PROVIDER EXTERNAL AUDIT TOOL

Transcription

1 PROVIDER EXTERNAL AUDIT TOOL Provider Name Accreditation Number Initial Accreditation Date Current Status Provider Physical Address Contact Name Audit Venue Audit Date/s

2 EXTERNAL AUDIT BACKGROUND AND PROCESS AUDIT BACKGROUND AND METHODOLOGY The basis of this audit is the evaluation of the Provider against set criteria and the required minimum evidence to determine whether or not the Provider has implemented the actions necessary to rectify the shortcomings identified in previous monitoring and verification visits/in order to demonstrate its ability to meet or continue to meet the requirements for accreditation or re-instatement of accreditation. In order to earn renewed accreditation status the Provider must show that it has met all the compliance and performance requirements for accreditation. All audit activities must therefore support the establishment of whether the criteria are met, in whole, in part or not at all. Thus the audit will be run in a formal process and any decision must be reflective of the criteria and be supported by traceable, verifiable and valid evidence. The audit of the Provider is supported by the following two main elements namely; a desk study and document review (step 1) An onsite Audit. (step 2) During the document review the auditor will evaluate the given documentation in order to determine whether a criterion has been met, partially met or not met at all. The onsite audit is used for verification of information seen during the document review. If necessary, information or documents not available at the time of the desk study will be collected and verified as evidence and evaluated during the onsite visit. PREPARATION FOR THE AUDIT This tool is based on the monitoring and auditing requirements of INSETA and the Provider accreditation criteria set by SAQA. The Provider is required to organise the audit evidence to meet the eight compliance criteria listed below and elaborated as sections 1 8 (to be reflected as the Audit File Index): 1. A Policy Statement, spelling out the organisation s aims, objectives and purposes 2. Management systems and policies to ensure financial, administrative and physical structures and resources are compliant and adequate and that there are active procedures for accountability within the organization 3. Staff policies and procedures for selection, appraisal and development that have been implemented and maintained 4. Assessment policies have been implemented that incorporate different forms of assessment as well as the management and recording of assessment 5. Programme Delivery implementation processes for the development, delivery, evaluation and recording of learning programmes. 6. Policies and procedures for the selection of learners and processes for the guidance and support of learners 7. A Quality Management System identifying processes and procedures that has been implemented and evaluated within the organisation. 8. Review Mechanisms in place that monitor the implementation of policies

3 AUDIT PROCESS Stage 1 The Provider is notified of the audit. Two dates will be proposed. Stage 2 An Audit Tool will be sent (electronically) to the Provider in order to guide the provider in compiling and preparing an Audit File. The Audit File will be prepared by the Provider and will be couriered to INSQA two weeks prior to the agreed date in order for the a Desk Study, to be conducted by ETQA Monitoring representative. The Desk Study will include a review of all reports, documents and evidence related to the Provider. Stage 3 A formal onsite Audit process will be conducted by an Audit Team, where all relevant additional evidence will be reviewed and evaluated. Where required, copies of additional documents may be requested for the Audit Evidence File, to supplement evidence already presented for the preliminary study. Stage 4 An Audit Report will be complied and submitted to the ETQA Manager for consideration Stage 5 After due process and consideration by the ETQA Committee, or representative/s as appointed, the Provider will be informed of the result of the audit findings AUDIT CHECKLIST: PROVIDER DETAILS Provider Legal Name Provider Trade Name Audit Representative Details Physical address of main site office or where an audit site visit may be conducted Postal Address of main site office Indicate status and period as Public / Private /GET/ FET/ In-house / work based or HET Provider Umalusi registration Name : Tel. No. : Position : Department of Higher Education and Training registration

4 PROVIDER ACCREDITATION DETAILS AND SCOPE Provider s Primary ETQA Current Accreditation Status with INSETA Main focus of learning provision (generic or sub-sector specific) INSETA Programme Approval (indicate qualifications) Accreditation Number INSETA Accreditation/ registration number Accredited by other ETQA? If yes specify YES NO Specify ETQA : Expiry Date of Primary Accreditation. MOU Accreditation Number Please supply proof of Primary Accreditation (where INSETA is not the Primary ETQA) (MOU Providers) Accreditation Type Programme Approval Provider Accreditation Has the status of the Organisation remained unchanged since date of Accreditation? If No, provide details. 1. POLICY STATEMENT: a) Policy statement spelling out the organisations aims, objectives and purposes 2. FINANCIAL/LEGAL STATUS & ORGANISATIONAL CAPACITY: 2.1 Financial/Legal Status: a) Financial Statements for the last two years b) Letter from the Accounting Officer confirming financial status c) Current tax Clearance Certificate d) Current CIPC certificate e) Current business Plan, including current year Budget/Funding Plan f) Financial Management Policies and Procedures 2.2 Organisational Capacity: a) Current Organogram, listing all staff, functions and responsibilities b) Evidence of compliance with Health & Safety regulations 2.3 Document, Data Management, Filing and Reporting Systems: a) Learner Management System b) Document and Data Security Policy and Procedures 2.4 Compliance with legislative regulations a) Statements regarding Occupational Health and Safety and Basic Conditions of Employment Act compliance

