TVET CURRICULUM DEVELOPMENT, ASSESSMENT AND CERTIFICATION

COUNCIL (TVET CDACC)

COMPETENCE ASSESSMENT AND CERTIFICATION FRAMEWORK

(DRAFT I)

2017

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Table of Contents
SECTION I: INTRODUCTION.........................................................................................................................6

Mandate and strategic focus of the Council on assessment and certification............7

1.2 Theoretical background of competency based assessment......................................7

1.3 Contextual background of competency based assessment.......................................7

SECTION II: PURPOSE AND OBJECTIVES OF THIS FRAMEWORK.............................8

2.1 Purpose.........................................................................................................................................8

2.2 Objectives....................................................................................................................................8

SECTION III: ACCREDITATION.....................................................................................................9

3.1 Accreditation of assessors......................................................................................................9

3.2 Accreditation of verifiers.........................................................................................................9

3.3 Accreditation of an assessment center...........................................................................10

SECTION IV: DESIGN, DEVELOPMENT AND REVIEW OF ASSESSMENT TOOLS

.................................................................................................................................................................. 11

A. PLANNING......................................................................................................................................11

1. Identify the trainees/candidates....................................................................................11

2. Visualize competence.......................................................................................................11

3. Examine benchmarks........................................................................................................11

4. Identify evidence gatherer...............................................................................................11

5. Identify assessment venue.............................................................................................12

6. Choose the assessment method..................................................................................12

B. DESIGN AND DEVELOPMENT..................................................................................................12

1. Context and conditions of assessment........................................................................12

2. Items of the Assessment tool..........................................................................................12

3. Instructions to trainees/candidates and assessors.................................................13

4. Tasks to be administered to the trainee/candidate.................................................13

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 5. Evidence criteria used to judge the quality of performance................................13

6. Administration, recording and reporting requirements.........................................13

C. TRIAL AND REVIEW ASSESSMENT TOOLS.........................................................................14

SECTION V: VALIDATION OF ASSESSMENT TOOLS...............................................................15

SECTION VI: ASSESSMENT PROCESS........................................................................................16

Role of players in assessment process................................................................................16

I. TVET CDACC..............................................................................................................................16

II. Assessment center................................................................................................................16

III. Assessment center manager............................................................................................16

IV. Assessment officer................................................................................................................17

V. Internal verifier........................................................................................................................17

VI. Technician................................................................................................................................17

VII. Candidate...............................................................................................................................18

VIII. External assessor...............................................................................................................18

IX. External verifier.....................................................................................................................18

X. Sector Skills Advisory Committees (SSACs).................................................................18

Types of assessment......................................................................................................................19

Process of formative assessment..............................................................................................19

Process of summative assessment...........................................................................................19

A. Planning..................................................................................................................................19

B. Pre-assessment....................................................................................................................19

C. Assessment...........................................................................................................................20

D. Post-assessment..................................................................................................................20

Process of assessment for recognition of prior learning (RPL)........................................20

Sufficiency of assessment evidence........................................................................................21

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SECTION VII: VERIFICATION OF ASSESSMENT................................................................22

Internal verification........................................................................................................................22

Internal Verification Process........................................................................................................22

External verification.......................................................................................................................23

External verification process.......................................................................................................23

Requirements for external verification....................................................................................24

Appeals procedure..........................................................................................................................24

SECTION VIII: RESULTS MANAGEMENT AND CERTIFICATION..................................25

Role of various players in results management...................................................................25

TVET CDACC..................................................................................................................................25

Assessment center manager..................................................................................................25

External assessor........................................................................................................................25

Certification...................................................................................................................................25

Types of Certification.................................................................................................................25

A. Registration..............................................................................................................................25

B. Assessment and verification of assessments..............................................................26

C. Review and approval............................................................................................................26

D. Entry into TVET CDACC certification register...............................................................26

E. Issuance of certificate to candidate................................................................................26

8. The candidate is issued with certificate by the assessment center

manager.SECTION IX: COMMUNICATION PLAN.................................................................26

SECTION IX: COMMUNICATION PLAN...................................................................................27

SECTION X: MOBILIZATION AND MANAGEMENT OF RESOURCES.........................28

Management of resources...........................................................................................................28

SECTION XI: RISK MANAGEMENT...........................................................................................29

APPENDICES.......................................................................................................................................30

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 Appendix I..........................................................................................................................................30

Appendix II.........................................................................................................................................33

Appendix III.......................................................................................................................................34

Section A- Assessment Center Details.................................................................................34

Section B Qualifications for which Accreditation is being sought...........................34

Section C Personnel................................................................................................................34

Section D Center Accreditation Criteria...........................................................................35

Appendix IV.......................................................................................................................................37

Checklist for validation of assessment tools.....................................................................37

Appendix V........................................................................................................................................38

Assessment plan template......................................................................................................38

ASSESSMENT PLAN.............................................................................................................................38

Qualification..................................................................................................................................38

Candidates Name & Reg. No.................................................................................................38

Assessors Name.........................................................................................................................38

Employer Contact Details(where applicable)....................................................................38

Location of Assessment............................................................................................................38

Assessment Date........................................................................................................................38

Time.................................................................................................................................................38

Industry Specialist if required.................................................................................................38

APPENDIX VI......................................................................................................................................41

Application Form for Assessment for Recognition of Prior Learning.........................41

APPENDIX VII.....................................................................................................................................43

ASSESSMENT APPEAL FORM....................................................................................................43

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 SECTION I: INTRODUCTION
This Assessment and Certification Framework by Technical and Vocational
Education and Training Curriculum Development, Assessment and
Certification Council (TVET CDACC) provides a comprehensive guide to
Assessment Centers and Sector Skills Advisory Committees (SSACs) on the
process of management of Competency Based Assessment and Certification.
The framework describes the process through which competence
assessment and certification is conducted.

The framework flows from Sessional Paper No. 4 of 2016 (formerly No. 14 of
2012) on Reforming Education and Training in Kenya, Technical and
Vocational Education and Training Act, 2013, TVET CDACCs Strategic Plan
and Operations Manual.

