IS 5b Self Evaluation Guideline

					                  Self-evaluation Guideline
                             For
                    Independent Schools
                         [E&A IS5b]
                           PART A




                              December 2007




The guideline has been developed for private providers that wish to be
accredited by Umalusi as independent schools that offer programmes leading to
the GETC, (GETC) National Senior Certificate (NSC) and/or other NQF
registered qualifications.
CONTENT

Acronyms                                              2

SECTIONA: ACCREDITATION AND THE SELF-EVALUATION PROCESS

Introduction                                          3
Constituent providers                                 3
Focus of the document                                 4
Institutional accreditation                           4

SECTION B: SELF-EVALUATION REPORT & PORTFOLIO OF EVIDENCE

Preparing for self-evaluation                         6
Conducting the self-evaluation                        7
Completing the self-evaluation report                 7
Preparing the submission                              12
Guidance and support                                  14

SECTION C: UNDERSTANDING THE COMPLIANCE CRITERIA

Criterion 1                                           14
Criterion 2                                           15
Criterion 3                                           15
Criterion 4                                           16
Criterion 5                                           16
Criterion 6                                           19
Criterion 7                                           19
Criterion 8                                           20
Criterion 9                                           20
Criterion 10                                          21
Criterion 11                                          22
Criterion 12                                          22
Criterion 13                                          22
Criterion 14                                          23
Criterion 15                                          24
Criterion 16                                          24
Criterion 17                                          24
Criterion 18                                          25

Glossary                                              26

Schedule of fees                                      30




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ACRONYMS

CIPRO      Companies and Intellectual Properties Registration Office

DoE        Department of Education

ETQA       Education and Training Quality Assurer

FETC       Further Education and Training Certificate

GETC       General Education and Training Certificate

NSC        National Senior Certificate

MIS        Management Information system

NLRD       National Learner Record Database

NQF        National Qualifications Framework

QMS        Quality Management System

REQV       Relative Education Qualification Value

SAQA       South African Qualifications Authority

SETA       Sector Education and Training Authority




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SECTION A: ACCREDITATION AND THE SELF- EVALUATION PROCESS


1.     INTRODUCTION

In terms of the General and Further Education and Training Quality Assurance
(GENFETQA) Act, (Act No. 58 of 2001) Umalusi is required to, among other things:
        accredit (registered) independent schools;
        monitor the suitability and adequacy of standards and qualifications;
        ensure that providers adopt quality management systems for learner
          achievement;
        promote quality improvement among providers.

In an attempt to prepare independent schools for accreditation, Umalusi is
implementing provisional accreditation. In this regard, independent schools are
required to comply in full with Umalusi’s core provisional accreditation criteria in
order to qualify for the status of “accreditation candidate” which attests that the school
is ready to move on to full accreditation.

In order for Umalusi to assess the compliance of independent schools with the
provisional accreditation criteria, they are expected to complete and submit the self-
evaluation report (E&A IS 5a).



2.     CONSTITUENT PROVIDERS

The scope of Umalusi’s accreditation and monitoring process is extended to public
and private education and training institutions with the following characteristics:
The provider offers:
             institutionally based delivery
             general and further education and training qualifications
             national examinations which Umalusi quality assures (not applicable
               to primary schools);
             qualifications and curricula (as part of the mix) that lead to the
               qualifications Umalusi certifies;

In addition the private provider is
             registered in terms of the relevant legislation
             constituted as a juristic person

Umalusi’s key concern is ensuring the integrity of the qualifications it certificates. It
will therefore prioritise quality assurance of these qualifications, specifically those
that represent band exit points and access learners to further or higher learning. These
include:
             the General Education and Training Certificate: for Adults (GETC:
                Adult education);
             the Senior Certificate (Due to be replaced by the new National Senior
                Certificate)


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               ASECA – Alternative Secondary Certificate for Adults
               the National Senior Certificate (NSC – NATED 190/ 191);
               the National Technical Certificate N1-N3 ( NATED 190/191) and the
                new National Certificate: Vocational; and
               any other NQF qualifications certified by Umalusi

It is important to note that institutions that offer these qualifications are therefore
prioritized for accreditation.

3.     FOCUS OF THE GUIDELINE

The focus of this guideline document is the accreditation process as it applies to
independent schools. These are schools that;

              Qualify to be registered as independent schools in terms of the South
               African Schools Act (Act 84 of 1996)
              Offer programmes leading to the GETC and the National Senior
               Certificate

4.     INSTITUTIONAL ACCREDITATION

The accreditation process consists of two process phases:

              Provisional accreditation; and
              Full accreditation

4.1    Process Phase 1: Provisional Accreditation

Provisional accreditation means that the school meets the minimum provisional
accreditation criteria set by Umalusi and has the capacity to fulfil its current
education and training obligations.

Provisional accreditation is viewed as a developmental phase during which the school
builds capacity and quality within its provision. The provisional accreditation status
of the school is determined on the basis of a desktop evaluation of self-evaluation
report Part A and a portfolio of evidence; and a site-visit to verify levels of
compliance.
.
Provisional accreditation status is granted for a specified period, during which the
school must apply for full accreditation. The periods of provisional accreditation are
explained below:

4.1.1 Six months provisional accreditation with conditions

Schools that are found to have many areas of No or Limited compliance with any of
the accreditation criteria will be granted the status of six months provisional
accreditation with conditions. The school is required to address the specified areas of
non-or limited –compliance within the six-month period. In most cases, newly
established schools are granted this status.




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4.1.2 Three year provisional accreditation

Schools that comply either in all or most respects with the criteria will be granted
Three-year provisional accreditation. Depending on the number and critical
significance of the criteria evaluated as compliant in “all or most respects”, the school
will be granted either:

         Three year provisional accreditation with conditions
          During the period of provisional accreditation with conditions, schools will be
          expected to develop and improve their systems of quality management and to
          generally ensure that they comply in all respects with all the accreditation
          criteria. To this end, schools will be expected to participate in a
          compulsory annual monitoring process conducted by Umalusi.

OR

         Three-year provisional accreditation as accreditation candidate:
          During the period of provisional accreditation as accreditation candidate,
          schools will receive a verification site visit and later undertake Self-
          evaluation Part B (see section 4.2)

4.1.2 Monitoring

During the three-year provisional accreditation period, it is compulsory that schools
participate in Umalusi’s annual monitoring programme. Schools are required to
complete and submit an annual self-evaluation report and improvement plan.

