Sampling R = Role-play CS =

Summative Assessment Strategy Legend
Case Study T = Testimonial P = Project

Specific Outcome 1 Demonstrate an understanding of the concepts and principles relating to business ethics

Outcome Range

AC1.1 Facilitation. Learner Q, W Activity 1 -3 Task 1 -2 Learner Guide:

The philosophy and Classroom Manual, Identifying p.8- 18
framework of ethical conduct discussion. Classroom
Written question
is explained in a meaningful equipment Workbook:
displaying data
manner p.8 - 13
graphically

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AC 1.2 Facilitation. Learner Q, W Activity 1 -3 Task 1 -2 Guide:
The corporate code of ethics Classroom Manual, Identifying p.8- 18
of a corporation/business discussion. Classroom
Written question
entity is described in relation equipment Workbook:
displaying data
to general principles of p.8 - 13
graphically
corporate behaviour within the
organisation and/or profession

AC 1.3 Facilitation. Learner Q, W Activity 1 -3 Task 1 -2 Guide:

Codes of professional conduct Classroom Manual, Identifying p.8- 18
are explained in accordance discussion. Classroom
Written question
with their related regulations equipment Workbook:
displaying data
p.8 - 13
graphically

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 Specific
Specific outcomes and Delivery Formative Summative Date &
Media Aids, Formative Outcome
assessment criteria Methods activities Assessment Strategy signature
Resources Assessment Strategy Reference

P = Project Q = Questioning B = Brainstorming R = Role-play CS = Case Study

Formative Assessment Strategy Legend
W = Workplace Activity S = Self Assessment Checklist

O = Observation Q = Questioning PS = Product Sampling R = Role-play CS =

Summative Assessment Strategy Legend
Case Study T = Testimonial P = Project

Specific Outcome 2 Exercise professional judgement with regard to practical situations.

Outcome Range

AC2.1 Facilitation. Learner Q, W Activity 4- 5 Task 3 -4 Learner Guide:

Practical situations are Classroom Manual, Identifying p.19 - 28
analysed to enable the discussion. Classroom
Written question
practitioner to make equipment Workbook:
displaying data
professional judgements in P. 14 -17
graphically
relation to the applicable code
of professional conduct

AC2.2 Facilitation. Learner Q, W Activity 4- 5 Task 3 -4 Learner Guide:

Professional judgement is Classroom Manual, Identifying p.19 - 28
applied to practical situations discussion. Classroom Workbook:
Written question
in accordance with the equipment P. 14 -17
displaying data
applicable code of
graphically
professional conduct

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AC 2.3 Facilitation. Learner Q, W Activity 4- 5 Task 3 -4 Learner Guide:
Professional judgement is Classroom Manual, Identifying p.19 - 28
exercised in line with the discussion. Classroom Workbook:
Written question
organisational code of ethics equipment P. 14 -17
displaying data
graphically

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 Specific
Specific outcomes and Delivery Formative Summative Date &
Media Aids, Formative Outcome
assessment criteria Methods activities Assessment Strategy signature
Resources Assessment Strategy Reference

P = Project Q = Questioning B = Brainstorming R = Role-play CS = Case Study

Formative Assessment Strategy Legend
W = Workplace Activity S = Self Assessment Checklist

O = Observation Q = Questioning PS = Product Sampling R = Role-play CS =

Summative Assessment Strategy Legend
Case Study T = Testimonial P = Project

Specific Outcome 3 Use ethical procedures in a professional environment.

Outcome Range

AC 3.1 Facilitation. Learner Q, W Activity 6-7 Task 5 -6 Learner Guide:

Ethical procedures are used in Classroom Manual, Identifying p.28 -32
the professional environment discussion. Classroom
Written question
that comply with the code of equipment Workbook:
displaying data
professional conduct p.18 - 19
graphically

AC3.2 Facilitation. Learner Q, W Activity 6-7 Task 5 -6 Learner Guide:

Situations are evaluated to Classroom Manual, Identifying p.28 -32
judge the professional discussion. Classroom
Written question
intervention and procedure equipment Workbook:
displaying data
that are most appropriate p.18 - 19
graphically

AC3.3 Facilitation. Learner Q, W Activity 6-7 Task 5 -6 Learner Guide:

Procedures are developed and Classroom Manual, p.28 -32

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implemented, where discussion. Classroom Identifying
necessary, in accordance with equipment Written question Workbook:
organisational and p.18 - 19
displaying data
professional ethics
graphically

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 Summative
Critical cross-field outcomes Description Formative activities Comments
assessment

UNIT STANDARD CCFO Activity 1-7 Task 1 - 6

IDENTIFYING
Identify and solve problems in which
responses display that responsible
decisions using critical and creative
thinking have been made.

UNIT STANDARD CCFO Work effectively with others as a

WORKING member of a team, group,
organisation and community.

UNIT STANDARD CCFO Organise and manage oneself and Activity 1-7 Task 1 - 6
ORGANISING one`s activities responsibly and
effectively.

UNIT STANDARD CCFO Collect, organise and critically

COLLECTING evaluate information.

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UNIT STANDARD CCFO Communicate effectively using
COMMUNICATING visual, mathematical and language
skills in the modes of oral and written
presentations.

UNIT STANDARD CCFO Demonstrate an understanding of the

DEMONSTRATING world as a set of related systems.

UNIT STANDARD CCFO Be culturally and aesthetically

CONTRIBUTING sensitive across a range of social
contexts.

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 Assessment Instruments

WORKBOOK ASSIGNMENTS & STRUCTURED QUESTIONS

Learner’s name See Attached name list

Shari Mattera
Assessor’s name

Moderator’s name

Date of assignments

Date of feedback
Standard Operating procedures
# Unit Standard(s) Comments / Remarks C NYC

12891 Apply concepts and principles

of business ethics in the
professional environment

Learner’s overall achievement Competent / Not yet competent YES NO

Actions required Certification Re-assessment Date of re-assessment

Learner’s signature See Attached Name list

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 Assessor’s signature

Moderator’s signature

WRITTEN KNOWLEDGE QUESTIONNAIRE

See Attached name list
Learner’s name

Shari Mattera
Assessor’s name

Moderator’s name

Date of Written Questionnaire

Date of feedback

# Unit Standard(s) Standard Operating procedures Comments / Remarks C NYC

12891 Apply concepts and principles of

business ethics in the professional
environment

Learner’s overall achievement Competent / Not yet competent YE NO

S

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Actions required Certification Re-assessment Date of re-assessment

Learner’s signature See Attached Name list

Assessor’s signature

Moderator’s signature

PRODUCT SAMPLING (Practical exercises)

Learner’s name See Attached name list

Shari Mattera
Assessor’s name

Moderator’s name

Date of Observation

Date of feedback

# Unit Standard(s) Standard Operating procedures Comments / Remarks C NYC

12891 Apply concepts and principles of

business ethics in the professional
environment

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 Learner’s overall achievement Competent / Not yet competent YES NO

Actions required Certification Re-assessment Date of re-assessment

Learner’s signature See Attached Name list

Assessor’s signature

Moderator’s signature

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