Mandate and strategic focus of the Council on assessment and certification

Article 44(1) of TVET Act, 2013 established TVET CDACC which is mandated
to undertake design and development of curricula for the training
institutions examination, assessment and competence certification. This is
emphasized by the strategic objective No. 5 of the TVET CDACC Strategic
Plan which focus on outcome based assessment and certification.

1.2 Theoretical background of competency based assessment

The theoretical origins of Competency Based Assessment derive principally
from behaviourism and systems theory. Behaviorists believe that trainees
work for things that bring them positive feeling and that, small progressively
sequenced tasks ensure that they remain focused during the learning
process. Behaviorism is primarily concerned with observable and measurable
aspects of human behavior. This theory emphasizes changes in behavior that
result from stimulus-response associations made by the trainee.

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System theorists suggest that a system can be broken down into its
individual components such that each component is analyzed as an
independent entity and that the components can be added linearly to
describe the totality of the system. In addition, knowing one component of a
system enables an individual to know something about another. Therefore, in
Competency Based Education and Training approach, a trainee can be
assessed in one unit of competency and then proceed to the next unit of
competency until the whole qualification is achieved.

1.3 Contextual background of competency based assessment

Skills development system in Kenya follows a curriculum-based, time-bound
approach rather than demand-driven approach. Most TVET programmes
developed were not well aligned to the relevant provisions of the
Constitution 2010, aspirations of Kenya Vision 2030, the East African
Community protocol, International Standards and the needs of the society.

To solve the problem of mismatch between skills possessed by TVET

graduates and skills demanded by industry the government has adopted
Competency Based Education and Training approach. In this approach, the
development of training programmes is industry-led and certification is
based on demonstration of competency. In addition, it allows for multiple
providers of curriculum, examinations, assessment and training services and
flexible entry and exit points for trainees.

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 SECTION II: PURPOSE AND OBJECTIVES OF THIS FRAMEWORK

2.1 Purpose
This framework is meant to guide internal and external assessors and
verifiers, trainees, candidates, assessment officers, assessment managers,
Sector Skills Advisory Committees (SSACs), TVET CDACC personnel and all
other players involved in competence assessment and certification process.

2.2 Objectives
The objectives of this framework are to:
1. Describe procedures and guidelines for accreditation of assessors,
verifiers and assessment centers
2. Outline the role of various players in competence assessment process
3. Guide on the development, validation and review of assessment tools
4. Outline process of formative and summative assessments; and
assessment for recognition of prior learning
5. Guide on verification of assessment process
6. Guide on results management and competence certification

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 SECTION III: ACCREDITATION
Accreditation is the process of officially recognizing someone as being
qualified to perform a particular activity and is documented through the
issuance of an accreditation certificate.

3.1 Accreditation of assessors

An assessor may be a:
i. Trainer
ii. Workplace trainer
iii. Skilled worker
iv. Supervisor in industry or training institution

Assessors are classified into two: internal and external assessors depending
on whether they are involved in the training of the candidate or not.

TVET CDACC has established a mechanism for accreditation of competent

assessors to support it in assessment of candidates. The process involves the
steps below:

1. An individual interested in accreditation as an assessor applies to TVET

CDACC by completing the prescribed form, application form for
accreditation of assessor and verifier (appendix I).
2. TVET CDACC evaluates the application and organizes training for
prospective assessors.
3. An individual who is judged competent is awarded an accreditation
certificate.
4. The assessor is then entered into TVET CDACCs database of assessors.

3.2 Accreditation of verifiers

Verification is a quality assurance process of competence assessment.
Verifiers are classified into two:
i. Internal verifiers
ii. External verifiers

An internal verifier is a trainer in the institution who is an expert in the field

being assessed, more experienced and qualified than the trainer. On the
other hand, an external verifier may be an expert worker in industry, a
trainer from a different institution or an officer from TVET CDACC.

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TVET CDACC has established a mechanism for accreditation of verifiers. The
process involves the steps below:

1. An individual interested in being accredited as a verifier applies to

TVET CDACC by completing the prescribed form, application form for
accreditation of assessor and verifier (appendix I).
2. TVET CDACC evaluates the application and organizes training for
prospective verifiers.
3. An individual who is judged competent is awarded an accreditation
certificate.
4. The verifier is then entered into TVET CDACCs database of verifiers.

3.3 Accreditation of an assessment center

An assessment center is a training institution, industry or a set up accredited
by TVET CDACC for carrying out competence assessments.

TVET CDACC has established a mechanism for accreditation of assessment

centers. The process is outlined below:

1. An assessment center conducts a self-evaluation exercise using self-

evaluation checklist for assessment center (appendix II)
2. If the center is ready it submits a duly filled application form for
accreditation of assessment center (appendix III) together with
accreditation fees
3. TVET CDACC evaluates the application documents
4. If the application does not warrant further consideration TVET
CDACC replies to the center with recommendations for improvement
5. If the application meets the required standards, TVET CDACC
commissions an audit team to carry out an assessment and write a
report
6. TVET CDACC reviews the report to ascertain whether the center meets
the standards for accreditation
7. The assessment center is issued with an Accreditation Certificate
8. The Center is then entered into TVET CDACCs assessment centers
database

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 SECTION IV: DESIGN, DEVELOPMENT AND REVIEW OF ASSESSMENT
TOOLS
Assessment tools or evidence-gathering tools are materials that enable
assessors and verifiers to collect evidence using specific assessment
method(s). They consist of instruments and procedures used to gather,
evaluate, interpret and document evidence of competence.

There are three main steps when designing and developing assessment
tools:
A. Planning
B. Design and development
C. Review and trial assessment tools

A. PLANNING
In planning for assessment, consider how a trainee will:
Demonstrate the task
Get instructions for the task
Demonstrate ability to perform the task in different contexts and
environments

When planning for assessment its vital to:

1. Identify the trainees/candidates

It is important to identify the trainee/candidate group in order to design
appropriate tools. Consider the general needs of the group since it is difficult
to take into consideration each trainee/candidate specific needs.