4.2       Process Phase 2:      Full Accreditation

Full accreditation attests to the institution’s capacity to manage its qualifications,
learning programmes and learner assessments effectively in order to meet established
standards and that its results can credibly be certified and entered on the national
learner record database (NLRD). It also indicates to the general public that the school
has appropriate objectives, the resources needed to accomplish its objectives, can
demonstrate that it is accomplishing its objectives and gives reason to believe that it
will continue to accomplish its objectives.

Accreditation is granted after a provider has completed Self-evaluation Part B and has
developed its internal capacity and quality management system so as to meet
Umalusi’s full accreditation criteria in respect of leadership and management,
qualifications and programmes, teaching and learning and learners’ assessment.

The process for full accreditation will be implemented in phases - provisional
accreditation being the first phase, which is the focus of this document.




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SECTION B:               SELF-EVALUATION REPORT AND PORTFOLIO OF
                         EVIDENCE

6.        PREPARING FOR THE SELF-EVALUATION

6.1        The Purpose of the Self-evaluation

The self-evaluation should be carried out in a well-thought out and systematic way. It
is important to always keep the purpose of the self-evaluation in mind. The outcome
should be:
            An independent school that has an established internal quality culture
            An independent school that complies in all respects with Umalusi
               provisional accreditation criteria.

Please ensure that the following steps have been taken before commencing with
the self-evaluation:

6.2        Orientation of Staff and Concerned Parties

Before starting the self-evaluation all staff and particularly those who will be involved
in the evaluation, must be informed of the purpose and value of the exercise. The self-
evaluation exercise enables staff to find out about their institution by identifying
strengths and weaknesses and highlighting areas for internal development. Changes
and improvements cannot be made if staff is not prepared to implement them. In other
words, quality awareness is required. However, staff should not get the impression
that the current quality systems are being sidestepped in favour of a completely new
system. The emphasis must be on improving the coherence in what already exists.
Each provider should develop policies, procedures and a monitoring and review
system that is adapted as much as possible to the context and the characteristics of the
institution.

6.3        Establishing a Self-evaluation Committee

The institution must establish a self-evaluation committee of 3 – 6 members that is
representative of the various levels of management, staff and learners in the
institution. The committee should be led by a senior member of staff who will act as
chairperson and ensure that the self-evaluation is conducted with integrity.
Management should explicitly support and encourage the initiative.

6.4        Orientation of the Committee
          Familiarise the committee with the relevant Umalusi policy documents;
          Provide copies of the self-evaluation guide and instrument to each member of
           the committee; and
          Study the guide thoroughly so that the requirements of the self-evaluation are
           understood.

6.5        Planning the Self-evaluation
          Draw up a plan and timetable for the self-evaluation and assign roles within
           the committee; and


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        Inform the management, staff and learners involved.

As Part A of the self-evaluation report is primarily concerned with compliance issues,
the Self-evaluation committee will engage extensively with the institutional
management members who are ultimately responsible for issues of compliance. This
will change when the institution completes Part B of the self-evaluation report in that
it will be based on the full accreditation criteria, which will be more concerned with
qualitative issues and consequently will involve a broader constituency.

6.6 Useful References
Umalusi recommends that providers access and familiarise themselves with the
following documents before attempting the self-evaluation.
     Quality Management Systems for Education and Training Providers – SAQA
       policy document
     Criteria and Guidelines for Providers – SAQA policy document

These can be accessed either from SAQA at:

Hatfield Forum West
1067 Arcadia Street
Pretoria
Tel No: 012- 4315000

OR on their website www.saqa.org.za


7.       CONDUCTING THE SELF-EVALUATION

It is in the interests of the independent school to fill in the self-evaluation honestly and
with integrity as the aim of the exercise is to achieve institutional compliance to
quality assurance legislation and policy, which should result in quality improvement.

As the self-evaluation instrument is focused on measuring points of compliance and
identifying gaps, it has been designed to lead to very clear answers and to result in an
improvement plan.

The improvement plan must indicate how and when you plan to comply. Compliance
is of course in your interest if you ultimately wish to be fully accredited.

8.       COMPLETING THE SELF-EVALUATION REPORT

8.1 Categories of providers
Independent schools are categorised as either Established or Newly established.
Schools completing the self evaluation report should respond to all criteria as
specified.

    Established Schools
An established provider is a school that has been in existence for a period of
more than one year prior to applying for accreditation to Umalusi. It is expected of
such schools to have established systems.


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     Newly established schools
A newly established independent school is an institution that has lodged its aplication
for registration with the relevant provincial department of education or an institution
which is provisionally registered by the relevant provincial department of education
 (PDE) at the time of applying for accreditation to Umalusi/ OR.
An independent school which has been in existence for a period of less than one
year prior to applying to Umalusi for provisional accreditation.

8.2      Self-evaluation Instrument
The self-evaluation instrument makes provision for both categories of providers. The
self-evaluation instrument consists of THREE stages. Firstly the statement of the
criterion and the minimum standard, where the provider is asked to assess the
institution’s degree of compliance, secondly, the narrative section which leads to the
quality improvement plan, and thirdly the various information templates i.e.
qualifications and provision; staff establishment; health and safety templates.

8.2.1 Evaluation of Compliance
The self-evaluation instrument emphasises compliance issues and has been organised
around minimum criteria set by SAQA. Each criterion is stated as a question to which
either YES or NO is answered - you are required to mark the appropriate block with
an X

EXAMPLE

CRITERION: 2           Leadership

2.1 Does the school have an officially appointed principal and/or head of institution
that is appropriately qualified to lead and manage it?

                                 YES          NO
                                 X

This is followed by the minimum standard for the criterion and you are required to
evaluate to what degree your institution complies – you are required to mark the
relevant block with an X. This is done using the following rubric:

No compliance =                       The institution in no aspect complies with the
                                      minimum standard
Limited compliance =                  The institution meets less than half of the
                                      requirements of the minimum standard
Compliance in most respects =         The institution meets most but not all of the
                                      requirements of the minimum standard
Compliance in all respects =          The institution meets all the minimum
                                      requirements
EXAMPLE:
To what extent does the institution comply with the minimum standard? (Mark
the appropriate block with X)

No                Limited compliance     X Compliance in              Compliance      in
compliance                                 most respects              all respects


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8.2.2 The Narrative
The narrative section of the self-evaluation requires the institution to identify its areas
of compliance (strengths) against the minimum standard and write an explanation on
how it meets them. Each point in the minimum standard should be addressed
separately in the narrative.

