Department of Social Development
Table of contents
1. Introduction
2. Definition of terms and abbreviations
2.1 Definitions
2.1 Abbreviations
3. Rationale for provider Accreditation
4. Legislative imperatives
4.1 Legislative determinants
4.2 Criteria for accrediting education and training service providers
5. NQF Objectives
1. INTRODUCTION
In order to comply with continuing demands for improved quality in education, it is imperative that an
accreditation process for quality improvement in educational and training service providers be
implemented. The education and training structure, method, delivery and outcome should be
continuously monitored and updated in accordance with National Qualifications Framework required
changes and demands, the changing education environment and expectations from sector and industry.
An accreditation programme is a method of functioning according to validated standards according to
the requirements of the South African Qualifications Authority Act provisions. All accredited curricula
and learning programmes for educational and training in South Africa, irrespective of the profession or
industry involved, must be in line with the National Qualifications Framework. The curricula should take
the form of authentic, formal, written programmes within the parameters set by the SAQA and HWSETA
accreditation requirements.
The basic principles and requirements of accreditation apply to all the employment sectors and
providers of education and training services within the health and social sector.
2. DEFINITIONS OF TERMS AND ABBREVIATIONS
2.1 DEFINITIONS
 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 Act;
 Act means the South African Qualifications Authority Act, 1995 (Act No. 58 of 1995);
 Applied competence means the ability to put into practice in the relevant context the learning
outcomes acquired in obtaining a qualification;
 Assessment means the process of collecting evidence of learners’ work to measure and make
judgments about the achievement or non-achievement of specified National Qualifications
Framework standards and/or qualifications.
 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;
 Conditional registration means the registration of a private higher education institution as specified
in the Higher Education Act, 1997 (No. 101 of 1997);
 Constituent means belonging to the defined or delegated constituency of an organization or body
referred to in these regulations;
 Core learning means that compulsory learning required in situations contextually relevant to the
particular qualifications, and “core” has a corresponding meaning;
 Credit means that value assigned by the Authority to ten (10) notional hours of learning;
 Critical outcomes means those generic outcomes which inform all teaching and learning, and
‘critical cross-field education and training outcomes’ has a corresponding meaning;
 Education and Training Quality Assurance Body means a body accredited in terms of section 5(1)
(a) (ii) of the 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 Act;
 Elective learning means a selection of additional credits at the level of the National Qualifications
Framework specified, from which a choice may be made to ensure that the purpose of the
qualification is achieved, and ‘elective’ has a corresponding meaning;
 ETD practitioner Education, Training and Development Practitioner, is a term used in this document
to include the whole spectrum of educators and trainers: teachers, trainers, facilitators, tutors,
markers, lecturers, development officers, mentors and the like;
 Exit level outcome means the outcomes to be achieved by a qualifying learner at the point at which
he or she leaves the programme leading to a qualification;
 Facilitator of learning and assessment means an individual who facilitates learning processes and
activities and manages and administers assessment. This concept includes educators, trainers,
mentors, etc
 Field means a particular area of learning used as an organizing mechanism for the National
Qualifications Framework;
 Fundamental learning means that learning which forms the grounding or basis needed to undertake
the education, training or further learning required in the obtaining of a qualification and
‘fundamental’ has a corresponding meaning;
 Integrated assessment means that form of assessment which permits the learner to demonstrate
applied competence and which uses a range of formative and summative assessment methods;
 Learner means an individual who is participating in a learning programme with the purpose of
achieving credits for standards and or qualifications
 Learning programme means the combination of courses, modules or units of learning (learning
materials and methodology) by which learners can achieve the learning outcomes for a qualification;
 Moderating body means a body specifically appointed by the Authority for the purpose of
moderation;
 Moderation means the process which ensures that assessment of the outcomes described in the
National Qualifications Framework standards and/or qualifications is fair, valid and reliable
 Moderator means the person who moderates assessments
 National Standards Body means a body registered in terms of section 5(1)(a)(ii) of the Act,
responsible for establishing education and training standards or qualifications, and to which specific
functions relating to the registration of national standards or qualifications have been assigned in
terms of section 5(1)(b)(i) of the Act;
 Notional hours of learning means the learning time that it is conceived it would take an average
learner to meet the outcomes defined, and includes concepts such as contact time, time spent in
structured learning in the workplace and individual learning;
 Outcome means the contextually demonstrated end-products of the learning process;
 Primary focus means that activity or objective within the sector upon which an organization or body
concentrates its efforts;
 Professional body means a statutory body registered as such in terms of the legislation applicable to
such bodies, or a voluntary body performing the functions contemplated in the legislation for such
bodies but not registered as such;
 Provider means a body which delivers learning programmes which culminate in specified National
Qualifications Framework standards or qualifications, and manages the assessment thereof;
 Qualifying learner means a learner who has obtained a qualification;
 Quality assurance means the process of ensuring that the degree of excellence specified is
achieved;
 Quality audit means the process of examining the indicators which show the degree of excellence
achieved;
 Quality management system means the combination of processes used to ensure that the degree
of excellence specified is achieved;
 Recognition of prior learning means the comparison of the previous learning and experience of a
learner howsoever obtained against the learning outcomes required for a specified qualification,
and the acceptance for purposes of qualification of that which meets the requirements;
 Registered constituent assessor means an assessor who has met the requirements for registration
as an assessor of specified NQF qualifications and/or standards and has been registered by the ETQA
under whose primary focus the standards and qualifications fall.
 Registered standards means standards or qualifications registered on the National Qualifications
Framework;
 Registration means the process which ensures that the person who assesses learner competence
has the requisite criteria recommended by Standard Generating Bodies (SGBs) for specified NQF
registered standards and/or Qualifications
 Sector means a defined portion of social, commercial or educational activities used to prescribe the
boundaries of an Education and Training Quality Assurance Body; and
 Specialized learning means that specialized theoretical knowledge which underpins application in
the area of specialization and “specialization’ has a
 Specific outcomes means contextually demonstrated knowledge, skills and values which support
one or more critical outcomes;
 Standard Generating Body means a body registered in terms of section 5(1)(a)(ii) of the SAQA Act,
responsible for establishing education and training standards or qualifications, and to which specific
functions relating to the establishing of national standards and/or qualifications have been assigned
in terms of section 5(1)(b)(i) of SAQA the Act
 Validation means the overall process by which it is determined by an ETQA whether or not an
assessment is valid (has succeeded in assessing what it claims to have assessed); and leading to the
acceptance or rejection of assessment results – it can include a range of validation options, for
example, verification, statistical analysis, examination of the assessment instrument, sampling of
evidence of applied competence, observation of processes, site visits or interviews. Criteria and
Guidelines for the Registration of Assessors
 Verification means the process managed by an ETQA for externally verifying (checking) moderation
processes and confirming or overturning moderation findings
 Verifier means the person who verifies the moderation process
4.2 ABBREVIATIONS
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DSD: Department of Social Development
ETQA: Education and Training Quality Assurance Body
FET: Further Education and Training
GET General Education and Training
HWSETA: Health and Welfare Sector education and Training Authority
NDoH: National Department of Health
NPO: Non Profit Organisations
NQF: National Qualifications Framework (also the Framework)
NSA: National Skills Authority
NSB: National Standards Body
OBET: Outcomes Based Education and Training
QA: Quality Assurance
QMS: Quality Management System
RPL: Recognition of Prior Learning
SAQA: South African Qualifications Authority (also the Authority)
SETA Sector Education and Training Authority
SGB Standards Generating Body
3. RATIONALE FOR PROVIDER ACCREDITATION
Education and training providers are at the base of the education and training system in that they are
the organisations that actually engage in teaching and learning and deal directly with learners, the
‘clients’ whom the education and training system is meant to serve.
The purpose accreditation of education and training service providers is to enhance the quality of
education and training.
The ETQA Regulations essentially provide for SAQA to accredit Education and Training Quality Assurance
bodies who, in turn, are responsible for the accreditation of providers.
The provider is accredited by one ETQA on the basis of primary focus.
4. LEGISLATIVE IMPERATIVES
4.1 LEGISLATIVE DETERMINANTS
The following legislative and guidelines documents provide directives on accreditation of providers:
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SAQA Act (No. 58 of 1995)
NSB Regulations (Government Gazette No. 18787; 28 March 1998)
ETQA Regulations (Government Gazette No. 19231; 8 September 1998)
Criteria and Guidelines for Providers (SAQA 2001)
The SAQA Act No 58 of 1995 and ETQA Regulations R1127 of 1998 under the SAQA Act specify the
criteria for accrediting education and training service providers.
4.2 CRITERIA FOR ACCREDITING EDUCATION AND TRAINING SERVICE PROVIDERS
According to the Act and the regulations under the act, a body may be accredited as a provider by an
Education and Training Quality Assurance Body whose primary focus coincides with the primary focus of
the provider, provided that the body seeking accreditation:
(a) is registered as a provider in terms of the applicable legislation at the time of application for
accreditation;
(b) has a quality management system which includes but is not limited to:
(i) quality management policies which define that which the provider wishes to achieve;
(ii) quality management procedures which enable the provider to practise its defined quality
management policies; or
(iii) review mechanisms which ensure that the quality management policies and procedures
defined are applied and remain effective;
(c) is able to develop, deliver and evaluate learning programmes which culminate in specified registered
standards or qualifications;
(d) has the:
(i) necessary financial, administrative and physical resources;
(ii) policies and practices for staff selection, appraisal and development;
(iii) policies and practices for learner entry, guidance and support systems;
(iv) policies and practices for the management of off-site practical or work-site components
where appropriate;
(v) policies and practices for the management of assessment which include appeals systems;
(vi) necessary reporting procedures; and
(vii) the ability to achieve the desired outcomes, using available resources and procedures
considered by the Education and Training Quality Assurance Body to be needed to develop,
deliver and evaluate learning programmes which culminate in specified registered standards or
qualifications contemplated in paragraph (c); and
(e) has not already been granted accreditation by or applied for accreditation to another Education and
Training Quality Assurance Body contemplated in Regulation 2 of the ETQA Regulations.
5. NQF OBJECTIVES
The objectives of the NQF as outlined in the SAQA Act are as follows:
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To create an integrated national framework for learning achievements;
Facilitate access to, and mobility and progression within education, training and career paths;
Enhance the quality of education and training;
Accelerate the redress of past unfair discrimination in education, training and employment
opportunities;
 Contribute to the full personal development of each learner and the social and economic
development of the nation at large.
Reference
 SAQA Criteria and Guidelines for Providers; 2001.
Table of Contents
1. Functions of HWSETA
2. Accreditation of constituent providers
2.1 The benefits of accreditation
2.2 Requirements for accreditation
3. Assessors and moderators
3.1 Assessor and moderator registration
3.1.1 Benefits of assessor and moderator registration
3.1.2 Requirements for assessor registration
3.1.3 Requirements for moderator registration
4. Quality management policy and procedures template
1. FUNCTIONS OF HWSETA ETQA
HWSETA has been accredited by SAQA as an ETQA in order to perform the following functions:
 Accredit constituent providers for specific standards or qualifications registered on the National
Qualifications Framework;
 Promote quality amongst constituent providers;
 Monitor provision by constituent providers;
 Evaluate assessment and facilitation of moderation among constituent providers;
 Register constituent assessors for specified registered standards or qualifications in terms of the
criteria established for this purpose;
 Take responsibility for the certification of constituent learners;
 Co-operate with the relevant body or bodies appointed to moderate across Education and Training
Quality Assurance Bodies including but not limited to, moderating the quality assurance on specified
standards or qualifications for which one or more Education and Training Quality Assurance Bodies
are accredited;
 Recommend new standards or qualifications to SAQA for consideration, or modifications to existing
standards or qualifications to SAQA for consideration;
 Maintain a data-base acceptable to the Authority;
 Submit reports to SAQA in accordance with the requirements of the Authority; and
 Perform such other functions as may from time-to-time be assigned to it by SAQA.
2. ACCREDITATION OF CONSTITUENT PROVIDERS
It is a SAQA requirement that all education and training providers be accredited by the relevant ETQA.
The HWSETA is mandated in terms of its ETQA to accredit education and training providers that fall
within the Health and Welfare sector.
The HWSETA regards accreditation as part of a developmental process to improve the delivery of quality
education rather than a test to be passed or failed.
2.1 THE BENEFITS OF ACCREDITATION
The accreditation of an education and training provider benefits the various stakeholders in the
following ways:
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An accredited provider enjoys credibility in the eyes of the public.
The learning programmes offered by an accredited provider culminate in NQF credits.
The qualification obtained by learners enjoys national and international recognition.
Accreditation serves as a surety that the provider has the necessary capacity and resources
pertinent to the delivery of quality education and training.
 Accreditation compels the provider to constantly remain on the cutting edge of quality education
provision.
When a provider is accredited by HWSETA, the users know that:
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The provider meets all SAQA and HWSETA ETQA requirements for quality delivery of education,
training, assessment, design and management.
 The credits and qualifications offered by that provider are nationally registered
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Qualifications that learners achieve are nationally and internationally recognized.
The provider has access to many forms of support and capacity building offered by the HWSETA
2.2 REQUIREMENTS FOR ACCREDITATION
In order to become accredited with the HWSETA, an education and training provider must fulfill the
following requirements:
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have a shared primary focus with the HWSETA;
not be registered with another ETQA;
be registered in terms of applicable legislation;
have in place an acceptable quality management system (QMS);
have the ability to develop, deliver and evaluate learning programmes which culminate in specified
standards or qualifications;
 have in place financial, administrative and physical resources;
 have in place policies and practices for staff selection, appraisal and development;
 have in place policies and practices for learner entry, guidance and support
3. ASSESSORS AND MODERATORS
In terms of its mandate as an Education and Training Quality Assurance Body (ETQA), the HWSETA is
required to register assessors and moderators respectively qualified to assess against and moderate
learning programmes that fall within the primary focus of the HWSETA.
3.1 ASSESSOR AND MODERATOR REGISTRATION
Registration as an assessor or moderator pertains to conferment of the authority to assess against or
moderate a learning programme aligned to a specified unit standard or qualification registered on the
National Qualifications Framework.
3.1.1 BENEFITS OF ASSESSOR AND MODERATOR REGISTRATION
The registration of an assessor or moderator benefits the various stakeholders of education and training
in the following ways:
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Assessments and moderations conducted by registered assessors and moderators respectively enjoy
credibility in the eyes of the public.
 The registration process serves as a surety that the assessor or moderator subscribes to the
principles of good assessment practices i.e. fairness, reliability, validity and authenticity.
 Only registered assessors and moderators are authorized to assess or moderate learning
achievements which culminate in the attainment of credits on the NQF.
3.1.2 REQUIREMENTS FOR ASSESSOR REGISTRATION
The following are requirements for individuals to be registered as assessors:
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have two (2) years’ relevant occupational experience;
have achieved the ‘ Conduct outcome based assessments, level 5, 15 credits, SAQA ID 115753” or
old ‘Plan and Conduct Assessment of Learning Outcomes‘ unit standard for assessors;
have appropriate literacy skills;
have a relevant occupational qualification;
have subject matter expertise;
have an understanding of non-routine demands in the occupational field;
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have an understanding of employment opportunities in the occupational field;
have communication competencies (interviewing, provide feedback, teamwork);
have reporting competence;
3.1.3 REQUIREMENTS FOR MODERATOR REGISTRATION
The following are requirements for individuals to be registered as moderators:
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have two (2) years’ relevant occupational experience;
have achieved the ‘Moderate Assessments‘ unit standard for moderators;
have a relevant occupational qualification;
have quality management skills;
have appropriate literacy skills;
have an understanding of non-routine demands in the occupational
4. QUALITY MANAGEMENT POLICY AND PROCEDURES TEMPLATE
The following template was used to development quality management policies and templates:
No.
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7
8
POLICY AREA
Purpose
Definition/s
Scope
Policy application
Procedures
Communication of policy
Evaluation and Review
Documentation
Reason or rationale for the policy.
Explanation of key terms.
Who is the policy intended for (target population)
Implementing policy
Steps in policy implementation (where applicable)
How is the policy going to be communicated
Policy evaluation and review mechanism
How is the policy going to be stored
References
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4.
HWSETA Provider Accreditation Manual, 2007
HWSETA Provider Accreditation Application Form Step One, September 2007
HWSETA Provider Accreditation Application Form Step Two, May 2007
HWSETA Assessor and Moderator Application Form
Table of Contents
1.
2.
3.
4.
Introduction
Definitions and terms in respect of quality
Quality management model
Quality management systems available
1. INTRODUCTION
The NQF, the SAQA Act of 1995 and the National Education Policy Act of 1996, among others, are
explicit about the proposed orientation to quality within the South African education and training
context, and more generally.
In addition, Regulation R1127, under the SAQA Act of 1995, defines quality in the following way:
“The combination of processes used to ensure that the degree of excellence specified is achieved”.
The objectives specified by the Act indicate that the ultimate purposes of QMS are to:
 Enhance learning in South Africa by increasing the number of learners, the frequency of learning,
and the relevance and durability of what is learned.
 Establish a framework of qualifications and standards that are relevant, credible and accessible.
All of the above features of SAQA’s orientation to quality may be brought down to five essential
categories of criteria for assessment that need to be used to ensure that quality assurance and
management exist. These categories of criteria are:
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Baseline criteria;
A quality management continuum;
Outputs, inputs and processes;
Ongoing improvement, accountability and transparency;
Democratic organisation and practice
2.
DEFINITIONS AND TERMS IN RESPECT OF QUALITY
Quality Management Systems means the combination of processes used to ensure that the degree of
excellence specified is achieved. A quality management system is the sum of the activities and
information an organization uses to enable it to better and more consistently deliver products and
services that meet and exceed the needs and expectations of its customers and beneficiaries, more cost
effectively and cost efficiently, today and in the future.
Quality Assurance means the sum of activities that assure the quality of products and services at the
time of production or delivery. Quality assurance procedures are frequently applied only to the activities
and products associated directly with the goods and services provided to external customers.
Quality Audits are activities undertaken to measure the quality of products or services that have already
been made or delivered. In itself a quality audit has no impact on quality.
Quality Control is undertaken by the person(s) who make the product (or deliver the service) for
internal purposes.
3.
QUALITY MANAGEMENT MODEL
The Providers are the powerhouses, the productive units, the creators and constituent providers of the
service.
The ETQAs have the quality audit and assurance role.
No Single Quality Management Model can be suitable for every organisation. It is therefore impractical
to generate a single, generic quality management model, for a variety of reasons:
 delivery modes are diverse;
 institutional types are diverse; and
 different departments within institutions are diverse.
4.
QUALITY MANAGEMENT SYSTEMS AVAILABLE
The integration of the following quality management systems has been recommended for education and
training service providers:
QUALITY MANAGEMENT
SYSTEMS
Malcolm Baldridge National
Quality Award
European Quality Management
Award
Australian Quality Award
The Koalaty Kid Program
The Deming Prize
The ISO 9000/2000 Quality
Management Code of Practice
FOCUS
This management system is used successfully in the education and
health sectors in the USA. The core criteria remain the same for these
sectors, except where Customer and market focus will be replaced by
(c) Student and Stakeholder focus; and Human Resources focus will
be replaced by (e) Faculty and staff focus.
This system strongly focuses on ‘Self-assessment’. The selfassessment is a comprehensive, systematic and regular review of the
organization’s activities.
As in the case of the previous quality management systems, the core
criteria for this system are very similar, also focusing strongly on selfassessment. The self-assessment criteria are broad in scope and nonprescriptive to allow for interpretation that best fits the needs of the
organization.
The Koalaty Kid Programme embraces the spirit and substance of
‘Total Quality’, a systematic approach to continuous improvement.
Using this approach, teams identify targets for improvement. Then
they work towards achieving these by establishing standards of
excellence, communicating clear expectations involving all
stakeholders, managing by processes, measuring progress, and
recognizing and awarding success.
The ‘Mt Edgecumbe High School’s Modified Deming Points for Quality
in Education’ has adapted Deming’s fourteen points for quality in
organizations to suit the needs of an educational institution.
is not the purpose of this International standard to imply uniformity
of quality management systems, which makes the system adaptable
QUALITY MANAGEMENT
SYSTEMS
Investors in People
The South African Excellence
Model
The Balanced Business
Scorecard
The Scottish Quality
Management System
FOCUS
according to size, structure, market and resources of the organization.
Investors in People aims to help organizations to improve
Performance through a planned approach to:
a) Setting and communicating business goals
b) Developing people to meet these goals
The South African Excellence Model can be seen as a longer-term
improvement plan that any organization could apply to effect
‘continuous improvement’.
The Balanced Business Scorecard is a strategic measurement system
that allows managers to keep track of the deployment of their
strategic plans and the subsequent improvement of their strategic
performance.
The Scottish Quality Management System has been designed to meet
the requirements of the Scottish equivalent of SAQA, the SQA.
APPENDIX
1. HWSETA Provider Accreditation Manual, 2007.
2. SAQA Quality Management Systems for Education and Training Providers, 2001.
List of Quality Management Policies, Procedures and Forms
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Human Resources and Management
Financial
Procurement
Occupational Health and Safety
Assessment
Moderation
Administration
Record Keeping
Learner Support
Recognition of Prior Learning
Special Educational Needs
Marketing and Communication
Course Fees
Assessment Appeals
Programme Development, Delivery and Evaluation
Grievance
Management of Off-Site and On-Site Learning
Learner Certification
Learner Disciplinary Code
Learner Admission
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
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4.
Purpose
Definitions
Scope
Policy application
4.1 Recruitment, selection and appointment
4.1.1 Fair equitable recruitment
4.1.2 Recruitment sources
4.1.3 Recruitment procedures
4.1.3.1 Determine need to fill a vacancy
4.1.3.2 Identify sources of recruitment
4.1.3.3 Advertise position
4.1.4 Selection and appointment process
4.1.4.1 Selection committee
4.1.5. Gathering application data
4.1.5.1 Screening
4.1.5.2 Shortlist
4.1.5.3 Undertake selection (Assessment and Panel Interviews)
4.1.5.4 Competence appointment
4.1.5.5 Appointment
4.1.5.6 Cost of moving
4.1.5.7 Salary on appointment or promotion
4.1.5.8 Appointment notch of employees not complying with minimum qualification
requirements
4.1.6 Recruitment and selection procedure
4.2 Conditions of service
4.3 “Authority”
4.2.1. “Application of the conditions of service”
4.2.2. “Commencement of the conditions of service”
4.2.3. “Delegation of authority”
4.2.4. “The creation, grading and abolishment of posts”
4.2.5. “Appointment and obligations”
4.2.6. “Remuneration”
4.2.8. “Leave”
4.2.8.1. “Annual leave”
4.2.8.1.1 Calculation of Annual Leave
4.2.8.1.2 “Payment of annual leave”
4.2.8.1.3 “Encashment of annual leave”
4.2.8.1.4 “Granting of leave”
4.2.8.1.5 “Unpaid leave”
4.2.8.2 “Sick leave”
4.2.8.3 Leave cycle
4.2.8.3.1. Examinisations and study leave
4.2.8.4. “Leave for medical treatment in large centres”
4.2.8.4.1 Provisions
4.3 Maternity leave
4.3.1“Policy”
4.3.2. “Scope”
4.3.3. “Responsibility”
4.3.4. “Procedure”
4.3.5. “Stage”
4.3.6. “Maternity leave and return to work”
4.3.7. “Statutory maternity pay”
4.3.7.1. “Inability to do the job”
4.3.7.2 “Temporary replacement”
4.3.7.3 Return to work
4.3.8. “Still births and miscarriages”
4.3.9. “Adoption”
4.3.10 Staff induction
4.3.11 Probation policy
4.5 Staff appraisal
4.5.5 Procedures for appraising transferred employees or employees who are simultaneously supervised
by more than one supervisor
4.5.6. Procedures for appeal of performance appraisals
4.5.7. Procedures for using performance improvement and commendations forms
4.5.7.1 Performance improvement
4.5.7.2 Performance commendation
4.5.8. Procedures for timeliness of appraisals and maintenance of records
4.5.9. Alternative appraisal system
4.5.10. Mandatory training
4.5.11. Reviewers of the staff appraisal system
4.5.12 Staff appraisal forms
4.6 Staff development
4.6.1 Introduction
4.6.2
4.6.3
4.6.4
Purpose
Other relevant policies
Aims and objectives
4.6.4.1 Organisational development
4.6.4.2 Individual staff performance
4.6.4.2.1
4.6.4.2.2
Categories of staff
Areas for development
4.6.5
Special objectives
4.6.6
Integrated human resource development
4.6.6.1
Ethos
4.6.6.2
Monitoring and evaluation
4.6.7
Responsibilities
4.6.7.1 Organisational
4.6.7.2 Top management
4.6.7.3 Line managers
4.6.7.4 The staff development unit
4.6.7.5 Individual
4.6.8 Implementing procedure
4.6.8.1 Guidelines
4.6.8.2 Establishment of a training committee
4.6.8.3 Planning
4.6.8.4 Presentation
4.6.8.5 Information service
4.6.9 Funding
4.6.9.1 Allocation of funds
4.6.9.2 Procedure to apply for funding
4.6.9.2.1 Approval of funding
4.6.9.3 Accountability for staff development
4.6.10
Resource-related issues
4.6.10.1 Utilising staff skills
4.6.10.2 Resource sharing
4.7 Sexual harassment
4.7.1 Definition
4.7.2 Reporting misconduct
4.7.3 Outcomes
4.7.4 Required signature
4.7.5 Learner complaints
4.8 Confidentiality
4.8.1 Personal files
4.8.1.1 Copies
4.8.1.2 Inspections by employees
4.8.2 Medical information
4.8.2.1 Confidentiality
4.8.2.2 Enrolment and assistance from insurer
4.8.2.3 Breach of confidentiality
4.8.3
Privacy rights
4.8.3.1 Written permission to release personal data
5.
6.
7.
8.
Procedures
Communication of policy
Evaluation and review
Documentation
1. PURPOSE
This policy manual is designed to provide accurate and timely information on XXXX human resources
policies relating to employees and their relationship with the organisation. The policy gives guidelines
with regard to human resources management practices for full-time, fixed contract and temporary
employees of XXXXX in accordance with applicable South African Labour Laws.
2. DEFINITIONS
 “approved medical scheme” Shall means any Medical Scheme approved by the Employer
 “breach of contract” Shall mean the failure of an individual Employee or Group of Employees or the
Employer to comply with the terms and Conditions of Services
 “commencement date” Shall mean the date contemplated and approved by the XXXXX of XXXX;
 “conditions of services” Shall mean any condition, regulation, including Fringe Benefits, that
governs the relations between the Employer and its Employees as contained in this document and
its Annexures;
 “contract employee” Shall mean a person in a post on the staff establishment of the Employer. Who
is not a permanent Employee, and whose employment with the Employer is governed by a contract
of employment;
 “disciplinary code” Shall mean a set of guidelines for Management in carrying out disciplinary
actions set out in Part XXXX of these Conditions of Services;
 “dismissal” Shall mean the termination of an Employee’s employment with the Employer at the
instance of the Employer;
 “dispute” Shall mean an unresolved issue between Management and an individual Employee or
Group of Employees;
 “emergency work” Shall mean any work to be done without delay in respect of the interruption of
essential services , or arising from a fire, an accident, a mishap, a storm, an epidemic. An act of
violence, theft, the failure of equipment or machinery or and other unforeseen event or work in
connection with repairs to equipment and machinery which cannot be done during working hours.
 “employee” Shall mean a Permanent Employee or a Contract Employee of the Employer;
 “employee representative” Shall mean any person representing an Employee and shall include a
registered trade union;
 “employer” Shall mean the XXXXX;
 “financial year” Shall mean XXXXX until XXXXX of each year;
 “fringe benefit” Shall mean any benefit for which, a monetary contribution is made by the Employer
to a scheme or a Fund on behalf of the Employee;
 “gross misconduct” Shall mean certain actions in breach of the Employer’s Rules and Regulations,
which are deemed to constitute valid reason for summary Dismissal;
 “gross negligence” Shall mean failure to adhere to or to execute work according to the Employer’s
standards and /or regulations, such failure being perceived by the Employer as potentially
prejudicial to its interest;
 “incompetence” Shall mean failure or inability to maintain laid-down work standards;
 “leave” Shall mean approval for an Employee to be absent from service and for which application
was made in the prescribed way;
 “permanent employee” Shall mean a person who has been appointed in a permanent full-time
capacity to a post on the staff establishment of the Employer, excluding a Contract Employee;
 “public holiday” Shall mean a Public Holiday as determine in the Public Holidays Act, 1994 (Act 36 of
1994) and any other day designated as such by the Employer;
 “remuneration” Shall mean the salary or wage paid to an Employee and also any allowances and
other benefits;
 “salary” Shall mean the money paid to an Employee, excluding any allowances and other benefits;
 “sick leave cycle” Shall mean a period of every 3 years calculated from the date on which an
Employee assumed duty;
 “working day” Shall mean every day on which an Employee is required to work according to the
service requirements applicable to his post;
 “working time” Shall mean the hours which an Employee is required to work according to the
service requirements applicable to his post;
In these Conditions of Service, unless inconsistent with, or otherwise indicated by the context, words
importing the masculine gender shall include the feminine and vice versa and words importing the
singular shall include the plural and vice versa;
3. SCOPE
This policy applies to all permanent, fixed-contract and temporary staff within XXXXX.
4. POLICY APPLICATION
4.1 RECRUITMENT, SELECTION AND APPOINTMENT
The overall aim of the recruitment and selection process is to attract, obtain and retain people with
required competencies at competitive and marker related cost in order to satisfy the human resource
needs of the XXXXX. Recruitment is also attuned to establishing a positive image of XXXX as an
employer in the labour market.
4.1.1 FAIR AND EQUITABLE RECRUITMENT
All posts on the establishment of XXXXX shall be equal opportunity positions. This includes, inter alia,
the requirement that candidates be employed purely on the basis of job related requirements, personal
attributes, competencies and abilities, and that individuals must be given opportunities to be recruited
i.e. recruitment action strategic and targets must be taken into consideration when recruiting
candidates.
4.1.2 RECRUITMENT SOURCES
Recruitment activities are dependent on XXXXX’s human resource requirements as identified through
human resource plans. The choice of media for recruitment purpose should comply with the
requirements of the Labour Relation Act, 1995. Internal sources of recruitment (where possible) should
be considered, since it is cost effective and serve as motivation for existing employees. External
recruitment may be undertaken by means of advertisements. Career exhibitions and Visits to schools,
Universities, etc. can also be considered for certain target groups.
4.1.3
RECRUITMENT PROCEDURE
4.1.3.1 DETERMINE NEED TO FILL A VACANCY
When a vacancy is identified, the following factors should be taken into consideration:
 Budget constraints;
 Reservation of vacancy for candidates still in training;
 Redeployment possibilities
4.1.3.2 IDENTIFY SOURCES OF RECRUITMENT
It is recommended to first establish (where possible) whether suitable candidates are available internally
by means of an internal advertisement. If suitable candidates are identified internally, clear consultation
should take place prior to any offer for employment being made.
4.1.3.3 ADVERTISE POSITION
When a vacancy occurs, XXXXX must fill in employment requisition form within XXXXX days of the
notice of the vacancy and it will be circulated internally and / or advertised externally in the press, and
interested employees and applicants will be considered for appointment. XXXXX must ensure that
circulated vacancies are brought to the attention of the staff. To ensure a diverse pool of candidates,
advertisements should be placed in the appropriate media if no internal candidates could be identified.
The means of attracting applicants or the wording of advertisement should be compiled carefully so as
not to constitute direct or indirect discrimination. XXXXX shall request the XXXXX, in writing, to
advertise a vacant position.
4.1.4 SELECTION AND APPOINTMENT PROCESS
4.1.4.1 SELECTION COMMITTEE
a QUALITIES
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Confidentiality (Treat all information discussed during the selection process as confidential)
Impartiality (Equal of fair treatment of all candidates)
Consistency (Application of the same set of criteria to each candidate
Objectivity (Deal with facts)
b COMPOSITON
 It must consist of at least XXXXX members and a maximum of XXXXX members
 The members must be employees of grading higher than the grading of the post to be filled and
should be representative in terms o gender as well as a XXXXX representative
 Chairperson must be the XXXXX if not available he / she must appoint as acting
 chairperson in writing.
 In case of he managerial position the XXXXX or His/her appointee must serve as a chairperson
 XXXXX should provide advisory to XXXXX during the selection process
 Members of he XXXXX will have observer status during short-listing and interviews.
4.1.5. GATHERING APPLICATION DATA
Application information must include all relevant data, such as:
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Curriculum Vitae
Certificate personal documentation;
Certificate educational certification,
References from previous employers.
