/ TRANSPORT EDUCATION AND TRAINING AUTHORITY
Document Title / Monitoring and Auditing Tool / Document and Rev No: / QAWA05 Rev 04
Department / ETQA / Effective date / 1 December 2010
Approved / Yes / 1st Issue Date

Company / Training Provider Name

Accreditation current status

Current visit date

Name / Representing
REGULATIONS THAT GOVERN MONITORING OF ACCREDITED PROVIDERS
In terms of the ETQA bodies Regulation NR1127 Chapter 2 Education and Training Quality Assurance Bodies under the heading Accreditation section 2(1) States: “Education and training Quality Assurance Bodies shall be accredited in each sector by the authority for the purpose of monitoring and auditing achievements in terms of national a standards or qualifications, and to which specific functions relating to the monitoring and auditing of national standards or qualifications shall be assigned in terms of section 5(1)(b)(i) of the Act “.
In accordance to the SAQA Regulations, ETQA’s must :
  1. Accredit providers for specific standards or qualifications
  2. Promote quality amongst providers
  3. Monitor provision by constituent providers
  4. Evaluate assessments and facilities moderation amongst providers
  5. Register Assessors
  6. Take responsibility for the certification of learners
  7. Cooperate with the relevant body or bodies appointed to moderate across ETQA’s
  8. Recommend new standards or qualifications to the National Standards Bodies for accreditation
  9. Maintain a database acceptable to the Authority
  10. Submit reports to the authority
  11. Perform such other functions assigned to it by the authority
The TETA ETQA is required by SAQA to fulfil certain obligations as highlighted above –one of these is to monitor constituent providers in the TETA Sector (see point 3 above) .
ACCREDITED PROVIDER DETAILS
Registered Trading Name / Trading as Name
TETA Accreditation Number
Accreditation Date
CATEGORY
Micro / Small / Medium / Large / Bigger
Contact Person
Title / First Names / Surname
Physical Address / Postal Address
City / City
Post Code / Phone / Post Code / Fax
E- mail / Cell

INTRODUCTION

TETA ETQA has statutory responsibility for conducting institutional audits as mandated by the South African Qualifications Authority (SAQA) Act of 1995. This responsibility is recognised by SAQA through its accreditation of the TETA as the Education and Training Quality Assurer (ETQA).