2. Visualize competence
Start by testing your own understanding of the requirements of unit(s) of
competency by visualizing a competent person at work. Consider the tasks
the person will perform and manage, the contingencies that may arise and
the contexts in which the trainee is likely to apply the skills learnt. This will
enable the choice of an appropriate assessment methodology.

3. Examine benchmarks
Set criteria or benchmarks against which to assess the trainees/candidates
competencies. The occupational standards of a unit of competency are the
benchmarks against which a trainee/candidate is assessed. Other
benchmarks include evidence guide from accredited courses, organizational
benchmarks such as operating procedures, occupational safety and health
standards and product specifications.

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 4. Identify evidence gatherer
Consider whether it is the candidate, the assessor or a third-party who will
collect evidence. The instrument and instructions of the assessment tools
should clarify what is expected and provide a clear structure to be followed.

5. Identify assessment venue

In many instances, the requirements of the unit of competency determine
the venue of assessment. Some units of competency require assessment to
occur in the workplace. Other units recognize that, for reasons of safety,
cost, space, or access to equipment and resources, assessment can take
place in simulated conditions which represent workplace conditions as
closely as possible.
6. Choose the assessment method
This involves weighing up a range of assessment methods in order to decide
upon the best for particular unit(s) of competency. Using a range of
assessment methods helps produce valid decisions and recognizes that
trainees/candidates demonstrate competence in a variety of ways.

B. DESIGN AND DEVELOPMENT

An assessment tool comprises a number of components which ensure
assessment is conducted in a manner that is fair, flexible, valid and reliable.
These components include:
1. Context and conditions of assessment
2. Items of the assessment tool
3. Instructions to trainees/candidates and assessors
4. Tasks to be administered to the trainee/candidate
5. Evidence criteria used to judge the quality of performance
6. Administration, recording and reporting requirements

1. Context and conditions of assessment

The context and conditions of assessment considers those characteristics
that may impact on performance of the trainee/candidate. The context of the
assessment may also take into account assessments already completed, and
the competencies demonstrated in these assessments. Any conditions
should be clarified in the instructions to ensure consistency in the application
of the assessment tool. Reasonable adjustment may be made to an
assessment tool depending on specific needs of a trainee/candidate.

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 2. Items of the Assessment tool
Assessment tools generally make provision for the following practical
requirements:
trainees/candidates name
assessors name
date of assessment
title of the unit of competency(s)
context of the assessment
procedure for the assessment
list of knowledge/skills to be assessed
outcome of the assessment
feedback to the trainee/candidate
trainees/candidates signature and the date
assessors signature and the date
instructions to the trainee/candidate, the assessor or other evidence
gatherer
assessment requirements

3. Instructions to trainees/candidates and assessors

Instructions to the trainees/candidates and assessors are an integral part of
all assessment tools. Instructions should address the what, when, where,
how, and why of assessment process. Suggestions on reasonable
adjustment should be included to accommodate diversity and/or advice on
recording requirements for the assessor.

Where a trainee/candidate is required to submit evidence, the instructions

must include guidance on:
What to include as evidence
How to submit the evidence, and
How to present the evidence

4. Tasks to be administered to the trainee/candidate

The trainee/candidate clearly needs to understand the task to perform to
demonstrate competency. The instructions should be clear such that no
further clarification is required.

5. Evidence criteria used to judge the quality of performance

These are the rules used to make judgments about whether competency has
been achieved. Evidence criteria are used by an assessor to ensure
consistent outcomes when:
Checking evidence quality (i.e. the rules of evidence)

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 Judging how well the learner performed according to the standard
expected, and
Collating evidence from multiple sources to make an overall judgement

The evidence criteria should not be open to interpretation. The criteria must
provide sufficient clarity for assessment judgements to be consistent across
a range of assessors and points in time.

6. Administration, recording and reporting requirements

Assessment records must be securely retained and produced when required.
Where possible retain the actual piece(s) of work completed by the
trainee/candidate for a period determined by TVET CDACC from time to time.
The completed evidence criteria may be sufficient where it is not possible to
retain the trainees/candidates actual work. Assessment tool should have
provision for feedback to the trainee/candidate.

Assessment tools must be designed to comply with internal and external

processes and procedures for administration, recording and reporting of
assessment outcome.

C. TRIAL AND REVIEW ASSESSMENT TOOLS

Several checks should be done before implementing a new assessment tool.
Consultation with industry will confirm if the content of the tool is correct and
relevant to the workplace. Industry representatives and the trainers could
critique the tool for its:
Clarity
Reliability
Validity
Content accuracy
Relevance, and
Appropriateness of language for the trainee/candidate

Reviewing the tool with peer assessors can check whether:

The tools will address all assessment requirements of the unit of
competency or accredited course
The level of difficulty is appropriate to the unit of competency
The tools will enable effective and efficient collection of evidence

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 Clear instructions are provided which can be easily understood by the
trainee/candidate, assessor and third party

Trialing the tool tests the effectiveness of the tool without affecting a
trainee/candidate. The findings of the trial will help predict whether the tool
would:
Be cost effective to implement
Be engaging to the trainee/candidate, and
Produce valid and reliable evidence

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SECTION V: VALIDATION OF ASSESSMENT TOOLS
Validation of assessment tools is a quality review process that ensures valid
assessment judgements are made. It involves checking that the assessment
tool produces valid, reliable, sufficient, current and authentic evidence.

The validation process involves reviewing a sample of the assessment tools

and making recommendations for improvements.

A validation plan is prepared and includes the following:

1. The individuals to participate in the validation activities
2. The specific tools to be validated
3. The time when validation will occur
4. The action plan of the validation recommendations

Validation is done by a team of at least two people who hold:

1. Current competencies relevant to the assessment tool being validated
2. Training in assessment recognized by TVET CDACC

The checklist for validation of assessment tools (appendix IV) is used for
validating assessment tools.

