Inseta Etqa Circular 2009: Provider Audit / Monitoring Tool

INSETA ETQA CIRCULAR 2009: PROVIDER AUDIT / MONITORING TOOL

IMPORTANT NOTICE TO ALL INSETA-ACCREDITED PRIMARY AND SECONDARY PROVIDERS:

In accordance with the SAQA requirements for ETQAs INSETA ETQA will be conducting Audits and Monitoring of its Accredited Providers, towards continued accreditation.

All INSETA’s Primary and Secondary Providers are required to complete the checklist below.
Completed documents should be submitted least four (4) weeks from the date of the correspondence.
Providers that do not respond fully to this circular or that cannot be reached for a response will be regarded as inactive and will have to re-apply for Accreditation.
Received documents will be evaluated by relevant INSETA ETQA Personnel and communication / feedback will be sent to Providers.

All queries and correspondence should be addressed, in writing, to our ETQA consultant: Sizakele Baloyi ,

AUDIT / MONITORING CHECKLIST:

1. PROVIDER DETAILS

Provider Legal Name
Provider Trade Name
Company Representative
(Senior Person or person responsible for the Audit) / Name : Position :
Tel. No. : Email :
Street address of main site office or where an audit site visit may be conducted
Postal Address of main site office
Are you a Public / Private /GET/ FET/ In-house / work based or HET Provider?

2. PROVIDER ACCREDITATION DETAILS AND SCOPE

Is INSETA your Primary ETQA?
INSETA Accreditation Number
Accredited by any other ETQA? If yes specify. / YES / NO
MOU Accreditation Number
Expiry Date of Primary Accreditation.
Accreditation Status with INSETA / Programme Approval Full Accreditation
Most senior person responsible for Accreditation / Name : Position :
Tel. No : Email :
Has your status as an Organization remained unchanged since date of Accreditation?
If No, provide details
Provide contact details that you wish to be shown on our website / Provider Name:
Contact Name:
Telephone Number/s:
Email: Region (Province) :
Main focus of learning provision (generic or sub-sector specific)

3. LEARNER UPTAKE (NB: Relating to your scope with INSETA only)

No. of learners currently enrolled, per Programme / Provincial breakdown and location of learning sites
No. of learners enrolled, up to the last 12 months per Programme / Provincial breakdown and location of learning sites

4. LEARNERSHIPS

List the INSETA Learnership/s you are currently providing, or have provided in the last 12 months, under the following headings.

(NB: Complete a separate table for each Learnership

Learnership Title
SAQA ID no. and NQF level
DoL Reg. No.
LGA (Learnership grant application) number
ETQA responsible for quality assuring Learnership
SETA responsible for funding Learnership
Employer Organization/s that have contracted you to deliver the Learnership
Other Providers contracted for delivery and/or Assessment
Start and end date of Learnership
Number of learners currently enrolled in the Learnership / Number of learners that have previously done this Learnership
Number of Learners who terminated from the Learnership
Organizations involved in workplace learning delivery and/or assessment..
Names and INSETA reg. Numbers of Assessors and Moderators on this Programme
Have all Learner data been captured on your learner management system towards upload to the Inseta SMS?
If not, state plans to manage this
Report on your capacity for data-capturing, per number of learners enrolled, for upload of learner data onto the Inseta SMS
NB: Accreditation scope must be approved prior to commencing any Learnership. Has your scope been approved for the Learnership offered?

5.SKILLS PROGRAMMES

List the INSETA Skills Programmes you are currently providing, or have provided in the last 12 months, under the following headings

(NB: complete a separate table for each Skills Programme

Title of Skills Program currently offered towards INSETA Qualification/s
SAQA US(s) ID and NQF Level
Employer organization/s that have contracted you to deliver the Skills Programme
Other Providers contracted for delivery and/or Assessment
Start and end date of Skills Programme
Names and INSETA reg. numbers of Assessors and Moderators on this Programme
Number of learners currently enrolled. in the Skills Programme / Number of learners who terminated fro the Skills Programme
Have all learner data been captured on your learner Management System towards upload to the Inseta SMS? If not, state plans to manage this
Report on your data-capturing capacity, per number of learners enrolled, for upload of learner data onto the Inseta SMS
NB: Accreditation scope must be approved prior to commencing any Skills Programme. Has your scope been approved for the Skills Programme offered?

6. FUNDAMENTAL UNIT STANDARDS

Explain what method of Delivery and Assessment is used to teach and assess fundamentals, where applicable.
Has this been implemented?
Other Providers involved in delivery/ Assessment
Provide names and INSETA registration numbers of Assessors and Moderators used for Fundamentals, where applicable
NB All Facilitators must be registered Assessors

7.PROVIDER DELIVERY ON ACCREDITATION NB: Your responses will serve as a basis for your continued Accreditation with INSETA

What percentage of your total learning delivery, since first accreditation, has been towards INSETA Unit Standards and/or Qualifications?: / If less than 50% , :
1. Supply reasons and a motivation for your continued Accreditation with INSETA, and
2. Complete section 7.1 (Business Plan)
Have you delivered any credit-bearing learning on your scope with INSETA within the last 12 months? / If no,
1. Supply reasons and a motivation for your continued Accreditation with INSETA, and
2. Complete section 7.1 (business plan)
Are you involved in all the phases of the training? (Facilitating, Assessing, Moderating, Verifying and Uploading) / If no,
1. Supply reasons and a motivation for your continued Accreditation with INSETA.
2. Complete section 7.1 (Business Plan)

7.1 BUSINESS PLAN /TRAINING PROSPECTUS

“Inactive” providers are required to apply for and motivate their continued accreditation with INSETA ETQA..