A - SCOPE OF TRAINING
For which unit standards has the provider been accredited for: List/ attach list of scope / U/S
Has the provider’s scope changed? / YES / No
If yes please include the additional unit standards below:No
U/S / U/S / U/S / U/S / U/S
B -EXTENSION OF SCOPE: OTHER ETQA
Has the provider extended their scope with another ETQA? Please indicate which SETA ETQA. / No
For which unit standards has the provider been accredited for: List
U/S
1. QUALITY MANAGEMENT SYSTEM
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
1.1 QMS Policies and manual available on site?
1.2 Standard operating Procedures?
1.3 Vision and Mission statements, understood by operational staff?
1.4 Quality Policy statement displayed and signed?
1.5 Quality awareness Training/meetings been conducted (records)?
1.6 Organogram current and documented?
1.7 Amendment sheet updated accordingly(front page in QMS manual)
1.8 Responsibilities clearly defined incl. Quality Management Representative (performance contract, letter)
2. STAFF SELECTION, APPRAISAL AND DEVELOPMENT (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
2.1 A policy and procedure
2.2 Staff selection criteria and evidence that is used?
2.3 Staff appraisal template
2.4 Completed staff appraisal form
2.5 Performance appraisal schedule for the year, PDP’s?
2.6 Proof of staff development i.e. ATR, WSP
3. FINANCIAL AND PHYSICAL RESOURCES (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
2.7 Registration as a legal entity
2.8 Company is tax compliant (Tax clearance certificate from SARS)
2.9 Company is financially sound
Audited financial statements OR Letter indicating that organisation is not solvent and complies with generally accepted accounting practices
2.10 Ownership of or access to the resources and facilities required for provision
List of facilities and resources required for provision
Asset register
Evidence of facilities owned/used and resources owned/used (i.e. the actual facilities and resources themselves or agreements with other parties for use of these)
4. MANAGEMENT OF ASSESSMENT (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
4.1 Does the training provider adheres to ALL principles of assessments (VARCS Principles)
4.2 Is there sufficient constituent assessors and moderators to match the provider scope of accreditation (proof of assessor/moderator registration)
4.3 Learner results are submitted promptly to learners a (Learner record database)
4.4 Learner results are securely stored and remain confidential (Storage facilities for materials and records)
4.5 The assessments address both theoretical and practical components of the learning programme
4.6 Assessment methods and instruments/tools clearly defined
4.7 Availability of original learner Portfolio of Evidence (PoEs)
4.8 Document outlining steps to be followed in appeals process
4.9 Outline of assessment plan including:
When learners will be assessed
How learners will be assessed
What assessment methods will be used
4.10 Outline of moderation procedures
4.11 Is there availability of permanent or contracted constituent internal moderators? (proof of registration)
4.12 Does the training provider conduct internal moderations of assessments? (Internal Mod reports)
4.13 Consolidated reports exist on the success rate of assessments
4.14 Problems are identified and rectified in the assessment process.
4.15 MIS Uploads is done on a regular basis.
4.16 Quarterly reports are communicated to the SETA on a regular basis
4.17 RPL being implemented RPL for credits? (records of assmts)
4.18 External Moderation conducted? (external mod. reports)
5. LEARNER ENTRY, GUIDANCE AND DEVELOPMENT (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
5.1 Learner records are kept
5.2 RPL procedure for learner entry for credit purposes( If applicable)
5.3 Career path mapped and defined to learners
5.4 Prospectus provided together with costs involved
5.5 There is a policy in place which permits the repetition of courses for a limited number of times at no additional cost
6. ADMINISTRATION (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
6.1 Attendance registers are maintained and include; names, contact details, dates, course type, signatures of learners
6.2 Training schedule exists where courses are pre planned with proper structure and time allocation
6.3 Control documents for the booking in and out of learner portfolios
6.4 Certificate register with serial numbers and signature of acknowledgement of receipt
6.5 Management of Documentation well managed? (filing system)
6.6 State of training facilities adequate and well maintained?
7. PROGRAMME DELIVERY AND DESIGN (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
7.1 Approval letter from the SETA for each learning programme presented
7.2 Learner /facilitator and assessor feedback is used to update the training material.
7.3 There is policies and procedures in place for the design of the training material
8. Off Site Management (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
8.1 Learners are able to implement the training received in the work environment.
8.2 Logbooks identifying different tasks. Completed Logbooks / POE? (if applicable. Look at physical records)
8.3 Proof of support and management of on job training. (Where applicable)? (course reports, assessment reports, etc
9. Internal QMS Auditing (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
9.1 Audit Plan / Schedule available with clearly defined responsibilities?
9.2 Internal QMS audits conducted? (availability of audit report)
9.3 Outputs Documented- Reporting (Non Compliance Reports; Corrective Reports etc)
10. Management Review (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
10.1 Plan / Schedule available?
10.2 Strategy to expand or improve?
10.3 Outputs Documented- Reporting (Non Compliance Reports; Corrective Reports etc
11. Customer Service (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
11.1 The provider has standard templates /tools and procedures for the collection of learner satisfaction feedback.
11.2 Learner satisfaction surveys are compulsory
11.3 The information from the consolidated reports are being utilized in the review of the organizational policies, processes and procedures
12. Certification (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
12.1 Documented Policies & Procedures available? (central record)
12.2 Template available?
12.3 Security measures available to prevent fraud and illegal issuing?
12.4 Certificates Copies kept
13. Occupational Health Safety (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
13.1 OHS Procedures available/ displayed?
13.2 OHS committee minutes/ tasks allocated?
13. 3 Safety signs visible?
13.4 Emergency exits designated?
13.5 First aid kits available?
13.6 Fire extinguishers available?
13.7 Emergency evacuation plan displayed?
13.8 Safety representative appointed?
14. Marketing (Documented Policies & Procedure available?)
Does the provider have the following in place? / Yes / No / Evidence / comments/ If no, indicate plan to close gaps
14.1 Marketing plan available?
14.2 Being implemented? (business turn-over, instructor scheduling)
14.3. Any identified specific projects for continuous product/ service improvement?

FINDINGS:

RECOMMENDATIONS:

CONCLUSION:

DECLARATION:

I hereby declare that the information provided is correct and true, and I am authorized to submit this monitoring/ audit tool on behalf of

…………………………………………. (Company Name)

Monitoring & Verification conducted by:

/ Signature:
Organization Representative: / Signature:
Date of Last visit: / Date of next visit:

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