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					WHOLESALE AND RETAIL SETA
Skills Development for Economic Growth




     ETQA Monitoring
      andAuditingPolicy
                                          WHOLESALE AND RETAIL SETA ETQA

                                PROVIDER MONITORING AND AUDITING POLICY
                            Effective Date: 00/00/2007         Issued by ETQA    Rev: A Pg. 2 of 15



                                           Distribution List
ETQA Executive Manager               R. Lechet


Regional Quality Assurors            K. Ntimbela
                                     E. Kleingeld
                                     E. Olivier



                                          Revision History
Version               Date                Author                 Description
1.0                   24/08/2007          K. Ntimbela            First Draft




                                      Document Information
Location
Name                  W&RSETA ETQA : Monitoring and Auditing Policy
Status                1st Draft / Review
Last Changed           2003

                                          Approval History
Date              Name                       Designation




Approved by: Executive Manager: ETQA
Date of Issue: 24/08/2007                           Date of Next Review: 24/08/2008
                            PROVIDER MONITORING AND AUDITING POLICY
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CONTENTS                                                      PAGES

1.       STATEMENT OF POLICY INTENT

1.1.     Legal / Regulatory and Policy Reference
1.2      Definitions
1.3      Application and Scope
1.4      Relationship to other ETQA policies
1.5      Accountability and Responsibility

2.       STATEMENT OF POLICY INTENT

2.1      Purpose and content
2.2      Principles
2.3      General Monitoring and Audit requirements
2.4      Monitoring specific requirements
2.5      Monitoring process

2.5.1    Annual Monitoring Plan
2.5.2    Desktop Review and or Evaluation
2.5.3    On-Site Monitoring / Verification Visits
2.5.4    Monitoring Reports
2.5.5    Findings
2.5.6    Decision on Review
2.5.7    Reporting on Monitoring

2.6      Frequency of Monitoring Intervention

2.7      Auditing

2.7.1    Selection of audit team and audit team leader
2.7.2    Qualification of auditors
2.7.3    Initiation of an audit
2.7.4    Audit report and Auditee Response
2.7.5    Action on audit reports
2.7.6    Conflict of interest
2.7.7    Confidentiality of audit reports
2.7.8    Appeal of Audit Committee Action
2.7.9    Annual Report and Plan
2.7.10   Self-Audits

6.8      Frequency of Audit interventions
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1. Background

1.1.   Legal / Regulatory and Policy Reference

       Subsection 2(1) of the ETQA Regulations, 1998 (No. R 1127 of 1998), promulgated under
       section 14 of the South African Qualification Authority Act, 1995 (Act No. 58 of 1995)
       provides that an ETQA “shall be accredited for the purpose of monitoring and auditing
       achievements in terms of national standards or qualifications”.

       This legal mandate is further supported by the NSDS, in particular principles 4 and 5:

       •   Support, monitor and evaluate the delivery and quality assurance necessary for the
           implementation of the NSDS
       •   Advance the culture of excellence in skills development and life long learning

       And objectives 2 and 5:

       •   Promote and accelerate quality training for all in the workplace
       •   Improve the quality and relevance of provision


       W&RSETA ETQA therefore acknowledges its legal right and duty to monitor and audit
       providers as per the South African Qualifications Authority. In this way W&RSETA ETQA
       fulfill the quality assurance responsibility of learning provision in the sector.

       Summary of legal and policy reference documents


       •   Constitution of the Republic of South Africa (Act No 108 of 1996)
       •   Promotion of Administrative Justice Act (Act No. 3 of 2000)
       •   South African Qualifications Authority Act (Act No. 58 of 1995)
       •   Education and Training Quality Assurance Bodies Regulations (No. R 1127 of 1998)
       •   SAQA 2001 Quality Management Systems for Education and Training Providers
           http://www.saqa.org.za/>Documents>Criteria and Guidelines>All Documents
       •   SAQA 2001 Criteria and Guidelines for Providers
           http://www.saqa.org.za/>Documents>Criteria and Guidelines>All Documents
       •   SAQA 2002. Criteria and Guidelines for the Registration of Assessors
           http://www.saqa.org.za/>Documents>Criteria and Guidelines>All Documents
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1.2   Definitions