The section on evidence requirements lists the evidence required to prove your
claims of compliance as stated in the “Strengths” section. Providers are expected to
prove their claims by submitting the required evidence and presenting it in a portfolio.

Remember! Only evidence that proves compliance should be submitted.

The improvement plan contains areas of non-compliance or gaps. These should be
identified against the minimum standards and recorded in the space provided. A
planned date for compliance should be entered in the corresponding space.

The opportunities for improvement in the improvement plan must also be reflected in
the institution’s three-year strategic plan and one-year operational plan.

When completing the improvement plan section please ensure that you begin
each improvement plan on a new page.




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A completed example follows:


CRITERION: 5          Policies, procedures, internal monitoring and review

       5.1 Does the school have a comprehensive set of policies and procedures that
           govern the operations and standards of the institution?

                                     YES         NO
                                      X

Minimum standard

      The following policies and procedures have been developed:
        General centre policy – including the management of off-site provision;
        QMS policy - including document control and monitoring of policy
          implementation;
        Policy for learning programme development, design, and review;
        Policy for evaluation, monitoring and reporting on the quality of delivery,
          teaching and learning
        Assessment policy (The policy must be consistent with the National
          Protocol on Assessment for Schools in the General and Further Education
          and Training Band: Grades R-12 (2005);
        Staff selection, appraisal and development policy;
        Resource management policy – for control of financial and administrative
          processes, physical structures and other resources of the institution;
        Appeals and grievance procedures - to deal with appeals/complaints from
          learners or other parties;
        Learner support policy – policies and procedures for selection, intake and
          admissions of learners, learner guidance and support, open access and non-
          discrimination and learner data management policy.
        Health and safety policy and crisis management procedure

To what extent does the institution comply with the minimum standard? (Mark
the appropriate block with X)

 No                   Limited              Compliance       X    Compliance
 compliance           compliance           in most               in       all
                                           respects              respects


NARRATIVE:

Strengths: After consultation of the accompanying guideline, explain how the
provider meets the criterion.

While the school does not have a fully developed and implemented set of policies and
procedures it does have the following policies and procedures in place:
    General school policy – including the management of off-site provision;


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      Policy for programme development, design and delivery
      Assessment Policy
      Staff selection, appraisal and development
      Resource management policy – for control of financial and HR ,
       administrative structures, physical structures and other resources of the
       institution
      Policies and procedures for selection, intake and admissions of learners

Evidence requirements:
If the school meets the criterion please include the following evidence in
the portfolio of evidence:
      Policy and procedure documents as specified in the minimum standard
The evidence submitted for the above would be all the policies and procedures that
support the compliance items listed under “Strengths”.

Example of improvement plan
Opportunities for improvement:              Compliance dates:
1. Development of a policy, procedure,
monitoring and review system
1.1 Development of the following policies
and procedures:
        QMS policy - including             15 Feb 08
          document control and
          monitoring of policy
          implementation;
        Policy for evaluation,             30 March 08
          monitoring and reporting on
          the quality of delivery,
          teaching and learning
        Appeals and grievance
          procedures - to deal with         30 March 08
          appeals/complaints from
          learners or other parties;
        Health and safety policy and
          crisis management procedure       30 March 08

1.2 Review of the following policies and
procedures:
     Policy         for       programme 15 December 08
       development, design and delivery
     Assessment Policy
     Staff selection
     Resource management policy – for
       control of financial, administrative
       structures, physical structures and
       other resources of the institution
                                            30 April 08
2. Completion and full implementation



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8.1.3 The Information Templates
Attached to the self-evaluation instrument are various templates. Schools are obliged
to fill these in and place them under the appropriate evidence section in their
portfolios irrespective of whether the school meets the minimum standard of the
qualifications and programmes criterion or not.


9.     PREPARING THE SUBMISSION

Once the self-evaluation has been completed, it should be submitted to Umalusi
accompanied by a portfolio of evidence. The improvement plan is an integral part of
the self-evaluation instrument and should therefore be submitted as part of the
completed self-evaluation contained in the portfolio of evidence.

9.1    Portfolio of Evidence Requirements

The portfolio of evidence submission should meet the following specifications:

9.1.1 Quality of the Evidence

       Evidence submitted to support claims of compliance must be:

       Consistent:    Evidence must create a consistent picture of the school and
                      contain no conflicting or contradictory information.

       Authentic:     Documents should be original as far as possible. Where this is
                      not possible documents should be certified copies of the
                      original.

       Valid:         The evidence submitted must support the criteria being
                      measured – please do not send in evidence that is not
                      required.

       Sufficient:    Evidence must be of the required quality and quantity to prove
                      the meeting of minimum standards.

       Current:       Evidence must be recently generated, as far as possible in the
                      year of the submission.

       Verifiable:    As Umalusi may conduct random site visits to verify evidence,
                      all evidence submitted must be a true reflection of conditions
                      in the institution and be available for verification.

9.1.2. Presentation of Self-evaluation and Portfolio of Evidence (very important)

PLEASE NOTE:          Portfolios that are not structured according to the following
                      format will not be evaluated.




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The self-evaluation report and supporting evidence should be submitted in portfolio
format presented in a lever arch file. The name of the school and the date should be
written in bold on the spine of the lever arch file.

The portfolio should contain an introductory page that details the following:
    Name of the institution;
    Postal, physical and email addresses, telephone number and fax number of the
       institution;
    Name of the principal/ head of institution
    Name of designated contact person and contact details – including an email
       address where available; and
    A content page detailing the content of the portfolio should follow. The
       content page should list the criteria in the same order in which they appear in
       the self-evaluation instrument and alongside list the corresponding evidence.

NB: The portfolio must be structured in the same order as the criteria in the self-
evaluation instrument.