5 3. STAFF POLICIES AND PROCEDURES 3.1 a) Staff Job Descriptions & CVs b) Copies of the latest Performance Appraisals & Training Plans c) List of current contractors and their roles d) Copies of signed Service Level Agreements with contractors (including Assessors and Moderators) e) Staff turnover analysis for the last two years 4. MANAGEMENT OF ASSESSMENT AND CERTIFICATION a) Assessment and Moderation Guides and Plans b) List of registered constituent assessors (include current scope of assessors) c) List of registered constituent moderators (include current scope of moderators) d) Evidence that Assessors and/or Moderators are linked to the provider on (InSeta) SMS e) Report on the status of Assessments and Internal Moderation conducted on current Learnerships / Skills Programmes f) Verification reports and evidence of development areas addressed g) Security Policy and measures to prevent fraud / illegal issuing of Certificates / Statements h) Details of appeals and disputes (involving learners or other role-players) recorded since Accreditation i) Evidence of compliance with the INSETA logo usage policy j) Evidence of compliance with the certification process. How often and how soon after formative and summative assessments to learners receive results and in which format do they receive results k) Generic Template of Provider s Statement of Results meets ETQA compliance requirements

6 5. PROGRAMME DELIVERY AND DETAILS 5.1 Material Development: Evidence of the following for each accredited learning programme: Structured curriculum Compliant alignment documentation Assessment and Moderation guides Assessment instruments (formative and summative) Facilitator guides Master file with model answers Notional Hour compliance matrix 5.2 Learnerships Offered: a) List of Learnerships offered, currently or in the last 48 months with details b) Number of learners per Programme c) Verification reports to exit learners from Learnerships d) Confirmation of closure of Learnerships from INSETA Learnership department 5.3 Skills Programmes/Unit Standards Offered and Details: a) List of Skills Programmes/Unit Standards offered, currently or in the last 48 months with details b) Number of learners per programme 5.4 Fundamental Unit Standards: a) Evidence of the Delivery and Assessment methodology employed to teach and assess fundamentals, if applicable. b) Names and INSETA registration numbers of Assessors and Moderators used for Fundamentals, where applicable. c) List of other Providers involved in delivery/ Assessment and / Assessment or Moderation d) Provide a short description of the formal learning procedures used by your organisation (eg. formal classroom lectures. Distance education methods) e) Provide a short description of workplace/off site learning procedures used by your organisation ( if applicable) f) Where concessions have been granted, proof of concession evaluations approved by INSETA representative or verifier.

7 5.5 Learning Delivery Statistics: a) Analysis of learning delivery (percentage of your total learning delivery), since first accreditation, towards INSETA Unit Standards and/or Qualifications b) List of credit-bearing learning on your scope with INSETA within the last 12 months c) Assessment Matrix per US / Qualification available aligned to the SO. AC, CCFO. EEK, ELO signed off by a INSETA Registered Moderator d) Generic Notional Hours Schedule per Learnership / Skills Programme 6. LEARNER POLICIES, PROCEDURES AND STATISTICS 6.1 Learner Statistics: a) Number of learners currently enrolled in the Learnerships /Skills Programmes/Unit Standards b) Names of and number of learners awaiting verification in the Learnerships /Skills Programmes/Unit Standards c) Number of learners that have previously been enrolled in Learnerships /Skills Programmes/Unit Standards d) Copies of signed NLRD Upload forms for learners that have previously been enrolled in Learnerships /Skills Programmes/Unit Standards e) Number of Learners who successfully completed Learnerships /Skills Programmes/Unit Standards f) Number of learners who terminated without having credits uploaded in Learnerships /Skills Programmes/Unit Standards 6.2 Learner Policies and Procedures: a) Selection Criteria and procedures for Learnerships /Skills Programmes/Unit Standards b) Learner guidance and support policies, procedures and evidence of application c) Policy regarding Occupational Health and Safety procedures for all training venues

8 7. QUALITY MANAGEMENT SYSTEM (QMS) - POLICIES AND PROCEDURES a) QMS Policies and Procedures b) Name and title of responsible person c) QMS implementation evidence d) Nature of the QMS - hard copy or electronic e) Evidence of QMS policies and procedures communicated to staff f) Report on the measures taken to regularly review policies and procedures g) Details of updates made to the QMS since accreditation h) Describe the mechanisms used by your organisation to ensure the quality of programmes, courses, learning materials and delivery 8. QUALITY MANAGEMENT REVIEW a) A Report on the measures taken to regularly review your policies and procedures (eg. Minutes of QMS Review Meetings ) b) Details of updates made to your QMS since accreditation c) Details of development plan compliance-action plan

9 FOR OFFICE USE: DATE RECEIVED (INSETA): OR RECEIVED AT SITE VISIT (INSETA): AUDIT PURPOSE & AUDITOR / EVALUATOR DETAILS) To be completed after receiving completed Section 1-8 from the Provider Date of Scheduled Audit Visit (if applicable) INSETA Personnel Responsible for the Audit Name : Contact Number : Purpose / Type of visit Three year Audit in line with SAQA Policy Attendance (completed on the day of the Audit) Discretion of the ETQA Monitoring / Support / Investigation Non compliance FINDINGS / COMMENTS To be completed after evaluating the completed sections from the Provider and will be discussed during the Audit SUMMARY OF AUDIT / EVALUATION FINDINGS - General comments Comments from Evaluator/ Auditor Comments from Training Provider CONCLUSION: AUDIT, EVALUTION OUTCOME/ JUDGEMENT Re- Accreditation Recommended Yes No Motivate for De Accreditation Yes No Accreditation expiry Yes No Deregistration (Provider request) Yes No Quality improvement plan and close-off areas identified for development Comments Yes Observation (if any):

10 ETQA Recommendations for Improvements / Implementation Provider s Action Plan to implement recommendations Provider s expected closure date COMPILED / EVALUATED BY (ETQA Consultant) Name & Surname Signature Date: APPROVED BY (ETQA Manager) Name & Surname Signature Date: ACCEPTED BY (Provider Representative) Name & Surname Signature Date: