A FRAMEWORK TO DEVELOPAN ASSESSMENTPOLICY

Copyright 2019This eBook may not be copied or reproduced without the

express consent of Encapsulate Consulting Pty Ltd

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BACKGROUND AND CREDIT 01

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1. INTRODUCTION 02

2. DEFINITIONS 02

3. OBJECTIVES 03

5. KEY PRINCIPLES 04

4. SCOPE 03

5.1. USE OF ASSESSMENTS 045.2. REGISTRATION REQUIREMENTS OF REGISTEREDPROFESSIONALS 05

5.3. TEST ADMINISTRATION 065.4. ASSESSMENT VENUES 065.5. INFORMED CONSENT, CONFIDENTIALITY &DISCLOSURE OF INFORMATION 065.6. USE OF ASSESSMENT RESULTS 075.7. THE USE OF DETAILED OR PROFILE SCORES 07

5.8. VALIDITY PERIOD OF ASSESSMENT RESULTS 075.9. ASSESSMENT FEEDBACK 085.10. STORAGE AND SECURITY OF ASSESSMENTMATERIALS, RESULTS, RECORDS AND INFO 08

5.11. COPYRIGHT AND COPYING ASSESSMENTMATERIAL 08

5.12. RESEARCH AND INTERNAL NORMATIVE DATA 085.13. ASSESSMENT COSTING AND PRICING 085.14. USE OF EXTERNAL VENDORS 09

6. BREACH OF POLICIES 097. A GUIDE TO ROLES &RESPONSIBILITIES

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Compiled by Bree LangenhovenCo-Founder, Director and Head of Assessments

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Purpose of this document-

As subject matter experts and industry champions in thefield of Psychometric and Competency BasedAssessments, Encapsulate Consulting have put togetherthis document as a framework to guide companieswishing to create an assessment policy that governs theuse of psychometric instruments.

Who is Encapsulate Consulting?

Encapsulate which means “to express the essentialfeatures of (something) succinctly”, was founded withthe vision to partner businesses to make informedrecruitment decisions by knowing the essential featuresof a job applicant. We aim to encapsulate variousmeasures of the head, hands and heart utilisingscientifically proven tools to give our clients a clearunderstanding of who they are employing.

Our founders/ management team have 45 years of combinedknowledge & experience in assessment and employeescreening. Our mission is to provide a service with the highestethical standards & integrity, to utilise best practise tools andprocesses and exceed client expectations through tailoredsolutions & superior service.

Edited and Designed by Kirsten HalcrowCo-Founder, Director and Head of BusinessDevelopment

Bree was instrumental in the formation of South Africa’soldest screening company, EMPS’s, assessment division,which, in 2015, was bought by EOH, and later merged withManaged Integrity Evaluation (MIE). In May 2016, Breeassumed the role of Head of Assessments at MIE and wasinfluential in the establishment and growth of the department.In September 2017, Bree together with the other co-foundersstarted Encapsulate Consulting with the vision to build on herimmense experience in the world of assessments. Bree holdsa BA Honours in Psychology from the University ofJohannesburg.

Kirsten Halcrow

An entrepreneur at heart, Kirsten was instrumental in thebuilding and growing of South Africa’s oldest screeningcompany, EMPS. Kirsten was a shareholder and the CEO ofEMPS for over 15 years.

In 2015, EOH bought EMPS and later merged it withManaged Integrity Evaluation (MIE), South Africa’s largestbackground screening company. In May 2016, Kirstenassumed the role of Business Development Executive at MIE,and worked closely with the executive team to build on theirsales and marketing strategy as well as product development.In September 2017, Kirsten, together with the other co-founders started Encapsulate Consulting with the vision tobuild on years of experience in pre-employment backgroundscreening. Kirsten is mainly involved with developing andimplementing the sales, marketing and growth strategy atEncapsulate Consulting and has a strong focus on strategyand new product development. Kirsten holds a BA Honours inPsychology from the University of Johannesburg.

Bree Langenhoven

Bree is an Independent Psychometrist with over 17 years’experience in Psychometric Assessments. Her experiencespans psychometric and competency-based assessments forselection, development, talent management, leadershipdevelopment and succession planning. Bree has a wealth ofknowledge in tailoring assessment solutions.