False information furnished by an applicant in his/ her application for a vacancy, shall disqualify him/her
and make him / her liable so summary dismissal, should he /she be appointed.
4.1.5.1 SCREENING
Employees and applications for vacant positions shall undergo any screening tests (relevant to the
inherent job requirements) required by XXXXX. Those being screened take part in all tests at their own
responsibility. The result of any screening test is strictly confidential. A person shall not be considered
for appointment, unless he /she has reached the age of sixteen (16) years and complies with the
required qualifying requirements as stipulated in the advertisement . The appointment or retention of
the services of any employee older than the compulsory retirement age of 65 shall be approved annually
by XXXXX, subject to the submission of a satisfactory medical report and a recommendation by the
relevant XXXXX.
4.1.5.2 SHORT LIST
When compiling the short-list, a healthy balance should be struck between the data provided by the
application and the job requirements. In the absence of imperative documentation (e.g Senior
Certificate), careful consideration should be given to the short –listing of such candidates. It is unethical
to promise a job prior to the finalization of the recruitment of the selection process. Under No
circumstances should a job offer be made at this stage.
4.1.5.3 UNDERTAKE SELECTION (ASSESSMENT AND PANEL INTERVIEWS)
The assessment results should not be the only tool used to decide on the best candidates for a position,
but should form part of the selection process and be utilized during the final decision – making phase.
The XXXXX and / or a maximum of two (2) employees assigned by the XXXXX concerned, who occupy
posts at a level not lower than salary group of the grading scheme, may attend the interview. However,
the XXXXX may leeway if he/ she deem it necessary in the interest of the XXXXX. Impressions gained
during the interview should be clearly documented and stored for future reference. “
4.1.5.4 COMPETENCE FOR APPOINTMENT
Prior to appointment, a successful applicant shall furnish satisfactory proof (Certified Copies) of his/ her
Date of Birth, Academic or Educational Qualifications, Identity, and any other relevant documentation as
may be required. Nobody shall be appointed to the services of XXXXX unless he / she complies with the
legal requirements applicable to such an appointment.
4.1.5.5 APPOINTMENT
A written offer of employment (including conditions of services) must be made to the successful
candidates and his / her formal (written) acceptance thereof, obtained, ensuring that all logistical
arrangements regarding date, time and place of assumption of duty are clear. All employees shall be
issued with an identity and / or access card (where applicable), which shall be carried at all times. The
identity and access card shall remain the property of XXXXX, and should employees lose the card, he /
she shall be responsible for paying the costs for its replacement. An employee shall furnish his/ her
permanent residential address, as well as that of his / her next of kin, to XXXXX in writing and any
changes thereof.
4.1.5.6 COST OF MOVING
The cost of transfer on appointment shall be subsidized to a maximum of XXXXX %, after submission of
a receipt in respect of expenditure incurred. Three (3) written quotation shall be provided.
Irrespective of which quotation is accepted by the employees, the subsidy shall be calculated on the
amount of the lowest quotation, which includes insurance, or the amount indicated on the receipt,
whichever is the lowest. The amount thus paid shall be fully repaid by the employee if he / she leave
the services within one (1) year. If he/ she leave the service after completion of one (1) year, but before
two (2) years, the employee shall repay XXXXX % of the subsidized amount.
4.1.5.7 SALARY ON APPOINTMENT OR PROMOTION
Appointment shall be made according to the qualifications and experience of the applicant, at a notch
within the prescribed salary scale, provided that, if a successful applicant claims a higher notch than the
starting notch of a particular salary scale, the salary notches of the existing employees occupying similar
positions in the relevant department/section/division, shall be taken into consideration. If an existing
employee is promoted, he/she salary shall b adjusted to the minimum notch of the salary applicable to
the position of promotion, provided that such salary adjustment shall be equal in salary to at least one
notch of the salary applicable to him/her prior to the promotion.
4.1.5.8 APPOINTMENT NOTCH OF EMPLOYEES NOT COMPLYING WITH THE MINIMUM
QUALIFICATION REQUIREMENTS
Successful external applicants shall be appointed at the starting notch of the salary scale attached to a
particular to a particular position, without ant further advancement on the scale, until such applicant
compiles with the minimum requirements. The promotion of employees in the service, who do not
comply with the minimum qualifications, shall be dealt with according to the same principles as above.
4.3.6
STEP
STEP 1
RECRUITMENT AND SELECTION PROCEDURE
EVENT
POSITION BECOME AVAILABLE
STEP 2
VERIFICATION OF JOB SPECIFICATION
STEP 3
ADVERTISEMENT
STEP 4
INTERVIEWING
STEP 5
SELECTION
STEP 6
CONTRACT OF EMPLOYMENT
STEP 7
PROBATION
STEP
STEP 8
EVENT
END OF PROBATION REVIEW
4.4 CONDITIONS OF SERVICE
4.2.1 “AUTHORITY”
“Authority to determine, amend or depart from Conditions of Service The Employer may, at any time,
with due regard to any existing rights of an Employee and after duly negotiating and reaching
agreement with Employee Representatives, amend the Conditions of Service determine other
conditions and repeal, amend or replace any of the existing conditions.
4.2.2. “APPLICATION OF THE CONDITIONS OF SERVICE”
The Conditions of Service and any amendment thereto approved from time to time will be applicable to
all Permanent Employees appointed by the XXXXX.
4.2.3. “COMMENCEMENT OF THESE CONDITIONS OF SERVICE”
These Conditions of Service will come into effect on XXXXX and will replace any other documents
previously approved.
4.2.4. “DELEGATION OF AUTHORITY”
The XXXXX may delegate the authority conferred upon him/her to another person. The responsibility
delegated will be exercised in accordance with the instructions of the XXXXX.
4.2.5. “THE CREATION, GRADING AND ABOLISHMENT OF POSTS”
The Employer reserve the right to the creation, grading and abolishment of posts as may be required
from time to time.
4.2.6. “APPOINTMENT AND OBLIGATIONS”
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All Employees shall provide XXXXX with their telephone numbers and residential addresses.
No Employees shall remove any equipment from their offices without the prior consent of XXXXX.
No Employee shall abuse equipment of staff of XXXXX or utilize such for personal purposes.
No Employee shall abuse perform or engage to perform remunerative work outside the service of
XXXXX without permission of XXXXX Manager.
 All Employees will commit themselves to Emergency Work.
 An Employee shall at all times inform the Employer as soon as possible if he is unable to report for
duty.
4.2.7. “REMUNERATION”
The remuneration of Permanent Employees shall be determined in consultation with Employees
Representatives.
4.2.8. “LEAVE”
Application for Leave must be made on the prescribed form and approved by the XXXXX before the
Employee may go on leave.
4.2.8.1. “ANNUAL LEAVE”
4.2.8.1.1 Calculation of Annual Leave
A permanent Employee who enters the service of the Employer after the Commencement
Date is entitled up to XXXXX Working days Annual Leave during each leave year, XXXXX day for every
XXXXX days worked or XXXXX hour for every XXXXX hours worked. Annual Leave will be calculated for
each Permanent Employee as per the date of appointment: A Permanent Employee will accumulate
Annual Leave monthly starting on the day of appointment. Annual Leave will be taken within XXXXX
months after qualifying thereof. Permanent Employees are allowed to accumulate their allocated
Annual Leave up to a maximum of XXXXX working days.
4.2.8.1.2 “PAYMENT OF ANNUAL LEAVE”
When an Employee’s service with the Employer is terminated, he / she will be paid the cash value of the
Annual Leave standing to his credit.
4.2.8.1.3 “ENCASHMENT OF ANNUAL LEAVE”
An Employee may encash Annual Leave standing to his/her credit, subject to the following conditions:
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He /She must have at least 1 year of service.
Encashment is only permitted once annually.
Not less than 5 days may be encashed.
At least 50% of the Annual Leave accrued in the particular year must remain to the credit of the
Employee.
4.2.8.1.4 “GRANTING OF LEAVE”
Application must be made in advance equal to the period of Annual Leave to be taken. Subject to
consultation with the Employee, the Employer may change or withdraw Annual Leave already granted.
Where an Employee falls ill during the period of his /her Annual Leave, such Annual Leave, or a part
thereof, as the case may be reverted to sick Leave if a medical certificate containing the required
information as contemplated.
4.2.8.1.5 “UNPAID LEAVE”
The Employer shall grant an Employee Unpaid Leave to a maximum equivalent to the annual leave
allocation subject to the following conditions:
 Application must be made in advance equal to the period of leave without salary to be taken.
 Subject to consultation with the Employee, the Employer may change unpaid leave already granted.
 Unpaid leave may not be consecutively with Annual Leave.
4.2.8.2 “SICK LEAVE”
(With Remuneration)
Permanent Employees are allowed 36 Working Days Sick Leave during a period of 36 weeks (3 Years).
Sick Leave in credit after a three year cycle will not accumulate. If an Employee is absent from duty for a
continuous period of 3 days or longer owing to illness, he / she hands in a satisfactory certificate signed
by a medical practitioner, dentist or psychologist which contains the following information:
 A statement that the Employee is not capable of performing his duties;
 The period necessary for recuperation ; and
 Registration number of Medical Practitioner.
The Employer may require the submission of a certificate in respect of absence due to illness for a
period shorter than 3 days, where the record of the Employee indicates possible abuse of sick Leave.
Subject to the above, sick Leave, with Remuneration or without Salary in respect of which a certificate is
not submitted, may be granted only for 10 Working Days during any calendar year and any further
absence will be covered by the granting of Annual Leave with remuneration , if available or without
Salary.
Subject to an enquiry, the Employer may refuse to grant Sick Leave with Salary in respect of which a
certificate is not submitted may granted only for 10 working Days during any calendar year and any
further absence will be covered by the granting of Annual Leave with Remuneration, if available or
without Salary.
4.2.8.3 LEAVE CYCLE
The Leave Cycle should be in line with the assumption of duty period.
4.2.8.3.1. EXAMINATION AND STUDY LEAVE
Examination and study leave with full Remuneration will be granted to an Employee subject to the
following conditions:
 For every day on which he writes an examination in respect of a course of study approved by the
XXXXX, one working day will be granted.
 One additional working day will be granted for preparation for the examination.
 The examination roster must be included with the submission of the Examination and study leave
application, one month before the leave is to be taken.
 Results of the examination must be submitted to the XXXXX as soon as the results are available, but
not later than 3 months after the examination was written. In cases where the examination were
not written, the Examination and Study Leave will revert to Annual Leave unless a medical certificate
is provided, in which case Sick Leave may be granted.
4.2.8.4. “LEAVE FOR MEDICAL TREATMENT IN LARGE CENTRES”
An employee may be granted up to two days special leave per family member (including himself /
herself) per year to enable them to undergo medical examination or medical treatment in larger
centres.
4.2.8.4.1 THE MEASURE IS SUBJECT TO THE FOLLOWING PROVISIONS:
 A written recommendation by a medical practitioner must be furnished;
 The recommended medical examination or treatment is not available at the employee’s
headquarters;
 The employee has to travel a distance of 100 kilo-meters or more per single journey;
 The granting of a concession to cover the absence is impractical.
 The special leave is not transferable between family members, nor may it be accumulated.
4.5 MATERNITY LEAVE
4.3.1“POLICY”
The XXXX complies with both the latter and the spirit of the Basic Conditions of Employment legislation
relating to maternity rights and provisions. The XXXX shall grant employees maternity leave for a period
not exceeding 4 (four) months.
Maternity leave shall be paid at a rate of 100% of such an employee’s normal salary for a period not
exceeding 3 (three) months for employees with one year’s service or more. Employees, who have been
in the services of the XXXX for less than one (1) year at the commencement of maternity leave, shall
qualify for unpaid leave where the provision of the UIF on maternity leave benefits shall apply. The
maternity leave shall commence with four (4) weeks prior to the employee’s expected date of
confinement and shall not expire for at least six (6) weeks after the date of confinement.
When an employee returns to work at the end of the maternity period, the following conditions will
apply:
 The employee will be guaranteed her job at the same rate of pay;
 If a restructuring exercise has taken place in her absence, a similar job at the same rate of pay will
be provided at the same terms and conditions.
 The employee will be expected to work back the period of paid maternity leave actually taken in
circumstance where resignation after such leave is contemplated, failing which the XXXX shall
exercise legal resource for the recovery of monies paid in lieu thereof.
4.3.2. “SCOPE”
This policy applies to all female employees excluding casual employees.
4.3.3. “RESPONSIBILITY”
Managers must ensure that all female employees are informed of their entitlement to
statutory maternity rights and ensure that those rights are understood by all employees.
4.3.4. “PROCEDURE”
STEP 1:
STEP 2:
The employee writes to her Manager following confirmation of the pregnancy (With a
copy pf the letter forwarded to the Human Resource Unit)
If the Human Resource Unit has not been alerted to the situation, the Manager should
forward a copy of the letter.
STEP3:
The Manager considers the need for a temporary replacement ad liaises with the
Human Resource Unit.
Following this initial involvement the Manager steps back from the arrangements and the employees’
deals exclusively with the Human Resource Unit. The Manager will be copied with all relevant
documentation.
4.3.5. “STAGE”
Although Managers have no active involvement in the procedure, to enable them to answer questions
from their staff, detailed below is a guide to the sequence of events for all employees:
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The employee writes to the Manager with confirmation of pregnancy.
The Manager / Employee inform the Human Resource Unit.
The Human Resource Unit calculates the entitlement to statutory maternity leave.
The Employee advises the Human Resource Unit of the expected date of confinement.
The Human Resources Unit informs the employee in writing of the statutory entitlements and
enclosing maternity guidelines.
The Human Resources Unit contacts and speaks to the employee to answer any questions.
The Employee writes to the Human Resource Unit confirming the starting date of maternity leave at
least 21 days before commencement.
The Employee advises the Human Resource Unit of the birth of the child.
The Human Resources Unit writes to the employee seven (7) weeks after the birth requesting
confirmation of intent to return to work.
The Signed copy is returned by the employee.
The Employee writes to the Human Resources Unit giving at least 21 days notice to return to work,
return to work should be no later than the end of 8 to 20 weeks from the birth of the child
commencing with the week in which the child is born.
The Employee returns to work
The terms and conditions are revised if appropriate
4.3.6. “MATERNITY LEAVE AND RETURN TO WORK”
The rights to maternity leave and return to work are subject to the following conditions:
 The employee must continue to be employed by the XXXX up to the 4th (fourth) week before the
expected week of confinement.
 The Employee must submit to the XXXX in writing of the intention to take leave of absence due to
pregnancy and the intention to return to work; notice must be given 21 days before the start of the
absence or as soon as practical.
 The Employee must submit to the XXXX the certificate of expected date of confinement.
4.3.7. “STATUTORY MATERNITY PAY”
4.3.7.1. “INABILITY TO DO THE JOB”
If for any reason connected with the pregnancy, the employee is not capable of performing the job, the
Human resource Unit must be informed immediately. The employee is protected by the Maternity
provisions of the Employment Legislation and the XXXX must try to offer another job that would be
suitable and which would be on terms and conditions that would not be substantially less favorable.
4.3.7.2 “TEMPORARY REPLACEMENT”
Manager who need to find a temporary replacement for an employee on maternity leave, should
forward an Employment Requisition letter to the Human Resources unit. Replacement employee’s
recruited form within the XXXX can return to their original positions when the absent employee returns
to work. If the original position no longer exists a suitable alternative will be found.
The temporary replacement from outside the XXXX must be advised in writing on
engagement that their fixed term contract will be terminated if the absent employee returns to work.
4.3.7.3 RETURN TO WORK
The employee may return to work within not earlier 6 (six) weeks after giving birth. The Human
Resources Unit will write to the employee not earlier than 7 (seven) weeks after the date of
confinement for confirmation of intent to return to work. The employee must reply within 14 days.
The date of return may be postponed by up to 4 (four) weeks on medical grounds by the employee. The
XXXX may also postpone by 4 (four) weeks, but the employee must be given the reason for the decision.
4.3.8. “STILL BIRTHS AND MISCARRIAGES”
An employee who has a miscarriage or bears a stillborn child is entitled to maternity leave for six (6)
weeks after the miscarriage or stillborn, whether or not the whether or not the employee had
commenced maternity leave at the time of the miscarriage or stillborn.
4.3.9. “ADOPTION”
The XXXX shall grant paid maternity leave for the purpose of adoption in terms of the legally prescribed
adoption procedure. Paid maternity leave shall commence on the date when custody is taken of the
child. Such maternity leave shall expire after eight (8) weeks if the age of the child is six (6) months or
younger.
4.6 STAFF INDUCTION
4.4.1 PURPOSE
The policy aims to facilitate the introduction of a new employee into the XXXX’s Employment and
familiarize them into the activities, goals, and objectives of the XXXX. The importance of induction is to
ensure that the new recruit not only understands the way the XXXX works and how his / her job is
organized, but also to embody the culture of the XXXX.
4.4.2. POLICY
All new staff must be properly inducted upon joining the XXXX. It is the responsibility of XXXX to ensure
that each recruit is appropriately inducted on the job and HR Policies, respectively. The essential
components of the induction programme are as follows:
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Exposure to the vision and mission of the XXXX
Exposure to the operational Structure of the XXXX
Discussion regarding the contents of the contract of employment
Discussion regarding the contents of he HR Policies
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Meeting firstly the Manager
Meeting secondly the people in his / her department/section/division
Meeting thirdly people in the immediate work vicinity
Understanding the XXXX code of conduct
Understanding the requirement of the probationary period
Discussions regarding procedures in the department/section/division
Finally, agreeing to key results areas and performance standards at the end of the probationary
period.
Each Department manager and the HR Manager must ensure that the new recruit is taken through any
induction programme within 5 working days of him/her commencing duties.
4.5 PROBATION POLICY
4.5.1 POLICY
All permanent employees, with the exception of the XXXX shall be appointed on probation for six (6)
consecutive months, except in cases of promotion. The induction process should be viewed as an
integral part of an employee’s probationary period. If, after the expiry of an employee’s probation
period, the Manager is convinced that the employee is suitable for the post he / she occupy, the
appointment shall be confirmed by the XXXX. If the confirmation of the permanent appointment of an
employee appointed by the XXXX is not recommended, the XXXX shall recommend in writing to the
XXXX that either, he/ she :
 Extend the probationary period of the employee by a maximum of two (2) further periods, neither
of which may exceed three (3) months.
 Terminate the service of such employee, subject to the stipulations of paragraphs 8 and 9 of
Schedule 8 of the Labour Relations Act, (Act No.66 of 1995)
During the probationary period the Manager will:
 Agree to objectives with the new employee in relation to his / her position
 Review on at least two occasions the performance of the new employee, i.e after three (3) months
and thereafter at the end of six (6) months,
 Ensure that, where training and development plan as appraisal, that where training and
development is identified before and during the Mid-Term appraisal, an agreed to Development
plan as enshrined in the WSDP (Workplace Skills Development Plan) to enable the probationer to
improve on his / her performance prior to the final appraisal;
 The performance reviews will be formed and will be recorded on the Mid-Term and final probation
progress Report for the employee’s file.
4.7 STAFF APPRAISAL
4.5.1 PURPOSE
The purpose of this policy is to establish a system for the appraisal, development, and documentation of
all regular staff employee performance. The goals of performance appraisal are:
 To help ensure that the quality and quantity of work performed by XXXXX staff members best meets
the XXXXX 's needs;
 To allow for continuous communication between supervisor and employee about job performance;
 To offer the supervisor and employee the opportunity to develop a set of expectations for future
performance;
 To provide the opportunity for the supervisor and employee to assess the employee's past
performance; To provide for future development of the employee; and
 To provide supporting documentation for pay decisions, promotions, transfers, grievances,
complaints, disciplinary actions, and terminations.
 The XXXXX will review the Staff Performance Appraisal system and its results as needed, but no less
than annually, to ensure no discriminatory patterns or impact are apparent.
4.5.2 DEFINITIONS
 Performance Appraisal – A continuous process in which a supervisor assesses an individual's
achievement of the performance expectations established by the supervisor.
 Performance Expectation – A statement based on a duty that summarizes a significant portion of the
job.
 Performance Standard – A condition that exists or will result if the performance expectation is
accomplished in an acceptable manner.
There are 4 types of performance standards. In practice, these 4 types of standards are usually used in
combination with one another. The 4 types of performance standards are:
a. Time standard – Tells when the performance expectation will be done; for example, completing a
training by 16:00, completing a report by the end of the week.
b. Quantity standard – Tells how much will be done. For example, types 60 wpm, assists 20 patrons.
c. Quality standard – Tells how well the performance expectation will be done; for example, between
3-5 errors, 4-6 customer complaints, or 90%-94% positive responses from a student development
seminar. Each performance expectation must have at least 1 quality standard.
d. Resources standard – Can be used to limit the resources available for an employee; for example,
without using overtime or within an established budget. Can also be used to specify resources that
are not fully under the employee's control. For example, provided the shipment of supplies arrives,
with the cooperation of another department.
Performance standards can result in a statement that begins "This expectation is met when..."
4.5.3. PROCEDURES FOR ENSURING ORGANIZATIONAL EQUITY
Nothing in this Performance Appraisal shall prohibit the XXXXX, or other administrative officers, and
managers from establishing minimum, uniform performance standards for appraising all employees
within their areas of responsibility.
5.5.4. PROCEDURES FOR APPRAISING EMPLOYEES
Each staff employee is required to have a current approved Key Performance Indicators their possession
and on file in Human Resources. The supervisor is responsible for providing each new staff employee
with a current Key Performance Indicators at the time of their employment. The supervisor will read the
Performance Appraisal Contract Policy for each employee that he or she supervises prior to appraising
their performance. At the time of the appraisal, both the employee and the supervisor must certify that
the Key Performance Indicators for the employee’s job is current and accurate.
The Staff Performance Appraisal Policy reflects the use of criteria based on online templates to conduct
and complete performance plans and appraisals for each position.
Supervisors must list the duties and standards under the appropriate appraisal criteria on the template.
Key Performance Indicators may be listed under multiple criteria if appropriate.
Determining the Key Performance Indicators to be evaluated:
a.
b.
The supervisor has the responsibility to decide which Key Performance Indicators are most
important and are to be appraised. However, the supervisor is encouraged to work with the
employee to choose which Key Performance Indicators are the most important.
The important duties (those to be appraised) become the statements of performance
expectations and should consume at least 90% or more of the employee's time. In general,
about 8 to 10 Key Performance Indicators will be used as statements of performance
expectations.
The supervisor will enter the chosen expectations on the Performance Appraisal Form.
Setting performance standards.
a.
b.
The supervisor has the responsibility to set the performance standards for each duty to be
appraised. However, the supervisor is encouraged to work with the employee to set the
standards for each Key Performance Indicators. How well the employee met the standards of
the previous appraisal periods may be helpful in setting standards for the current appraisal
period.
The supervisor will record the standards on the Performance Appraisal Form.
The supervisor will have the duty of ensuring that each employee is aware of all performance standards.
Reviewing performance expectations and standards may be done in a group setting, when appropriate
(for example, Facilitators, Assessors, Moderators, Material Developers, Administrators, Librarians ect).
Each employee must receive a copy of the Performance Appraisal Form with the performance
expectations and standards.
Note: It is possible during the course of the appraisal cycle that the pertinent Key Performance
Indicators within a position could change, as well as the performance standards related to those duties.
It is the responsibility of the supervisor to communicate with his or her employees about these changes
when they occur, not during the appraisal interview.
At least one week before the appraisal interview, supervisors may, at their discretion, ask employees to
evaluate themselves before the appraisal interview.
Note: The annual performance appraisal interview is only one element of the total performance
appraisal system, which should include constant feedback, coaching, planning, and other
communication designed to make the employee more effective.
The supervisor will rate the employee on the Performance Appraisal Form according to the standards
set for each expectation.
A supervisor's skills at leadership, employee development, and performance appraisal are critical. These
skills must be appraised in Part I of the Performance Appraisal Form for all staff supervisory personnel.
The supervisor will arrange to meet with the employee in a private setting to discuss the ratings:
 During the course of the interview, it is important that the employee be told of concrete examples
of work behavior that contributed to his or her rating.
 Feedback should consist of observations and descriptions rather than opinions and judgment.
 The supervisor should spend part of the interview listening to the employee. An effective supervisor
recognizes the impact of his or her own performance on his or her subordinate's performance.
 Ratings assigned should reflect the supervisor's awareness of incidents that occurred during the year
that may have had a negative impact on the employee's performance, but were beyond the
employee's control.
 Documentation is required for each Performance Expectation on the Performance Appraisal Form
that receives a rating above or below a rating of 3, which is “meets minimum performance
standard.”
 Documentation is required to substantiate an individual’s non-compliance with policies, procedures,
work rules or inappropriate work-related behavior. The documentation must be provided in Part II
of the Performance Appraisal Form.
 Ratings and scores are not final until after the performance appraisal interview.
 An employee who is not available for the interview because of an extended period of absence due
to sickness or leave without pay must still be appraised. Supervisors should complete the appraisal
form, assigning a tentative score, and submit it without the employee's signature to Human
Resources, attaching a memorandum explaining why the employee is unavailable. When the
employee returns to work the interview should be conducted, a final score assigned, and
Subsections i., j., and k. below should be completed.
 The supervisor, employee, and the department director will sign the Performance Appraisal Form.
The employee's signature does not signify agreement with the appraisal, but that he or she
participated in an appraisal interview and is aware of the right to appeal. If the employee refuses to
sign the form, a witness will be brought in to sign the form. Whether or not the employee agrees to
sign the appraisal form, the employee should be given the option of completing the Post
Performance Appraisal Form.
 Originals of both of these forms will be kept in the employee's departmental personnel file and
copies will be forwarded to Human Resources via the appropriate vice president.
 Within 5 working days of the appraisal interview, the employee will receive a final copy of the
Performance Appraisal Form. The original will be placed in the employee's departmental personnel
file. A copy will be forwarded to the XXXXX by XXXXX. The XXXXX will forward all appraisals to
Human Resources by XXXXX for inclusion in the employee's personnel file.
Scoring of Performance
A sliding scale to rate an employee’s performance is permitted, accordingly:
Sliding scale for a score between 1 and 2 would be: 1.0, 1.1, 1.2, 1.3, 1.4, 1.5, 1.6, 1.7, 1.8, 1.9, and 2.0.
This scoring pattern can be used for scores between 2-3, 3-4, and 4-5.
Performance Plan
 Either during the appraisal interview or within 10 working days after the appraisal interview, the
supervisor and employee will discuss plans for the future appraisal cycle. Discussion of plans should
include a summary of the information from Part II of the previous appraisal. Based on this
discussion, the supervisor will enter expectations and standards in Part I of the performance
appraisal form. The supervisor will also enter Part of the appraisal form the training and other
professional development experience needed that would help support the employee to meet the
performance requirements of his or her job and contribute toward the goals of the department,
division or university. These entries comprise the employee's performance plan for the current
appraisal cycle. Both the supervisor and the employee must initial and date the plan. Each should
retain a copy.
 The supervisor may change the performance plan during the year. Both the supervisor and the
employee must initial and date the revised plan. Each should retain a copy.
 Within 30 calendar days of any new hire, reclassification, transfer or demotion, supervisors are
required to provide the affected employee with a performance plan covering the remainder of the
appraisal cycle. The requirements for initials, dates, and copies apply.
 Performance plans are maintained within the department. Copies are also sent to Human
Resources.
4.5.5 PROCEDURES FOR APPRAISING TRANSFERRED EMPLOYEES OR EMPLOYEES WHO ARE
SIMULTANEOUSLY SUPERVISED BY MORE THAN ONE SUPERVISOR
If, during an appraisal period, an employee is transferred from one supervisor to another, the annual
performance appraisal shall be conducted by each supervisor of the employee proportionate to the
amount of time the employee was supervised by each supervisor during the preceding appraisal period.
The final appraisal score will represent a percentage of time the employee was supervised by each
supervisor.
Example: The employee was supervised by Supervisor “A” for 8 months of the year and Supervisor “B”
for 4 months. Supervisor “A” rates the employee’s performance at 350 and Supervisor “B” rates the
performance at 400.
Using a proportionate scoring system, the employee would receive a performance appraisal score of
367: (350*.67) + (400*.33)=367.
In all instances, the appraisal shall be an analysis of the employee’s performance of previously
established objectives in the employee’s performance plan for the year.
All other procedures concerning the performance appraisal of transferred employees, including appeals
of appraisals shall be completed according to the manner described in this Policy.
In the event an employee is simultaneously supervised by more than one supervisor during the same
appraisal period, the performance appraisal score shall be proportionate to the employee’s FTE assigned
to each supervisor.
Example: Employee works for Supervisor “A” 75% of the week and Supervisor “B” 25% of the week.
Supervisor “A” rates the employee’s performance at 375 and Supervisor “B” rates the employee’s
performance at 300.
Using a proportionate scoring system, the employee would receive a performance appraisal score of 356
(375 *.75) + (300*.25)=356
In all instances, the appraisal shall be an analysis of the employee’s performance of previously
established objectives in the employee’s performance plan for the year.
All other procedures concerning the performance appraisal of transferred employees, including appeals
of appraisals shall be completed according to the manner described in this Policy.
4.5.6. PROCEDURES FOR APPEAL OF PERFORMANCE APPRAISALS
The employee may, within 10 working days of receipt of the final copy of the Performance Appraisal
Form, appeal the results of a performance appraisal to the department director if he or she disagrees
with how their performance has been appraised.
If the appraiser is the XXXX, the employee may appeal to 1 level above the XXXX.
Appeals are to be accomplished by confidential memo from the employee to the XXXX or department
manager's supervisor, as appropriate. A copy of the appraisal must be attached. Decisions on appeals
must be rendered within 5 working days. This decision is final. The XXXX will provide Human Resources
with the appeal, any attachments, and his or her final decision for inclusion in the personnel file.
4.5.7. PROCEDURES FOR USING PERFORMANCE IMPROVEMENT AND PERFORMANCE
COMMENDATION FORMS
4.5.7.1 PERFORMANCE IMPROVEMENT
Any time an employee's performance rating falls below minimum performance standard, the supervisor
must complete the Performance Improvement Form. The supervisor will use the form to give the
employee a reasonable date by which improvement must take place. The supervisor is required to
indicate on the Performance Improvement Form the date that the employee will be re-evaluated when
an employee’s performance rating falls below minimum.
When the required improvement date is reached, the supervisor will fill out the Follow-Up to the
Performance Improvement Form.
Originals of both of these forms will be kept in the employee's departmental personnel file and copies
will be forwarded to Human Resources via the appropriate XXXX.
4.5.7.2 PERFORMANCE COMMENDATION.
If during the course of the appraisal cycle, the employee performs in an outstanding manner and the
supervisor wishes to recognize this performance, the supervisor will fill out the Performance
Commendation Form. The original of this form will be kept in the employee's departmental personnel
file and a copy will be forwarded to Human Resources via the appropriate XXXX.
4.5.8. PROCEDURES FOR TIMELINESS OF APPRAISALS AND MAINTENANCE OF RECORDS
It is the responsibility of each XXXX to see that all regular administrative, unclassified, and classified
employees in their department/section/division receive a written performance appraisal once each year
covering the period XXXX to XXXX. Exceptions are for those employees promoted, transferred,
reclassified, demoted, or hired between XXXX and XXXX who will be apprised after 6 months on the job
and again after the next XXXX.
The written performance appraisal and interview will be conducted during XXXX and XXXX of each year
unless an alternate appraisal cycle has been approved.
Note 1: By XXXX of each year the XXXX will forward a memo to all XXXX reminding them that the annual
appraisal form and interview on all regular staff employees must be completed by the last day of XXXX.
Note 2: The Manager of Human Resources will provide a reminder notice to all managers on XXXX that
all appraisals are due to the XXXX no later than XXXX. The XXXX will forward all appraisals to Human
Resources by XXXX. Prior to XXXX, the Human Resources will provide to the XXXX a list by division of all
appraisals not received by XXXX.
Alternate Appraisal Cycle
a. In certain individual situations the needs of the XXXX might be best met by an annual appraisal cycle
tied to:
1) activities or events which do not coincide with the calendar year; or
2) employee anniversary date.
However, an alternate appraisal cycle should only be used under extraordinary circumstances, on a
limited basis, and must be approved by the XXXX. A copy of the P XXXX’s approval must be
forwarded to Human Resources.
a. If an alternate appraisal cycle is approved, the XXXX is required to contact Human Resources for the
proper procedures to follow.
4.5.9. ALTERNATE APPRAISAL SYSTEM
A supervisor may use an alternate appraisal system if:
 it achieves the goals established, and
 it is approved by the XXXX, then
 copies of alternate system approvals are forwarded to Human Resources.
4.5.10. MANDATORY TRAINING
All employees promoted or reclassified into supervisory positions and all newly hired supervisors must
attend performance appraisal training within the first six months of their hire, promotion, or
reclassification.
4.5.11. REVIEWERS OF THIS STAFF PERFORMANCE APPRAISAL POLICY
Reviewers of this Policy include the following:




Position
Director of Human Resources
Director of Equity
Chair, Staff Representative
4.5.12 STAFF APPRAISAL FORMS





Performance Appraisal Plan
Post-Performance Appraisal Form
Performance Improvement Form
Follow-up to Performance Improvement Form
Performance Commendation Form
XXXXX
Regular Staff Performance Appraisal System
Performance Appraisal Plan
Employee Name
Employee Job Title
Person ID
Department
Period Covered by Appraisal: From
To:
Reason for Appraisal:
Date of Appraisal
Annual
Other (specify)
Employee’s Signature
Supervisor’s Signature
Part I. PERFORMANCE EXPECTATIONS
Instructions: Performance Expectations are established at the beginning of the appraisal period using
the KPIs. Performance standards describe when the performance expectation meets the job
requirements. Weights can signify the relative importance of one expectation over another. If all
expectations are to be weighted equally, then divide the number of expectations into 100 and put the
result in the weight column. The Score column is equal to the weight times the rating. Performance
expectations 1 - 3 are only used in evaluating supervisors. Attach additional sheets if needed.
Each staff employee is required to have current approved KPIs in their possession and on file in Human
Resources. The supervisor will read the KPIs for each employee that he or she supervises prior to
appraising their performance. At the time of the appraisal, both the employee and the supervisor must
certify that the KPIs for the employee’s job is current and accurate.
Completion of this form prior to XXXXX of each year constitutes an employee’s performance plan for the
year. Completion of this form the following XXXXX or XXXXX constitutes the documentation necessary
to complete the performance appraisal process.
Ratings will be:
5 = significantly exceeds performance standard
4 = Exceeds performance standard
3 = Meets performance standards
2 = Does not meet performance standard consistently
1 = Fails to meet performance standard
PERFORMANCE EXPECTATION
*1. Leadership:
Provides advice and help in the
achievement of assigned
employees’ goals.
*2. Employee Development:
Provides encouragement and
opportunities for staff to
participate in development
experiences.
*3. Employee Appraisal:
Appraises assigned employees in
a timely and thoughtful manner.
**4. Employee Recruitment
Progress toward achieving
increased numbers of women
and ethnic minorities in the
workforce
5.
6.
7.
PERFORMANCE STANDARD
This expectation is met when:
WT.
RATING
***
SCORE
(WxR)
PERFORMANCE EXPECTATION
PERFORMANCE STANDARD
This expectation is met when:
WT.
RATING
***
SCORE
(WxR)
8.
9.
10.
11.
12.
13.
14.
Totals:
100
Employee complies with policies, procedures and work rules and demonstrates appropriate work
related behavior. Yes _____
No____
NOTE: If total score is below 300, then supervisor must complete the Performance Improvement Form.
Part II. PERSONAL AND CAREER DEVELOPMENT
This section provides an opportunity for a meaningful discussion of the employee’s strengths and
significant areas for improvement, career interests, possible future assignments, and a personal
development plan covering the next appraisal period. These questions are primarily for development
purposes and documentation of ratings as appropriate.
1.
Strengths and Performance Exceeding Standard
1a. What are the employee’s major strengths? What does the employee do especially well?
1b. Documentation/justification to identify the specific ways the employee demonstrated performance
exceeding “meets performance standards” is required for each Performance Expectation that receives a
rating above (3).
2.
Improvement and Performance Below Standard
2a.
What are the areas needing improvement?
2b.
Documentation/justification to identify the specific ways the employee demonstrated
performance below “meets performance standards” is required for each Performance
Expectation that receives a rating below (3).
3.
Compliance with Policies, Procedures and Work Rules
3a.
What are the areas needing improvement?
3b.
Documentation/justification to identify the specific ways the employee did not comply with
policies, procedures, and work rules, or demonstrated inappropriate work related behavior is required.
4a. What training or other professional development experience would help support the employee to
meet the performance requirements of his or her job and contribute toward the goals of the
department, division and university ?
4b. What training or other professional development experience did the employee attend during the
current review period, or is currently scheduled to attend to meet the training and professional
development experiences noted in 4a?
Supervisor’s Signature
Date
Employee comments# (optional):
I have participated in an appraisal interview and I have been told of my rights to appeal this appraisal
with a confidential memo to my department director/chair within ten working days of the receipt of the
final copy of this Performance Appraisal Form. My signature indicates that I have reviewed this
document and does not necessarily signify agreement with the appraisal.
Employee’s Signature
Date
Witness’ Signature (if necessary)
Date
Additional comments from XXXXX # (optional):
Department Manager’s Signature
Date
# - Separate sheets(s) may be attached if necessary
Distribution: Original to departmental personnel file; copy to employee; copy to XXXXX to be
forwarded to Human Resources by XXXXX.
xxxxx
Regular Staff Performance Appraisal System
Post-Performance Appraisal Form
(optional)
1.
The feedback on my job performance received from my supervisor during the time period prior
to my appraisal has been:
Clear:
Infrequent:
Too general:
Helpful:
2.
agree
agree
agree
agree
This performance appraisal:
was similar to my expectations
3.
disagree
disagree
disagree
disagree
was not similar to my
expectations
I considered this appraisal process:
Comfortable:
Not helpful:
Positive:
4.
To improve the process:
5.
To improve the form:
6.
Other comments:
Employee’s Name (print)
agree
agree
agree
Job Title
disagree
disagree
disagree
Employee’s Signature
Date
Distribution: Original to Department Manager; copy to Human Resources.
xxxxx
Regular Staff Performance Appraisal System
Performance Improvement Form
Employee’s Name
Job Title
Person ID
Department
1.
State in detail why the employee’s performance has been rated below standard (a rating of less
than 3). Include specific incidents and dates of occurrence (attach extra pages if necessary).
2.
State by when improvement must be made and what specific action steps the employee must
take to correct the situation (attach extra pages if necessary).
3.
State what specific action steps the supervisor will take to help the employee correct the
situation (attach extra pages if necessary).
4.
What action will be taken if necessary change is not accomplished within the prescribed time
frame?
Supervisor’s Signature
Date
I have met with my supervisor to discuss the areas and the reasons why I must improve. I agree to
adhere to the improvement plan outlined in item 2 above.
Employee’s Signature
Date
Distribution: Original to Department Manager for inclusion in departmental personnel files; copies to
employee, Human Resources, and CEO’s office.
xxxxx
Regular Staff Performance Appraisal System
Follow-Up to Performance Improvement Form
Employee’s Name (print)
Job Title
Person ID
Department
1.
What steps has the employee taken to correct the situation since the original improvement
form was prepared?
2.
Has the employee satisfactorily corrected the situation?
Yes
No
If no, what further action is required? Be specific and include dates by which items must be
completed and include consequences for failure to improve performance. Such consequences
may include termination of employment.
3.
Employee’s comments:
4.
Supervisor’s comments:
5.
Department Director’s comments:
Employee’s Signature
Date
Supervisor’s Signature
Date
Distribution: Original to Department Manager for inclusion in departmental personnel files; copies to
employee, Human Resources, and CEO’s office.
xxxx
Regular Staff Performance Appraisal System
Performance Commendation Form
Employee’s Name (print)
Job Title
Person ID
Department
1.
In what areas has the employee exceeded expectations?
2.
Employee’s comments:
3.
Supervisor’s comments:
Employee’s Signature
Date
Supervisor’s Signature
Date
Distribution: Original to Department Manager for inclusion in departmental personnel files; copies to
employee, Human Resources, and CEO’s office.
4.8 STAFF DEVELOPMENT
4.6.1
INTRODUCTION
The XXXX Staff Development Policy evolves from the way XXXXX values its staff. This is demonstrated in
the XXXX commitment by providing funds for staff development. In its pursuit of excellence the XXXX is
convinced that professional, well-equipped and satisfied staff provides the key to the XXXX attaining its
mission. The policy provides a framework for staff development in pursuit of enhancing both individual
and institutional performance. It outlines the role of the Staff Development (SD) Unit, designates
responsibility for staff development and provides a framework for the implementation of the policy,
including consideration to redress and equity.
XXXX staff is pivotal to achieving the institution’s strategic priorities. To empower them to contribute
optimally, it is assumed that they should have / acquire the needed skills/competencies, knowledge,
attitudes and values to display behaviour consistent with the competency profiles required by their
current and / anticipated future roles or positions.
4.6.5
PURPOSE
The Staff Development Policy of the XXXX provides a strategic framework that aims to address staff and
organisational development in an integrated manner within the complex education and training context.
This policy takes as points of departure the vision; mission; commitment to quality; equity; a service
orientation; values and strategic priorities of the XXXX; as well as the RSA Constitution and Skills
Development legislation. Against this background it envisaged that performance management (PM)
processes together with learning and organisational initiatives be managed in an integrated manner to
contribute to the optimising of staff performance and ultimately uphold the XXXX strategic priorities.
4.6.6
OTHER RELEVANT POLICIES
The staff development policy of the XXXX should be viewed and executed together with other policy
goals and documents of the XXXX; particularly those regarding employment equity, the skills
development act, skills levy act, diversity and national policy imperatives that impact on staff
development at the XXXX.
4.6.7
AIMS AND OBJECTIVES
The XXXX’ fundamental aim with staff development is to improve and enhance the quality of both
institutional development and individual staff performance within the ambit of education and training.
The XXXX further aims to enhance the personal and professional well-being of staff by providing for a
working environment that both satisfies and improves productivity. This takes place within a knowledgedriven, scientifically funded and technologically fast developing society where legislation demands
accountability and efficiency. The XXXX affirms its mission of excellence by an organisational staff
development strategy that is integrated into the u XXXX’s planning cycle and upholds the achievement
of the XXXX’s strategic priorities and goals foster a quality culture in all the XXXX activities and facilitate
a culture of lifelong learning and development.
4.6.4.1 ORGANISATIONAL DEVELOPMENT
The overarching aim of SD is to maintain and recruit training and support staff of good standing – staff
that will view the XXXX as a place of preference and will respond to education and training challenges
with confidence and enthusiasm. Staff needs to successfully and proactively negotiate evolving external
and internal changes and pressures related to key performance areas.
4.6.4.2 INDIVIDUAL STAFF PERFORMANCE
The staff development programme will in future be driven by developmental areas identified by line
management against the background of the performance management process.
4.6.7.2.1 CATEGORIES OF STAFF
At the XXXX, staff development addresses the work related needs of all staff, and, unless indicated
otherwise,
 training staff includes both facilitators, assessors and moderators,
 support staff includes administrative, technical and service workers .
4.6.7.2.2
AREAS FOR DEVELOPMENT
The XXXX actively encourages and promotes staff development, with the goal of providing the following
opportunities for all staff to participate in appropriate staff development programmes and activities.
These include:




4.6.8
Professional development training that includes training required by an individual to retain
proficiency and currency in the procedures and practices of a defined discipline or profession.
Training within this definition would constitute continuous professional development including, for
example, the attendance of professional conferences and the continued development of specialist
knowledge and skills, whilst retaining professional registration status. Funding for attendance of
programmes of this nature would normally be the responsibility of the individual staff member or
his/her department. This includes funding for continued professional development (CPD).
Career development training that entails continued training/retraining by way of career
development courses and/or the structured training programme schedule of courses and
developmental activities. These activities would be designed by the Staff Development Unit of
XXXX to meet the staff development needs against the background of the XXXX’s objectives.
Funding will be provided by the XXXX’strategic staff development fund and supported by the levies
received from the Department of Labour in accordance with the Skills Levies Act (Act 9 of 1999).
Individual development training that aims to improve the skills of an individual and to provide a
basis for a professional career or to satisfy a personal developmental need. Funding for this
training is an individual responsibility.
Personal and Professional well-being.
These programmes and activities actively encourage
and promote the well-being of staff, with the goal of providing for job satsifaction and enhancing
staff morale.
SPECIAL OBJECTIVES
To achieve the above-mentioned the XXXX has adopted the following specific objectives, namely to:
 Increase equal opportunities and awareness of equity issues;
 Encourage training department and units to make provision for the professional development of
their staff and to include staff development goals, objectives, strategies and action plans in their
strategic plans;
 Provide a professional service to XXXX management and staff;
 Promote a Performance Management System that will serve as a mechanism to improve and
enhance both individual staff and institutional performance.
 Budget sufficiently for the provision of this service.
4.6.9
AN ALL-ENCOMPASSING MODUS OPERANDI (APPROACH) TO STAFF DEVELOPMENT
The XXXXX Unit is responsible for the co-ordination of all staff development, including the work place
skills development programme, the grow your own mentorship programme and other related training
and development programmes, that provide for a range of activities.
The XXXX Staff Development Unit takes responsibility to develop and train staff by means of internal
and external providers. Within this process the division should be proactive in seeking to provide
relevant opportunities and be responsive to needs of individual members of staff where appropriate.
Involvement in staff development is generally voluntary. However, there may be some mandatory
training and development, for example, where staff must be equipped in specific areas for the benefit of
the XXXX and the enhancement of quality, for their own direct benefit and for the benefit of others,
such as in safety matters.
Staff development activities occur across a spectrum - from the formal (courses, seminars, workshops,
structured on the job training, learnerships, special study programmes, study time, mentoring, coaching,
training fellowships etc.) to the informal (ad hoc on the job assistance, private study, networking,
informal mentoring, etc.).
The following three focus areas form part of the staff development approach:
4.8.6.1 INTEGRATED HUMAN RESOURCE DEVELOPMENT
The development of staff should form part of an integrated human resource system. Procedures for
selection, compensation and promotion, probation/tenure and study leave should articulate with and be
informed by staff development and vice versa. At best, the different practices should complement each
other but at the very least due care must be taken to ensure that these are not in conflict with each
other.
4.6.6.2 ETHOS
Acknowledgement of multiculturalism/language and acceptance of redress and equity.
Overall, staff development of the XXXX is therefore directed at the following:



The development of human resources (staff as well as learners).
Taking into account the needs and interests of the society.
The creation of an ethos of caring as well as the maintenance of enhanced ethical values.
4.8.6.2 MONITORING AND EVALUATION
Quality Assurance: The staff development team will evaluate the adequacy of its service provision by
means of verbal feedback, questionnaires (review practice in areas of administration and customer
service) and to ensure that the provision is appropriate, of high quality and constitutes an effective
application of resources.
4.8.7
RESPONSIBILITIES
4.6.7.1 ORGANISATIONAL
 All departments have a responsibility to identify, facilitate and provide their staff with appropriate
staff development opportunities.
 The Staff Development Unit provides advice and support to assist both individuals and groups to
fulfil their staff development responsibilities, specifically in relation to training and development in
skills which have broad application across the XXXX.
4.6.7.2 TOP MANAGEMENT
Should:





Advocate the importance of staff development.
Channel a realistic part of their budget to staff development.
Create and maintain an appropriate infrastructure for staff development.
On a continuous basis, provide moral support in favour of staff development.
Establish a performance management system that motivates and rewards good performance.
4.6.7.3 LINE MANAGERS
 Managers are directly responsible for the identification of the developmental needs of their staff.
They are to ensure that these needs are appropriately addressed and timeously communicated to
the Staff Development Unit of XXXX. They are also expected to support the overall staff
development programmes by encouraging and facilitating participation of their staff, whether as
participants, organisers or course leaders and facilitators.
 Professional development training, i.e. discipline or occupation-specific training is the responsibility
of departments/divisions/units.
4.6.7.4 THE STAFF DEVELOPMENT UNIT
The Staff Development Unit of XXXX is the official body charged with the promotion of training across
the XXXX. It is the function of this unit to support and foster individual and departmental training and
development initiatives as identified within the XXXX. In doing so it seeks to move towards the
achievement of the full potential of individuals and departments divisions/ units. Thus this unit acts as
organiser, promoter, information centre and liaise with departments/ divisions/units.
The Staff Development Unit of the XXXX is responsible to:





Compile a policy for staff development at the XXXX.
Coordinate training and development of training and support staff at the XXXX, with special
reference to the performance management system.
Take responsibility for the induction of new staff at the XXXX.
On an ongoing basis, identify the developmental needs of staff
Accountability:



Compile a yearly report on training and development provided by the XXXX.
Report to the HWSETA regarding training and development at the XXXX.
Conduct institutional research on the impact of staff development at the XXXX and report to
applicable structures.
4.6.7.5 INDIVIDUAL
The major responsibility for the development of work related skills and knowledge rests with each
individual staff member.
 All staff are expected to participate in developmental activities to maximise benefits for both the
XXXX and the individual.
 Each individual is required to equip himself continuously with competencies, skills, etc., in response
to evolving and changing job requirements.
4.6.8 IMPLEMENTATION PROCEDURE
4.6.8.1 GUIDELINES
All programme designs are based on scientific methods, according to professional standards and
subjected to evaluation for purposes of monitoring success.
4.6.8.5 ESTABLISH A TRAINING AND DEVELOPMENT FUNDING COMMITTEE
It is proposed that an independent committee should be established consisting of:




CEO
Staff Development Unit
Skills facilitator
Financial advisor
4.6.8.6 PLANNING
The staff development unit promotes development opportunities for all staff through the
establishement of strategic directions as well as the development and review of relevant policy. The
Staff Development Unit’s planning phase includes the following:
 The staff development activities are determined by the Training and Development Funding
Committe under the chairmanship of the CEO.
 Annual programmes are drafted (normaly between XXXX to XXXX) by the Training and Development
Funding Committe in order to prevent duplication and to encourage co-operation.
 It is the responsibility of the Managers of departement/ divisions/units to identify staff development
and training needs and then motivate them to the Training and Development Funding Committe.
 The result of the performance management system will be used to identiy training and
developmental needs.
4.6.8.7 PRESENTATION
Internal or external facilitators will be used for the following specific programmes:




Induction/orientation
People skills
Management skills
Organisational development
4.6.9.5 INFORMATION SERVICE



networking purposes
information distribution
self-study
4.6.10 FUNDING
4.6.9.1 ALLOCATION OF FUNDS
 The allocation of funds received from the XXXX strategic staff development fund, supplemented by
the levies according to the Skills Levy Act, will primarily be utilised to improve the workplace skills
required from staff.
 In considering the allocation of funds, preference will be given to training and development
opportunities that will benefit the entire staff component – not primarily the individual.
 Allocation of funding from this source will be cognizant of values and principles such as redress,
equity, excellence and merit.
 This fund is not primarily aimed at conference attendance – other avenues for the funding of
conference attendance should also be explored and will only be considered in most deserving
instances.
 Criteria that will be used to make decisions for the allocation of funds obtained from the XXXX
strategic staff development fund supplemented by the levies according to the Skills Levy Act are e.g.
race and gender (in an attempt to rectify past inequalities), qualifications already obtained,
qualifications already sponsored by the XXXX, developmental opportunities and exposure already,
age (to determine whether the XXXX will benefit from this investment), providing evidence of
improving oneself, funding previously received, academic achievements and link with the strategic
priorities of the XXXX.
 Preference will be given to development opportunities that will improve the core business
(teaching, learning, research, service to the XXXX’s clientele and community) of the XXXX.
4.6.10.2
PROCEDURE TO APPLY FOR FUNDING
4.6.10.2.1 APPROVAL OF FUNDING
 The Manager of the Department/Division should submit a written motivation for funding to the
Staff Development Unit. The proposed participant(s) details must be supplied as well as course
details such as content, dates, costs (i.e. quotation) and providers’ details.
 The staff member concerned (in the case of individual applications) must also complete a Staff
Development Application form.
 Funding of staff to attend courses by external providers will not be considered if similar courses are
provided within the XXXX.
 The Staff Development Unit is authorised to approve applications for individual training up to an
amount of RXXXX per individual application for training by an external provider (every three year
period).
 The Staff Development Unit will consider and approve funding requests for amounts exceeding
those indicated in the aforementioned paragraph. In considering these applications for
individuals/groups of individuals, the following criteria will be taken into account:

Relevance to the individual’s job and personal development taking into account the current level
of experience and qualifications. The need for any particular type of training should be


motivated with reference to the individual’s personal development plan as captured in his/her
performance appraisal or probation report and/or in the succession plan/ or equity plan for the
unit.
Applications relevant to XXXX priorities and learning and development related to corporate
priorities – both XXXX-wide and service related - will take precedence.
Where the Manager is unwilling to support an individual staff member’s fundings application for
training, a cover letter by the applicant should motivate why the application deserves special
consideration.
The costs of this training will be debited to the XXXX’s strategic staff development fund supplemented
by the Skills Development Levy account. The CEO is the only signitory on this account
4.6.9.3 ACCOUNTABILITY FOR STAFF DEVELOPMENT
 The CEO is accountable for the extent, quality, efficiency and equitable delivery of staff
development in the XXXX. Information regarding staff development expenditure and participation is
required to meet these accountability demands and to enable the XXXX to engage in effective
planning both centrally and within budgetary units.
 The XXXX is also obliged to respond to requests for information on staff training and development
by external bodies as stipulated by the Department of Labour and HWSETA.
 Departments should include a report on their involvement in staff development in publications such
as annual reports.
4.6.11 RESOURCE-RELATED ISSUES
4.6.10.1 UTILISING STAFF SKILLS
The skills of staff should be used as much as possible within the staff development programmes.
Managers and supervisors are expected to support staff development by encouraging and facilitating
participation by their staff as course leaders and facilitators.
4.6.10.2 RESOURCE SHARING
Sharing of resources for staff development within the XXXX, with other education and training
organisations in the region and nationally, and with appropriate organisations and institutions within the
health and welfare community should be encouraged.
4.7 SEXUAL HARASSMENT
4.7.1 DEFINITION
The XXXX has a strict policy prohibiting all forms of sexual harassment at the work place. This policy
applies to all employees, supervisors, learners, vendors and non-employees who have contact with our
employees. Sexual harassment includes, but is not limited to, unwelcome sexual advances, requests to
an employee for sexual favors, and other visual, verbal, or physical conduct of a sexual or offensive
nature when either:
 Submission to such conduct is made an explicit or implicit term or condition of employment,
continued employment, or advancement;
 Submission to or rejection of such conduct by an individual is used as the basis for employment
decisions affecting the individual; or
 Such conduct has the purpose or effect of interfering with an individual’s work performance or
creating an intimidating, hostile, or offensive working environment.
4.7.2 REPORTING MISCONDUCT
Any employee who feels her/him or other coworker is a victim of sexual harassment should
immediately report any misconduct to the immediate supervisor or to Human Resources, including,
without limitation, without fear of reprisal. The employee can bypass anyone involved in the harassment
in reporting it. All complaints and related information will be thoroughly investigated and kept strictly
confidential. The results of the investigation shall be promptly reported to the person(s) making the
complaint(s).
4.7.3 OUTCOMES
Employees who, after investigation, have been determined to have been engaging in the sexual
harassment of their co-workers or learners or the use of profane or abusive language which violates the
sensitivities of their co-workers or learners will be subject to disciplinary action, up to and including
termination.
4.7.4 REQUIRED SIGNATURE
A full copy of this sexual harassment policy will be included with new employee’s copy of these policies.
All XXXXX employees are required to sign this attachment as proof that they have read and understand
XXXXX’s sexual harassment policy. This form is to be returned to the Human Resources Department and
signed by a XXXXX representative. The original will be kept in the employee’s personnel file.
4.7.5 LEARNER COMPLAINTS
Learners who believe they have been sexually harassed and wish further information or assistance in
filing a complaint, should contact the Human Resources Department, (full Address).
4.8 CONFIDENTIALITY
4.8.1 PERSONNEL FILES
4.8.1.1 COPIES
An individual file shall be maintained on all employees of the College. Copies of important transactions,
as determined by the President or his/her designee or Human Resources, concerning the employee shall
be maintained in this file.
4.8.1.2 INSPECTION BY EMPLOYEES
Upon written request, information in the employee’s personnel file, with the exception of confidential
employment references sent to or solicited by the College, shall be made available for inspection by the
employee or his/her designated agent. Proper identification will be required of the individual. The
College reserves the right to make records available only during normal business hours of the office
where the records are maintained. Records may be reviewed only in the presence of an employee in
the office of record. An appointment must be made with the personnel official at the office of record
indicating the specific information desired for review. The office of record given reasonable notice may
supply copies of information that is subject to review.
4.8.2 MEDICAL INFORMATION
4.8.2.1 CONFIDENTIALITY
The College believes that any medical information about its employees is confidential. Employees are
directed to provide the College only with medical information that is specifically requested and not to
volunteer detailed medical information that has no bearing upon an employee’s job performance.
Employees should not leave detailed medical information on any internal voice mail or include it in
email, as these means of communication are not kept confidential. Employees’ medical information will
be kept in a secure, separate area. Access to medical information will be restricted and on a need-toknow basis. Employees should exercise care in discussing another’s medical conditions, particularly
conditions of other employees. Such information is private and should be treated as such. Any
employee who is found to have improperly obtained or disclosed confidential medical information of
another employee shall be disciplined up to and including being terminated from employment.
4.8.2.2 ENROLMENT AND ASSISTANCE FROM INSURER
No employee shall be permitted to receive any medical information about an employee for any
purposes relating to health insurance coverage. Employees who receive health insurance coverage
through the XXXX and have any questions regarding coverage or benefits shall be directed to an
appropriate representative of the insurer. Employees of XXXX shall not be permitted to assist other
employees with health insurance issues, except for the processing of any documentation that may be
required for the initial enrollment in any health insurance plan.
4.8.2.3 BREACH OF CONFIDENTIALITY
Any employee who believes that confidential information about his/her medical condition or records
has been improperly revealed should notify XXXX, or, if she is believed to be the person who committed
the unauthorized disclosure, XXXX. All such complaints shall be investigated promptly, and the result of
the investigation shall be reported to the employee.
4.8.3
PRIVACY RIGHTS
4.8.3.1 WRITTEN PERMISSION TO RELEASE PERSONNEL DATA
Written permission of the employees must be obtained before releasing personal information. The
policy lists the following rights of employees regarding their official records:
 The right to inspect and review information contained in personal records.
 The right to challenge the contents of their personal records.
 The right to submit an explanatory statement for inclusion in the personal records if the outcome of
the hearing is unsatisfactory.
 The right to prevent disclosure, with certain exceptions, or personally identifiable information.
 The right to secure a copy of the XXXXX policy, which includes the location of all personal records.
 The right to file complaints with the Department of Labour, concerning the alleged failures by
XXXXX to comply with the Policy.
5. EVALUATION AND REVIEW
The human resources and management policies will be evaluated on a regular basis and reviewed once
a year. A review committee will comprise of the following:
 CEO
 Human Resource Manager
 Union /Staff Representatives ect
6. COMMUNICATION OF POLICY
All full-time and fixed-term contracted employees will be given a copy of this policy on appointment. An
induction programme will be conducted in order to familiarize employees with the policy and its
application.
7. DOCUMENTATION
 An approved master copy (hard-copy) of the Human Resource Policy
 An electronic copy of the Human Resource Policy
 A signed circulation list of employees that received the Policy
Policy Code
Effective Date
Review
date
Approved
By
Name
Version
Number
Signature
Table of Contents
1.
2.
3.
4.
Purpose
Definitions
Scope
Policy application
4.1 Principles of responsibility and accountability
4.2 Bank accounts
4.3 Budget
4.3.1
4.3.2
4.3.3
4.3.4
4.4 Income
Office running costs
Project costs
Projected expenses
Projected income
4.4.1 Operating income
4.4.2 External income
4.4.3 Legal aspects
4.6. Invoicing and collection of external debts
4.7. Expenditure
4.7.1 Personal income
4.7.2 Operating expenditure
4.7.3 Purchases
4.7.4 Reimbursement of costs
4.7.5 VAT recoveries
4.7.6 Advances for expenditure to be incurred
4.8 Insurance cover
4.9 Financial year
4.10 Annual financial statement /financial audit
5. Procedures
6. Communication of policy
Date
7. Evaluation and review
8. Documentation
1. PURPOSE
To ensure proper financial management and accountability within the organisation in compliance with
Generally Acceptable Accounting Principles (GAAP) and audit requirements applicable to Non Profit
Organisations in South Africa.
2. DEFINITION
Financial management is the Planning, directing, monitoring, organizing, and controlling of the monetary
resources of an organization. It is the process of managing the financial resources, including accounting
and financial reporting, budgeting, collecting accounts receivable, risk management, and insurance for a
business.
3. SCOPE
This policy is applicable to all personnel responsible for financial management and accounting, all
managers who are directly involved with budget management and expenditure and the CEO as the
accounting officer of XXXXX.
4. POLICY APPLICATION
4.3 PRINCIPLES OF RESPONSIBILITY AND ACCOUNTABILITY
The Chairperson, Chief Financial Officer, and Chief Executive of XXXXX have the authority to commit
funds for expenditure. It is the responsibility of the Chief Executive to approve and monitor all
expenditure (with the exception of payments made to her/him personally). The sources of funds within
XXXXX are primarily the fees paid by learners, and grants from donors for specific purposes and
projects. The expenditure of funds should always satisfy the criterion of serving the interests of XXXXX.
In the case of any significant purchase, alternative quotations should be obtained for consideration by
the Chief Financial Officer, Chief Executive, and Project Co-ordinator. Any assets acquired remain the
property of XXXX. If assets are acquired from donated funds, the donors should be consulted regarding
disposal.
In respect of the expenditure of funds for which the Chief Executive has been delegated responsibility, it
is an important principle of sound financial management that she/he be accountable to someone else
for such expenditure. In the case of XXXXX, this is the Board, and regular reporting to both the
Executive Committee and the Board is required. Expenditure must remain within the funds available,
and be for the purpose for which the funds were intended.
The Chief Executive is ultimately responsible for the control of financial activities within XXXXX, and
through an adequate reporting structure and with up-to-date financial information, should regularly
monitor the status of such expenditure.
The Board expects adequately comprehensive and descriptive documentation in support of expenditure,
and may be expected to query expenditure if this is not provided.
No one individual may be the sole signatory for authorizing expenditure. Expenditure is usually
authorized by the Chief Executive and one other signatory. The exception is expenditure for which the
Chief Executive is the beneficiary (e.g. salary, travel), in which case two signatures other than the Chief
Executive’s are required. In the case of payments for amounts less than R5000.00, two internal
signatories will be permitted, one of which must be the Chief Executive, excluding those payments made
to either of the signatories. A printout of all electronic transactions is kept in the XXXXX office.
Wherever possible, payments will be made via internet transfer. Invoices for amounts under R5000.00
are to be authorized by the Chief Executive and one other internal signatory. Invoices over R5000.00 are
to be authorized by the Chief Executive and one Board member.
The Chief Executive must designate one of the members of staff of XXXXX to act as custodian of petty
cash and other specific assets requiring safeguarding, including the control and storage of keys.
Only XXXXX’s official bank accounts may be used for banking or issuing funds. When issuing funds, all
payments must be supported by authorized vouchers.
4.4 BANK ACCOUNTS
XXXXX accounts are currently held by XXXXX (name of bank). The majority of funds are retained in the
high interest bearing accounts, and appropriate amounts are transferred to the current accounts as
required.
Under no circumstances may bank accounts be opened without obtaining the approval of the Chief
Executive and the Board.
4.3 BUDGET
XXXXX’s budget for the following year is drafted by the CFO, the CEO and the project co-ordinator
responsible for book-keeping, in the second half of the current year, and presented to the Executive
Committee and the Board for approval.
4.3.5
OFFICE RUNNING COSTS
These are based on the actual costs of the previous year, the estimated costs for the current year, and
projected costs for the following year. Line items include rent, telephones, photocopier, stationery,
travel, maintenance, staff training, insurance, bank charges and auditor’s fees, etc.
4.3.6
PROJECT COSTS
These are based on anticipated activity and expenditure in the coming year. They may be sub-divided
into Project Management and Operational costs.
4.3.7
PROJECTED EXPENSES
 XXXXX office: staff remuneration, office running costs and an amount for capital equipment
upgrading are established for the coming year, based on the current year’s budget and expected
expenditure.
 XXXXX projects: Team leaders (where applicable) will submit proposals for funding. In all instances,
the CFO and CEO will allocate an appropriate amount to each project for operating expenses and
project management for the coming year.
 Reserve fund: An amount (currently 5% of the total budget) is retained in a reserve fund. This may
be used, inter alia, as bridging finance in the case of late payment of membership fees, or as start-up
funding for a project not yet budgeted for. In the latter case, the approval of the Executive
Committee is required.
4.3.8
PROJECTED INCOME
Projected income is calculated according to:




projected surplus at the end of the current year (if any);
expected donor/grant funding;
Training fees
other sources of income (e.g. Administrative Fees, Project Management Fees).
As a matter of principle XXXXX attempts to retain training fees at as low a level as possible. Grant and
donor funding may be required for certain projects in order to sustain this principle.
4.4 INCOME
XXXXX is funded through, inter alia :
 donations, voting of money, grants, or any other person or source supporting the functions of
XXXXX;
 grants from any institution or source granting money for educational purposes;
 income or accruals for any services rendered;
 interest on investment.
XXXXX’s major sources of income are training fees and donations/grants. Invoices are sent to clients
requesting payment of a fee agreed upon previously by the Board. Grants are solicited from foundations
and government for specific projects of XXXXX. Fund-raising is primarily the responsibility of the Chief
Executive.
Whenever XXXXX activities generate additional external income, e.g. workshops, training, conferences,
etc., documentation such as invoices or statements must be in the name of XXXXX and debtors to
XXXXX must be asked to make payments in settlement of such amounts in the name of XXXXX. Such
payments must be deposited directly into XXXXX’s current account. Records are kept of each deposit.
4.4.1 OPERATING INCOME
This is normally derived from training fees. Funds are allocated for both recurrent expenditure (salaries
and running costs such as rent, telephones), and for non-recurrent expenditure (equipment, travel,
projects).
4.4.2 EXTERNAL INCOME
This is normally derived from donations, grants and a small amount from funds acquired from
workshops, conferences, etc. The Chief Executive is responsible for ensuring that details of income and
expenditure relevant to a donor are kept in accordance with the donor’s stated reporting requirements.
If a donor requires an audit certificate, the Chief Executive must ensure that the external auditor is
consulted (currently XXXXX). XXXXX charges a 20% administrative fee on grants received in support of
projects, if permitted in terms of the grant.
4.4.3 LEGAL ASPECTS
The net income, including donations of XXXXX is available for investment with one or more financial
institutions.
XXXXX must be administered in such a manner as to preclude any donor from deriving any monetary
advantage from monies donated.
4.5. DEPOSIT OF EXTERNAL FUNDS
Funds raised or donated should be deposited in XXXXX’s interest-bearing account (money market), and
amounts required for expenditure transferred to XXXXX’s current account when required. Deficits may
not be accumulated i.e. funds should not be allowed to build up in the money market account while a
deficit accumulates in the current account. In the case of a grant awarded for expenditure over several
years, it is prudent to capitalize a portion of interest each year in order to retain the purchasing power
of the grant.
4.6. INVOICING AND COLLECTION OF EXTERNAL DEBTS
Invoices may be issued from the XXXXX office, which is responsible for collecting amounts due to
XXXXX. Records are maintained of all transactions.
4.7. EXPENDITURE
4.7.1 PERSONNEL COSTS
An amount for expenditure on personnel is allocated by the Board each financial year. The Chief
Executive and staff are paid monthly directly by XXXXX, via debit order. When general salary increases
are awarded by XXXXX, the approval of the Executive Committee must be sought for the increase in the
salaries of XXXXX staff, and the CFO is advised accordingly.
Claims for over-time worked are initiated via the XXXXX Claim Form, authorized by the Chief Executive,
and submitted to the Personnel Office.
4.7.2 OPERATING EXPENDITURE
An amount is allocated by the Board annually. Expenditure items include rent, electricity, telephone,
postage, stationery, travel, maintenance, auditor’s fees, staff training, bank charges, etc. Allocations are
based on actual expenditure in the previous year. Payments are made by the XXXXX office on receipt of
invoices or accounts, and all transactions are recorded on the financial statements tabled at Chief
Executive and Board meetings. Purchases are approved by the Chief Executive. In the case of major
items of expenditure (over R100 000), confirmation will be sought from the Executive Committee.
A petty cash facility is maintained to facilitate small purchases for the office. It is monitored by one of
the XXXXX staff, and till slips for all purchases are checked by the Chief Financial Officer / Chief
Executive.
4.7.3 PURCHASES MADE FROM XXXXX
Purchases made from XXXXX are paid for on receipt of an invoice.
4.7.4 REIMBURSEMENT OF TRAVEL COSTS
The Chief Executive and XXXXX Board members duly delegated by the Executive Committee or the
Board to conduct XXXXX business or represent XXXXX may claim travel and accommodation expenses.
Vouchers/receipts must be submitted with the claim.
The staff of XXXXX may claim petrol expenses incurred in attending meetings outside the XXXXX area.
The rate per kilometer is determined annually by the Executive Committee.
4.7.5 VAT RECOVERIES
XXXXX is not registered as a vendor in respect of VAT.
4.7.6 ADVANCES FOR EXPENDITURE TO BE INCURED
Funds may be advanced to members of the XXXXX office, Executive Committee or Board for expenditure
to be incurred at a later date on official XXXXX business, which in most cases involves domestic or
overseas travel. As soon as the intended expenditure has been incurred, it is the responsibility of the
recipient to account to the Chief Executive by submitting all supporting documentation. Any unspent
funds must be deposited in the XXXXX current account.
4.8 INSURANCE COVER
XXXXX is insured by XXXXX for the contents of the XXXXX office, electronic equipment, and public
liability. The building itself and its surroundings are insured by XXXXX. Claims are subject to XXXXX
paying the required excess. As the excess always constitutes the first contribution to a loss, it follows
that any loss will result in an unrecoverable loss to F XXXXX. This makes the avoidance of loss a priority,
and every precaution is taken against such loss occurring.
4.10
FINANCIAL YEAR
The financial year of XXXXX will run from XXXXX to XXXXX.
4.10 ANNUAL FINANCIAL STATEMENTS / ANNUAL AUDIT
A statement of income and expenditure during the previous financial year, as well as a balance sheet of
XXXXX’s financial position at the end of said year, are prepared by the XXXXX office. External auditors
(currently XXXXX) audit the financial statements at the end of each financial year, and produce reports
for F XXXXX. Financial Statements together with the Auditor’s Reports are presented at the Annual
General Meeting.
Accounting procedures in the XXXXX office are in line with the requirements of the auditors
5. COMMUNICATION OF POLICY
The Financial Management Policy will be distributed to all Managers and all personnel responsible for
financial management and accounting. A workshop will be conducted for all staff within the organisation
to familiarize them with the policy.
6. EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once a year by the Financial Personnel in
conjunction with the Management Team.
7. DOCUMENTATION
 An approved master copy (hard-copy) of the Financial Management Policy
 An electronic copy of the Financial Management Policy
 A signed circulation list of employees that received the Policy.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Table of Contents
1.
2.
3.
4.
5.
6.
7.
8.
Purpose
Definitions
Scope
Policy application
4.1 Managing conflict of interest
4.2 Code of conduct
Procurement Procedure
Communication of Policy
Evaluation and review
Documentation
Date
1. PURPOSE
The purpose of the procurement policy is to:
 Procure the necessary quality and quantity of goods and/or services in an efficient, timely and cost
effective manner, while maintaining the controls necessary for a corporation.
 Encourage an open competitive bidding process practicable for the acquisition of goods and/or
services and equitable treatment of all vendors.
 Ensure the maximum value of an acquisition is obtained by determining the total cost of performing
the intended function over the lifetime of the task. This may include, but not be limited to,
acquisition cost, installation, disposal value, disposal cost, training cost, maintenance cost, quality of
performance and environmental impact.
 Procure goods and/or services with due regard to the preservation of the natural environment and
to encourage the use of “environmentally friendly” products and services.
2. DEFINITIONS
 “Control” means the possession and exercise of legal authority and power to manage the assets,
goodwill and daily operations of a business and the active and continuous exercise of appropriate
managerial authority and power in determining the policies of the business and directing the
operations of the business.
 “Management” means an activity inclusive of control and performed on a daily basis, by any person
who is a principal executive officer of the company, by whatever name that person may be
designated, and whether or not that person is a director.
3. SCOPE
This policy is applicable to the following within the organisation:




CEO
Project Managers
Financial Management and Accounting Staff; and
Procurement Officer
4. POLICY APPLICATION
Quotations or proposals submitted after the Request for Proposals (RFP) submission deadline,
respectively, will not be accepted.
Goods and/or services with an estimated value:
 up to R5,000 will be acquired at competitive prices by referencing catalogues, suppliers’ lists or
advertised prices or through negotiation where prices offered are fair and equitable;
 from R5000 to R30,000 will be acquired by implementing an Notice of Intent where only one vendor
has been identified with the capability of providing the goods and/or services or by implementing a
RFP from a minimum of three suppliers to ensure an adequate degree of competition; and
 above R30,000 will be acquired by implementing an NOI where only one vendor has been identified
with the capability of providing the goods and/or services or by implementing a RFP which will be
sent to pertinent identified vendors and posted electronically on the XXXX website.
A purchase order will be issued for all goods and services with a value of R5, 000 or more.
No work shall begin until the purchase order is issued and any modification to the goods and/or services
shall be made only by amendment to the purchase order.
Where a product is purchased, the cost shall be the sum of all costs, including but not limited to,
purchase price, all taxes, delivery, installation, warranty, life cycle cost, operating and disposal costs
incurred which meets the specifications.
Where a service is purchased, the cost shall be the sum of all costs, including but not limited to purchase
price, all taxes and all related expenses.
XXXX staff and Board of Directors shall consider all factors in obtaining the most cost efficient and
effective bid.
Emergency or time sensitive procurements that do not follow the above procedures require written
authorization by the Treasurer, or in his absence, the Chair or Vice-chair.
4.1 MANAGING CONFLICT OF INTEREST
Board members and employees of XXXX shall not have a pecuniary interest, either directly or indirectly,
in any contract with XXXX or with any person acting for XXXX in any contract for the supply of goods
and/or services for which XXXX pays or is liable, directly or indirectly, to pay unless such interest has
been declared pursuant to the XXXX’s
4.2 CODE OF CONDUCT
Members of the Board are required to declare any pecuniary interest direct or indirect, and its general
nature, which may result in a conflict of interest.
Employees of XXXX are required to declare any pecuniary interest, either direct or indirect, in writing to
the CEO, with a copy to the Chair, indicating the specific nature of the conflict. If the CEO has a
pecuniary interest, either direct or indirect, the CEO is required to declare the interest in writing to the
Chair. The CEO is required to report any employee conflict of interest that cannot be isolated and
resolved to the Chair and the Finance-Audit Committee of the Board of Directors.
Any contract with XXXX, or with any person acting for the XXXX, and any contract for the supply of
goods, materials or services for work for which XXXX pays or is liable, directly or indirectly, to pay in
which a member of the Board or any employee of WDO has an undeclared pecuniary interest, directly or
indirectly, may be voided.
Purchasing representatives of XXXX will not accept gifts or favours in return for business or the
consideration of business and will not publicly endorse one company in order to give that company an
advantage over others.
5. PROCUREMENT PROCEDURE
The following procedures will be utilized, as appropriate, to acquire goods and services:
 Request for Information (RFI) to solicit information on which to base a procurement process and/or
decision
 Request for Expressions of Interest (REOI) to determine the interest of vendors to provide the goods
and/or services
 Request for Qualifications (RFQ) to determine the qualifications of vendors to provide the goods
and/or services
 Notice of Intent (NOI) to award a purchase order when only one vendor has been identified with the
capability to provide the goods and/or services
 Invitation to Quote (ITQ) when the specifications of the goods and/or services are known and the
preferred supplier will be selected on price alone
 Request for Proposals (RFP) when the preferred supplier will be selected on the basis of a number of
considerations including the vendor’s approach to providing the goods and/or services,
qualifications, experience, ability, personnel availability, timeliness of delivery, price An RFI, REOI,
RFQ or NOI may not lead to an ITQ or RFP solicitation process but are independent of the solicitation
process. Participation in an information gathering process does not guarantee participation in the
subsequent ITQ or RFP solicitation process. An RFQ may be used to pre-qualify vendors for an NOI,
ITQ or RFP solicitation process.
Vendors will be provided with a minimum of 15 calendar days to respond to an RFI, REOI, RFQ, ITQ or
RFP.
During an RFP process, vendors may communicate questions of clarification in writing to the XXXX
employee point of contact specified in the RFP.
Responses to the questions of clarification will be provided by the XXXX employee to all vendors who
have identified themselves as intending to submit a proposal.
6. COMMUNICATION OF POLICY
The Procurement Policy will be distributed to all Managers and all personnel responsible Procurement of
goods and services as well as personnel responsible for financial management and accounting. A
workshop will be conducted for all staff within the organisation to familiarize them with the policy.
7. EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once a year.
8. DOCUMENTATION
 An approved master copy (hard-copy) of the Procurement Policy.
 An electronic copy of the Procurement Policy.
 A signed circulation list of employees that received the Policy.
Appendices
 Declaration of Interest Form
XXXXXXX
Declaration of Interest
Do you have any business or personal interests that might be material and relevant to the business of
the XXXXX?
Yes
O
No
O
If your answer is yes, please give details.
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
____________________________________________________________________________________
Name: _________________________________________
Date: ______________________________
Please return completed form to:
XXXXXXXXXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXXXXXXXXX
(Full names and physical address)
Policy Code
Effective Date
Review
date
Approved
By
Name
Version
Number
Signature
Date
Table of Contents
1.
2.
3.
4.
5.
6.
Introduction
Purpose
Definitions
Scope
Legal framework
Policy application
6.1 Responsibilities and obligations
6.1.1General duties of the organisation as employer to the employees
6.1.2. Responsibilities of employees
6.1.3 Responsibilities of employers and self-employed persons to persons other than their
employees
6.2 The duties of the CEO
6.3 Designation of the health and safety representatives
6.4 Functions of the occupational health and safety representatives
6.5 Facilities, training and assistance to health and safety representatives
6.6 Co-operation with inspectors by employer and employees
6.7 Occupational Health and Safety Committee
6.8 Business of the Health and Safety Committee
6.9 Acts or omission by employees
6.10
Contingency plan
6.11
Compliance
6.12
Implementation
7. Communication of Policy
8. Evaluation and review
9. Documentation
1. INTRODUCTION
Occupational Health and Safety Act 85 of 1993, requires the employer to provide and maintain as far as
reasonable and practical a work environment that is safe and without risk to the health of employees.
This means the employer must ensure that the workplace is free of hazardous ergonomics and
substances, microorganisms etc, which may cause injury or diseases. Where this is not possible, the
employer has to inform the employees of the risks and dangers, and how these may be prevented.
XXXXX is legally obliged and committed to create a healthy and safe working environment for all its
employees.
2. PURPOSE
The purpose of this policy is to establish minimum standards and requirements of occupational health
and safety for the XXXXX in order to reduce the risk by: 





Identifying hazards and possible risks causing incidents and accidents,
Setting standards of practice, procedures and accountability,
Measuring performance against standards,
Evaluating compliance with standards,
Correcting deficiencies, deviations, and set standards of procedures to be followed,
Creating and maintaining a healthy and a safe work environment.
3. DEFINITIONS
 “Act” means the Occupational Health and Safety Act 85 of 1993.
 “Accident” means any accident arising out of and in the course of an employee’s employment and
resulting in a personal injury, illness or death of the employee.
 Chief fire coordinator” means contingency officer who is responsible for the coordination of fire
team in the designated areas.
 “Contingency Plan” means any action that is to be activated during any emergency situation in
order to prevent and/or combat or counteract the effects and results of an emergency situation
where life or property is threatened.
 “Contingency Officers” for the purpose of this policy means an Occupational Health and Safety
representative.
 “Compensation Commissioner” means the Compensation Commissioner appointed under Section 2
of the Compensation for Occupational Injuries and Diseases Act 1993
 “Danger” means anything that may cause injury or damage to persons or property.
 “Employer” means the CEO of the XXXXX or the official to whom the responsibility for compliance
with the Act has been delegated.
 “Employee” means any person who is employed by or works for the employer and who receives or
is entitled to receive any remuneration or who works under the direction or supervision of the
employer.
 “Hazard” means any source of/ or exposure to danger.
 “Healthy” means free from illness or injury attributable to occupational causes.
 “Health and safety standard” means any standard irrespective of whether or not; it has the force of
law, which if applied for the purpose of this policy, will in the opinion of the CEO promote the
attainment of objectives of this policy.
 “Inspector” means an Occupational Health and Safety Inspector of the Department of Labour.
 “Occupational health” includes occupational hygiene, occupational medicine and biological
monitoring.
 “Occupational Health and Safety Representative” (OHSR) means authorized person designated to
perform health and safety duties in XXXXX.
 “Occupational Health and Safety Committee” means a committee established under section 19 of
the Occupational Health and Safety Act 85 of 1993
 “Occupational Hygiene” means anticipation, recognition evaluation and control of conditions arising
in or from the workplace, which may cause illness or adverse health effects to persons.
 “Occupational medicine” means the prevention, diagnosis and treatment of illness, injury and
adverse health effects associated with a particular type of work.
 “Premises” include any building, vehicle or aircraft owned by XXXXX.
 “Proper use” means use of any item with reasonable care, and with due regard for any information,
instruction or advice supplied by the designer, manufacturer, importer seller or supplier.
 “Risk” means the probability that injury or damage will occur.
 “Safe” means free from any hazard.
 “Workplace” means any premises or place where an official of XXXXX performs work in the course
of her/his employment.
4. SCOPE
The provisions of this policy are applicable to all employees and work places of XXXXX, as well as
persons other than employees whilst within the premises of XXXXX.
5. LEGAL FRAMEWORK
The directives from which this policy is derived are:
 Constitution of the Republic of South Africa, 1996 (Act No. 108 of 1996)
 Occupational Health and Safety Act 85 of 1993, as amended and regulated issues in terms of section
43 of the Act
 Compensation for Occupational Injuries and Diseases Act 130 of 1993, as amended
 Basic Conditions for Employment Act 75 of 1997, as amended
 Labour Relations Act 66 of 1995, as amended
 Employment Equity Act 55 of 1998, as amended
 Disaster Management Act 57 of 2000 as amended
 Fire brigade Act 99 of 1997 as amended
 Hazardous Substance Act 15 of 1973 as amended
 National Water Act 36 of 1998
 National Building Regulation act 103 of 1977
 National Environmental Management Act 107 of 1998
 Environmental Conversation act 73 of 1989
 Road Transportation Act 74 of 1979 as amended