      This should be followed by a short introduction and overview of the
       institution. The overview should cover the history of the institution, describe
       its core business, and briefly outline future plans.
      The completed self-evaluation and improvement plan should be placed
       directly after the introduction and overview. The templates attached to the
       self-evaluation must be included in the appropriate evidence sections.
      Separate sections on each of the criteria containing evidence of compliance
       should follow. The portfolio should only contain evidence in support of
       compliance claims. Where there is no compliance this should be indicated in
       the improvement plan.
      Where necessary, evidence should be motivated in terms of compliance i.e. an
       explanation should be provided on how and why the evidence supports
       compliance.
      Where evidence requirements are duplicated i.e. the same evidence serves to
       support more than one criterion, evidence should be CLEARLY cross-
       referenced
      The final page of the portfolio should consist of a sworn statement on an
       institutional letterhead stating that the evidence and the information filled in
       on the self-evaluation instrument is true and accurate. It should be signed and
       stamped by a commissioner of oaths and the head of the institution or owner.

9.1.3 Submitting the self-evaluation and portfolio of evidence
NOTE: Umalusi will retain portfolios of evidence for the three-year period of
provisional accreditation. Schools are therefore requested to make a copy of the
portfolio for retention at the institution.

Submissions must be made according to the following requirements:




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         Schools must make separate submissions for the head office/campus and for
          each satellite campus or franchise. The head office or main campus is held
          responsible for ensuring that this occurs.

         If a school offers qualifications and programmes across sectors (schooling,
          ABET or FET) they must apply separately for each sector. This means that the
          self-evaluation instruments for the different sectors and the required evidence
          for each is submitted. e.g. School X provides for both vocational and ABET
          qualifications. School X completes two self-evaluations and generates two sets
          of evidence. These may be submitted in one portfolio.

         As evaluators from different sectors will evaluate the reports and evidence,
          schools must submit separate payments for each self-evaluation included in
          the submission.

         All portfolio submissions will be dealt with confidentially and institutions are
          advised to hand deliver their submission to Umalusi’s reception or forward it
          by registered mail. The administration fee or proof of payment (per self-
          evaluation) must accompany the portfolio. (See attached Schedule for fees and
          payment options)

10.       GUIDANCE AND SUPPORT

Umalusi staff is available for email and telephonic support, and one-on-one support
sessions by appointment. Schools requiring support should therefore feel free to
contact Chaile Makaleng at: 012 3491510 ext 216 or on chaile@umalusi.org.za or
Heather Erasmus at: 012 349 1510 ext 221 or on heather@umalusi.org.za

Umalusi annually schedules a compulsory workshop for general feedback and
support to schools. These generally take place provincially in September of each year.
Schools will be notified well in advance.

SECTION C: UNDERSTANDING THE COMPLIANCE
CRITERIA

CRITERION 1:              Registration

1.1       Is the school offering the National Curriculum Statements (Grades R-12)
          as its core business?

The GENFETQA Act No 58 of 2001 mandates Umalusi to initiate a full accreditation
process with schools that are eligible for registration with the Provincial Department
of Education under the South African Schools Act (No 84 of 1996).These schools
must offer the NCS as their core business. The evidence requirement asks for the
application form and Addendum 1 that form part of the portfolio submission as a
matter of course – however, schools should, where applicable, also include a copy of
the original letter of intent sent to Umalusi.




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1.2    The registration and constitution of the business

The South African Schools Act provides for independent schools to be registered as
close corporations or companies.
The school must provide evidence of this registration by submitting the appropriate
CIPRO certificate that meet the minimum standard as set out in the instrument. In
addition it must provide ALL other information required.


1.3    Is the school registered with the Provincial Department of Education?

Umalusi can only grant full accreditation to institutions that are registered with the
Provincial Department of Education under the South African Schools Act (No 84 of
1996). Schools are therefore required to indicate their registration number or to
submit their registration certificate, obtained from the PDE.

CRITERION 2: LEADERSHIP

2.1 Does the school have an officially appointed principal and / or head of the
school that is appropriately qualified to lead and manage it?

All institutions must have an officially appointed principal and/or head of institution
that is accountable for the operations of the institution. The minimum standard
requires that the head of the institution be appropriately qualified. This means that
he/she should have at least a degree or equivalent qualification (Minimum REQV 13
= matric + a three year qualification) and relevant experience. This would include
among other things, experience as a member of the School Management Team
(SMT).

The Experience component must be reflected clearly in the CV. The CV should be
accompanied by certified copies of the qualifications. Where foreign qualifications are
being submitted these must be accompanied by a SAQA evaluation document.

The head of the school must be registered with SACE (South African Council for
Educators) and must attach a certificate indicating membership

Please note: The evidence requirements for established and emerging providers
are different in this criterion.


CRITERION 3: GOVERNANCE

3.1 Does the school have a council or board of trustees / directors?

The South African constitution makes provision for the establishment of private
education and training institutions subject to the proviso that private provision should
be of the same standard or better than public provision. However, the South African
Schools Act (1996) is not explicit on the governance of private schools. It is therefore
expected of private schools to comply with governance requirements in terms of the


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legislation under which they are constituted and registered. Further guidance on the
governance of private institutions is provided in the Code of Corporate Practice and
Conduct (King I, 1994) and the King Report on Corporate Governance for South
Africa (King II, 2002).

3.2 Does the school have a formal structure /committee/board whose role is to
    coordinate academic matters?

   The role of the formal structure/academic committee will be to, among other
   things, monitor the school’s compliance with national/provincial education
   policies, recommend subject combinations, monitor curriculum delivery and
   assessment of learner achievement, and facilitate the review of internal school
   policies,

CRITERION 4:           STRATEGIC AND OPERATIONAL PLANNING

4.1 Does the school have a strategic plan (minimum of three-years) and
   related budget?

Every school must show that it has a plan for its development. A strategic plan
interprets an organisation’s vision and maps out the direction in which the
organisation will move in pursuit of its vision. The plan must be well thought through
and MUST reflect plans for alignment with the national qualifications framework
(NQF) and its underpinning principles. The strategic plan must be accompanied by a
budget projection showing how the institution plans to grow and remain sustainable
during the three-year period of provisional accreditation.

4.2 Does the school have a one-year operational plan and related budget?

This is the plan for the current year, which correlates with the first year of the three-
year strategic plan spelling out the specific objectives, activities, performance
indicators and timelines for the year. Operational planning deals mainly with short-
term activities, generally on a one-year timeframe, which effectively operationalise
(implement) the annual budget. The budget should be itemized and show how the
institution plans to meet its obligation.