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INTRODUCTIONThis policy is intended to provide guidance, governance and key principles to ensure that we useoccupational assessments in a consistent, standardised, objective, compliant, ethical and professionalmanner across candidates, clients and industries.

Through this policy, we aim to ensure that we have right people do the right jobs, in an effective teamand receive the right kind of career development for their potential. We are committed to the higheststandards of practice and therefore all our assessment techniques promote fairness, reliability, validityand equal opportunity for all.

Assessment battery- A range of assessment instruments which, when combined, give a holistic overview of thecandidate in relation to the purpose of the assessment.Assessment instruments- Assessment tools that are used to assess competence, interests and potential amongstother aspects. These may also be referred to as assessments, assessment methods, tests, questionnaires, tools, ortechniques.Candidate- An individual person that is the subject of Assessment.Competency-based assessments- Competency-based assessments are used to evaluate demonstratedcompetence and include amongst others 360-degree questionnaires; simulations in the form of case studies,presentations and in basket exercises; role-plays; assessment centres and competency-based interviews.Consent form- The indemnity form signed by all candidates partaking in assessments (electronic or paper-based)International Test Commission- An association of international psychological associations, test commissions,organizations and individuals, who promote “the proper development, evaluation and uses” of educational andpsychological tests and develops guidelines on the use of such tests.Health Professions Council of South African (HPCSA)- The Health Professions Council of South Africa is astatutory body, established in terms of the Health Professions Act. The Council guides and regulates the healthprofessions in the country in aspects pertaining to registration, education and training, professional conduct andethical behaviour, ensuring continuing professional development, and fostering compliance with healthcarestandardsOccupational assessment- Occupational assessment is a process of collecting and combining evidence through arange of objective techniques/methods for measuring candidates. This helps us make informed decisions about ourpeople. These assessments are scientific, and handled by qualified professionals.Psychometric assessments- Instruments or questionnaires that have been classified as a psychologicalinstrument. These typically include:

Supplier- Organisations or institutions from which the Company purchases Supplier data for the collation andinclusion in the results obtained from the assessment process.Registered assessment professional- A Registered Assessment Professional is defined as anIndustrial/Organisational Psychologist or Psychometrist.Head of Assessments (Supervising Psychometrist)- The Head of Assessments ensures that all assessmentsare used ethically and professionally in COMPANY NAME. Therefore, the Head of Assessments must be aregistered Independent Psychometrist with minimum three years experience (as per HPCSA requirements).

Personality questionnairesCognitive and learning potential assessmentsEmotional intelligence assessmentsIntegrity assessmentsValues assessmentsMotivation assessmentsInterest questionnairesAptitude tests/ability assessments

DEFINITIONS

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Making sure that assessments arerelevant, ethical, fair,

professional, standardisedand in line with

jurisdictional regulations

OBJECTIVES

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ensure legislative and regulatory compliance;ensure we follow best practice in our use of assessments;present the requirements that govern occupational assessment in South Africa, while highlighting theconsequences of not following them;clarify the requirements for those who use assessments and those who conduct them, including employees,consultants and vendors;promote the integrated use of assessment results as a way to make better-informed decisions about talent,development and growth;prevent the misuse of assessments and questionnaires, which could, in untrained hands, be potentiallyharmful or illegal; andclarify roles and responsibilities of those involved in assessments.

SCOPEThis document sets out primary principles and guidelines at COMPANY NAME, making sure that assessmentsare relevant, ethical, fair, professional, standardised and in line with jurisdictional regulations.

In terms of its scope, this policy:

is approved by company shareholders and forms part of the Company’s operating philosophy, policies andstandards;sets out how occupational assessments are to be managed by the Company and Client. It is also supported bydetailed operating procedures and practices;applies to employees, potential employees, contractors, temporary employees, consultants, assessmentvendors / service providers and assessment associates; andincludes all the jurisdictions within which COMPANY NAME operates.COMPANY NAME will review this document annually to ensure it remains in alignment with Company andregulatory body requirements.

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KEY PRINCIPLES

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When we use occupational assessments and questionnaires they must meet the relevant requirements of:reliability and validitstandardisation and fairness;lack of bias;compliance with local legislative / regulatory requirements; andcertification with relevant local jurisdictional authorities authorised by law to certify psychometric assessmentswhere applicable.

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USE OF ASSESSMENTS5.1.

The highest ethical standards will be maintained with all assessment practices THE COMPANYThe scientific nature of assessment is appreciated and occupational assessments related to a specific rolecan therefore only be used in instances where there is a complete and updated job profile.Assessments are not used to box or label people because we appreciate the whole person.THE COMPANY believes in dealing fairly with the assessed candidates. We will prepare them for theassessment and the purpose thereof, offer them practice materials (where possible) and feedback, and behonest about how we use the results.

REGISTRATION REQUIREMENTSFOR ASSESSMENT PROFESSIONALS

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USE OF ASSESSMENTS CONT...5.1.

Only assessment instruments that can be fairly and appropriately applied to all people are used. All suchinstruments are approved by the Head of Assessment prior to use by THE COMPANY.Raw data will not be released without a written request and only to registered Psychometrists/Psychologistwho provide proof of tool accreditations and registration with the HPCSA.Our vendors are equally accountable for the ethical and responsible use of assessments and we have aresponsibility to ensure that we educate them on our assessment policy and procedure(s).We are required to educate our Clients that assessments are not used in isolation for decision makingpurposes, but is integrated with other information about a candidate (e.g. CV’s, interviews and other data) toform part of a holistic view of the candidate.All reports should contain a Disclaimer to indicate liabilities and uses of assessments.Assessments must always have a purpose – either that of selection or development. The choice ofassessment instruments will be based on the purpose of the assessment.We will attempt to use the most recent version of assessment questionnaires and norm groups, as suppliedby the test publisher.THE COMPANY may use assessments, that are used for the purposes of:

No assessment will be used in the following situations:

selection and placementdevelopmenttalent managementsuccession planningcareer management and self-insightteam-building and group dynamicsorganisational change and developmentcounselling/emotional well-being andresearch

Where there is no data proving validity and reliabilityWhere the instruments are not relevant to the workplaceWhere the information is meant to justify retrenchment decisionsWhere the Client indicates that no other information about thecandidate has been gathered to inform decision makingWhere assessment instruments are not appropriate for the intendedpurpose of the assessment

Registration requirements of test users in South Africa will be strictly adhered to. In all instances, assessmentsare managed by appropriately trained and qualified professionals who must:

provide proof of accreditationsmaintain their competence levels through development activities (Continuous Professional Development)only offer services within their scope of training and within the limits of their competence

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TEST ADMINISTRATION5.3.

Administration of psychometric instruments must follow each instrument’s specific administrationrequirements and conform to test administration best practicesThe ratio of assessor to candidates should be 1:15 at most per session. Should more than 15 candidates beassessed in a single session, an additional assessor needs to be added for every 15 candidates or partthereofThe most appropriate mode of test administration will be determined in consultation with the Head ofAssessments.For any unsupervised assessments, THE COMPANY reserves the right to ask the candidate to attend averification assessment.

ASSESSMENT VENUES5.4.

Encapsulate Consulting venues will meet minimum requirements for assessment venues, including but notlimited to adequate:

equipmentspacecomfortprivacytemperature controlnoise controllighting requirementspower-failure protectionhealth and safety requirements

INFORMED CONSENT, CONFIDENTIALITYAND DISCLOSURE OF INFORMATION

5.5.

Informed consent will be obtained from each candidate completing an assessment with THE COMPANY.Candidates will be advised of their rights and responsibilities before an assessment begins so that thecandidates have both the information and opportunity to make an informed decision about whether to beassessed.All assessment information is strictly confidential because it generates information about individuals andteams. Therefore:

In cases where assessments are conducted online and unsupervised, the assessment system will include aclear Data Protection Notice where possible. In these cases, accepting the Data Protection Notice wouldindicate informed consent.

assessment information shall not be disclosed without the informed andwritten consent of the individual assessed; and only candidates and those directly involved in decisions based on theoutcome of the assessments are allowed to see its results

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USE OF ASSESSMENT RESULTS5.6.