Tobacco control act 83 of 1993 as amended
Public Service Regulations, 2001, as amended
Access to Public Premises and Vehicles Act 53 of 1985
National Health Act 61 of 2003
6. POLICY APPLICATION
6.1 RESPONSIBILITIES AND OBLIGATIONS
It is the responsibility of both the employer as well as all employees to ensure a safe and healthy
working environment in the premises of XXXXX.
6.1.1 GENERAL DUTIES OF EMPLOYER TO THE EMPLOYEES
XXXXX shall provide and maintain all equipment that is necessary to perform work and all systems
according to which work must be done, in a condition that will not affect the health and safety of
employees. Protective equipment should be provided where it is required to mitigate risks and hazards.
To ensure that these duties are complied with, the employer must:
 Take measures to protect employee’s health and safety against hazards that may result from the
production, processing, use, handling, storage or transportation of articles/substances i.e. anything
that employees come into contact with at work.
 Ensure that contingency officers’ are equipped with the first aid kit that would be accessible to all
employees in case of emergency.
 Identify potential hazards which may be present while work is being done, something is being
produced, processed, used, stored or transported.
 Provide precautionary measures and means to implement the measures that are necessary for any
equipment, which is being used to protect employees against hazards. This must be done by
providing the necessary information, instructions, training and supervision while keeping the extent
of employee’s
 Competence in mind. i.e. a list of what employees may and may not do, (e.g. not permit anyone to
carry on with any task unless the necessary precautionary measures have been taken).
 Take steps to ensure that every employee within his/her employment complies with the
requirements of this policy.
 Enforce the necessary control measures in the interest of health and safety.
 Ensure that each employee is trained and understands the hazards associated with the work he /
she is performing.
 Ensure that the Occupational Health and Safety precautionary measures are implemented and
maintained.
6.1.2. RESPONSIBILITIES OF EMPLOYEES
It is the duty of all employees to:
 Take care of their own health and safety, as well as that of other employees who may be affected by
their actions or negligence at work;
 Give information to inspectors from the Department of Labour when so required;
 Wear the prescribed safety clothing or use the prescribed safety equipment where necessary;
 Report unsafe or unhealthy conditions to the employer or OHSR as soon as possible. If employees
are involved in an incident that may affect their health or cause an injury, they should report that
incident to the employer and authorized person or the OHSR as soon as possible, but not later than
the end of the shift during which the incident occurred. Unless the circumstances were such that the
reporting of the incident was not possible in which case the employee must report the incident as
soon as it is practically possible;
 Carry out any lawful order given and obey the health and safety rules and procedures laid down by
the employer or by any other authorized person in the interest of health and safety;
 Execute good housekeeping in the workplace and ensure that there is no health and safety hazard
due to bad housekeeping; and
 The principle to be followed to reduce risks is to make sure that there is a place for everything and
everything is in its place.
6.1.3 RESPONSIBILTIES OF EMPLOYERS AND SELF-EMPLOYED PERSONS TO PERSONS OTHER THAN
THEIR EMPLOYEES
 The employer operating within the scope of XXXXX, shall conduct his/her undertaking in such a
manner as to ensure, as far as is reasonably practicable, that persons other than those in his/her
employment who may be directly affected by his activities are not thereby exposed to hazards to
their health or safety.
 The self-employed person operating within the scope of XXXXX shall conduct his/her undertaking in
such a manner as to ensure, as far as is reasonably practicable, that he/she and other persons who
may be directly affected by his/her activities are not thereby exposed to hazards to their health or
safety.
6.2 THE DUTIES OF THE CEO
 The CEO shall as far as it is reasonably and practical ensure that all activities relating to health and
safety are conducted discharged according to the Act.
 The Chief Executive Officer in terms of the Occupational Health and Safety Act, 1993 shall appoint a
person in terms of Section 16(2) of the Act, without derogating from his responsibility any person
who shall:



perform duties on behalf of and report to the CEO;
bear the authority and powers of ensuring that all necessary activities are executed in terms
of the act; and
be appointed in terms of the Act to represent employees in all matters relating to health
and safety issues on each floor of all the XXXXX’s buildings.
6.3 DESIGNATION OF HEALTH AND SAFETY REPRESENTATIVES
 The number of health and safety representatives per workplace will be as allocated and agreed to
from time to time by the Occupational Health and Safety Committee (OHSC).
 Only officials who are appointed in a full-time capacity at a specific work place and who are familiar
with the conditions and activities at such a workplace will be eligible to be nominated and elected as
health and safety representatives.
 Health and safety representatives will be nominated from amongst the employees at a workplace
and if the nominees accept, they will be appointed accordingly and issued with appointment letters.
 Where more nominations are received than the number of health and safety representatives
required, a ballot will take place to democratically elect the required number of representatives
from amongst the nominees. For this purpose every employee at a workplace will have only one
vote.
 Only where the process above does not provide the required number of health and safety
representatives, will the employer be allowed to designate for a specified period employees at such
a workplace, as health and safety representatives. In this situation the employer may also call for
and consider volunteers for such a position.
 The term of office of a health and safety representative will be two years.
 A health and safety representative may be removed from office for the following reasons:
a) Dereliction of duty.
b) Repeated failure to carry out their assigned duties or instructions.
 The request for the removal of a health and safety representative may be instigated by employees in
the workplace or the employer. If a representative is found guilty after an enquiry, the employer will
issue a letter informing him/her that he/she has been removed from the position of health and
safety representative.
 In accordance with Section 18(4) of the Occupational Health and Safety Act, a health and safety
representative shall not incur any civil liability by reason of the fact that he/she failed to do
anything, which he/she may do or is required to do in terms of the Act.
 When a position of health and safety representative becomes vacant because of a
resignation/transfer/due to death or removal from office, the provisions of paragraphs 8 i to iv will
apply with regard to the filling of the vacancy.
6.4 FUNCTIONS OF OCCUPATIONAL HEALTH AND SAFETY REPRESENTATIVES (OHSRs)
OHSR shall:
 Conduct health and safety audits in order to check the effectiveness of health and safety measures;
 Together with the employer investigate incidents, complaints from workers regarding health and
safety matters and report them in writing to the Occupational Health and Safety Committee;
 Make representation regarding the safety of the workplace to the employer, or health and safety
committee or where the representations are unsuccessful to a health and safety Inspector;
 Conduct an inspection to the workplace after notifying the employer of the inspection;
 Participate in discussions with the Inspectors at the workplace and accompany Inspectors on
inspections;
 Inspect documents with the consent of the employer and be accompanied by a technical advisor
during an inspection;
 Work in collaboration with XXXXX in promoting a safe and health hazard free environment;
 Serve as members of the Occupational Health Safety committee, without derogating from his/her
responsibility as an OHSR; and
 Attend health and safety committee meetings.
6.5 FACILITIES, TRAINING AND ASSISTANCE TO HEALTH AND SAFETY REPRESENTATIVES
 An approved inspection authority as agreed upon by the OHSC will carry out an initial risk analysis of
every workplace. This will form the basis/platform from where the health and safety representatives
in conjunction with the OHSC can handle the process further.
 A safety management system will be implemented for every workplace as provided for by NOSA or
any other relevant body as agreed upon by the OHSC.
 To assist the health and safety representatives in performing their duties, all employees will be
continually educated and guided on eliminating health and safety hazards and on the prevention of
accidents. This will be kick-started by all employees undergoing health and safety course or the STEP
(safety through empowerment of people) program, which will be funded by the clusters.
 Health and safety representatives will be provided with any other facilities, training and assistance
as identified from time to time by any of the parties to and agreed upon by the OHSC.
6.6 CO-OPERATION WITH INSPECTORS BY EMPLOYER AND EMPLOYEES
 The employer and employees must comply with requests, orders, directions, and subpoenas, from
inspectors and may not prevent another person from complying with the inspector’s requests,
orders and directions.
 The inspectors’ questions should be answered, but employees are not obliged to answer questions,
which may be incriminating to them.
 When the inspector so requires he/ she must be provided with the necessary means and assistance
to conduct an investigation.
 The inspector may not be insulted or interrupted during an investigation.
6.7 OCCUPATIONAL HEALTH AND SAFETY COMMITTEE (OHSC)
 The OHSC shall consist of all health and safety representatives within XXXXX.
 The composition of the OHSC will be in terms OHS Section 19 of the Act.
 The number of persons nominated by the employer shall not exceed the number of health and
safety representatives on the OHSC.
 The OHSC may co-opt one or more person(s) by reason of his or her or their particular knowledge of
health and safety matters as an advisory member(s) of the committee.
 One representative from every trade union represented in the XXXXX will be allowed observer
status at meetings of the OHSC.
 If 10% or more of employees forward a request for a meeting to the Inspector, the chairperson may
order that such a meeting be held within 14 working days.
 If such a meeting does not take place, employees may forward the request to an inspector who may
order such meeting be held at a time and place as he/she may determine.
6.8 BUSINESS OF THE HEALTH AND SAFETY COMMITTEE
 The OHSC will meet as often as may be necessary, but at least four times in a calendar year at a
venue to be made available by the employer for this purpose. Any costs incurred by health and
safety representatives or any designated employees to attend meetings, will be borne by the
XXXXX.
 XXXXX would provide the Secretariat and Chaired by the XXXXX.
 The OHSC will conduct its business in accordance with sections 19 and 20 of the Occupational Health
and Safety Act, 1993 as well as be responsible for the allocation of the health and safety
representatives per workplace.
 The committee shall determine the procedure at meetings of the OHSC.
 The OHSC will also present its minutes of decisions and recommendations to the Risk Management
Committee Meeting for information and any further actions as might be deemed necessary.
6.9 ACTS OR OMISSIONS BY EMPLOYEES
Where any employee’s action is deemed to be contradictory to the policy, he/she shall be charged with
misconduct and disciplinary action initiated against him/her.
6.10
CONTINGENCY PLAN
 XXXXX shall develop and implement the contingency plan within XXXXX.
 Evacuation drills must be exercised, periodically in terms of the contingency plan to ensure
adherence of employees and to evaluate the effectiveness of the plan.
 Occupational Health and Safety Committee must review and up-date the contingency plan every
three years.
6.11
COMPLIANCE
All employees shall comply with the OHS policy and the procedural manual.
6.12
IMPLEMENTATION
The Occupational health and Safety Policy will be implemented in XXXXX on a date, which will be
communicated to all employees after approval by the CEO.
7. COMMUNICATION
This policy will be circulated to all employees of XXXX. OHS training will be offered to all employees
mandatorily.
8. EVALUATION AND REVIEW
The Occupational Health and Safety Policy will be evaluated on a regular basis and reviewed once a year.
9. DOCUMENTATION
 An approved master copy (hard-copy) of the Occupational Health and Safety Policy
 An electronic copy of the Occupational Health and Safety Policy
 A signed circulation list of employees that received the Policy.
Appendices
Incident Report Form
XXXXX
Incident Report
REPORTING PARTY INFORMATION:
First & Last Name: ______________________________________________________________
Telephone Number: ______________________________________________________________
Department:
______________________________________________________________
Position :__________________________________________________________
Date report completed, in it’s entirety: __________________
INJURED PARTY INFORMATION:
First & Last Name: ______________________________________________________________
Telephone Number: ______________________________________________________________
Address:
______________________________________________________________
Sex: ____________ ,
Date of Birth: ________________ , Age if DOB unknown: _________
Next of kin: ________________________________________________________
Telephone/Address, if different from above: ___________________________________________
_______________________________________________________________
INCIDENT INFORMATION:
Date and Time of Incident: _______________________________________________________________
Place of Incident: _______________________________________________________________________
Describe what injured party was doing when incident occurred, any unsafe conduct or conditions:
______________________________________________________________________________________
______________________________________________________________________________________
Describe specific injuries resulting from incident; note any lost time from work:
______________________________________________________________________________________
______________________________________________________________________________________
Describe medical care/emergency care provided; name of person(s), doctor(s) providing care:
______________________________________________________________________________________
______________________________________________________________________________________
WITNESSES / OTHERS INVOLVED IN INCIDENT:
Names:
Telephone numbers:
______________________________________
__________________________
______________________________________
__________________________
______________________________________
__________________________
______________________________________
__________________________
ACTION TAKEN:
Unsafe conditions to be resolved.
Unsafe behavior to be corrected.
No action is required, simply noted.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Table of Contents
1.
2.
3.
4.
5.
6.
7.
8.
Purpose
Definitions
Scope
Policy application
4.1 Principles of assessments
4.1.1 Fairness
4.1.2 Validity
4.1.3 Reliability
4.1.4 Practicality
4.2 Assessment process
4.3 Criteria for assessors
4.4 Assessment requirements
4.4.1 Attendance registers
4.4.2 Facilitation calendar
4.4.3 Assessment calendar
4.4.4 Assessment plan
4.4.5 Pre-assessment meeting agenda
4.4.6 Pre-assessment meeting minutes
4.4.7 Assessment documents
4.4.8 Learner feedback on assessment
4.4.9 Assessor feedback on assessment
4.4.10 Assessor review of assessment
Procedures
Communication of Policy
Evaluation and review
Documentation
Date
1. PURPOSE
The purpose of this policy is to ensure that all learner assessments activities conducted at XXXXX are fair,
valid and credible inline with good principles of assessments.
2. DEFINITION
Assessment means the process of collecting evidence of learners’ work to measure and make judgments
about the achievement or non-achievement of specified National Qualifications Framework standards
and/or qualifications.
3. SCOPE
This policy is applicable to all registered assessors on full-time, contract or temporary employment with
XXXXXX.
4. POLICY APPLICATION
Our two main commitments in relation to moderation can be summarised as follows:
 The assessment system is principled, prompt and systematic.
 Assessment activities are undertaken in relation to the design of the instruments as well as
the moderation of the assessment process.
4.1 PRINCIPLES OF ASSESSMENTS
4.1.1 FAIRNESS
An assessment should not in any way hinder or advantage a learner. Unfairness could relate to:




irregularities, such as cheating, threats or bribery;
unequal opportunities or resources;
biased assessment (e.g. in relation to ethnicity, gender, age, disability, social class, language); or
ambiguous or unclear assessment instructions.
4.1.2 VALIDITY
A valid assessment measures what it claims to measure. In order to achieve validity in the assessment,
assessors should:
 state clearly what outcome(s) is/are being assessed;
 use an appropriate assessment method; and
 ensure that the evidence is real and up to date, and that there is enough evidence to show
competence;
4.1.3 RELIABILITY
Reliability in assessment is about consistency. Consistency means that comparable judgments are made
in the same (or similar) contexts each time a particular assessment for specified intentions is
administered. Assessment judgements should also be comparable between different assessors.
Assessment results should not be perceived to have been influenced by variables such as:





assessor bias;
different assessors interpreting the standards or qualifications inconsistently;
different assessors applying different standards;
assessor stress and fatigue;
assessor assumptions about the learner, based on previous performance.
4.1.4 PRACTICALITY
Finally, the principle of practicality should be borne in mind. Assessment should be designed to be as
effective as possible in the context of what is feasible and efficient in a particular learning programme or
RPL process. Practical considerations mean taking into account factors such as financial resources,
facilities, equipment and time.
4.2 ASSESSMENT PROCESS
The assessment process follows the process implicit in the unit standard “Conduct Assessment of
Learning Outcomes” (115753):

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
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

The assessor prepares everything for the assessment.
The learners are prepared for the assessment.
The assessment is conducted and the outcomes and evidence are recorded.
The learners are given general feedback as appropriate.
The assessment decision is made and moderated.
The results are recorded and sent to the ETQA for verification, and any appeals are heard and
followed up. Assessments are reviewed on a regular basis.
However, our organisation has some specific policies in addition to the routine processes:
 There is a pre-course assessment which is used to place learners appropriately and also to help
determine and provide what learners actually need. Where a pre-course assessment process reveals
that an individual may require additional academic support, then this can be accommodated in the
programme.
 There are on-going formative assessments throughout the programme. These are used to identify
learners’ strengths and weaknesses (and strengths and weaknesses of the programme) and to
address them through appropriate parts of the programme (which may need to be adapted for this
purpose). They employ a variety of methods.
 There are summative assessments at specified points during the programme.
 There is at least one integrative summative assessment near the end of the programme, which
assesses applied competence and relates to the purpose of the qualification or unit standard(s)
being assessed.
 Evidence of competence from other sources (e.g. statements from the coach, supervisor or other
appropriate witnesses) is used to support the evidence of competence gained from the summative
assessments. If the summative assessment results are inconclusive, this other evidence is used to
determine the learner’s competence.
 Learners are prepared for assessment and given feedback as part of the assessment process. They
understand the right to appeal and how to access it. Our learners are taken through all the relevant
information at the beginning of each programme, given an opportunity to discuss anything that is
unclear, and then asked to sign a statement agreeing that they understand the assessment process.
 We review the assessment processes and instruments that we have used and ensure that these are
moderated where new instruments are introduced or changes are made.
4.3 CRITERIAS FOR ASSESSORS
Our use of assessors complies with HWSETA requirements:
 Assessors are ethical, skilled, unbiased and knowledgeable in relevant areas. HWSETA constituent
registered assessors and moderators sign a Code of Conduct. If they fail to adhere to this
 Code, they can be de-registered.
 Assessors are trained in line with the requirements of the HWSETA, and registered to conduct
assessment only in their area of subject matter expertise.
 Assessors are registered with the HWSETA as constituent assessors.
4.4 ASSESSMENT REQUIREMENTS
4.4.1 ATTENDANCE REGISTERS
 All learner names for the year.
4.4.2 FACILITATION CALENDER
 Needs to show curriculum plan/lesson plans;
 Needs to show planning for meetings and feedback.
4.4.3 ASSESSMENT CALENDER
 Can be integrated into facilitation plan (cost-effective and information efficient);
 Should be planned, set and accessible to all and by all facilitators.
4.4.4 ASSESSMENT PLAN
 To be done for all major formative assessments
 To be done for all summative assessments
 Must contain information regarding:







The learning information to be assessed
The assessor’s name
The learners to be assessed
The venue, date and time of assessment
The assessment tools to be used
If applicable the moderator’s name
To be signed by all parties involved

Should be given within an acceptable time period
4.4.5 PRE-ASSESSMENT MEETING AGENDA
 Should state the venue, date and time of meeting
 Should be signed by all parties involved
 Should state information regarding the assessment content, the assessment procedure, and the
appeals procedure
4.4.6 PRE-ASSESSMENT MEETING MINUTES
 Should cover everything stated in the agenda
 Should be signed by all parties involved
4.4.7 ASSESSMENT DOCUMENTS
 Theory papers and model answers (memo):








Needs to include foundational, knowledge and reflexive questions
Needs to be kept in safe and secure place, procedure in place
Needs to be liquid in form, i.e. non repetitive cycle
Observational checklist
Case studies and mark sheet
Projects/assignments and mark sheet
Logbook (hours practical)
Other (plus marking criteria)
4.4.8 LEARNER FEEDBACK ON ASSESSMENT
 Learners should give feedback on the assessment and assessor
4.4.9 ASSESSOR FEEDBACK ON ASSESSMENT
 Assessor needs to give feedback to the learner on their assessment
4.4.10 ASSESSOR REVIEW OF ASSESSMENT
 Assessor should state good and bad practices of the assessment procedure
5. PROCEDURE
The following procedures are adhered to in the design of the assessment to ensure that it is consistent
with our policy:
 A decision is taken as to whether there is the capacity within the organisation to design the
assessment plan and instruments required for a particular programme, or whether this should be
purchased from a credible provider.
 Where assessment is purchased, this will be in line with procurement policies. Quality checks will be
put in place to ensure that the assessment plan and instruments are consistent with our
organisation’s policies.
Where the assessment plan and instruments are designed in-house, this will involve the following steps:
 A team will be created consisting of both subject matter and assessment experts.
 The team will analyse the unit standard(s) or qualification and decide broadly on the components of
an assessment plan.
 The individuals with subject matter expertise will then indicate what evidence is required to ensure
that the assessment instrument and process will enable the assessor to make a valid and reliable
assessment judgment.
 Those individuals with assessment expertise will then draft a plan and instruments.
 There will then be a collective process of evaluating and adapting the plan and instruments before
they are piloted.
 The plan and instruments will be moderated before the pilot.
 Feedback will be given to the team after the pilot and the plan and instruments will be reviewed.
 All new instruments are moderated. This is the responsibility of the provider
 All instruments and overall assessment plans are reviewed annually and if there are changes these
are moderated.
6. COMMUNICATION OF POLICY
This policy should be circulated to all Assessors, Moderators and Facilitators within XXXXX. A workshop
should be conducted with all Assessors, Moderators and Facilitators within XXXXX.
7. EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once a year. The evaluation and review
team should comprise of the following:
 Assessors
 Moderators and
 Facilitators
8. DOCUMENTATION
 An approved master copy (hard-copy) of the Assessment Policy
 An electronic copy of the Assessment Policy
 A signed circulation list of employees that received the Policy.
Appendices
 Assessment Plan Form
 Principles of Assessment Evaluation Form
 Assessment Feedback and Report Form
Assessment Plan Form
Name of candidate/s to be assessed
Unit standard to be assessed
Planned date for assessment meeting
Date for pre-assessment meeting
Planned date for assessment
Time for assessment
Method of assessment
Observation
Face to face
(Tick in the appropriate box)
Written
Work based project
Assignment
Simulation
During training
Portfolio of Evidence
RPL evidence
Place for assessment
Approval of assessment
YES
NO
Assessment approved by
Assessor’s name
Assessor’s signature
Date
PRINCIPLES OF ASSESSMENT EVALUATION FORM
Candidate Assessor
Assessor
Date of assessment
Unit Standard Title
Level
Credits
SAQA ID
PRINCIPLES OF ASSESSMENT
PRINCIPLE
ASSESSMENT PROCESS
FAIRNESS
Learner was prepared for this assessment.
Y
N
Learner has access to resources during assessment.
Y
N
Assessment was non discriminatory to the learner
with regards to gender, race
Y
N
Special needs of the learner were taken into
consideration.
Y
N
Assessment measures what it says it is measuring
(SKVA)
Y
N
Activities relates to the Specific Outcomes and
Assessment Criteria.
Y
N
All Specific Outcomes and Criteria are addressed.
Y
N
Parties make use of readily available resources,
equipment, facilities and time.
Y
N
The whole process relates to the context that is
relevant to the learner.
Y
N
VALIDNESS
PRACTICALITY
Yes/No
COMMENT
RELIABILITY
The instructions are unambiguous, clear and
consistent.
Y
N
The process encourages learners to demonstrate
their competence.
Y
N
Same judgments can be made in the similar contexts.
Y
N
ASSESSOR’S
SIGNATURE
ASSESSOR FEEDBACK & REPORT FORM
Candidate Assessor
Assessor
Date of assessment
Unit Standard Title
Level
Credits
SAQA ID
ASSESSMENT DECISIONS:
Competent O
Not Yet Competent O
SO 1
SO 4
SO 2
SO 5
SO 3
SO 6
ASSESSMENT FEEDBACK
REFERENCE TO
UNIT STANDARD
SO 1
SO 2
SO 3
SO 4
SO 5
SO 6
ASSESSOR’S COMMENTS
ACTION PLAN: (If
any)
ASSESSOR’S
SIGNATURE
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Table of Contents
1.
2.
3.
4.
Purpose
Definitions
Scope
Policy application
4.1 Principles of moderation
4.2 Approaches to moderation
4.3 Criteria for moderators
4.4 Moderation of assessments
4.5 Moderation requirements
4.5.1 Moderation plan
4.5.2 Pre-moderation meeting agenda
4.5.3 Pre-moderation meeting minutes
4.5.4 Moderation documents
4.5.5 Moderator review of moderation
4.5.6 Moderator feedback on moderation
4.5.7 Assessor feedback on moderation
4.5.8 Moderator report and trend analysis
5.
6.
7.
8.
Procedures
Communication of Policy
Evaluation and review
Documentation
Date
1. PURPOSE
It is the policy of the XXXX that we ensure fairness, validity and credibility of all our moderation of
assessments activities.
2. DEFINITION
Moderation means the process which ensures that assessment of the outcomes described in the
National Qualifications Framework standards and/or qualifications is fair, valid and reliable
3. SCOPE
This policy is applicable to all registered assessors and moderators on full-time, contract or temporary
employment with XXXXXX.
4. POLICY APPLICATION
Our two main commitments in relation to moderation can be summarised as follows:
 The moderation system is principled, prompt and systematic.
 Moderation activities are undertaken in relation to the design of the instruments as well as
the moderation of the assessment process.
4.1 PRINCIPLES OF MODERATION
The principles of fairness, validity and reliability discussed above imply that some form of
moderation needs to be applied to assessments. In other words, moderation is a key element
of an assessment system.
Moderation checks that assessments are conducted to an acceptable standard. It is the process
of ensuring that the assessments have been conducted in line with agreed practices, so that the
results are fair, reliable and valid. Moderation confirms that the assessment instrument is
acceptable, that assessment judgements are acceptable, and that the evidence is sufficient,
authentic, valid and current. Moderation should happen within an organisation to check that
different assessors are assessing learners to the same standard.
4.2 APPROACHES TO MODERATION
All moderators shall approach the moderation of learner assessments with the following attitude:
 The concept of positive reinforcement will be applied
 No negative reinforcement will be allowed by any moderator
 The moderator will act as a coach and mentor to the assessor and learner
 Instructor manuals will be developed and available for all courses delivered by providers
 All three competencies identified as part of an applied competency are to be assessed and
moderated. These are the Practical, Foundational and Reflexive competencies
 All assessments for our generic courses are to be contextualized and moderated
The above criteria are to be seen as non-negotiable for the providers of XXXX accredited courses and
shall, at all times, be adhered to.
4.3 CRITERIA FOR MODERATORS
Our use of moderators complies with HWSETA requirements:
 Moderators are ethical, skilled, unbiased and knowledgeable in relevant areas.
 HWESTA constituent registered moderators sign a Code of Conduct. If they fail to adhere to this
Code, they can be de-registered.
 Moderators are trained in line with the requirements of the HWSETA, and registered to conduct
assessment and moderation only in their area of subject matter expertise.
 Moderators are registered with the HWSETA as constituent moderators.
4.4 MODERATION OF ASSESSMENTS
 All assessments are moderated within two weeks of the assessment being recorded and reported
back to the provider. Once the moderation is completed, our administrative staff submits the results
for verification in the correct HWSETA format to the HWSETA ETQA within two weeks of receiving
them. Our organisation can predict periods where a large number of results will come in, and, if
necessary, we contract temporary staff to ensure that results are processed timeously.
 Once the assessment is completed:






the assessment decisions are recorded on our standard form;
at least 10% of the assessments in any batch are moderated;
if the assessor is new, at least 20% are moderated (and if there are less than 10 learners
then all assessments are moderated);
manual and electronic records are updated accordingly;
the assessment results are submitted to the HWSETA for verification;
for any learners found not yet competent, the company learner support procedure will
apply.
 All instruments are moderated by a constituent moderator, who may work permanently for the
provider or be brought in by the provider for specific contracts.
 Recommendations from the moderators are presented to the team that developed the instruments,
and any areas that require attention are addressed by the team.
 The instruments also form part of the programme outline presented to the HWSETA ETQA, and any
recommendations emerging from the ETQA programme approval processes are then integrated into
the instruments.
 When learners complete their programme evaluations, they are also asked about the assessment
process. This feedback is given to the team that developed the assessment instruments and process
- or a similar team that is reviewing them - to ensure that the quality of the instruments continually
improves.
4.6 MODERATION REQUIREMENTS
4.5.1 MODERATION PLAN
 Must state the details of the assessment to be moderated (assessor name, assessment description,
assessment date, time and venue)
 Must state the moderator’s name
 Must be signed by all relevant parties (except the learners)
4.5.2 PRE-MODERATION MEETING AGENDA
 Must explain the moderation procedure
 Must explain the appeals procedure
 Must be signed by all relevant parties
4.5.3
PRE-MODERATION MEETING MINUTES
 Must contain details of discussions of all the above
 Must be signed by all relevant parties
4.5.4