The Provider is also required to show evidence of its financial viability to meet all obligations for the period of Accreditation

Using the table below, Provide a 1-year Training Prospectus/ Business Plan to describe your planned activities to deliver on your accreditation with INSETA.

Planned Activities / Expected Completion Date / Physical /Human Resources available / Financial Resources /
Available Budget

8. QUALITY MANAGEMENT SYSTEM (QMS) - POLICIES AND PROCEDURES

Is your QMS available?
Is your QMS being implemented?
Is your QMS available in hard copy or electronically?
How has / is your QMS policies and procedures communicated to the members of your organization?
Is your Organogram current and documented?
Provide your Organogramor a brief explanation of the overall structure of your organization
Provide a report on the measures taken to regularly review your policies and procedures
Provide details of updates made to your QMS since accreditation
Are occupational health and safety procedures available for all your training venues?
How is this communicated to learners and relevant personnel?

9.MANAGEMENT OF ASSESSMENT & CERTIFICATION

Report on the status of Assessments and Internal Moderation conducted on current Learnerships / Skills Programmes
Are you informed regarding verification to be conducted by INSETA?
Provide a brief summary of any challenges in learning delivery, Assessments, Moderation and/or Verification
What are your security measures to prevent fraud / illegal issuing of Certificates / Statements?
List the number and give brief details of appeals and disputes (involving learners or other role-players) recorded since Accreditation.
State briefly the measures taken to review policies and procedures in response to appeals or disputes or any other trends that has impacted the quality of learning and delivery
Have you ensured compliance with the INSETA logo usage policy in the use of any INSETA logo or trademark? (refer to the usage policy available on the Inseta website)

10.DOCUMENT, DATA MANAGEMENT, FILING AND REPORTING

Do you have adequate and competent resources to ensure that your Learner Database is current and well managed? Provide a report.
What capacity-building has been given to staff to ensure correct and complete uploading onto the INSETA SMS?
What security measures are in place for storage and security of documents and data?

11.FINANCIAL SUSTAINABILITY/ Legal Registration: Complete the following as evidence of your Financial Sustainability

Provide your company’s previous year-end Financial report relating to your activities as a Provider :

If a PTY(Ltd) organization, an official audited financial statement. Audited for the last 2 years by a registered auditor, including practice number of the Auditor.

If a cc,a letter from your Accountant confirming financial viability(cc) and an Income and Expense Statement.

Please supply original current Tax clearance certificate.
Updated CIPRO certificate (Lodgment of CK2/2A to show the financial statements of the organization were lodged with the Registrar, with Annual re-lodging and the CIPRO certificate to show legal registration of organization.
Provide your funding plan and costs per Programme.

12.ORGANIZATIONAL CAPACITY / SUCCESSION PLANNING : Plans for training of incoming staff is the responsibility of the Provider. Providers must show capacity to continue to deliver in a “Business as usual” fashion in the event of staff turnover, without being dependant on INSETA for briefing of new staff. Providers that have a need to consult with INSETA for ongoing re-training/briefing of their staff or show a lack of capacity to deliver on their accreditation will be monitored for their continued capacity and may have to re-apply for Accreditation, at INSETA’s discretion.

Complete the following as related to your Accreditation with INSETA.

List your current staff complement and responsibilities, per department (involved in learning delivery and other provider functions).
Plans for continuity in the event of staff turnover to ensure that new staff is kept up-to-date regarding Accreditation requirements.
List the User-Names of your Systems specialists/Data-Capturers for uploads to the SETA management system (SMS)
Have any Users changed during the Accreditation period?
Provide details of any contracted staff or outsourced agreements
List staff turnover in the past year and measures taken to ensure continuity of business processes and quality standards affecting your accreditation
Please report on any highlights, challenges or success stories experienced in your Accreditation that you would like to share

Thank you for your co-operation!

SUBMITTED BY (Provider) : DATE SUBMITTED (By Provider) :

Submit responses by return email to

INSETA, ETQA

FOR OFFICE USE:

DATE RECEIVED (INSETA) : ______

AUDIT PURPOSE & AUDITOR / EVALUATOR DETAILS)

To be completed after receiving completed Section 1-12 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
Discretion of the ETQA – Monitoring / Support / Investigation
Non compliance

Attendance
(completed on the day of the Audit)

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
De - Accreditation / Yes / No
Quality improvement plan and close-off areas identified for development / Yes
Comments / Observation (if any):
ETQA Recommendations for Improvements /
Implementation / Provider’s Action Plan to implement recommendations / Provider’s expected closure date

COMPILED / EVALUATED BY (ETQA Consultant)

Name & SurnameSignatureDate: ______

APPROVED BY (ETQA Manager)

Name & SurnameSignatureDate: ______

ACCEPTED BY (Provider Representative)

Name & SurnameSignatureDate: ______

Circular 1- 2009 Provider Audit Tool Oct ‘09