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SECTION VI: ASSESSMENT PROCESS
Assessment is the process of evaluating an individuals attainment of
competence through collecting evidence of their competence and judging
that evidence against defined standards. The assessment may be conducted
either in a training institution or an industry (work place) accredited by TVET
CDACC.

The assessment process is a series of steps that candidates and assessors

move through while undertaking the assessment. In this process, there are
various players each with distinctive role as discussed below:

Role of players in assessment process

Assessment of competence is a process that involves various players at
different levels. The roles of these players are outlined below:

I. TVET CDACC
TVET CDACC is the qualifications awarding body and its functions include:
1. Developing, reviewing and disseminating assessment and certification
guidelines
2. Accrediting assessment centers, assessors and verifiers
3. Providing external verifiers
4. Co-coordinating development, review and validation of assessment
tools
5. Coordinating assessment within accredited assessment centers
6. Coordinating external verification process
7. Making final decisions on appeals by candidates concerning
assessment outcome
8. Managing assessment records/database
9. Quality assuring assessment process

II. Assessment center

An assessment center is a training institution, industry or a set up accredited
by TVET CDACC for carrying out competence assessments.

Its functions include:

1. Providing infrastructure, tools and equipment and consumables for
assessment
2. Providing assessors and verifiers

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 3. Implementing recommendations from TVET CDACC quality assurance
reports

III. Assessment center manager

He/she is responsible for ensuring that the management and quality
assurance systems for all TVET CDACC qualifications are maintained in the
assessment center.

His/her functions include:

1. Ensuring accredited assessors and verifiers are involved in the
assessment and verification processes in accordance with TVET CDACC
guidelines
2. Requesting TVET CDACC for assessment tools
3. Disseminating correspondence between TVET CDACC and the center to
all relevant stakeholders within the center
4. Coordinating development, review and validation of assessment tools
5. Coordinating quality assuring assessment process as per guidelines set
by TVET CDACC
6. Collecting assessment fees from candidates
7. Planning and ensuring assessment is conducted as per TVET CDACC
guidelines
8. Storing and retrieving assessment outcomes
9. Handling assessment outcomes appeals
10. Implementing any corrective actions recommended by TVET CDACC

IV. Assessment officer

He/she is in charge of assessment registration, certification claims and
administration of assessment in a center. His/her functions include:
1. Liaising with internal verifiers on registration of candidates
assessment
2. Ensuring registration details are correct
3. Making security and storage arrangements for assessment tools
4. Coordinating requisition for equipment and materials for assessment
5. Ensuring assessment is conducted in accordance with TVET CDACC
guidelines

V. Internal verifier
An internal verifier monitors the work of assessors involved in assessment of
a qualification. He/she ensures that assessors conduct assessment as per
standards set by TVET CDACC.

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His/her functions include:
1. Liaising with the assessment manager and the assessment officer on
matters of assessment
2. Ensuring that assessors follow the assessment guidelines provided by
TVET CDACC

3. Sampling assessment activities, methods and records to monitor

consistency of assessment decisions
4. Maintaining up to date records of internal verification and sampling
activities and ensuring that these are available for external verification
5. Providing assessors with prompt, accurate and constructive feedback on
their assessment decisions

6. Ensuring that candidates records and assessment documentation are

completed in accordance with TVET CDACC guidelines

7. Organizing regular meetings between all those involved in assessment

within the center

8. Conducting internal verification in the center

VI. Technician
Technician undertakes preparation work for a particular assessment and
repairs faults in machines/equipment in case they occur.

VII. Candidate
Candidates functions include:
1. Discussing and agreeing on assessment plan with assessors
2. Identifying possible sources of evidence
3. Producing evidence of current competence and of prior achievement
(where applicable)
4. Maintaining and presenting all documentary evidence
5. Ensuring sufficient evidence is presented for assessment
6. Preparing and availing self for assessment
7. Adhering to TVET CDACC assessment rules and regulations
8. Following internal appeals procedure when necessary
VIII. External assessor
An external assessor is an expert in a specific skill area accredited by TVET
CDACC to conduct assessment for certification. This assessment may take
place at different points of the learning process, but the candidates must
have been informed that their assessment results will contribute towards
their certification.

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His/her functions include:
1. Conducting summative assessment and assessment for recognition of
prior learning
2. Providing feedback to trainee/candidate after assessment
3. Submitting assessment results to TVET CDACC
4. Reporting on the assessment with recommendations in his/her area of
expertise
5. Conducts follow up reviews and on-site visits when necessary

IX. External verifier

An external verifier is an expert in a specific skill area accredited by TVET
CDACC to carry out external verification.

His/her functions include:

1. Examining assessment and internal verification documentation
2. Auditing assessment facilities for standards compliance
3. Sample and assess candidates
4. Conducting external verification and providing feedback to TVET
CDACC
5. Providing information and advice to assessment centers

X. Sector Skills Advisory Committees (SSACs)

A Sector Skills Advisory Committee is a team of experts nominated by
industry and appointed by TVET CDACC to represent a given sector. It forms
a link between TVET CDACC and the industry.

SSACs functions include:

1. Recommending to TVET CDACC external assessors and verifiers
2. Validating assessment tools
3. Reviewing assessment tools
4. Recommending industry assessment centers

Types of assessment
There are four types of assessment: diagnostic, formative, summative and
assessment for recognition of prior learning (RPL).

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Process of formative assessment
Formative assessment is conducted during the course of training at different
intervals by the internal assessor (trainer).

1. The assessor obtains the assessment tools from the assessment officer
2. The assessor makes a requisition of resources for assessment
3. The trainee performs the assessment task(s) as the assessor collects
the evidence
4. The assessor makes judgment and records trainees results
5. Assessor gives assessment feedback to the trainee
6. The assessor and the candidate discuss the way forward based on the
assessment outcome
7. Assessor completes assessment documents and maintains records
8. The assessor submits a copy of assessment results to internal verifier
who keeps a copy and submits another copy to the assessment officer

Process of summative assessment

Summative assessment is assessment conducted during and on completion
of training either on- or off-the-job. TVET CDACC prepares and validates
assessment tools for conducting summative assessment based on industry
endorsed national occupational standards.