Please note: The evidence requirements for established and newly established
schools are different in this criterion

In the case of newly established schools an additional piece of evidence is required in
the form of a detailed list of all anticipated expenses for the first 6 months of its
operation. This list will be correlated with the evidence provided in respect of start–up
funding as required of a newly established school in criterion 7.


CRITERION 5: POLICIES, PROCEDURES, INTERNAL MONITORING AND
REVIEW
5.1 Does the school have a comprehensive set of policies and procedures that
    govern its operations and standards?



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In order for the school to be fully effective it must have a comprehensive set of
policies and procedures in place for its core processes. These should govern not only
the core activities in the school but also set the standard for how well tasks are carried
out. This is sometimes called a quality management system (QMS).

The core business of the school is “teaching and learning”. Hence the necessity for
policies and procedures for programme and materials development, design, delivery
and assessment; as well as a process or procedure for the internal monitoring and
review of delivery and quality of instruction and assessment. Procedures for record
keeping and reporting would also be important.

Teaching and learning are supported by a number of other very important processes
such as, learner support services or financial management or HR processes and these
must also be captured in policy and procedures.

Once developed, performance indicators or measurements are set for each process and
the centre is expected to comply with the policies, procedures and standards it has set
for itself. At the heart of the quality management system is the concept of “continuous
improvement”. This can only occur if an internal monitoring and review cycle is
implemented. This is done with the purpose of monitoring conformance to policies
and procedures; and to review, adjust and update policies and procedures when they
do not produce the expected levels of quality. Monitoring, review and adjustment
should be formally planned for each year and documented e.g. the monitoring of
“teaching” – that is classroom visits - should be scheduled at regular intervals in the
school management programme. Feedback to teachers should be documented and
improvements noted. Policies and procedures should also be updated annually.

In order for the school to be fully accredited the institution must have a quality
management system (QMS). This requirement applies to all providers.

To assess compliance with the minimum standard, conduct a gap analysis of the
policies and procedures that your school currently has against the requirements as
captured in the self-evaluation instrument; then develop the outstanding policies and
procedures. For guidance on the development of a full QMS please use the SAQA
policy documents referred to earlier in the guideline. You may also use a consultant.
However, this should be limited to guidance and not a “ready-made” QMS.

The QMS should be contextualised to your institution as far as possible. It should not
be an idealized package of policies and procedures but should reflect policy and
procedure as it actually “happens” or will happen in your school. This means
documenting what you currently do, keeping good practice in mind.

5.1 Has the school implemented an internal monitoring and review process?

For the effective functioning of the school, there should be a regular review of two
aspects:




                                                                                       17
5.2.1 The core processes
Core processes such as design and development of programmes, instruction and
delivery, and learner assessment etc should be monitored on a continuous basis to
ensure maintenance of standards and quality improvement. The resulting reports
should feed into the school planning.

5.2.2 The policies and procedures.
This means a review of the QMS and the policies and procedures it comprises of. A
QMS is dynamic and must be monitored for implementation and reviewed for up
dating on a regular basis. Every institution must develop and plan a QMS review
cycle that is implemented annually.

The school should explain how this is done and when it is done. Evidence of internal
monitoring plans, internal review cycle and plan, which help the school keep track of
these processes, should be submitted as evidence.

Quality must be planned for and therefore quality plans should be reflected in your
strategic plans as well as in your operational plans.

Please note: The evidence requirements for established and newly established
schools are different in this criterion




                                                                                  18
CRITERION 6: Management Information System (MIS) and Reporting

6.1 Has the school implemented a management information system?

The school should have a functional MIS. The learner information must be kept in the
MIS and accessed when needed

The MIS may consist of paper-based or electronic records, filing systems and reports.
(Paper-based records however, tend to impede the swift generation of reports and
consequently these are seldom generated or fed into the planning or management
decision-making process). Whatever kind of system is used, it must store the required
information in order to generate the kinds of reports listed in the minimum criteria.
The reports generated from the system should form the basis of decision making and
planning in your school.

In addition the MIS will play a pivotal role in presenting information to Umalusi as
part of the full accreditation process – particularly in the post accreditation monitoring
process. It is therefore vital that schools build their capacity to provide all the
information indicated in the minimum standard.

Please note: The evidence requirements for established and newly established
schools are different in this criterion


CRITERION 7: Financial Resources and viability

7.1    Does the school have sufficient resources (viability) for the proper
       operation of the school and discharge of obligations to learners and to
       ensure sustainability?

As Umalusi’s primary concern is the learners, it is vital that providers are financially
viable and sustainable and that learners will not be “left in the lurch” at any point
during their enrolment period.

Please note: The evidence requirements for established and newly established
schools are different in this criterion

Umalusi requires established schools to submit audited financial statements and an
auditors report in order to check on viability. A registered auditor must sign off the
financial statements and generate the report. In the case of a CC the financial officer
must attest to this.

Umalusi requires newly established schools to have a bank account; and be in a
position to submit three months bank statements with sufficient start-up funding to
cover the schools’s detailed list of expenditure for the first 6 months.

In addition both categories of schools must furnish Umalusi with a copy of an
insurance policy taken by the school to protect contracted learners should the school
be unable to meet its obligations. (Only applicable where the learners are directly
contracted)


                                                                                       19
CRITERION 8: Staff Establishment / Human resource

8.1 Does the school have sufficient and qualified staff to support the
    qualifications and programmes it is offering?

The primary business of a school is the quality of the teaching and learning. The
competence of professional staff is directly linked to the quality of instruction and
delivery. It is therefore paramount that the teachers delivering the tuition should have
appropriate experience and qualifications for the qualifications and programmes
offered. To this end every organisation must by law have a skills development plan
that ensures regular upgrading of skills. The plan should be informed by the
monitoring and review reports of learning programme development, design and
delivery and the identified needs of the centre and its learners.

Teachers should be registered with the South African Council for Educators (SACE).
In other words they should at least have a degree or equivalent qualification
(Minimum REQV 13 = matric + a three year qualification) and experience in school
education.

A staff recruitment and selection policy must be in place and the school must indicate
the selection criteria used for the employment of staff and in particular staff that are
employed “on demand” as substitute teachers. In the case of substitute teachers or
contracted staff written and signed contracts must be in evidence.

The school should also comply with the relevant labour relations legislation

Sufficient numbers of facilitators must be employed to ensure that the teacher: learner
ratio is at an acceptable level (i.e. 1:35 for primary schools and 1:40 for high schools)


CRITERION 9: Qualifications and Learning Programmes

Schools seeking accreditation MUST offer the NCS (Grades R-12), leading to the
acquisition of the GETC and the Senior Certificate or the envisaged National Senior
Certificate.

Umalusi does not “approve learning programmes” but quality assures curriculum
through the assessment process. Therefore, once a school is registered as an
examination centre with an accredited assessment body that conducts national
examination its curriculum is considered “approved”.

The school may offer additional occupational qualifications/ learnerships / skills
programmes and short courses in their mix of provision up to and including NQF
level 1. The learning programmes of these must however, be quality assured by the
relevant SETA/ETQA and schools must apply for such approval through Umalusi on
application for accreditation.

Schools may NOT enroll learners for NQF registered qualifications and programmes
for which they have not received approval. This means programme approval from



                                                                                      20
SETA/ETQAs for occupational qualifications, and registration as an exam centre for
general qualifications (GETC).


Please note: The evidence requirements for established and newly established
schools are slightly different in this criterion

Newly established schools must provide evidence of the ability to develop a learning
programme by providing a sample instrument used to develop a learning programme.

Established schools with existing learning programmes should regularly review and
improve their programmes. Schools should implement their annual review plan which
amongst other aspects contains the review of learning programmes. It should also
develop and implement an instrument for the review of learning programmes. Both
should be submitted as evidence in the portfolio.

Attached to the self-evaluation are qualification and provision templates that must be
filled in and also submitted as evidence.


CRITERION 10: Instruction and Delivery

10.1 Are learning programmes planned, coordinated and delivered using
effective and appropriate instructional approaches that support learning?

The quality of instruction/delivery in a school is the single most important factor
affecting the quality of learning and is the link between curriculum and learning
programmes, learning expectations and learner performance. Instructional practice
must be grounded in the kind of provision offered (i.e. academic, vocational etc) and
supported by research into good practice; and refined and improved based on
identified learner needs. Teachers are expected to be reflective about their
instructional practices. Therefore the internal monitoring of instruction and delivery is
essential.

Please note: The evidence requirements for established and newly established
schools are different in this criterion

Amongst other items of evidence established schools are required to submit a
completed instrument used for monitoring and improving facilitation and learning –
this must be an instrument that has been filled in, whilst monitoring a specific tuition
session
In addition to the required evidence as indicated in the self-evaluation instrument
newly established schools must submit the following once facilitation commences:
      School time table
      Monitoring plan
      Completed instrument used for monitoring and improving facilitation and
       learning


                                                                                      21
CRITERION 11: Premises and Facilities

11.1 Does the school have sufficient and appropriate premises and facilities,
     including specialist facilities, to support the qualifications and programmes
     it offers?

The premises must be secure in respect of a 3year lease, ownership or though
contractual agreement with the workplace.

The teaching and learning environment must be conducive to learning. To this end
providers must ensure that the premises and facilities meet the minimum standard.

Particular attention should be paid to issues of health and safety, which means that
learners and staff should be trained to assist in an emergency and a written health and
safety policy and crisis intervention procedure should be developed and put into
effect. The policy should be based on the requirements of the Health and Safety Act.
This requirement applies especially to workshops, kitchens and other specialist
facilities.

Appropriate specialist facilities must exist to support the programmes being offered.

If teaching occurs in workplace premises the onus remains on the school to ensure
that the environment is conducive to teaching and learning and safe. To this end the
provider must complete the attached health and safety template. This must be signed
by both the provider and the workplace.

CRITERION 12: Equipment and Learning Support Materials

12.1 Does the school have sufficient and appropriate equipment and
     learning materials to support the qualifications and programmes offered?

Quality learning cannot take place if the equipment and learning materials are not
sufficient and of quality. Therefore schools must ensure that learners are catered for in
terms of the equipment and learning support materials required for the qualifications
they offer. Equipment and learning materials must be sufficient, in good order and up
to date.

The institution’s Health and Safety policy and crisis intervention procedure must also
address the use of specialist equipment.

NB: Please remember to include a sworn declaration attesting to the sufficiency and
condition of the equipment and learning materials

CRITERION 13: Assessment

13.1 Has the school adopted an assessment policy and practices that comply with
the National Protocol for Assessment of Schools in the General and Further
Education and Training Band (Grades 1-12)?




                                                                                      22
Assessment is an integral part of teaching and learning. Its purpose is to inform
learners of their learning progress and facilitators of ways to adjust their instruction to
better respond to the needs of learners. Further it communicates the growth and
competence of learners, to interested parties such as future employers and institutions
of higher learning.

Therefore, the results of learning must be continually discussed, reviewed and used to
develop short-term and long-term strategies for improving learning programmes and
instruction.

As a large part of assessment is site-based it is vital that teachers are trained in the
principles of assessment so that they are able to assess fairly and validly. Umalusi’s
commitment to the quality assurance of assessment not only requires that schools
register with recognized assessment bodies as exam centres but also that educators
register as assessors with the relevant SETA/ETQAs if the school offers occupational
qualifications and programmes such as learnerships.

Newly established schools must note that they are not permitted to provide any tuition
at all before they are either registered as an examination centre with an accredited
assessment body or have sought and been granted programme approval by the
relevant ETQA in the case of learnerships. Schools provisionally accredited with
Umalusi should apply for programme approval with SETA/ETQAS via Umalusi.

Where occupational qualifications are offered schools must comply with the
assessment requirements indicated by the qualification and the quality assuring
SETA/ETQA. These may require the registration of assessors and moderators with the
relevant ETQA.