Assessment results and/or related information may not be used for any purpose, other than what wasagreed to in the terms of the informed consent, without the express written consent of the candidate.Where assessment is used for the purpose of personal development it must be made clear and agreedupfront whether the results are to be used for development purposes only, or whether they will be passedonto other bodies for other decision-making purposes.

USE OF ASSESSMENT RESULTS5.7.

Assessment scores will be interpreted according to provider / instrument requirements and best practicestandards. Norm groups will be selected by the Head of Assessment, in collaboration with the AssessmentSpecialist, based on their relevance.Fixed cut-off scores may only be imposed where we find specific and rigorous scientific support for the useof the cut-off score, e.g. by means of a validation study.Assessment results may only be provided to line managers or HR people in an interpreted form. THECOMPANY are required to inform HR and Line Managers of their responsibility for the confidential resultsentrusted to them and will ultimately be held accountable for breaches of confidentiality.Assessment results must be securely and confidentially stored by THE COMPANY and access restricted toonly those directly involved in a specific decision-making process.Assessment results are valid for the validity period held by the tools used in the assessment battery.Existing assessment information may therefore only be re-used, if:-

It is advised that the Head of Assessments be consulted in all instances where assessment information isre-used to ensure relevance and appropriateness and to mitigate risk.

the use of the results has been contracted and agreed upfront with thecandidate through informed consentthe original results are still validthe type and level of assessment tools used during the originalassessment are appropriate for their new purpose.

VALIDITY PERIOD OF ASSESSMENTRESULTS AND RE-ASSESSMENT

5.8.

The validity period for assessments, as described in the instrument manual, will be strictly adhered to.Candidates will only be re-assessed on the same instrument once their existing results is no longer valid. Inexceptional instances, a candidate may be re-assessed within a shorter period only at the discretion of theHead of Assessments.

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ASSESSMENTFEEDBACK

5.9.

All candidates will be offered developmental feedback on theirassessment results.Feedback on assessments will be given according to the ethicsand protocols appropriate to each assessment instrument.Feedback to candidates who were assessed as part of aselection process will only take place once the recruitment andselection process has been finalised. A

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STORAGE AND SECURITY OF ASSESSMENTMATERIAL, RESULTS, RECORDS AND INFO

5.10.

Assessment materials, results, records and information (whether in hardcopy or soft copy) will be storedsecurely in line with THE COMPANY Protection Policy and access managed accordingly. In addition, toprotect the integrity of assessment instruments, all assessment material, software, equipment, computerswith software, assessment results / reports, test manuals and other related material should be controlled byregister, locked in a secure storage space with access controlled and restricted to a limited number ofauthorised people.The test publisher’s instructions about storage and security will always be followed.In the case of online assessments, all access to online assessment systems should be controlled bysuitably trained system administrators each with their own username and password to the system.Usernames and passwords should be kept confidential at all times, changed regularly and may not beshared by multiple users in line with the Company’s password protection policies.All stakeholders who have access to confidential assessment material, data, reports and results will ensurethat an appropriate and formal handover material, data, reports and results takes place upon resignation ortransfer.

COPYRIGHT AND COPYINGASSESSMENT MATERIAL

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Assessment material is covered by copyright laws that prohibit their reproduction in any form without theexpress written permission of the test publisher.No one may therefore photocopy assessment material or install it on a computer or other electronic meanswithout the test publisher's express written permission.

RESEARCH AND INTERNAL NORMATIVEDATA

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THE COMPANY reserves the right to use assessment data as part of research projects to improve ourassessment processes and methods, or to develop norms and benchmarks. When used for researchpurposes, all data will be used anonymously unless the data is collected for validity research, in which casethe use of the data will be specifically contracted with the individual(s) concerned.

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ASSESSMENT COSTING5.13.

THE COMPANY shall procure assessment services through approved procurement channels.Annual assessment prices will be negotiated and contracted with vendors, including managing inflation andaspects vendor price increases year on year.Shared benefits from economies of scale will be realised where possible to reduce assessment prices.

USE OF EXTERNAL VENDORS5.14.