Summative assessment process consists of the following four major stages:

A. Planning
B. Pre-assessment
C. Assessment
D. Post-assessment

A. Planning
1. Assessment center requests TVET CDACC for assessor for a given
unit(s) of competency or a qualification. This request must be
accompanied by an assessment schedule.
2. TVET CDACC allocates assessor to the assessment center and provides
assessment tool(s).

B. Pre-assessment
1. Assessor establishes the assessment context, identifies relevant
occupational standards, evidence required and identifies any support
material needed to facilitate the assessment process.

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 2. Assessor develops an assessment plan (appendix V) in conjunction
with the candidate
3. Assessor carries out reasonable adjustment on the assessment tool(s)
where applicable.
4. Assessor prepares the candidate(s) by:
i. Explaining the context and purpose of the assessment and the
assessment process
ii. Outlining the assessment procedure
iii. Determining the candidates readiness for the assessment
iv. Discussing the appeal system and re-assessment

C. Assessment
1. The candidate performs the assessment task(s) as the assessor
collects the evidence
2. The assessor makes the judgment and records candidates results

D. Post-assessment
1. Assessor gives assessment feedback to the candidate
2. The assessor and the candidate discuss the way forward based on the
assessment outcome
3. Assessor completes assessment documents and submits to TVET
CDACC
4. A candidate not satisfied with the assessment outcome appeals
through the laid down appeals procedure.

Process of assessment for recognition of prior learning (RPL)

Assessment for recognition of prior learning is conducted to formally
acknowledge competence gained on-the-job or as a result of other informal
or unstructured learning experiences.

The process involves the steps below:

1. TVET CDACC invites applications from the general public and an

individual responds to the invitation by submitting duly filled Assessment
for Recognition of Prior Learning form (appendix VII) to an assessment
center or alternatively an individual applies to a center for assessment in
a specific area of competence

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2. Two internal assessors conduct an initial interview with the candidate to
determine candidates readiness for assessment and orient the candidate
to the qualification and units of competency to be assessed.
3. Assessment center requests TVET CDACC for an assessor for the given
unit(s) of competency or qualification. This request must be accompanied
by an assessment schedule.
4. TVET CDACC allocates an assessor to the assessment center and provides
assessment tool(s).
5. Assessor develops an assessment plan (appendix VI) in conjunction with
the candidate
6. Assessor carries out reasonable adjustment on the assessment tool(s)
where applicable.
7. The candidate performs the assessment task(s) as the assessor collects
the evidence
8. The assessor makes judgment and records candidates results
9. Assessor gives assessment feedback to the candidate
10. The assessor and the candidate discuss the way forward based on the
assessment outcome
11. Assessor completes assessment documents and submits to TVET CDACC
12. A candidate not satisfied with the assessment outcome appeals through
the laid down appeals procedure.

Sufficiency of assessment evidence

The industry will advise on the number of times summative assessment will
be conducted to ensure sufficiency of evidence. At least one summative
assessment will be conducted during industrial attachment.

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 SECTION VII: VERIFICATION OF ASSESSMENT

Verification of assessment is a quality assurance process carried out to

ensure that standards set by TVET CDACC are applied and maintained in the
conduct of assessments.

Verification is done at two levels:

1. Internally by the internal verifier(s)
2. Externally by TVET CDACC

Internal verification
Internal verification of assessment is a quality assurance process carried out
by an accredited internal verifier.

Internal Verification Process

Internal verifier follows the steps outlined below while conducting internal
verification:
1. Develops a schedule for verification activities
2. Examines assessment tools to ensure reliability, validity, practicability
and fairness
3. Conduct meetings with the assessors to validate assessment tools
4. Develop a sampling plan* and select a sample
5. Observe assessors conducting pre-assessment interviews,
assessments and post-assessment interviews and provide feedback to
them.
6. Examine the assessment documents for selected candidates focusing
on validity, reliability, fairness and sufficiency
7. Confirm the authenticity of the candidates evidence for assessment
8. Review assessors judgement of the candidates
9. Conduct assessment of the selected candidates and provide feedback
to assessors on validity, reliability, fairness and sufficiency
10. Review areas of non-conformities (if any) and make recommendations
for improvement
11. Complete the required internal verification documentation and submit
to assessment center manager for onward transmission to TVET
CDACC

*
Sampling during internal verification is guided by:
i. All units must be sampled for each assessor over a period of time

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 ii. Minimum number of candidates in the sample is 30% of the number
of candidates in the group. In case the number of candidates is five
or less all candidates will be evaluated
iii. A range of assessment methods is sampled
iv. Sample is representative of all trainee categories

Internal verification documentation includes records on:

i. Meetings with assessors to validate assessment tools
ii. Outcomes and decisions of further meetings with assessors
iii. Sampling method applied
iv. Results of sampling and subsequent action taken by internal verifier
v. Verification activities in an internal verification report
vi. Non-conformities found during the internal verification process
vii. Information to the relevant personnel of the non-conformities found

External verification
External verification is a quality assurance process which TVET CDACC
undertakes to ensure that assessment center maintains appropriate quality
in its assessment process as per standards set by TVET CDACC. It is
conducted by an external verifier accredited by TVET CDACC.

External verification process

External verifier follows the steps outlined below while conducting external
verification:

1. Obtain verification schedule from TVET CDACC

2. Observe internal verifiers and assessors and provide feedback
3. Develop a sampling plan** for selecting candidates targeting at least
30% of the candidates. In case the number of candidates is five or less
all candidates are evaluated
4. Select a sample and collect documentary evidence for each selected
candidate
5. Check the assessment tools for validity, reliability, fairness and
sufficiency. In cases where workplace tasks are used for assessments,
the external verifier checks that they can provide valid and sufficient
evidence.
6. Examine documentation maintained by assessors and internal verifiers

25
 7. Review areas of non-conformities (if any) and make recommendations
for improvement
8. Complete the required external verification documentation and submit
to TVET CDACC.

The verification report includes record of:

i. results of the verification activities of the external verifier
ii. non-conformities found during verification
iii. other findings and recommendations
**
Sampling during external verification is guided by:
i. All units must be sampled
ii. Sample is representative of all candidate categories
iii. Assessments for the same unit(s) conducted by different assessors are
sampled
iv. A range of assessment methods is sampled

Requirements for external verification

External verifier examines the following:
i. Internal verification reports
ii. Assessment tools for the units to be verified
iii. Documentation maintained by assessors and internal verifiers

Appeals procedure
A candidate has a right to appeal the outcome of an assessment. Candidate
is informed about right to appeal during the pre-assessment meeting when
assessment plan is signed.

Steps to be followed:

1. Address the issue, in the first instance, with the assessor

2. If not satisfied, the candidate fills the prescribed Appeals Form (appendix
VIII) and submits to Internal Verifier.

3. The assessor, internal verifier and candidate discuss the outcome of the
assessment and internal verifier documents the resolutions of the meeting.

26
4. If the candidate is dissatisfied with the resolutions of the meeting, then
he/she can appeal in writing to TVET CDACC using the Appeals Form
(appendix IX ).

5. An appeals panel is formed comprising of TVET CDACCs Quality

Assurance Officer, the internal verifier, external verifier and the Assessor.

6. The panel discusses the appeal and the verdict is communicated to the
candidate and the assessment center manager.

27
 SECTION VIII: RESULTS MANAGEMENT AND CERTIFICATION

Reliable assessment records are critical for the issuance of TVET CDACC
qualifications. A dependable record keeping system is a vital link between
assessment, appeals and certification processes. Confidentiality must be
maintained in the management of assessment results.

Role of various players in results management

TVET CDACC
1. Developing guidelines for results management
2. Maintaining assessment results database
3. Awarding records of achievement and national certificates to
competent candidates

Assessment center manager

1. Maintaining hard and soft assessment results for all candidates
2. Maintaining certification claims data
3. Signing the national certificates and records of achievement
4. Issuing of national certificates and records of achievement
5. Maintaining a hard and soft register of certificates issued
6. Retaining candidates assessment records until their destruction is
authorized as provided for in Law.

External assessor
1. Submitting assessment results to TVET CDACC
2. Maintaining assessment documentation
3. Maintaining a record of persons involved in the assessment process

Certification
Certification is the process of providing an individual with an official
document as an evidence of achieving a part or full qualification.

Types of Certification
TVET CDACC awards the following two types of certificates to competent
individuals:
1. Record of achievement awarded upon demonstrated competence in
a Unit of Competency
2. National certificate awarded upon demonstrated competence in all
Units of Competency in a qualification

Certification process is as follows:

28
A. Registration
1. Trainee/candidate complete registration form and submit it to the
assessment center where it is examined and approved.

2. The trainee/candidate pays the required fees and the form is submitted to
TVET CDACC.

3. Trainee/candidate is assigned a unique identification code and registration

information is entered into TVET CDACCs database.

4. TVET CDACC informs the trainee/candidate and the assessment center of

the unique identification code.

B. Assessment and verification of assessments

5. Candidate is assessed and internal and external verification activities
conducted.

C. Review and approval

6. Claims for certification are submitted to TVET CDACC along with reports
from the external verifiers. Claims for certification are reviewed and
recommendations for certification made to the TVET CDAC Council for
approval.

D. Entry into TVET CDACC certification register

7. Candidate and center are notified of certification decisions and information
entered into the TVET CDACC certification register.

E. Issuance of certificate to candidate

8. The candidate is issued with certificate by the assessment center
manager.

29
 SECTION IX: COMMUNICATION PLAN

TVET CDACC will deploy different tools to address both internal and
external communication on assessment and certification.

For internal communication, TVET CDACC will maximize the potential of

internal communication channels to keep stakeholders abreast with its
assessment and certification activities.

For external communication, TVET CDACC will reach the public through
stakeholder forums, print and electronic media, its website and social media.
TVET CDACC will also leverage on mobile application to ensure easy access
of information on assessment and certification.

The lines of communication on assessment and certification in the flow chart

below will be used by TVET CDACC to communicate with stakeholders:

Ministry of Education

KNQA

Industry
TVET CDACC
(SSACs)

TVETA

External
assessors & Assessment
verifiers Center
HELB
Parents/
guardians/
Sponsors

Trainee/candidate

30
 SECTION X: MOBILIZATION AND MANAGEMENT OF RESOURCES

Competence assessment and certification requires a lot of financial

resources. This calls for strategies of mobilizing resources to make
competence assessment a reality.

The strategies TVET CDACC will use for mobilizing financial resources
include:
1. Lobbying for increased government funding
2. Engaging Higher Education Loans Board (HELB) to lend candidates
assessment and certification fees
3. Establishing networks with development partners for financial
assistance
4. Putting mechanisms in place for collection of A-in-A
5. Lobbying for Public Private Partnership in competence assessment
6. Sensitizing the public on the importance of recognition of prior
learning hence the need for self/parent/guardian sponsorship
7. Advising assessment center manager to make initiatives for
sponsorship of candidates

Management of resources
TVET CDACC emphasizes effective, efficient and economic use of available
resources for assessment and certification processes.

The assessment center is responsible for collection of assessment and

certification fees. A portion of the fees will be sent to TVET CDACC to cater
for assessment and certification administration costs. The ratio of
apportioning will be determined by TVET CDACC in consultation with
assessment centers from time to time.