      The definitions of the terms below apply to their use in this policy:
          o   "accreditation" means the certification, usually for a particular period of time, of a
              person, a body or an institution as having the capacity to fulfill a particular
              function in the quality assurance system set up by the South African Qualifications
              Authority in terms of the SAQA Act
          o   “accreditation scope” means the list of qualification(s) and/or unit standard(s) for
              which a body is accredited for a defined purpose
          o   "assessor" means the person who is registered by the relevant Education and
              Training Quality Assurance Body in accordance with criteria established for this
              purpose by a Standards Generating Body to measure the achievement of
              specified National Qualifications Framework standards or qualifications, and
              "constituent assessor" has a corresponding meaning
          o   "Education and Training Quality Assurance Body" (ETQA) means a body
              accredited in terms of section 5(1)(a)(ii) of the SAQA Act, responsible for
              monitoring and auditing achievements in terms of national standards or
              qualifications, and to which specific functions relating to the monitoring and
              auditing of national standards or qualifications have been assigned in terms of
              section 5(1)(b)(i) of the SAQA Act
          o   "moderation" means the process which ensures that assessment of the outcomes
              described in National Qualifications Framework standards or qualifications is fair,
              valid and reliable
          o   “moderator” means someone who is competent to conduct a moderation
              process
          o   "provider" means a body that delivers learning programmes which culminate in
              specified National Qualifications Framework standards or qualifications and
              manages the assessment thereof
          o   "quality assurance" means the process of ensuring that the degree of excellence
              specified is achieved
          o   "registered standards" means unit standards or qualifications registered on the
              National Qualifications Framework
          o   “registration scope” means the list of registered standards for which an assessor or
              moderator is registered with the SETA as an assessor or moderator
          o   “Audit” systematic, independent and document process for obtaining audit
              evidence and evaluating it objectively to determine the extent to which the
              audit criteria are fulfilled.
          o   “Audit conclusion” outcome of an audit, provided by the audit team after
              consideration of the audit objectives and all audit findings.
          o   “Audit evidence” means records, statement of facts or other information, which
              are relevant to the audit criteria and verifiable.
          o   “Audit findings” means the non-compliant results that have been identified as a
              result of the evaluation and collection of evidence against audit criteria. Findings
              are also known as non-conformities
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o   “Monitoring / audit plan” means a description of the activities and arrangements
    for an audit
o   “Audit scope” means an extent and boundaries of an audit.
o   “Audit team” means one or more auditors conducting an audit supported if
    need by technical experts.
o   “Auditee” means an organization / company being audited
o   “Auditor” means a person with the competence to conduct an audit.
o   Competence” means demonstrated personal attributes and demonstrated
    ability to apply knowledge and skills
o   “Process/ Procedure” means a procedure or process describes the steps
    necessary to complete a process. It may be a text document, a flow chart or any
    other format that is fit for purpose. The terms” process” and” procedure” are used
    interchangeably in this guideline
o   Review” activity undertaken to determine the suitability, adequacy and
    effectiveness of the subject matter to achieve established objectives
o   “Corrective action” means an action taken to eliminate the course of a
    detected no-conformity or other undesirable situation. Corrective action is
    reacting to a situation to avoid a recurrence.
o   “Document” information relating to a policy, procedure or work instruction, and
    its supporting medium. This may include checklists and blank forms. Note that the
    medium may be paper, magnetic, electronic or optical computer discs, master
    samples, photographs, or combination thereof.
o   “Evidence” means data supporting the existence or verify something. Data
    gathering as part of the assessment process is referred to as evidence of learning
    competence
o   “Non-conformity” means non-fulfillment of a requirement. This is also known as
    findings
o   Preventive action” means an action taken to eliminate the cause of a potential
    non-conformity or other potential undesirable situation. Preventive action is pro-
    actively taken to avoid an occurrence.
o   Records” means a document stating results achieved or providing evidence of
    activities performed. Note the records may be stored as any of the document
    mediums.
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1.3   Application and Scope

      The policy applies to all practices and processes conducted by SETA staff, constituent
      providers, and verifiers and moderating bodies ensuring the monitoring and auditing
      activities within W&RSETA sector.