Please note: The evidence requirements for established and newly established
schools are different in this criterion


CRITERION 14: Learner Contracts and Guarantees

14.1 Does the school have signed parent/learner contracts?

Schools are expected to ensure that parents/guardians and learners understand
and sign contracts in respect of, among other things, learners code of conduct
and the general school rules. The contracts should clearly explain some of the
following:
     the curriculum and subject combinations offered at the school
     the school ethos.
     obligations of parents/guardians, learners and the school.
     conditions under which the learner is enrolled.
     measures by the school to ensure value for tuition and other fees paid.
     the school’s exemption policy on tuition and other fees.
     the arrangements and/or guarantees and undertakings made by the school in
       respect of learners should the school be unable to meet its obligations




                                                                                        23
Please note: The evidence requirements for established and newly established
schools are different in this criterion

A newly established school must enroll learners for tuition within the 6 month period
of its provisional accreditation. A sample of signed learner contracts must be
submitted to Umalusi in order for the provisional accreditation period to be extended.


CRITERION 15: Learner Access and Support

15.1 Does the school have a learner support system?

The lack of learner support has been identified as one of the key weaknesses in the
education and training system. Learner support systems should be designed around
the needs of the learners and should address issues of access and redress and support
the learning process. Learner support systems might include career guidance and
counseling, library facilities, internet access, study venues/periods, study skills etc.

Newly established schools must have given this aspect of provision some thought and
must present a description of the proposed learner support system.

CRITERION 16: Marketing

16.1   Does the school provide information to learners and the public that is
       correct, unambiguous and freely available?

Institutions must be transparent in the dissemination of information to learners and the
public at large. Information should be freely available, accurate and honestly
presented. Where information on qualifications and short courses is provided the
school must ensure that the information is explicit and not misleading in respect of the
“approval/accreditation” status of these. Learners may not be enrolled for
qualifications or programmes that are not registered on the NQF unless they have
been explicitly made aware of the status of these programmes and have committed
themselves to this in writing

CRITERION 17: Stakeholder Satisfaction

17.1 Are parents, learners and other stakeholders satisfied with the quality of
the education and service the school provides?

One of the cornerstones of quality is “client satisfaction”. Education and training
providers have many clients. These include learners, parents, the community,
industries and workplaces, institutions of higher learning etc. It is vital that providers
offer education and training as well as services that result in high client satisfaction
levels. Therefore, clients should be surveyed and the results reported and fed into
improvement planning.

Please note: The evidence requirements for established and newly established
schools are different in this criterion



                                                                                       24
Established and newly established schools must have developed a service delivery
policy that spells out service levels and how they intend to meet the needs of clients.

Newly established schools need only submit a sample survey form which will be used
to assess client satisfaction at the end of a given tuition cycle; While established
providers must submit a client satisfaction report consolidating the results of surveys
done.

SUMMARY 18: South African Constitution and the NQF – underpinning
principles

As an independent school your provision should support and actively advance the key
underpinning principles of the South African Constitution and the National
Qualifications Framework (NQF). These should not only be reflected in your
provision but also in your vision, mission, values, planning and capacity development
of your school. The underpinning principles are primarily focused on issues of
quality, access and redress. In writing your narrative you should explain the
following:

      How your school has opened access to the previously disadvantaged sections
       of the community e.g. a bursary scheme for disadvantaged learners, staff
       equity plan, partnering programme and so on;
      How the school assists learners in making the transition to work or further
       education e.g. here you might indicate statistics showing learner placements in
       the workplace or progression to further education as well as indicating what
       the school does to support learners in this regard, such as a CV writing short
       course, interview skills, filling in of applications for work as well as for further
       education institutions or the offering of enriched curricula or additional
       qualifications or skill acquisition courses etc
      How the school caters for the development of the social and economic
       development of the learners
      A summary of what the institution does to improve and enhance the quality of
       its provision e.g. monitoring of its provision, annual review programme,
       training of staff, measuring satisfaction levels, participation in a formal centre
       improvement programme, self-evaluation etc
      What the school does or has in place that ensures that unfair discrimination
       does not exist e.g. policy on managing diversity, enrolment policy that ensures
       a diversity of learners from different racial and cultural groups etc
      How the school provision contributes to the full personal development of each
       learner both social and economic – this means explaining what the school does
       to address all the needs of adult learners not just those demanded by the
       workplace or employers.

              _________________________________________________




                                                                                        25
26
                                    GLOSSARY
Accreditation
Means the certification, for a particular period of time, of an institution as having the
capacity to manage and provide education, training and/or assessment for specified
NQF registered qualifications.

Assessment
Assessment in education and training is about collecting evidence of learner’s work so
that judgments can be made about a learner’s problems, progress and achievements
and decisions arrived at.

Assessment body
The department of education or any other body recognized by the Umalusi that
provides external exit point assessments such as a provincial department of education
or the Independent Examinations Board.

Assessor
An individual registered by the relevant SETA/ETQA in accordance with criteria
established for this purpose, who assesses learner achievements against nationally
registered qualifications and unit standards.

Companies and Intellectual Property Registration Office (CIPRO)
This body is responsible for the registration of companies in accordance with the
Companies Act of 1973.

Education and Training Quality Assurer (ETQA)
A body responsible for quality assuring achievements in terms of national standards
or qualifications – this would include accreditation of private providers and approval
of learning programmes. There are a large number of these in industry in the form of
professional bodies and attached to Sector Education and Training Authorities as well
as two band ETQAs, namely Council for Higher Education and Umalusi Council for
Quality Assurance in General and Further Education and Training.

Newly established schools
Newly established School
A newly established school is a school which is provisionally registered with the
relevant provincial department of education (PDE) at the point of applying for
accreditation to Umalusi or which has been provisioning education for a period of less
than one year prior to applying with Umalusi for provisional accreditation.

Established School
An established school is one which is fully registered with the provincial department
of education (PDE) and has been provisioning education for a period of more than one
year prior to applying for accreditation with Umalusi. It is expected of such schools to
have established systems.




                                                                                      27
Exit point
A point in general or further education and training at which a learner is required to
demonstrate competence with a view to obtaining certification as proof of proficiency.

General Education and Training Certificate (GETC)
An envisaged exit point certificate offered to learners who comply with pass
requirements for grade 9

Learnership
A learnership refers to a qualification that relates to an occupation and consists of a
structured learning component and practical work experience. It is usually based on a
tripartite agreement between an industry, a provider and a learner during which the
learner receives the theoretical component of the programme from a provider, and
gains the practical component in the workplace.

Legacy qualifications
Qualifications in existence before the advent of the NQF. Some of these
Qualifications were interimly registered by SAQA on the NQF on application from
providers, while others were not.