TVET CDACC will apply the following strategies for management of financial
resources:
1. Use cost-effective ways during assessment and verification
2. Encourage assessment centers to share resources
3. Engage external assessors and verifiers close to assessment center
4. Advocate for recycling of re-usable materials to minimize wastage
5. Adopt paperless approach in sharing documents
6. Ensure no error in final documents before printing

31
 SECTION XI: RISK MANAGEMENT

Risk management involves identification, assessment, and prioritization of

risks followed by coordinated and economical application of resources to
minimize, monitor and control the probability of and/or impact of unfortunate
events and to maximize the realization of opportunities.

TVET CDACC has developed a risk management matrix to ensure that in the
process of competence assessment and certification, uncertainties that may
occur do not deflect the realization of certification of competent individuals.

Risk Management Matrix

Risk Level of Mitigation

Risk
Inadequate High Monitoring of accredited centers for
facilities for standard compliance
competence
assessment
Quality of High Train assessors and verifiers on
assessment tools development of quality assessment
tools
Lack of assessor Medium Verification of assessments
objectivity
Candidate not Low Flexible assessments
ready
Unfavourable Medium Reasonable adjustments
weather
conditions
Hacking of High Engage cyber security services
databases
Fake certificates High Mechanisms for certificates
authentification
Insecurity of High Involvement and Deployment of
candidates, internal security in securing
assessors and assessment process
verifiers

32
 APPENDICES

Appendix I

TVET CURRICULUM DEVELOPMENT, ASSESSMENT AND CERTIFICATION

COUNCIL
(TVET CDACC)

Application form for accreditation of assessor and verifier

TYPE OF APPLICATION TICK

1. Assessor Accreditation

2. Verifier Accreditation

PERSONAL DETAILS

Surname First name Other names

ID No.
(citizen)

Passport No.
(Non-citizen)
Date of Birth
(dd/mm/yyyy)
Gender Male Female
Please tick as
appropriate

Disability Yes No If yes, specify

(Tick
applicable)

Physical Address Postal Address

33
Phone: Mobile:

e-mail:

APPLICANTS QUALIFICATIONS

Academic/Professional Qualifications Achieved (Please attach certified

copies)

APPLICANTS RELATED WORK EXPERIENCE

OCCUPATION PRACTICAL JOB TITLE PERIOD

WORK
EXPERIENCE

You may use additional paper if more space is required.

SPECIFIC INFORMATION

QUALIFICATION(S) (Please indicate QUALIFICATION LEVEL

name(s) of qualification(s) you wish to
be accredited against)

34
EMPLOYER INFORMATION

Full Name of
Employer(please
specify whether
company or
training provider)

Duty station

Postal Address Code City/town

Physical Location

Phone Mobile e-mail

Have you ever been trained in competence assessment? (If Yes No

yes, please indicate the period and attach copy of
certificate).

DECLARATION

I, .declare that
the information contained in this application is true and accurate to the best
of my knowledge.

Signature: Date:
...........................................................

35
Appendix II
Self-evaluation checklist for assessment center
This checklist is designed to assist assessment center manager to determine
whether or not the center is ready to conduct competence assessment. If
you can respond positively to at least 75% of the statements, then you can
submit your application for accreditation of assessment center.

Statements Ye N
s o

1. The physical space is adequate to accommodate the number of

trainees/candidates and support assessment requirements.
2. The equipment and tools available at the center are relevant and up-to
date to support assessment.
3. The storage space is adequate to accommodate the equipment and
tools needed for assessment.
4. Systems are in place to ensure the occupational safety and health
standards are maintained to meet industry standards
5. There is appropriate first aid provision for all workshops, laboratories,
etc.
6. The waste disposal facilities available are adequate.

7. The sanitary facilities available are adequate for the number of

trainers.
8. There is a well-organized system for verification of assessment.

9. There is a proper system in place for managing assessment records in

a safe and secure environment.

10. The trainers are trained in CBET approach.

11. The center has accredited assessors and verifiers for the
competencies applied for accreditation

11. There is a system in place for continuous improvement of trainers,

assessors and internal verifiers.

12. There are mechanisms in place for recruiting competent assessors

and verifiers.

13. There is a properly organized system for managing all assessment

activities.

36
37
 Appendix III
Application form for accreditation of assessment center

Please complete all the relevant sections of this form and submit to TVET
CDACC for processing. You may add additional sheets as necessary to
include the relevant information.

Section A- Assessment Center Details

Name of Institution/organization:

Postal Address: County:

Postal code:
City/town:

Physical address:

Telephone number: Mobile number:

Email Address: Website:

Name of Manager/CEO/Principal:

Section B Qualifications for which Accreditation is being sought

S/No Qualification title Qualification Level(s)
.

Section C Personnel
Please provide details of every trainer for each of the qualifications indicated in section B.

S/No. Name Professional Competence/ Years of

qualifications Skill area experience

38
Section D Center Accreditation Criteria
Please identify and attach the evidence which you will provide to a quality
audit to satisfy the center approval criteria listed below.

Criteria Organizations Evidence

The center has a system in place to

ensure:

A Management

1 Clear management structure, lines of

authority and accountability

2 Effective and efficient management of all

assessment activities

3 Quality assurance of assessment process

B Physical Resources

5 The center has sufficient equipment,

tools, supplies and materials available for
conducting assessment.

6 The equipment and tools available for

conducting assessment comply with the
occupational safety and health
requirements.

7 The physical infrastructure provided for

conducting assessment comply with the
occupational safety and health

39
 requirements.

C Staff Resources

8 There are sufficient and competent

internal assessors and verifiers in the
center.

9 A system to access sufficient competent

and qualified assessors and internal
verifiers to meet the demand for
assessment and verification

1 A staff development programme is

0 established to cater for identified needs

D Trainee/candidate Support

1 There is a system in place for assessment

1 of recognition for prior learning

1 There is provision for counseling services.

2

1 There is an established system for

3 handling appeals and complaints

F Assessment

1 Procedures are in place to ensure

4 assessment is conducted in accordance
with TVET CDACC guidelines

1 Procedures are in place for conducting

5 verification in accordance with TVET
CDACC guidelines

G Trainee/candidate records

1 There is a well-organized system to record

6 trainees/candidates registration
information and assessment results

1 There is a procedure for securely storing

7 trainees/candidates records in a manner
that is easily accessible.

