Where Providers Fit in in the Nqf Quality Spiral

INSETA ETQA (INSQA)

PROVIDER ACCREDITATION GUIDELINES

-CRITERIA AND CHECKLIST

(INCLUDING INPUT FROM ACCREDITATION WORKSHOPS)

“Working together for a skilled tomorrow”

INSETA ETQA (INSQA) PROVIDER ACCREDITATION

CRITERIA AND GUIDELINES

(A) TABLE OF CONTENTS

CONTENTS

/ PAGE
(A)Table of Contents / 2
(B)Background / 3
(C)SAQA Criteria For Accreditation / 4
(D)A Breakdown of the Accreditation process and Appeals procedure / 5-6
(E)Note on Checklist / 7

CHECKLIST

CONTENTS / PAGE

1. Primary Focus

/ 8

1. Registration With One ETQA Only

/ 9

1. Registration In Terms Of Legislation

/ 10

1. Quality Management System

/ 11

1. Managing Design, Delivery and Development Of Learning

/ 13

1. Management Of Assessment

/ 15

1. Record-Keeping, Data Management And Reporting Policies And Procedures

/ 17

1. Financial, Administrative And Physical Resources

/ 13

(B)BACKGROUND:

WHERE PROVIDERS FIT IN IN THE NQF QUALITY SPIRAL

To implement its functions in terms of the NQF, SAQA (The South African Qualifications Authority) is responsible for the accreditation of ETQA bodies that will:

1. Maintain and review education and training standards and qualifications
2. Monitor and audit achievements in terms of such standards
3. Accredit Providers for the development, delivery and assessment of learning culminating in registered unit standards and qualifications
4. Ensure that providers maintain and improve the quality of learning provision and learning achievements

WHAT IS “ACCREDITATION”?

ETQA regulations define accreditation as “the certification, for usually a particular period of time, of a person, a body or an institution as having the capacity to fulfil a particular function in the quality assurance system set up by SAQA and in terms of the related Act”.

WHAT IS A “PROVIDER”

According to ETQA regulations a provider is “a body which delivers learning programmes that culminate in specified NQF standards or qualifications and/or manages the assessment thereof”.

Providers can include companies’ work-based training centres, a collaboration amongst a range of partners, organisations, institutions, companies, tuition centres, RPL centres, assessment centres, trade testing centres, individuals, community structures and even some forms of consultancies.

IN ORDER FOR THE PROVIDER TO BE ACCREDITED:

Regulations require that it must succeed in evaluations of the institution as well as learning programmes.

This means that:

The provider will be audited, and

Programmes will be evaluated

for the provider to be approved as an accredited provider

(C)SAQA CRITERIA FOR ACCREDITATION:

In order to be accredited by an ETQA (Education and Training Quality Assurer), SAQA requires evidence of compliance with the following criteria:

CRITERIA
1.The primary focus of learning provision coincides with that of the ETQA
2.The provider is not seeking accreditation, or accredited already, by another ETQA body
3.The provider is registered in terms of applicable legislation at the time of the application for accreditation
4.A Quality Management System must be in place
5.The capacity to develop, deliver and evaluate learning programmes which culminate in specified registered standards or qualifications
6.The necessary financial, administrative and physical resources to enable the provider to achieve its stated objectives
7.Policies and practices for staff selection, appraisal and development
8.Policies and practices for learner entry, guidance and support systems
9.Policies and practices for the management of off-site practical or work-site learning where appropriate
10.Policies and practices for the management of assessment which include appeal systems
11.Necessary reporting procedures
12.The capacity and ability to achieve desired outcomes, using available resources and procedures

Providers seeking accreditation with INSQA will need to:

1. Submit an application providing the stipulated evidence to demonstrate compliance with the stated SAQA criteria.

In considering applications for accreditation, INSQA (The Insurance Sector Quality Authority) will:

1.Assess the extent to which stated SAQA criteria have been met.

2.Conduct a site visit that will include an inspection of:

-samples of learning material and assessment guides

-policies and procedures that facilitate quality

-financial, administrative and physical resources

-record keeping and database system

(D)A BREAKDOWN OF THE ACCREDITATION PROCESS AND APPEALS PROCEDURE

ACCREDITATION PROCESS

STEP 1

When an application is received, INSQA acknowledges it and logs it into the INSQA system.

STEP 2

Officials of INSQA will review the application to ensure its completeness. If additional information is required, they will ask the applicant to provide the information within 30 days. If they do not receive the information, the full application will be returned.

STEP 3

Evaluators (who may be agents and/or freelancing individuals) will conduct a site visit to determine whether a provider will be able to offer the stated training and meet the stated outcomes.

STEP 4

Evaluators will compile evaluation reports and recommend whether or not a Provider should be accredited by INSQA. Recommendations will generally be one of the following:

• The Provider should be accredited
• Accreditation should be granted (specify category), but the provider has to attend to a list of conditions within a specified time. If the listed conditions are not met, accreditation will be removed
• Accreditation should not be granted

STEP 5

The INSQA Exco sub-committee will make the final decision.

STEP 6

The INSETA Council will ratify the final decision.

STEP 7

Successful applicants will be notified in writing and certificates will be issued for accreditation. Unsuccessful applicants will be informed why accreditation has not been granted.

1

APPEALS PROCEDURE

Within 30 days of refusal of accreditation

Within 30 days of receipt of appeal notification

Within 5 days after completion of appeal process

(E)NOTE ON CHECKLIST:

The following document/checklist outlines the quality indicators and evidence required by INSQA, per SAQA criteria.

Please Note:

Although SAQA criteria may remain constant the quality indicators and evidence required may change in keeping with the changing needs of education and training in the insurance sector.

1

CRITERIA / QUALITY INDICATORS

1. PRIMARY FOCUS

The Primary focus of learning provision coincides with that of INSQA

Is your primary focus as a learning provider in the following area/s?

• Unit Trusts
• Risk Management
• Insurance and Pension funding, except compulsory social security
• Long-term insurance
• Pension funding
• Healthcare benefits administration
• Short-term insurance
• Funeral insurance
• Reinsurance
• Activities auxiliary to financial intermediation

/

COMMENTS / ACTION

2. REGISTRATION WITH ONE ETQA ONLY

The provider is not seeking accreditation with, or accredited already, by another ETQA
Are you currently accredited by any other ETQA?
Do you undertake not to seek accreditation with any other ETQA while accredited by the Insurance Sector ETQA? /

COMMENTS / ACTION

A signed declaration to this effect must accompany the application

3. REGISTRATION IN TERMS OF LEGISLATION

The provider is registered in terms of relevant legislation at the time of the application for accreditation
Can you provide details of:

• Your registered trade name
• Ownership and/or management structure
• Full names of owners/partners/directors and their respective holdings
• Position titles, roles, and qualifications of present management

Can you supply documentary proof of your legal status as a provider, such as a current certificate of incorporation (e.g. as a Provider within an organisation) or equivalent documentation in your current legal name?

• If you are registered as a Company:

Can you supply a copy of your constitution, capital structure, shareholding and names of directors?

• If you are a Statutory Body:

Can you supply a copy of the legislation under which you were established, or an extract from this legislation, showing the title and date of the legislation? /

COMMENTS / ACTION

Annual report and training budget will suffice for internal providers.

4. QUALITY MANAGEMENT SYSTEM

SAQA requires that providers have a Quality Management System (QMS) which includes, but is not limited to:
4.1 Quality Managementpolicies that describe what the provider wishes to achieve
4.2Quality Managementprocedures which enable the provider to practise its defined quality management policies; and
4.3 Review Mechanisms which ensure that the defined quality management policies and procedures are applied and remain effective
4.1 Do you have a Quality Management Policy that includes a vision, mission and purpose statement?

• Do these quality statements describe your goals and principles clearly and unambiguously?

• Do these quality statements reflect a clear and unambiguous commitment to learners?

• Does the policy include a clear statement of the areas of learning in which you operate and the services provided in respect of these areas (e.g. tuition, tuition and assessment, etc)?

• Does the policy take into account the needs and expectations of your customers and learners?

• Are your reporting and communication channels clearly defined?

4.2 Does your Quality System include procedures that enable you to practise your defined quality management policies?

• Quality assurance: Do you have a policy and process to manage and assure quality?

• Non-conformance: Do you have policies and procedures to manage non-conformance and take corrective action, including an undertaking to:

Maintain a record of non-conformance?
Follow up non-conformance with corrective action, and
Verify the effectiveness of corrective measures?
4.3 Review mechanism

• Do you have a review mechanism to ensure that quality management policies and procedures are applied and remain effective?

/

COMMENTS / ACTION PLAN

• Expand on existing Training/Company policy to incorporate required criteria.
• Use Company’s vision and mission but align to cover learning provision

Think about how the following can be used to meet these criteria:

• Training prospectus
• Needs analysis/gap analysis
• Marketing and promotional strategies

Quality Assurance:
What do you regard as “Quality”?
How will you assure that your quality standards are maintained? (Consider a Procedural document to guide Quality Assurance processes)
Who will be responsible (e.g. A Committee or project team?)
How will you measure whether learning has taken place? (e.g. tests, assessments)
Non-conformance
-What do you regard as non-conformance?
-What is your measure of failure?
-How will you follow up on grievances and complaints?

Review mechanism

How will you measure success?
How will you keep up to date with changes with respect to systems, training courses, needs analysis, etc.? Research reports should be produced.
Consider the use of specific projects to continuously identify and implement improvements in terms of service and your QMS.
5. MANAGING DESIGN, DELIVERY AND DEVELOPMENT OF LEARNING
Off-site learning:

• Do you have policies and procedures to manage off-site learning? (Agreements should be in place between providers and employers).

• Do your policies and procedures for management of off-site learning safeguard the rights of learners and ensure valid and quality learning experiences?

Workplace Learning:

• Do you have policies and procedures to manage learning in the workplace?

Learning material and programmes:

• Is learning material and programmes designed with national, learner and employer needs in mind?

• Do learning programmes culminate in registered national standards or qualifications?

• Are learning programmes aligned to the outcomes-based approach and managed accordingly?

• Are learning programmes designed and developed to encourage access and be responsive to changing needs?

• Do you have policies and procedures to manage the health, safety and security of learners?

• Learner support:

Do you have policies and procedures for learner guidance and support?
Do the policies reflect how special needs of learners are accommodated?
Do learners have access to reliable advice and information before, during and on completion of a learning programme?
Do policies for learner guidance and support ensure that learning provision is learner-centred and ensures a quality experience for all learners?
Do you have policies and procedures for counselling and assisting learners to identify learning and career pathway opportunities?

• Trainer selection and development

Do you have a recruitment policy that includes criteria used in selection of trainers/facilitators?
NB: Full CVs should be maintained and made available as required for random inspection
Do you have policies and procedures for the performance appraisal and development of trainers and support staff?
6. MANAGEMENT OF ASSESSMENT

• Do you have policies and procedures for the appropriate assessment of learning outcomes specified in NQF registered standards and qualifications?

• Are the assessment strategies in keeping with the aims and outcomes of learning programmes or courses (as related to outcomes specified in unit standards or qualifications)?

• Do you have policies and procedures to manage assessment plans contracted between the learner and the assessor?

• Do you have assessment activities and instruments for different phases of the learning programmes?

• Is planning flexible to accommodate the various and peculiar needs of learners?

• Does your assessment policy ensure that assessment information (including learning outcomes, assessment criteria and assessment procedures and dates) is provided to all learners and assessors in advance?

• Are the different parties involved in the assessment of learners sufficiently qualified to assess the specified learning outcomes?

• Do you have the facilities to keep records of assessment for a minimum of three years in the event of termination of employment of a learner?

• Does your assessment strategy ensure that processes and results fulfil the requirements of the NQF standards and qualifications for which you have been accredited as a provider?

• Does your policy ensure that learners receive detailed and accurate feedback on their progress and performance?

• How will the moderation of assessment be incorporated into your assessment policies and procedures?

• Are you willing to subject yourself to auditing of assessment by INSQA and to act on recommendations?

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COMMENTS / ACTION

NB: Ensure that off-site policies tie-up and align with on-site principles.
Who will be responsible for ensuring that off-site learning is managed?
How will you ensure that learners are not prejudiced and that there is objectivity in off-site learning?
Do you have suitable communication channels with your Line Managers?
How will you measure:
-Return on investment?
-Bottom-line impact?
-Performance back on the job?
-Development of the learner?
What steps have been taken to align training material and delivery to meet specified outcomes?
Where unit standards are not available, what steps are being taken to align existing material /delivery to outcomes-based principles?
How will you comply with Health and Safety regulations?

Learner support

NB: The NQF philosophy is that learning is life-long and learner-centred but remains the learner’s own responsibility. How will you help learners to help themselves?
How will new learners be orientated?
Consider using learner satisfaction surveys as required to evaluate learning provision and ensure quality learning experiences
How will the application of learning back on the job be measured and supported?
How can your Performance Management / Performance Appraisal System be used for this purpose?
How will you manage integration and alignment with HR processes?
NB: All these criteria for learner support are also critical for learnerships!
Evidence required: extracts from H.R. policy and procedures document
How can your performance management system be used to include a growth plan for individual development?
Evidence required: extracts from H.R. policy and procedures document

• How will you manage formative and summative assessment?

• What would constitute an ideal assessor in your organisation?

• Where would he/she come from?

• What would be his/her level of knowledge and expertise?

• How will you manage assessment to be cost and time-effective?

• What systems are in place to ensure confidentiality and security of information?

Assessment is critical – it can mean the make or break of the whole process!

Appeals Procedures

• Does the assessment system allow for learners to appeal the outcome of an assessment?
• Does the appeal system and procedure allow the learner access to appeal to:

 the facilitator of learning and/or assessment,
 to the management of the provider if dissatisfied,
or to INSQA in the final instance? / Build in your own appeals procedure into your assessment policy (refer INSETA appeals procedure as a guide)

7. RECORD-KEEPING, DATA MANAGEMENT AND REPORTING POLICIES AND PROCEDURES

Note on SAQA requirements:
The following requirements have been placed upon ETQAs for reporting to SAQA in respect of learners.
While ETQAs may add requirements, providers would be expected to report to ETQAs in keeping with the SAQA reporting requirements.
Every provider will be required to demonstrate that they have a system and the facilities for maintaining and updating detailed information about past, present and potential learners. This requirement is essential in order to be able to meet the ETQA reporting requirements and should include the following learner information:

• Name and unique learner number (possibly ID number or a SAQA generated number)
• Contact details
• Demographic information (age, race, gender, geographical location, occupation – if applicable)
• Education and training background and experience (Recognition of Prior Learning; learning skills; language skills and preference)
• Special learning needs (relevant disabilities or learning difficulties)
• Additional learning needs (necessary experience and knowledge of relevant technology)
• Resource factors (place and time of learning, access to resources including electricity and technology, financial resources for additional learning or support materials)
• Motivation for entering a programme of learning
• Programme/s for which the learner is registered
• Performance during the programme (internal and continuous assessment)
• Achievement during and at the end of the programme (internal and external assessment, final assessment, award achieved)

Systems and facilities for managing learner records

• Do you have policies and procedures for capturing and maintaining learner records?

• Do you have policies, procedures and mechanisms for reporting to INSQA?

• Do you have a system, facilities and trained staff to record, and update learner information?

• Do your information transfer policies and procedures ensure the security and confidentiality of learner information?

• Do your policies and procedures for reporting on and storage of learner information protect the learner’s constitutional rights to privacy?

• Do you have systems in place to produce appropriate reports with the following information:

• Assessor details

• Assessments conducted

• Assessments moderated

• Registered Learners (Standards/Qualifications registered, age, race, gender, disability and language)?

• Learner achievements?

/ NB: Whatever we use, the security has to be tight.
Who will have access to what aspects of the system?.
What method of transferring the information without duplicating the work?
Your policies and procedures should incorporate the following:

• A system for learner registration and certification

• The compilation and maintenance of learner information

• The control of all documents and data relating to the provision of learning programmes

• Assurance of confidentiality in terms of access to and releasing of information

• A system to manage individual and group data

8. FINANCIAL, ADMINISTRATIVE AND PHYSICAL RESOURCES
Providers are required to have sufficient resources to be viable for the accreditation period. As such they will be required to demonstrate that they have resources necessary for effective and efficient maintenance and improvement of learning provision.
The provider must indicate its capacity and ability to ensure the achievement of desired outcomes through the use of the following available resources:
Administrative e.g. filing
Financial e.g. fees and/or budget
Physical e.g. relevant facilities

CRITERIA / QUALITY INDICATORS

Administrative resources

• Are learners provided with complete, clear and unambiguous fee information statements in respect of all costs to be incurred by them?

• Do you have conditions and procedures for withdrawal from a training course?

• Do you have policies and procedures for recording learner applications for entry-registration in learning programmes or for assessments, progress through programmes and exit outcomes?

Financial Resources

Providers are required to demonstrate that:

• They have the necessary financial resources to sustain the learning services throughout the period of accreditation

• Proper budgetary and financial management processes are in place

Can you supply the following as evidence of your financial viability?

• A statement from a registered Chartered Accountant or accounting officer in public practice confirming that the auditor or firm has audited the most recent financial statements of the provider (not more than six (6) months old) and has conducted an audit review on the financial statements of the provider?

• A statement reporting on the underlying soundness of the financial structures of the provider and its planned operations?

• In the case of a new provider, a statement reporting on the financial soundness of a five (5) year financial projection by the provider?

• A special report prepared by the provider with comments from the accountant where the accountant and/or provider identifies matters of concern and indicates plans to remedy the situation?

CRITERIA / QUALITY INDICATORS
Physical Resources
The outcomes and assessment criteria of Unit Standards and/or Qualifications point to the use of specific equipment and as such providers are required to make the relevant equipment, tools, machinery, or learning resources available to learners. Providers are required to demonstrate that they have adequate resources in respect of:
Equipment and materials
Premises and learning space

• Do you have suitable policies and procedures for management, maintenance and upgrading of facilities, resources and materials? (e.g. statement on the policies for purchasing, leasing, maintaining, renewal and replacement of learning resources)

• Are staff and learners trained in the use of materials, equipment and facilities?

• Do learners have access to all necessary resources e.g. print and visual media, equipment etc?

• Do you have documented policies and procedures pertaining to premises?

• Can you provide a brief description of the Provider’s premises in terms of:

Location;
Number of Learners that can be accommodated at the same time; and
How the health and safety of Learners is catered for

• Where premises are hired or leased, can you indicate the nature and conditions of the agreement?

• Can you provide a statement from the local authority that the premises meet the local authority requirements?

• If the local authority requires any changes, can you provide evidence that these have been made, or that they will be completed within a reasonable timeframe?

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COMMENTS / ACTION