For all assessments done by THE COMPANY, whether by internal resources or external vendors/contractors, it remains the Company’s responsibility to ensure compliance with all requirements.Contracts and Service Level Agreements will be signed with third party vendors.Only assessment vendors approved by the Head of Assessment may be used by THE COMPANY. TheHead of Assessments must vet and approve all assessment vendors and will keep a register of approvedvendors. Requests to add assessment vendors may be sent to the Head of Assessment for review andapproval.

BREACH OFPOLICIES

Not complying with the assessment policy, related procedures andrelevant associated legislation may result in serious consequences forboth THE COMPANY and the individual(s) concerned. Individuals inbreach of this policy will be dealt under the Company disciplinary codeand process.

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A GUIDETO ROLES ANDRESPONSIBILITIES

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The Head of Assessments is ultimately responsible for overseeing the use ofassessments by THE COMPANY. The responsibilities include:

Provide guidance on how to use assessments to maximum benefit.To ensure compliance with relevant legislation and mitigate any risks fromperforming occupational assessments.To ensure compliance with and implementation of policy and processguidelines in occupational assessments.

HEAD OF ASSESSMENTS

To investigate and implement leading edge assessment practices: benchmarking, research, design anddevelopment of assessmentsTo oversee operational aspects such as assessment battery setting, norm selection, appropriateinterpretation, reporting and feedback; stakeholder educationTo supervise test users operating under supervisionTo manage the relationship with Clients and assessment vendorsTo ensure scoping and project management of large-scale assessment projects

To promote, maintain and practice the highest professional, legislative, regulatory and ethical standards forthemselves and for those using assessment instruments to their knowledgeTo actively avoid unethical and illegal use of assessments and assessment resultsTo be alert for any possible negative or unintended consequences of assessmentsTo facilitate assessments in alignment with policy and procedure requirementsTo educate all relevant stakeholders on the use of assessmentsTo maintain professional accreditation

ASSESSMENT SPECIALIST

To provide assessments services, support or tools to THE COMPANY as and when requiredTo comply with THE COMPANY assessment policy, procedures and SLA requirementsTo ensure compliance to HPCSA requirements and to advise the Company of any changes in registrationstatus

AFFILIATES/ EXTERNAL CONSULTANTS

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PSYCHOMETRIC AND COMPETENCY BASED ASSESSMENTWe construct best-practice assessment batteries, with our comprehensive range of assessmenttools that are used for selection of new staff, development of existing staff, talent management,succession planning, skills audits & special recruitment projects.

We measure individuals in relation to requirements of the position and the company culture.We assess candidates holistically incorporating cognitive ability, personality attributes,behaviour, integrity, emotional intelligence, abilities and skills, as well as evidence ofcompetence through simulations and interactive exercises.

ONLINE ASSESSMENT TOOLSWe offer a variety of online assessment tools mostly suited for entry-level to junior roles. Theseonline tools are self-administered, easy to interpret reports. Clients get reports within 24 hours.

INTEGRITY TOOLS; Entry level and management levelPERSONALITY TOOLS; Personality Profile Assessment (PPA), EQ for managementABILITY; Entry-level Literacy, Entry-level Numeracy, Management Reasoning AbilityROLE SPECIFIC; Security Assessment, Driver Assessment, Sales/Customer Service ProfileENTRY-LEVEL ASSESSMENT; Learnership-fit, Call-centre-fit, Workplace ReadinessAssessmentSUBJECT AND CAREER CHOICE

ONLINE SKILLS TESTSWe have 100’s on online, validated skills tests to assess applicant ability.

All Microsoft packages,Typing,Data entryDevelopment/technical titles; Adobe, .net, C#

INTELLIGENT RESPONSE HANDLINGHigh volume assessment solution intelligently screens and ranks all applicants in a scientific andunbiased way.

Online assessment is bespoke built to role. Minimum role requirements(numeracy/literacy/problem solving/values) and scientifically researched predictors ofperformance & retention.Individual reports, shortlisting and ranking reports. Candidates are matched against the keycompetencies and skills that has been identified as the predictors of performance in a specificindustry, corporate culture, job category and job role.

OUR INNOVATIVESOLUTIONS

The Assessment Solutions CompanyPartnering our clients to make

informed talent choices

www.encapsulate.co.za