1.4   Relationship to other ETQA policies

         Accreditation Policy
         Assessor and Moderator Registration Policy
         Assessment and Verification Policy
         Programme validation Policy
         Certification Policy

1.5   Accountability and Responsibility

      The ETQA staff and or its representatives are responsible and accountable for managing
      and overseeing the implementation, maintenance, review and improvement of the
      W&RSETA validation policy and procedures.

      The responsibility for monitoring and evaluating quality of learning provision rests with the
      regional Quality Assurer, whilst auditing of W&RSETA ETQA providers` lies with the ETQA
      Audit Committee under the leadership of the ETQA Executive Manager.

      The ETQA Audit Committee’s authority includes arranging for audits of W&RSETA ETQA
      accredited providers, conducting and or overseeing of the audits, and transmitting audit
      findings and recommendations to the ETQA Executive Manager.

      The ETQA Executive Manager’s authority includes determining which W&RSETA ETQA
      providers shall be audited, reviewing audit reports and recommendations received from
      the ETQA Audit Committee confirming adherence to the criteria for accreditation, and
      confirming that the procedures and practices of accredited providers continue to be
      consistent with current accreditation requirements.

      The ETQA Executive Manager is also responsible for taking any necessary action based
      on its audit findings. Further, appeals related to such an audit are made to the ETQA
      Executive Manager.
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2.    Statement of Policy Intent

2.1   Purpose and content
      The purpose of this policy is to:

              Provide ETQA monitoring and auditing framework to exercise its function as
              contemplated in section 1 above here in this policy document.
              Inform providers of the ETQA approach in monitoring and auditing practice and
              process of provider learning provision.
              Clearly outline systems that assure quality of learning provisions
              verify quality of assessments by internal and external providers
              verify learner achievement and recognition of prior learning

2.2   Principles

      W&RSETA ETQA has identified the following principles which will underpin the monitoring,
      evaluation and review of the quality of learning provision and assessment:

          a) W&RSETA ETQA will adopt a reliable and comprehensive system of monitoring that
             will ensure the quality and credibility of programmes leading to achievement of
             unit standards and or qualifications
          b) The primary engine of improvement will be providers’ own systems for monitoring
             and evaluation of programmes and learning provisions.
          c) Monitoring processes will be open to scrutiny by stakeholders
          d) Procedures for monitoring will be consistent with the functions set out for ETQA in
             the SAQA Act 1995 and appropriate for each of the diverse range of providers
             within the wholesale and retail sector.
          e) Monitoring will be designed to encourage and facilitate ongoing Improvement in
             the quality of programmes and services offered to learners
          f) Compliance to accreditation requirements
          g) Identify options for development and continuous quality improvements


      Adherence to procedural fairness as required by the Promotion of Justice Act (Act No. 3
      of 2003) in terms of:
              reasonable notice (nature and purpose),
              a chance to make representations,
              a clear statement of the administrative action,
              advise as to review or internal appeal, and
              Advise as to the right to request reasons.




2.3   General Monitoring and Audit requirements
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        •   The W&RSETA ETQA will ensure quality of provision through monitoring & auditing of
            providers within its scope of provision as set out in the rest of this document.
        •   The W&RSETA ETQA will ensure the credibility of learner achievements through its
            monitoring of providers, validated programmes and the attainment of national
            standards.
        •   The W&RSETA ETQA recognizes provider’s quality assurance as the main engine of
            quality improvement and will monitor its effectiveness in maintaining and improving
            the quality of programmes.
        •   An annual monitoring plan will be produced identifying priorities for monitoring in
            terms of provider types, validated programmes and learning achievements.
        •   The application of monitoring resources will be focused and will maximize the use of
            available information sources, particularly reports arising from provider self evaluation
            (internal verification mechanisms), authentication of assessment and learner
            attainment of national standards.
        •   In order to assure itself of the quality of programmes, W&RSETA ETQA may also visit
            training delivery and or assessment sites to monitor current practice.
        •   The information generated by monitoring processes will be used by W&RSETA ETQA to
            recognize and disseminate good practice and to recommend quality improvements
            where necessary.

2.4     Monitoring specific requirements

        The W&RSETA ETQA will monitor accredited providers by collecting and disseminating
        qualitative and quantitative information about provider’s quality of learning provisions on
        an ongoing basis for the purpose of assuring and improving the quality of learning in the
        sector.

        The W&RSETA ETQA will conduct monitoring for assuring learners, stakeholders and others
        of the quality of provision in the sector and assist providers in implementing their own
        quality systems.

2.5     Monitoring Process

        The W&RSETA ETQA`s monitoring process will include some or all as appropriate of the
        following stages:

2.5.1   Annual Monitoring Plan

        Given the size and complexity of the further education and training sector, monitoring
        the activity within needs to be done in a systematic and planned fashion which
        complements providers’ own quality assurance systems and makes best use of available
        resources.

        The W&RSETA ETQA will devise an Annual Monitoring Plan to ensure comprehensive
        coverage of the accredited providers in this sector. It will ensure that the effectiveness of
        providers’ quality assurance systems and the outcomes and quality of validated
        programmes are monitored.

        It will also allow new trends or issues arising identified by desk monitoring to be further
        investigated as appropriate.
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        The Monitoring Plan will identify priorities for the year in terms of:

        a)   Provider Quality Assurance systems
        b)   Validated Programmes or learning programmes requiring specific attention
        c)   Provider capacity to manage assessments and moderation thereof, and
        d)   Quality of learner achievement of national standards, i.e. consistency of outcomes
             across programmes of different providers leading to the same qualifications.

2.5.2   Desktop Review and or Evaluation

             This is monitoring carried out off-site through analysis of documented evidence of the
             provider’s strategic, operational and ETD practitioners are submitted for review and
             evaluated against set criteria within the ETQA

             Desk monitoring and or evaluation will identify and or validate provider legal status,
             quality assurance, self evaluation, programmes and approve ETD practitioners
             required to be registered.

             It will also identify if and when site visits is it appropriate to conduct such visits for the
             purpose of gathering more information for accreditation or ascertain further
             assurance required for the accreditation of providers.

             All of this information will be required to be at the exposure of the Regional ETQA for
             detailed analysis. It will liaise with providers in respect of any issues arising pertaining
             to their quality assurance.

2.5.3   On-Site Monitoring / Verification Visits

        The regional ETQA`s will conduct visits of providers on-site in accordance with the Annual
        Monitoring Plan. Evidence submitted for desk-top review is validated against actual
        practice as this is the first visit within a period of 6 - 12 months after provider
        accreditation.

        It is important to note that on-site monitoring and or verification will focus on the following
        aspects:

             a)   focus on quality assurance system review,
             b)   programme validation,
             c)   management of assessment and moderation,
             d)   validation of assessment design and instruments,
             e)   learner Results / achievements and uploads on SMS
             f)   Provider Self Evaluation Reports and Improvement Plans
             g)   Issues Arising

        When monitoring a provider with multiple sites, the W&RSETA ETQA will select a sample of
        delivery and assessment site to visit.

        However, prior to a visit, the W&RSETA ETQA on-site verification visit will be arranged in
        consultation with the provider and sites concerned. A primary source of preparatory
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        material will be the provider’s own self evaluation report(s) and or development plans,
        where available.

        During a site visit, the W&RSETA ETQA will gather information through a combination of
        activities including meetings with management, staff and learners, checking of records
        and evidence, observation of facilities and resources.

2.5.4   Monitoring Reports

        W&RSETA ETQA will evaluate information gathered through the various monitoring
        activities and produce a report on the provider / programme(s) monitored. Referencing
        criteria established and the report will list examples of good practice and
        recommendations for improvement identified by the monitor(s).

        The report will be drafted by the ETQA member involved, using a template provided by
        W&RSETA ETQA, and sent to the provider(s) concerned for comment. The provider may
        request amendments to any factual inaccuracies and may also have other comments
        appended to the report.

        The report will then be sent to W&RSETA ETQA and will be reviewed to ensure consistency
        of its recommendations, a part of the overall quality assurance of the process. The
        finalized report will be made available to the provider concerned.

2.5.5   Findings

        The W&RSETA ETQA will require the provider concerned to implement any or all of the
        recommendations identified in a monitoring report. The provider’s implementation of the
        recommendations will become one of the foci of subsequent monitoring.

        Reports of improvements / initiatives arising from the W&RSETA ETQA on-site monitoring
        visits in response to W&RSETA ETQA recommendations will have to be adhered to within
        agreed specified timeframes.

2.5.6   Decision on Review

        The SAQA Act mandates the review, in consultation with a provider, of programme
        validation and of the effectiveness of a provider’s quality assurance system. In each
        case, monitoring will form the basis for the review and any subsequent decisions by the
        ETQA.
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Following consultation with a provider, a monitoring report on a provider’s quality
assurance of programmes and assessment may recommend one of the following:

   a) Continuation of the existing provider’s quality assurance system.
   b) Review mechanisms of the provider’s quality assurance system.
   c) Withdrawal by ETQA of the quality assurance system and a requirement of the
      provider to resubmit its quality assurance system for evaluation.

This recommendation would only be made following sustained monitoring activity
evidencing poor quality assurance with continuing failure by the provider to address
issues raised.

A decision on withdrawal will only be made by ETQA representative and will be subject
to appeal by the provider, ultimately to the Audit Committee.

Following consultation with a provider, a monitoring report on a provider’s validated
programme may recommend one of the following:

   a) continuation of the programme validation
   b) Withdrawal by ETQA representative of the validation.

This recommendation would only be made following sustained monitoring activity
evidencing that the programme is, for whatever reason, no longer valid and continuing
failure by the provider to address issues raised.

A decision on withdrawal will only be made by ETQA representative and will be subject
to appeal by the provider, ultimately to the Audit Committee.

Following consultation with a provider, a monitoring report on a provider’s practitioners
may recommend one or all of the following:

   a) Continuation of the existing registered assessors and moderators.
   b) Renewal by ETQA representative of the practitioner’s scope of assessment and
      moderation for re-registration for another three years and a requirement of the
      practitioners to resubmit application for evaluation.
   c) Withdrawal / de-registraion by ETQA representative of the assessor and or
      moderator of the provider.

This recommendation would only be made following sustained monitoring activity
evidencing poor quality assurance with continuing failure by the provider to address
issues raised.

A decision on withdrawal will only be made by ETQA representative and will be subject
to appeal by the provider, ultimately to the ETQA Committee.
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2.5.7   Report on Monitoring

        The ETQA representative is required by this policy to report to the ETQA Committee in
        ‘such form and manner as the ETQA Committee sees fit, on the effectiveness of
        providers’ quality assurance. It is proposed that ETQA Representative will, with the
        agreement of the ETQA Committee, devise and publish an annual monitoring report on
        the extent and outcomes of its monitoring activities.

2.6     Frequency of Monitoring Interventions

        The frequency of Monitoring / Validation interventions is scheduled every 6 – 12 months,
        at ETQA discretion and on the basis of complaints and appeals received.

2.7     Auditing

2.7.1   Selection of audit team and audit team leader

        The ETQA Executive Manager shall appoint an audit team and audit team leader for
        each audit of a selected accredited provider (the “auditee”). Audit teams will consist of
        one, two, or three ETQA representatives, selected from an organized pool of available
        and qualified people.

2.7.2   Qualification of auditors

        ETQA representatives selected to serve as auditors shall have the following qualifications:

        a) experience in, and knowledge of, the requirements for W&RSETA ETQA accreditation,
           including SAQA criteria and guidelines for training provider accreditation;
        b) general knowledge of auditing principles and methods obtained through any
           combination of experience, education, or Quality Auditing training;
        c) the ability to act objectively and independently; and
        d) the ability to analyze information and to express findings clearly, concisely, and in a
           timely manner.

2.7.3   Initiation of an audit

            The ETQA Executive Manager shall advise the proposed auditee of the identities of
            the audit team members. The auditee shall advise ETQA Executive Manager within
            ten (10) working days of any concerns regarding conflict of interest of the assigned
            audit team members, and the auditee shall be advised of the ETQA Executive
            Manager’s response within ten (10) working days of the receipt of such concerns.

            The audit team leader shall attempt to schedule the audit to be conducted within
            thirty (30) working days from the appointment of the audit team. The audit team
            leader shall provide the auditee with a list of particulars that the audit team intends
            to verify or examine during the audit and any other information that the audit team
            believes will help the auditee prepare for the audit.
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2.7.4   Audit report and Auditee Response

            The completed audit report shall be forwarded by the audit team leader to the ETQA
            Executive Manager within thirty (30) working days after the completion of the audit.
            The ETQA Executive Manager / Lead Auditor / Representative shall transmit a copy of
            the report to the auditee with a request that the auditee submit any comments to
            ETQA Executive Manager / Lead Auditor / Representative within thirty (30) working
            days of receipt of the report. The auditee comments may include plans and a
            timetable for corrective action relating to any recommendations contained in the
            audit report.

2.7.5   Action on audit reports

            The ETQA Executive Manager shall review the audit material transmitted to it by the
            Lead Auditor, take appropriate action, and notify the auditee of its action. The
            action taken may include a finding that the conditions upon which accreditation
            was granted has been satisfactorily maintained. If the action taken includes a finding
            that the conditions upon which accreditation was granted has not been satisfactorily
            maintained, the auditee shall be requested to take defined corrective action within
            three months period.

2.7.6   Conflict of interest

        a) Audit Team:

            The ETQA Executive Manager shall not appoint auditors to an audit team who have a
            known conflict of interest that may affect their ability to perform an unbiased audit.
            Appointed auditors shall notify the ETQA Executive Manager of any real or apparent
            conflict of interest as soon as practicable after notification of their appointment.

        b) W&RSETA ETQA / Reviewing Body:

                A member (or his/her employer) of a reviewing body having a conflict of interest
                with the auditee shall not be allowed to receive or review a copy of the audit
                report and will not be allowed to participate in the discussion of the audit unless
                otherwise agreed to by the auditee.
                The auditee shall be provided with a list of names and affiliations of the members
                of any reviewing bodies prior to their review of the audit information, and be
                given the opportunity to advise ETQA Executive Manager of a potential conflict
                of interest on the part of one or more members of a reviewing body.
                If the auditee or other relevant party asserts that it believes that a member of the
                Audit Committee reviewing body has a conflict of interest, that auditee or party is
                required to state the reason(s) for its belief.
                That information shall then be forwarded to the member of the reviewing body
                identified as having a possible conflict for that person’s response.
                If that member disagrees with the assertion, then the Chairman of the Audit
                Committee (ETQA Executive Manager) reviewing body shall make a final
                determination as to whether a conflict of interest exists.
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2.7.7   Confidentiality of Audit Reports

           All audit information and audit reports shall remain confidential and shall not be
           disclosed to any person other than the auditee, appropriate ETQA staff, the auditors,
           and, as appropriate, members of the reviewing bodies. The auditee may provide the
           audit information and reports received to whomever it deems appropriate.

2.7.8   Appeal of Audit Committee Action

        Final action by the Audit Committee may be appealed to the ETQA Executive Manger in
        accordance with the appeals procedures.

2.7.9   Annual Report and Plan

        The Audit Committee member shall prepare an annual report summarizing the audit
        activities for the year. The report shall be transmitted to the ETQA Executive Manager
        and to the ETQA Committee by December 1 of each year.

2.7.10 Self-audits

        The W&RSETA ETQA accredited providers may find it useful to conduct self-audits. The
        purpose of self-audits is to permit an accredited provider to identify areas where
        improvement and increased efficiency are possible. They also provide an opportunity to
        identify any areas where policies or procedures may not be in conformance with the
        W&RSETA Accreditation requirements. The results of any self-audit are required to be
        submitted to the ETQA for review and advise for continuous improvement actions.

6.8     Frequency of Auditing Interventions

        The frequency of Audits is conducted for re-accreditation before the five year
        accreditation period has elapsed. However, the ETQA Executive Manager may use his or
        her discretion to conduct provider audits or on the basis of discrepancies, complaints
        and appeals.

				
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