Management information system (MIS)
A system that records and stores information in a formal system (in this case,
information gathered in an education and training provider) that is able to integrate
information into reports useful to management.

NATED 191
National Education Policy that reflects the formal technical college instructional
programmes in RSA.

NATED 550
National Education Policy that reflects the formal school instructional programmes in
RSA – replaced by the new National Curriculum Statements.

National Certificate: Vocational (NCV)
The exit point certificate issued after completion of 3 years of vocational training at
an FET college, that will replace the current National Technical Certificates and the
NSC as contained in the NATED 190 /191 policy

National curriculum statement (NCS)
Newly developed DoE standards for the school curriculum from grade R – 12.

National qualifications framework (NQF)
Is a framework that is underpinned by a set of principles that provide a vision, a
philosophical base and an organizational structure for a qualifications system. The
NQF currently consist of 8 levels in three broad bands, general education (Reception -
grade 9, NQF 1), further education (Grade 10-12, NQF 2-4) and higher education
(Post school education NQF 5-8). All qualifications registered on the NQF have
national recognition thereby ensuring an integrated system that encourages life-long


                                                                                     28
learning. The objectives of the NQF are to create an integrated national framework for
learning achievements; facilitate access to, and mobility and progression within
education and training and career paths; enhance the quality of education and training;
accelerate redress of past unfair discrimination; and contribute to the full personal
development of each learner and the social and economic development of the nation at
large.

National Senior Certificate
The exit point certificate issued after 12 years of schooling that will replace the
current Senior Certificate.

Notional learning hours
Refer to the number of hours it would take the average learner to meet the outcomes.
Hours are estimated on the total learning experience that includes contact hours,
homework, projects, research etc – not just the contact hours. 1 credit is awarded for
every 10 notional hours e.g. 5 credits = 50 notional learning hours.

NQF registered qualification
A qualification, which has been submitted to the South African Qualifications
Authority (SAQA) for approval and has subsequently been registered on the NQF. It
may be unit standard based or not or a legacy qualification that has been interimly
registered. All registered qualifications have an ID number against which they are
registered.

Occupational qualifications
NQF registered qualifications focused on skills development for the workplace, which
have been assigned to various Sector Education and Training Authorities for quality
assurance. Occupational qualifications have been developed by standard generating
bodies and are predominantly unit standard based.

Quality assurance
The process undertaken to ensure that the quality of the service provided at every
stage meets or exceed that which is specified at each stage. All members of an
organization have a part to play in determining and guaranteeing quality.

Quality management system (QMS)
A system of documented policies and procedures for all core processes that govern the
operations of the provider to ensure consistency. The system also includes monitoring
and review cycles to ensure continuous improvement (planning, implementation,
monitoring, review and adjustment) of services or products.

REVQ 13
Refers to the relative education qualification value used to appoint educators – REVQ
13 refers specifically to matriculation + 3 years tertiary education (degree or diploma).

Qualification
A qualification consists of 120 credits (1,200 notional learning hours which
approximately represent 1 year of learning), is structured around fundamental, core
and elective components and in the GET and FET bands leads to a certificate on NQF


                                                                                      29
levels 1- 4.

South African Qualifications Authority (SAQA)
The authority established by the SAQA Act of 1995 to ensure the establishment of the
national qualifications framework and its supporting structures and functions.

Sector Education and Training Authority (SETA)
A body formed for each of the economic sectors to plan, coordinate and report on
sector specific skills development and training e.g. Construction SETA will perform
this function for the construction industry. Every SETA has as part of its structure an
ETQA that quality assures qualifications, programmes and providers offering the
sector’s qualifications. There are currently 23 SETAs.

Short course
Is a programme that focuses on part of a qualification and may be credit bearing or
not. If credit bearing, it will be worth less than 120 credits in the FET band. Currently,
many short courses being offered by providers in the GET and FET bands are not
linked to qualifications registered on the NQF and are therefore not credit bearing.

Skills programme
An occupationally-directed programme which is presented by an accredited
 provider, and when completed will constitute credits towards a NQF registered
qualification. It focuses on part of a full qualification.




                                                                                       30
ACCREDITATION FEES SCHEDULE 2008 – PRIVATE PROVIDERS
Activity                           Fee                Comment

ACCREDITATION APPLICATION
Evaluation of Letter of Intent R215-00                Once off fee: Non-refundable Administration
(incl. Sworn declaration)                             fee for determining scope of Provider and credit
                                                      check

Processing of application and      R 1000-00          Once off fee: Administration fee for processing
Evaluation of Portfolio of                            applications +
Evidence                                              Professional fee for evaluation of portfolio of
                                                      evidence.
Applies only to FET colleges:      R 370-00 per       Once off fee: Professional fee for evaluation of
Evaluation of qualifications and   qualification      portfolio of qualifications and programmes – the
programmes for provisional         submitted          fee is per qualification
accreditation
SITE VISITS
Single site providers:             R 2 660-00         Once off fee: Per site visit (excludes travel and
Compulsory verification site                          accommodation – in the case of a compulsory
visits OR                                             visit Umalusi carries the cost of travel and
Support site visits on request                        accommodation – if on request this is for the
                                                      cost of the provider)
Multiple site providers            Head office        Once off fee: Applicable when provider is
Compulsory verification site       R 2 660-00 +       applying for more than one site of delivery.
visits OR                          R 1 600-00 per     (Excludes travel and accommodation – in the
Support site visits on request     site               case of a compulsory visit Umalusi carries the
                                                      cost of travel and accommodation – if on
                                                      request this is for the cost of the provider)




ANNUAL MONITORING
Monitoring                         R 1000-00          Annual fee: Administration fee +
                                                      Professional fee for processing and evaluation
                                                      of monitoring reports + compulsory annual
                                                      provider workshop
PROGRAMME APPROVALS FROM SETAS
Program Approval Referral
                          R 375-00                    Once off fee: Fee for each qualification
                                                      evaluated or referred.

WORKSHOPS
Additional Workshops               R 210-00 + costs   Once off fee: Additional optional provider
                                   (venue,            workshops or seminars
                                   refreshments,
                                   materials)
                                   Per delegate
REQUEST FOR REVIEW
Request for Review of decisions    R 375-00           Once off Non refundable fee




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