40
1 There is a system for implementing
8 corrective measures recommended by
external verifiers.

41
Appendix IV
Checklist for validation of assessment tools
Review the assessment tool (s) against the Ye N Comments
following: s o

Is the title of Unit of competency indicated?

Does the assessment address the Elements and
Performance Criteria?
Does the assessment obtain evidence to meet the
requirements of the Evidence Guide (Critical
Aspects)?
Does the assessment allow the trainee/candidate
to demonstrate the Required Skills and Knowledge
required for the unit(s) of competency?
Is it clear which Elements/Performance Criteria are
being assessed?
NB: There is need to indicate which Elements/
Performance Criteria are being assessed
Is the assessment designed to produce valid
evidence?
NB: Is it asking for more than required? Can every
aspect of the task be related back to the unit?
Does the assessment task produce sufficient
evidence?

Can evidence be gathered over a period of time?

(competency achieved is maintained)
Can the evidence presented for assessment be
authenticated? (e.g. participation of every
member in group assessment)

Does the assessment comply with the principles of

fairness?

Are the instructions to the assessor on making a

judgment clear?
Are the assessment instructions and conditions
clear and accessible to the trainee/candidate?
Is the material used in the task
culturally/religiously appropriate?
Are all sign off requirements included:
Date
Signatures of assessor and trainee/candidate

42
 Appendix V
Assessment plan template
ASSESSMENT PLAN
Qualification

This Assessment plan is to be completed with the assessor. Your assessor will discuss the
following areas with you.
Purpose and outcomes of the assessment process
Relevant units of competency
Appeals process
Confidentiality and security of information
Special needs/Additional information
Candidates
Name & Phone No.
Reg. No.
Assessors
Name Phone No.
Employer
Contact
Details(w
here Phone No.
applicabl
e)
Location of
Assessm
ent
Assessment
Time
Date
Industry
Specialist
if
required.

Purpose of Assessment:
To establish validation of competency for the candidate against the standards in the units
detailed within this assessment plan.

Unit(s) of Competency:
Element Performance Criteria to be assessed are:

43
Conditions of Assessment (Context):

Assessment Instructions to the candidate:

Brief Description of Tasks required during the gathering

Assessment tasks:
or evidence or during assessment.
The candidate will provide evidence of:

1.
2.
3.

Methods of
Please tick ()
Assessment
Portfolio
Practical
Demonstration
Written Assessment
Questionnaire - Oral
or written to assess
underpinning
knowledge
Observation/Performa
nce Checklists for
demonstration
practical skills
Supplementary
Evidence (Third party
& Workplace

44
 Documents. When
and if applicable)
Other (specify)

Resource requirements for assessment:

For the Assessment of this unit of competency the following resources may be
required:
1.
2.
3.
Supplementary Evidence (to be provided by candidate as agreed upon)

Employability Skills
Employability Skills as given in standards have been integrated into the
assessments which relate to this unit of competency and this assessment plan
Allowable Adjustments:

Date of assessment:

Assessment will take place at a mutually agreed time between the candidate
and the assessor.
DATE: TIME:

Assessors signature: Date:

45
In signing this form the candidate acknowledges that s/he is ready for
assessment and that the assessment process has been fully explained.
Candidate signature confirms understanding and agreement with the
assessment process.

Assessment Complaint/Appeal Procedure

Candidates have the right to challenge the assessment decision made by the
assessor. The following steps are to be followed if a candidate wishes to
exercise this right.

1. The candidate should first discuss his/her opinions with the assessor. If still
not satisfied with the decision the candidate may appeal to internal verifier.
He/she must notify the assessor of the intention to appeal.
2. The internal verifier will notify the assessment officer that an appeal has
been lodged.
3. The internal verifier will collect information from the candidate and assessor
and give a decision.
4. A record of the appeal and any subsequent actions and findings will be
made.

Candidates signature: Date:

46
APPENDIX VI
Application Form for Assessment for Recognition of Prior Learning
PERSONAL DETAILS

Title Surname First name Other names

ID/Passport
No.

Date of Birth

Gender Male Female Please tick as

appropriate

APPLICANTS RELATED WORK EXPERIENCE

INDUSTRY OCCUPATION JOB TITLE PRACTICAL PERIOD (i.e

SECTOR WORK From..to..
EXPERIENCE )

1. You may use additional paper if more space is required.

2. Attach certified copies of evidence.

DESIRED AREA OF ASSESMENT:

..

PLEASE INDICATE ANY SPECIAL NEEDS RELATING TO ASSESSMENT:

47


.....

DECLARATION

I, . declare
that the information contained

in this application is true and accurate to the best of my knowledge, .

Signature: .. Date:
.............................................

48
APPENDIX VII

ASSESSMENT APPEAL FORM

Candidates name:
_______________________________________________________________________
Contact information:. -
____________________________________________________________________
Phone no.
______________________________________________________________________________
_
Email.
______________________________________________________________________________
_____
Candidates id No.
________________________________________________________________________
Assessment Center Name:
________________________________________________________________
Assessment center code:
__________________________________________________________________
Assessors name:
__________________________________________________________________________
Contact information:
_____________________________________________________________________
Phone
no.__________________________________________________________________________
______
Email.
______________________________________________________________________________
_____

49
Assessors id no.
__________________________________________________________________________

Date of assessment:
______________________________________________________________________

Qualifications assessed:
___________________________________________________________________
______________________________________________________________________________
___________
Unit(s) of Competency relevant to this appeal:
______________________________________________________________________________
______
______________________________________________________________________________
______
______________________________________________________________________________
______
______________________________________________________________________________
______

I _______________________________ request a review of the assessment

results with regards to the above mentioned unit(s) of competency.

Candidates signature: . Date:

50