MODERATION DOCUMENTS
Moderation observational checklist
Moderation questions containing foundational, knowledge and reflexive questions for the assessor
Must be signed by moderator and assessor
Must state details of assessment, assessor and moderato
4.5.5 MODERATOR REVIEW OF MODERATION
 List of good and bad practices of moderator’s procedure and conduct
 Signed and dated by moderator
4.5.6 MODERATOR FEEDBACK ON MODERATION
 Feedback to assessor on performance
 Signed and dated by assessor and moderator
4.5.7 ASSESSOR FEEDBACK ON MODERATION
 Feedback to moderator on moderation
 Signed and dated by assessor and moderator
4.5.8 MODERATOR REPORT AND TREND ANALYSIS
Moderation report on all assessments moderated
Signed and dated by moderator.
5. PROCEDURE
The following procedures are adhered to in the design of the assessment to ensure that it is consistent with our
policy:
 A decision is taken as to whether there is the capacity within the organisation to design the
moderation plan and instruments required for a particular programme,
 Where the moderation plan and instruments are designed in-house, this will involve the following
steps:


A team will be created consisting of both moderation experts.
The team will analyse the unit standard(s) or qualification and decide broadly on the
components of a moderation plan.
 The individuals with moderation expertise will then indicate what evidence is required to ensure
that the moderation instrument and process will enable the moderator to make a valid and
reliable moderation judgment.
 Those individuals with moderation expertise will then draft a plan and instruments.
 There will then be a collective process of evaluating and adapting the plan and instruments
before they are piloted.
 The plan and instruments will be moderated before the pilot.
 Feedback will be given to the team after the pilot and the plan and instruments will be
reviewed.
 All new instruments are moderated.
6. COMMUNICATION OF POLICY
This policy should be circulated to all Assessors, Moderators and Facilitators within XXXXX. A workshop
should be conducted with all Assessors, Moderators and Facilitators within XXXXX.
7. EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once a year. The evaluation and review
team should comprise of the following:
 Assessors
 Moderators and
 Facilitators
8. DOCUMENTATION
 An approved master copy (hard-copy) of the Moderation Policy.
 An electronic copy of the Moderation Policy.
 A signed circulation list of employees that received the Policy.
APPENDICES
 Moderator Plan Form
 Notification of Moderation Form
 PoE Control Document Form





General Moderation Checklist Form
Moderator’s Overall Feedback report to Assessor
Moderation Records Checklist Form
Moderation Report Form
Moderation Non-conformance Report Form
Moderation Plan Form
Name of assessor to be moderated
Unit standard to be moderated
Planned date for pre-moderation
meeting
Date for pre-moderation meeting
Planned date for moderation
Time for moderation
Method of moderation
Observation
Face to face
(Tick in the appropriate box)
Written
Work based project
Assignment
Simulation
During training
Portfolio of Evidence
RPL evidence
Place for moderation
Moderation
Moderation approved by
Yes
NO
Moderator name
Moderator’s signature
Date
NOTIFICATION OF MODERATION FORM
To
From
Contact number
Email
Date
NOTIFICATION OF MODERATION
This memorandum serves to notify you that the assessment mentioned below will be moderated for quality
assurance purposes. The moderation will be carried out to ensure that the assessments are conducted according
to organisational and ETQA requirements.
Particulars of the assessment
Learner name
Learner contact number
Unit standard
Date of moderation
Time of moderation
Venue to be used for
moderation
Name of moderator
Moderator signature
PoE Control Document Form
Assessor’s name
Moderator’s name
Date of Assessment
NLRD No.
Level
SOs No.
Credits
Unit Standard
Specific Outcomes
Moderation date
Record of prior learning
Available
Not required
Planned meeting conducted date
The assessor understands:
1.
The qualification or unit standard to be assessed
YES
NO
2.
The work activity and list of specific outcomes / ranges
YES
NO
3.
The work activity covers the performance standards / criteria
YES
NO
4.
The type of programme and who will be involved
YES
NO
5.
The method of moderation and programme timetable
YES
NO
The assessor has had the opportunity to discuss / agree:
1.
All the above activities
YES
NO
2.
Alleviate any concerns
YES
NO
3.
The criteria / range & performance standard to be assessed
YES
NO
4.
Clearly understands the elements of competency to be
YES
NO
5.
Further opportunities to be assessed if required
YES
NO
To be completed by moderator
Date
achieved
PoE Control Document Form
Method of moderation:
Observation
Face to face
Written questioning
Work based Project
Assignment
Witness testimony
During normal Course
Simulation
During training
Portfolio of Evidence
RPL evidence
Other moderators
Evidence
Assessor demonstrate knowledge and understanding of the unit standard
Moderator’s feedback to
assessor
Signature
Assessor’s feedback to
moderator
Signature
Date
Date
General Moderation Checklist Form
Criteria to be checked by the moderator
Tick
Yes
Assessors are registered and certified with the
relevant ETQA
Learners are enrolled with the provider /
workplace assessor
All learner information is captured on a database
so that the learner information, learner
achievements and learner endorsement are in
place
The learner database is up-to date
The database is compliant with ETQA
requirements
There is policy and practice to ensure that the
confidentiality of learner records and results is
maintained
The records of leaner achievement are signed,
dated and endorsed by the assessor and
moderator
Action plan:
No
Remarks
Review date
Moderator signature
Date
MODERATOR’S OVERALL FEEDBACK REPORT TO ASSESSOR FORM
This report serves to provide constructive feedback to the assessor concerning the outcomes and findings
of their assessments once moderation/verification has been completed.
Assessor’s name
Moderator’s name
Date of feedback
Feedback to Assessor:
Action Required:
Date of review
Moderation Records Checklist Form
Assessor’s information
Name
Registration number
Employee number
Department
Telephone number
E-mail
Moderation’s information
Name
Registration number
Employee number
Department
Telephone number
E-mail
Date of previous Moderation visit
Date of current Moderation visit
Venue
Details of unit standard being moderated
Moderation Records Checklist Form
Unit standards title
Level
Credits
NLRD No.
Assessment documentation
Was the assessment documentation available, if not, state the reasons
YES
NO
Personal details of the assessor and the learner have been completed.
YES
NO
The unit standard(s) that the learner is to be assessed against has been identified.
YES
NO
Information that the assessor must give the learner to prepare the learner for the
assessment is completed.
YES
NO
Any special notes regarding the learner have been included. If there are not any special
needs this must be stated.
YES
NO
The assessment activities as indicated in the assessor and learner guidelines have been
correctly identified.
YES
NO
The assessment methods that the assessor will use to collect evidence for that particular
assessment activity as indicated in the assessor and learner guidelines have been circled.
YES
NO
The dates on which the assessments will take place has been completed. This may be for a
period of time if the registered assessor is collecting naturally occurring evidence from the
workplace.
YES
NO
The date when the registered assessor will give feedback to the learner has been identified.
YES
NO
The assessor and the learner have signed the Assessment Schedule.
YES
NO
All the bullets listed under each assessment criteria have been marked off.
YES
NO
All assessment criteria have been covered.
YES
NO
Moderation method used
Evidence required from the evaluation documents
ASSESSMENT PLAN
ASSESSOR GUIDE
Moderation Records Checklist Form
Different assessment occasions have been clearly indicated.
YES
NO
Different assessment occasions have been clearly dated.
YES
NO
Comments on the assessment have been included.
YES
NO
Clear model answers are given for the assessment.
YES
NO
All the personal details of the learner and the assessor have been completed.
YES
NO
The place where the assessment(s) took place has been indicated i.e. on-the-job or off-thejob.
YES
NO
The date(s) on which the assessment(s) took place have been indicated.
YES
NO
The date(s) indicated on the evidence checklist are the same dates as the dates reflected in
the assessor guide.
YES
NO
The corresponding colour of pen has been used for recording on the guidelines for the
assessor and the evidence checklist.
YES
NO
Both learner and assessor have signed and dated the document after each assessment
occasion.
YES
NO
Assessment methods have been identified.
YES
NO
Results for each assessment occasion are indicated and dated.
YES
NO
Appropriate judgements are cross-referenced with assessor guide.
YES
NO
Dates correspond with dates indicated in the assessor guide.
YES
NO
Provide comments about the assessment intervention.
YES
NO
Provide details about the evidence the assessor has collected.
YES
NO
Sufficient and specific notes were taken in order to provide comprehensive feedback to the
learner.
YES
NO
All the personal details of the assessor and the learner have been completed.
YES
NO
All the assessment criteria are ticked off and cross referenced with the evidence checklist to
ensure that it corresponds.
YES
NO
EVIDENCE CHECKLIST
ASSESSMENT RECORD CHECKLIST
Moderation Records Checklist Form
All the specific outcomes are ticked off.
YES
NO
Assessment methods have been identified.
YES
NO
The date on which the learner demonstrated competence against each assessment criteria
and each specific outcome has been completed. Cross-reference with evidence checklist to
ensure that the same date is indicated.
YES
NO
Both the learner and the assessor have signed the assessment record sheet indicating that the
learner has demonstrated competence against the said unit standard, that the record is
authentic and that the assessment has been done in a fair, valid and reliable manner.
YES
NO
The Unit Standard and assessment documentation was appropriately used, if not, explain
why.
YES
NO
The following documentations were available:
YES
NO
Evidence checklist
YES
NO
Record sheet
YES
NO
Appeal application form
YES
NO
ASSESSMENT DOCUMENTATION
Assessor’s signature
Moderator’s signature
Moderation Report Form
Moderator’s name
Assessor’s name
Date of moderation
NQF Level
Unit standard being moderated
Credits
Specific outcomes
Moderation Decisions
NLRD Number
Specific Outcome 1
Specific Outcome 2
Specific Outcome 3
Specific Outcome 4
Specific Outcome 5
Specific Outcome 6
Agree
Disagree
Comments / Remarks
Overall Moderation Decision
I _________________________________, the
moderator
Agree O
Disagree O
with the assessment decisions made by the
assessor
Feedback to the assessor
Action Required
Assessor’s signature
Moderator’s signature
Date
Moderation Non-conformance Report Form
Assessor’s information
Name
Registration number
Employee number
Department
Telephone number
E-mail
Moderation’s information
Name
Registration number
Employee number
Department
Telephone number
E-mail
Date of previous Moderation visit
Date of current Moderation visit
Venue
Type of non-conformance
Unfair assessment (no
consistency/discrimination)
Contravention of the assessment process
Invalid assessment (not reach same
outcome)
Assessor not technically competent
Unreliable assessment (evidence produced
not relevant/not sufficient)
Learner not technically competent
Unethical behaviour
(ethics/professionalism)
Contingency plans influenced assessment
Unfair barriers to assessment
Inability of the assessor to make judgment based
on Subject Matter Expertise or knowledge
Other, please provide details
The reason for the type of non-conformance is motivated
Assessors reason(s) for non-conformance is noted
Assessor’s signature
Moderator’s signature
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Table of Contents
9.
10.
11.
12.
Purpose
Definitions
Scope
Policy application
12.1
Facilities
12.2
Telephone
12.2.1 Non business purposes
12.2.2 Long distance
12.2.3 Voice mail
12.2.4 Use of personal phones
12.3
Internet and computer usage
12.3.1 Prohibited sites
12.3.2 Personal use during business hours
12.3.3 Expectation of privacy
12.3.4 Proper business communication
12.4
Incoming mail
12.5
Safety
12.5.1 Employees, learners, visitors and property
12.5.2 Safeguard/secure assets
12.5.3 Logging off and locking up
12.5.4 Follow regulations
Date
13. Communication of policy
14. Evaluation and review
15. Documentation
1. PURPOSE
The purpose of this policy is to ensure proper administration of facilities, communication, equipment
and other resources of the organization.
2. DEFINITION
Administration is a method of tending to or managing the affairs of a business or an organisation.
3. SCOPE
This policy is applicable to all internal staff of the organisation as well as members of the public that
intends to utilise facilities and resources of XXXXX.
4. POLICY APPLICATION
4.1 FACILITIES
This policy is designed to address the needs of XXXXX as well as other agencies or organizations which
can need to use facilities for meetings, training, etc.
The required policies, procedures and guidelines are as follows:
 Persons interested in using a part of the facility must apply in writing and submit to XXXXXX in
advance of the intended use.
 If training rooms are being used for any part of a local level, it is the organization's responsibility to
write an application and send it to XXXXXX.
 If the XXXXXX is conducting learning programmes, facilitators MUST ensure that all LEARNERS meet
the prerequisite(s) of the course that they will be attending.
 All facilitators using the facility MUST setup the rooms (tables and chairs) to their own
specifications. When the facilitator is done using the facility, they MUST place everything back to its
original state.
 Any persons/organizations responsible for abuse or damage of facility and/or equipment may result
in a suspension from further use of the facility and/or be held liable for all cost incurred to repair the
damages. Any incident, injury, or “near-miss” MUST be reported to XXXXXX within 24 hours.
 Anyone falsifying records for use of the facility will be suspended from further use of the facility for
a period of not less than 3 years. Facilitators will also be subject to loss of their employment with
the XXXXXX and may be reported falsifying records.
 The "No-Show" of a group for a reserved date will automatically cancel future use of the facility by
that group. At least three (3) days notice should be given to XXXXXX if a group determines they
cannot be at the facility after reserving the facility.
 Fees must be paid in advance. Consumables will be billed and must be paid within 30 days of
invoice. Departments with outstanding bills will not be allowed to use the facility until all are paid in
full. Those departments delinquent will need to put a deposit down for consumables prior to any
future training sessions at the facility.
 XXXXXX’s office hours are Monday through Friday, 8:00am to 5:00pm. The facility is available on
designated days, nights and weekends for when scheduled classes are not in session.
 All requests will be handled on a first come, first serve basis upon receipt of the completed
application; subject to XXXXXX’s approval. At that time, the organization will receive approval or
non-approval. All requests must be approved by XXXXXX who coordinate the facility calendar
events.
4.2 TELEPHONE
4.2.1
NON-BUSINESS PURPOSES
XXXXX telephone lines and employees are used to the fullest extent. So that the maximum capacity of
telephone lines is available for organization business, employees should minimize their use of the
XXXXX’s telephone system for non-business purposes.
4.2.2 LONG DISTANCE
Long distance calls for any personal reasons are not authorized and are prohibited. All personal calls
should never interfere with work and should be kept to a minimal amount of time. Employees should
caution friends and relatives to consider the need to attend to business calls. Long distance calls or too
much incoming calls for personal use are prohibited. Any abuse shall be charged back to employee and
could result in disciplinary action, including termination.
4.2.3 VOICE-MAIL
In an employee’s absence, XXXXX will monitor voice mail messages to verify that business-related calls
are being returned or serviced properly. Voice mail messages recorded on XXXXX equipment are the
property of XXXXX. As a result, employees have no expectation of privacy in any voice mail messages
left on the XXXXX’s system and should act and treat the system accordingly. Messages can be disclosed,
monitored, copied, retrieved, or reviewed at any time, with or without the permission, prior or
otherwise, of the employee.
4.2.4 USE OF PERSONAL CELLPHONES
The use of personal cellular telephones during execution of work (facilitation) is strongly discouraged,
except for employees designated by XXXXX. Such devices must be on silent or vibration mode during
facilitation and must be turned off during any meeting. Calls to and from employee cellular telephones
shall be treated as personal calls and subject to the XXXXX’s policy on limiting personal calls.
4.3 INTERNET AND COMPUTER USAGE
4.3.1 PROHIBITED SITES
Employees shall use the Internet and electronic mail for business related purposes only. Certain websites are absolutely prohibited at all times, such as sites containing pornography or advocating
discriminatory, hateful or violent actions. The receipt or transmission of obscene, illegal, violent,
discriminatory or other information that may result in harassment or defamation are strictly forbidden
at all times.
4.3.2 PERSONAL USE DURING BUSINESS HOURS
Access of non-business web-sites or use of e-mail for personal use during business hours is discouraged
and may result in discipline action including termination. XXXXX system shall not be used to circulate or
forward jokes, inspirational material, or other non-work related items to co-workers. Mass emailing,
even for XXXXX -related messages, are rarely appropriate and solicitations are strictly prohibited.
Whether an employee has abused the XXXXX email system is a function of the frequency of the misuse
and the disruption to the employee’s work and that of other employees.
4.3.3 EXPECTATION OF PRIVACY
Internet communications should not be expected to remain private and confidential. Computers and
related equipment are XXXXX property provided for each employee’s legitimate business use. All
messages sent on electronic and telephone communication systems provided by XXXXX remain the
property of the organization. As such, XXXXX reserves the right to access, intercept, and disclose the
content of any message or deleted message with or without permission, prior or otherwise. In an
employee’s absence, XXXXX will monitor the employee’s electronic mail to verify that business-related
messages are being serviced properly. Typically, such monitoring will include forwarding the employee’s
email to a supervisor or other employee. The employee does not have any expectation of privacy in any
e-mail messages or their content in any aspect of any computer system provided, owned or controlled
by XXXXX.
4.3.4 PROPER BUSINESS COMMUNICATION
XXXXX provides electronic mail (email) services to all employees and learners through XXXXX -owned
software and servers accessible within and external to XXXXX computing network. The use of these
email services (include but are not limited to the transmission, receipt, and archiving of all messages and
attachments as well as all email account information) is restricted only for the conduct of XXXXX
business and applies to all employees and learners. Violation of this policy will result in immediate and
appropriate disciplinary action.
4.4 INCOMING MAIL
Incoming mail XXXXX is opened by a designated employee in the presence of another employee.
Employees are instructed to have personal mail delivered to personal addresses.
The mail clerk or other designated employee:
 sorts incoming mail in a central location;
 delivers staff's mail in accordance with y XXXXX mail procedures;
 delivers personal mail for employees with instructions to notify the sender of the employee's correct
personal mailing address; and
 opens business mail in the presence of the cashier or alternate cashier except business mail marked
confidential or personal.
The cashier or alternate:
 writes a receipt immediately for any funds received, initials the receipt and has the mail clerk initial
it also, excluding petty cash reimbursement warrants to be cashed; and
 affixes restrictive endorsements on all checks and other negotiable items except petty cash
reimbursement warrants to be cashed.
The manager must enforce adequate internal controls over incoming mail to insure that receipts are
accounted for properly.
4.5 SAFETY
4.5.1 EMPLOYEES, LEARNERS, VISITORS, PROPERTY
The safety of XXXXXX employees, learners, visitors and property is of highest priority. Every employee is
responsible for ensuring that the XXXXXX is a safe place. Any threat to the safety or security of the
XXXXXX must be reported to a manager immediately.
4.5.2 SAFEGUARD/SECURE ASSETS
XXXXXX has in its possession highly valuable and marketable commodities -- equipment, office supplies,
and moneys in the form of cash and checks. Each employee has an on-going and continuous obligation
as part of his/her term of employment to assist in safeguarding and securing all such assets.
4.5.3 LOGGING OFF AND LOCKING UP
The last person to leave the office at any time will make sure that and all doors are locked and all lights
and electrical equipment are off. Each employee is responsible for logging off his/her computer prior to
leaving.
4.5.4 FOLLOW REGULATIONS
Employees must follow all applicable safety regulations relating to attire or conduct as may be issued
with respect to any job or position or to any area within XXXXXX.
5. COMMUNICATION OF POLICY
This policy will be circulated to all staff internally. Brochures and other means of communication will be
used to communicate to general members of the public with regard to use of our facilities and other
resources.
6. EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once a year.
7. DOCUMENTATION
 An approved master copy (hard-copy) of the Administration Policy
 An electronic copy of the Administration Policy
 A signed circulation list of employees that received the Policy.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Table of Contents
1.
2.
3.
4.
Purpose
Definitions
Scope
Policy application
4.1 Record keeping programme
4.2 Responsibilities
4.3 Electronic records
4.4 Archival records
4.5 Policy management
4.6 Standards, legislations and regulations
4.7 Codes of best practice
4.8 Protection of records
4.9 Access to records
4.10
Retention and disposal of records
5. Communication of policy
6. Evaluation and review
7. Documentation
Date
1. PURPOSE
This policy seeks to ensure that XXXXX business is adequately documented through the generation and
capture of records, that those records are managed in accordance with best practice and that they are
disposed of in an orderly and accountable way. It provides the context for the development of strategy,
policy, systems and procedures on recordkeeping at XXXXX.
2. DEFINITION
Recordkeeping is the making and maintaining of complete, accurate and reliable evidence of business
transactions in the form of recorded information. It is a critical function that is performed through the
collective action of employees and systems throughout all organisations.
3. SCOPE
This policy is applicable to all staff employed at XXXXX as permanent, contract and/or temporary.
4. POLICY APPLICATION
XXXXX must have a recordkeeping program which establishes recordkeeping policies, standards,
guidelines and procedures.
The records management program should:


be identifiable from all other existing programs
be supported by corporate policy







be planned
ensure formal responsibility for all aspects of the records management program is appropriately
assigned
be positioned at the most effective level within the organisational structure of the XXXXX
ensure that records management operations and systems are organised according to the needs and
structure of the public office, the nature of its business and the prevailing technological and
regulatory environments
be staffed by personnel with appropriate skills
be implemented throughout the organisation
be audited regularly
Outcomes to be achieved through the implementation of the records management program include:










better management of the risks associated with the existence or lack of evidence of organisational
activity
recordkeeping infrastructures which help minimise the risk of mismanagement or corruption
support for the objectives of XXXXX archival policies and procedures
minimum performance standards for recordkeeping at XXXXX
the provision of records management services directly to units of the XXXXX and assistance for units
to manage their records on a devolved basis
education for staff at all levels about recordkeeping practices and responsibilities
the retention of information as records where required and the disposal of duplicate or unnecessary
material from recordkeeping systems
improved access to records and improved decision making
better performance of business activities throughout XXXXX
better organisational accountability
4.1 RECORD KEEPING PROGRAMME
XXXXX will establish a recordkeeping program to ensure that XXXXX records are adequately created,
managed and archived in the course of business.
The program will comply with XXXXX and other relevant standards, legislative and recordkeeping
requirements and other organisations policies.
4.2 RESPONSIBILITIES
Formal responsibility for the records management program will be delegated to an appropriate
manager. The role of the Manager is to:






establish records management policies for the organisation as a whole
establish corporate standards for recordkeeping and records management
measure performance of business units and workgroups against those standards
provide consulting services to business units
develop corporate electronic records management strategies
work with other managers of information resources to develop a coherent information architecture
across the organisation, and
 work with other accountability stakeholders, including auditors, and executive management, to
ensure that recordkeeping systems support organisational and public accountability
Recordkeeping is not the province of archivists, records managers or systems administrators alone, but
is an essential role of all employees. Users and stakeholders of the recordkeeping system must be aware
of legal constraints as well as the need to comply with other XXXXX policies and guidelines affecting
recordkeeping, particularly those concerning misconduct and maladministration. Responsibility for the
effectiveness of the program rests with nominated individuals at all levels in XXXXX staff must be aware
of their recordkeeping responsibilities within the program and related best practice guidelines.
Maintaining awareness and knowledge of XXXXX policies and guidelines is the responsibility of all
XXXXX staff members.
4.3 ELECTRONIC RECORDS
Electronic records are records which are communicated and maintained by means of electronic
equipment and as such are a part of the recordkeeping program at XXXXX. These records are subject to
a separate policy on electronic recordkeeping. Best practice guidelines on the management of electronic
records including email will be issued periodically.
4.4 ARCHIVAL RECORDS
Records of a continuing value to the XXXXX and which have been determined to have administrative,
fiscal, legal, evidential or historic value to XXXXX will be retained in the XXXXX Archives.
4.5 POLICY MANAGEMENT
An integral part of the recordkeeping program at XXXXX will be the development of systems to create,
capture, codify and disseminate XXXXX policy to XXXXX community.
4.6 STANDARDS, LEGISLATION AND REGULATIONS
The recordkeeping program at XXXXX is subject to a full range of laws applying to XXXXX, which include
occupational health and safety, financial and company, copyright, breach of confidence, defamation,
privacy, contempt of court, harassment, vilification and anti-discrimination legislation, the creation of
contractual obligations, and criminal laws.
Some laws and agreements require XXXXX to give access to records or the information contained
therein to parties outside XXXXX community. These include telecommunications legislation, freedom of
information legislation, Evidence Act, other legal rules (eg concerning subpoenas), agreements with
external internet suppliers that govern the transmission of e-mail and publication by electronic means.
The electronic recordkeeping system operating on XXXXX computers and related telecommunications
systems are protected by criminal law provisions in computer crime laws and telecommunications
interception laws.
4.7 CODES OF BEST PRACTICE
A good recordkeeping program enables XXXXX to account for decisions and actions by providing
essential evidence in the form of records. Sound recordkeeping practices are a fundamental basis for
accountable and efficient business, effective service delivery and the preservation of the collective
memory of the XXXXX. XXXXX is concerned with all aspects of its recordkeeping independent of the
technological medium.
The policy will be supported by codes of best practice and operational guidelines. A range of training,
bulk records storage and consultancy services offered by XXXXX will provide further guidance and
assistance to staff at the practical level.
XXXXX is required to keep records and is aware of the associated benefits of good recordkeeping
practices, including:





support for policy formulation and managerial decision-making;
meeting legislative and regulatory requirements;
protection of the rights of members of XXXXX and the interests of XXXXX;
better performance of business activities in XXXXX;
protection and support for XXXXX when involved in litigation, including the better management of
risks associated with the existence or lack of evidence in XXXXX activity;
 support for consistency, continuity and productivity in management and administration;
 documentation of XXXXX activities, development and achievements; and
 support for research and development activities.
XXXXX is also aware of poor recordkeeping practices including:
 failure of employees or systems to make records in the first place;
 making records that are inadequate to meet accountability and other requirements;
 failure to capture records into recordkeeping systems so that they are subject to arbitrary
destruction or cannot be found when required;
 failure to identify and retrieve the authoritative version of a record where multiple versions exist;
 failure to maintain records during the time necessary to meet specific accountability requirements;
 failure to assign responsibility for different aspects of recordkeeping at appropriate levels in the
organisation;
4.8 PROTECTION OF RECORDS
Records will be preserved and maintained over time for as long as required to meet administrative,
legal, fiscal and archival requirements;
4.9 ACCESS TO RECORDS

All records received or created by XXXXX staff in the course of their work for XXXXX are official
records that belong to the XXXXX and are to be available and accessible to any authorised staff
member;
 A staff member's right to access records will be determined by the relevance of the records to the
performance of their duties, their level of delegated authority, privacy considerations, legal
professional privilege, commercial-sensitivity and other specific considerations where confidentiality
restricts the normal right of access to records. Authorisation from a member of the administrative
staff may be required before access is granted;
 Staff are not permitted to give access to XXXXX records to unauthorised persons or agencies;
 XXXXX is required to comply with legislation that permits access to its records by members of the
public and authorised external agencies, or as part of a legal process such as discovery or subpoena.
Applications for access to university records must be in writing, and access is subject to exemptions
permitted by specific legislation and to privacy, legal and commercial considerations;
 The transfer of original central files and official XXXXX records to any outside person or agency, in
the first instance, requires the express approval of the Manager, Records Management & Archives
or the General Counsel & University Secretary;
 XXXXX records must remain available and accessible while they are required to meet administrative
needs and external accountability requirements.
4.10
RETENTION AND DISPOSAL OF RECORDS
 Staff are required to retain and dispose of XXXXX records in accordance with retention and disposal
authorities;
 Staff are required to comply with the retention and disposal standards
 XXXXX records must be appraised for possible continuing archival value. That is, records with
historical significance to XXXXX as well as interest to the community must be retained permanently
XXXXX archives;
 Any records subject to legal processes such as discovery and subpoena or required for internal or
external review or investigation or relevant to an application made under the Freedom of
Information must be protected and not destroyed even if the retention period has passed;
 Records with no value to XXXXX may be destroyed at any time without reference to the disposal
authorities. These records only need to be retained for a very limited period of time and include
announcements of social events, leaflets, flyers, and copies or extracts of documents sent only for
reference;
 Where the official version of a record is verified as being already maintained in XXXXX’s
recordkeeping system a copy may be destroyed at any time without reference to the disposal
authorities.
5. COMMUNICATION OF POLICY
This policy will be circulated to all employees and a workshop for all staff will be conducted to familiarize
them with the policy.
6. EVALUATION AND REVIEW
The Policy will be evaluated on a regular basis and reviewed once a year.
All key Stakeholders will be consulted as part of the evaluation.
Evaluation criteria will include:



The degree of compliance with the Policy.
The degree of compliance of the records management program with HWSETA ETQA requirements.
The extent to which the recordkeeping program has reduced risk for XXXXXX.
7. DOCUMENTATION
 An approved master copy (hard-copy) of the Record Keeping Policy
 An electronic copy of the Record Keeping Policy
 A signed circulation list of employees that received the Policy.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Table of Contents
1. Purpose
2. Definitions
3. Scope
4. Policy application
4.3 Principles
4.4 Policy context
5. Communication of policy
6. Evaluation and review
7. Documentation
Date
1. PURPOSE
The purpose of the Learner Support and Guidance Policy is to:
 provide information and impartial guidance to potential learners about appropriate access routes
into learning programmes and all aspects of learner life relevant to prospective learners.
 provide information and impartial guidance for all current learners s about learning programmes
 provide a comprehensive induction programme for all new learners
 provide specialist information, advice, guidance, learner support and counselling services for current
learners
 provide systematic learning and personal support for all learners at programme level
 provide appropriate forms of support and guidance for learners at the point of departure from the
XXXXX
2. DEFINITION
Learner support is usually defined as enabling learners to study successfully and to develop their own
understandings of blended or online learning materials.
3. SCOPE
This policy is applicable to all full-time employed personnel, fixed-contract and temporary staff which
include facilitators, assessors, moderators and support personnel as well as learners enrolled with our
organisation.
4. POLICY APPLICATION
XXXXX will make appropriate support and guidance available for current, prospective learners. The aim
of such provision is to assist individuals to make fully informed choices in relation to their learning,
personal and career development and optimise their experience as a learner of XXXXX.
4.1 PRINCIPLES
Learner support and guidance provision at XXXXX should be:








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learner-centred
consistent in quality across all of its aspects
accurate and timely
specialist and generic
impartial
accessible and appropriate
recorded and monitored
available in forms and at times convenient for the enquirer
confidential except when necessary and agreed
4.2 POLICY CONTEXT
XXXXX aims to enhance the quality of learning for all learners at XXXXX, to provide an enriching,
effective and enjoyable learning experience. XXXXX, through its Learning Teaching and Assessment
Strategy (LTAS), is committed to providing all learners with guidance, a range of knowledge and skills
and additional support for learners when required.
The Learner Support and Guidance Policy consists of a series of related statements of learner
entitlement designed to underpin the XXXXX 's strategic goals for access, progression, retention,
employability and enhancement of the learner experience.
“Learner support and guidance” in the context of this policy refers to activities within XXXXX designed to
assist learners, past, present and potential, with making decisions and developing their skills to
maximise their learning opportunities, career and personal development through XXXXX.
Included in these processes is information provision, advice, guidance, counselling, negotiation,
advocacy/representation, mentoring/coaching, referral, access and bridging activities and learner
support.
5. COMMUNICATION OF POLICY
This policy will be communicated to all relevant individuals and stakeholders.
6. EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once a year in the light of learner feedback
gathered through learner evaluation mechanisms, and staff feedback through annual programme
review reports.
Quality aspects will be considered through XXXXXXX Audit function.
7. DOCUMENTATION
 An approved master copy (hard-copy) of the Learner Support and Guidance Policy
 An electronic copy of the Learner Support and Guidance Policy
 A signed circulation list of employees that received the Policy.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Table of Contents
9.
10.
11.
12.
13.
Introduction
Purpose
Definitions
Scope
Policy application
5.1 General principles of RPL
5.2 RPL assessments
5.2.1 Principles of good assessments
5.2.2 Criteria for RPL assessments
5.2.3 RPL within programmes
5.2.3.1 Entry/access
5.2.3.2 Exemptions
Date
14.
15.
16.
17.
5.2.3.3 Credit towards an award
Procedures
Communication of policy
Evaluation and review
Documentation
1. INTRODUCTION
Recognition of Prior Learning (RPL) basically means that people who have gained skills and knowledge
through non-formal and/or experiential learning can be assessed and awarded credits for such learning
if it meets the requirements of the unit standard or qualification.
RPL is therefore specifically designed to:
 identify what a learner knows and can do
 match the person’s skills, knowledge and experience to specific standards and the associated
assessment criteria of a unit standard or qualification
 assess the person against those standards
 credit the person for skills, knowledge and experience built up through formal, informal and nonformal learning that occurred in the past.
Consequently, it is necessary that the XXXXX develop an RPL policy to guide the regulation and
implementation of RPL for the social service professions.
XXXXX fully supports the principles of RPL and the value its implementation holds for learners to
redress the inequities of the past, give credit where credit is due and contribute to development.
Council will strive to ensure that its policy and procedures uphold the principles of good practice.
2. PURPOSE
The purpose of this policy document is to  provide a framework for the implementation of RPL within the health and welfare sector that can be
used to guide applicants, providers and XXXXX
 explain the XXXXX’s position in terms of RPL
 provide a framework for the registration of health and welfare sector by XXXXX for persons who
have achieved qualifications totally or partially through RPL
3. DEFINITION
The definition of RPL in the National Standards Bodies Regulations (No. 18787 of 28 March 1998) to the
SAQA Act, 1995 is as follows:
Recognition of Prior Learning means the comparison of the previous learning and experience of a
learner howsoever obtained against the learning outcomes required for a specific qualification, and the
acceptance for purposes of qualification of that which meets the requirements.
This means that regardless of where and how a person achieved the learning, if such learning meets the
requirements of a qualification (or part of it), it can be recognised for credits.
4. SCOPE
This policy is applicable to Facilitators, Assessors, Moderators, Support Staff and RPL assessment
candidates.
5. POLICY APPLICATION
5.1 GENERAL PRINCIPLES OF RPL
XXXXX supports the general principles of RPL that are the following:

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
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
RPL is equivalent to learning achieved through formal education and training
RPL must be accessible
RPL is individualised
RPL is measured against outcomes of learning guided by specific assessment criteria
RPL is evidence-based
RPL focuses on quality
Learning that is recognised through the RPL process is transferable, meaning that it is accepted by all
providers and ETQAs.
5.2 RPL ASSESSMENTS
5.2.1
PRINCIPLES OF GOOD ASSESSMENT
XXXXX and providers should subscribe to SAQA’s principles of good assessment in terms of RPL and the
fact that good RPL assessments depend almost exclusively on the validity, reliability and fairness of the
assessment process. The main principles are described as follows:
 Fairness: Assessment should not in any way disadvantage or advantage a learner.
 Validity: An assessment should measure what it is supposed to measure, be it knowledge,
understanding, subject content, skill, information, behaviour, etc. The assessment must assess the
learner’s ability to perform designated tasks and the outcome must be clearly defined and stated.
 Reliability: Assessment should be consistent and the same relative judgements should be made in
the same or relatively similar contexts each time an assessment of specified stated outcomes is
conducted.
 Practicality: Assessment must take into account monitoring, time, resources and facility costs. It
should not be unreasonably costly, too time-consuming and cumbersome.
5.2.2
CRITERIA FOR RPL ASSESSMENTS
a) Criteria for Assessors, Moderators and Verifiers
A qualification that is registered on the NQF includes the criteria for assessors, moderators and verifiers
and these must be applied by the relevant ETQA and providers undertaking RPL.
For the purpose of this Policy, the following definitions apply:
 Assessor is a person who is registered by the relevant ETQA in terms of the criteria set by the
relevant Standards Generating Body (SGB) for the achievement of specified NQF standards or
qualifications.
 Moderator is a person/body that checks the work of several assessors to ensure consistency of
assessments conducted regarding the outcomes described in the NQF unit standards or
qualifications.
 Verifier is a person/body that verifies the policies and procedures used in assessment and
moderation.
b) Criteria for Applicants
It must be stressed that RPL is NOT an easy alternative to gaining credits, a qualification or access to a
learning programme or to obtain registration with XXXXX in order to practise. People considering
applying for RPL must understand this clearly. As will be explained later on in detail, applicants must be
able to provide substantial evidence that can be verified and that proves competence. The evidence
provided by applicants must be both sufficient and current in terms of the required outcomes.
5.2.3
RPL WITHIN PROGRAMMES
XXXXXX will offer recognition of prior learning to a learner to attain entry/access to a programme and to
gain exemptions from programme requirements.
5.2.3.1 ENTRY/ACCESS
A learner may seek entry to a programme where he/she does not meet the standard entry criteria on
the basis of prior learning experiences. In this case a learner will demonstrate to the provider that
he/she has the capacity to successfully participate on the programme.
It is acknowledged that some programmes leading to awards have no entry requirements. Where entry
criteria apply, a prospective learner may use prior learning experiences to gain entry to a programme.
The provider’s procedure for entry to programmes will be approved by F XXXXXX at the point of
programme validation within the context of the agreed XXXXXX’s quality assurance policy and XXXXXX’s
award arrangements.
5.2.3.2 EXEMPTIONS
XXXXX may grant an exemption from a requirement of a programme to a learner on the basis of prior
learning experience at the point of entry to a programme. Exemptions from programmes generally
relate to exemption(s) from particular requirements of a programme and can include exemption from
attendance or participation in parts of the programme requirements. The learner will be required to
provide valid and reliable evidence of this prior learning to the provider to demonstrate attainment of
the exempted element of the programme.
The granting of an exemption is the responsibility of XXXXXX in which the prospective learner wishes to
participate. XXXXXX’s procedure on granting of exemptions will be approved by XXXXXX at the stage of
programme validation within the Quality Assurance Policy agreements.
5.2.3.3 CREDIT TOWARDS AN AWARD
XXXXXX may grant a credit to a learner on the basis of prior learning. XXXXXX aims to introduce a credit
framework in 2009. Until that time XXXXXX will not be required to facilitate learners for credit. XXXXXX
will advise RPL candidates of procedures and guidelines regarding credit at that time.
6. RPL PROCEDURE
A. Pre-assessment phase:
RPL facilitator meets applicant for prior evaluation to determine the possible success of an application.
If the possibility for successful application is high, the following are facilitated with the applicant during a
pre-assessment phase.

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

Development of a learning portfolio
Personal counselling
Orientation to assessment instrumentation
Guidance to demonstrate learning
The assessor and the applicant agree to an assessment plan, which includes




Standards and requirements
Types of proof that are required
Finalisation of assessment instrumentation
Dates and schedule for assessment
If the possibility for a successful application is low (i.e. the applicant does not meet the minimum
requirements), the applicant is referred to alternative study routes
B. Assessment phase:
Applicant is assessed via




test/challenge examination
portfolio;
interview;
artefacts, etc.
6.1 RELATED RPL ASPECTS THAT ARE PRESUMED TO BE IN PLACE
 RPL policy and procedures have been clarified and information about RPL is made available to
applicants.
 The faculty has a set of criteria according to which prior evaluation (pre-screening) can be done. The
applicants are aware of what these criteria are.
 An RPL facilitator is up to date with alternative study options and has counselling skills.
 It is extremely important that the applicants are prepared for assessment by competent staff. If
facilitators are not available, it is assumed that assessors will fulfil this task.
 Assessment instruments are presumed to fulfil validity, reliability and other relevant criteria.
C. Evaluation phase:







Proof of learning is evaluated by assessor
Moderation phase
Feedback phase
Credit or access not granted
Credit or access granted
Post-assessment support and channeling
Appeal procedure may be initiated
7. COMMUNICATION OF POLICY
The RPL Policy will be circulated to Support Staff, Assessors, Moderators and Facilitators. A workshop
will also be conducted internally to familiarize all concerned staff with the RPL Policy. RPL assessment
candidates will be informed about RPL services and procedures through brochures, radio and other
means of mass media.
8. EVALUATION AND REVIEW
The policy will be evaluated on a regular basis and reviews will be conducted once a year. Evaluations
from RPL assessment candidates, Assessors and Moderator feedback will be used as well to evaluate
and review the RPL Policy.
9. DOCUMENTATION
 An approved master copy (hard-copy) of the RPL Policy
 An electronic copy of the RPL Policy
 A signed circulation list of employees that received the Policy.
Appendices
RPL forms
RPL APPLICATION FORM
SECTION 1
Provider Name:
For unit standard/ qualification
title:
NQF Level
Credits
Surname/last name
Name of Applicant:
First names (in full)
Title
1.
2.
Initials (first names)
Identity number:
Type of ID document:
Residential
Address:
Street code:
3.
Postal Address:
Postal code:
4.
Contact numbers:
(Home):
(
)
-
(Work):
(
)
-
(Fax):
(
)
-
(Cell):
5.
Have you specified the unit standard/qualification you are applying for:
No
Yes
6.
Are you familiar with the NQF?:
No
Yes
7.
What is your highest academic school achievement?
No
Yes
Standard/Grade passed
Year
Name of School/College
Do you have documentary proof / evidence of the above achievement?
ABET4/NQFL
1
8.
NQF L2
NQF L3
NQF L4
NQF L5 and Higher or Other
What is your post school/college achievements? (i.e. unit standard, qualification, learnership or skills programme)
(1)
Year
Name of School/College/Technikon/University/
Provider
Name of Provider
Do you have documentary proof / evidence of the above achievement?
No
Yes
What is your post school/college achievements? (i.e. unit standard, qualification, learnership or skills
programme)
(2
Year
Name of School/College/Technikon/University
Name of Provider
Do you have documentary proof / evidence of the above achievement?
ABET4/
NQF
NQFL1
L2
NQF L3
NQF L4
No
Yes
NQF L5 and
Higher or Other
RPL APPLICATION FORM
Section 2
Provider Name
Document no:
For unit standard/ qualification
title:
NQF Level
Credits
Revision number:
Revision Date:
/
/
Surname/last name
Name of Applicant:
First names (in full)
Title
Initials (first names)
Where and when have you demonstrated your related skills, competencies and experience?
(1)
Name of Institution
Address:
Position/Program/Course
Period: (From)
To:
Name of person in Charge
Tel nr:
(
)
-
Do you have proof/evidence of the above related skills, competencies and experience?
No
Yes
Letter of
Appointment
(1)
Service
Record
Sworn
Statemen
t
Approved
Job
Description
Photographs
or Video
Recordings
Other
(Specify):
Name of Institution/ Faculty/
School/Discipline
Address:
Position (Job title)
Period: (From)
To:
Reporting to (Job title)
Name of person
Tel no:
(
)
-
Responsibilities (related skills, competencies and experience exercised)
__________________________________________________________________________________________________________
__________________________________________________________________________________________________________
__________________________________________________________________________________________________________
___
Do you have proof/evidence of the above related skills, competencies and experience?
No
Yes
Letter of
Appointment
Service Record
Sworn
Statemen
t
Approved
Job
Description
Photographs
or Video
Recordings
Other
(Specify):
Applicant signature:
Date:
/
/
Assessor signature:
Date:
/
/
RPL Program Coordinator’s signature:
Date:
/
/
LEARNER RPL ASSESSMENT RECORD
NOTE: The provider can use this form as a guide for developing a form for the systematic recording of the outcome of the RPL
Assessment
Provider Name
For unit standard/ qualification
title:
Provider logo
NQF Level
Credits
Candidate Reference
number:
Surname/last name
Name of Learner:
First names (in full)
Title
Initials (first names)
Identity number:
Tel no:
(
)
-
Fax no:
(
)
-
E-mail:
Name of Company/ Institution:
Department:
Assessment:
Theory:
Assessor Name:
Provider Name:
Provider’s Registered Name:
Name of Assessor (if applicable):
Practical:
Assessor Name:
Provider Name:
Provider’s Registered Name:
Name of Assessor (if applicable):
I , the learner, had the opportunity to discuss and agree to the following before the assessment - Mark with a √
1. The qualification or unit standard to be assessed
2. The specific outcomes, performance criteria and range expected to be demonstrated
3. The work activity to be demonstrated
4. The type of assessment program and who will be involved
5. The assessment requirements indicated below and the program timetable
6. Any concerns about this assessment
7. The type of competency that I want to achieve
8. Further opportunities for re-assessment in the future
Observation
Oral Questions
Written questions
Portfolio of evidence
Assignment
Witness testimony
Project
Simulation
Other assessors evidence
Theory achieved
Yes
/
No
Competent
Yes
No
Practical standard achieved
Yes
/
No
Competent
Yes
No
Next assessment opportunity target date planed, if applicable):
/
/
ASSESSORS RECORD
Provider Name
For unit standard/ qualification
title:
NQF Level
Credits
Candidate
Reference number:
Surname/last name
Assessor’s name:
First names (in full)
Title
Assessor
Initials (first names)
Date:
/
/
2
feedback to the
learner (Delete if
not applicable):
Feedback to the Learner
Assessor signature:
0
“I have examined and interviewed the above named candidate, I am recommending:
Tick (√)
Assessor’s
a) The candidate meets the required standards for recognition for the above specified
a)
Decision
award
(Please tick the
b) The candidate meets the required standards but needs to provide additional evidence
appropriate
as specified in Section B below.
Decision):
b)
c) The candidate has not provided adequate evidence to prove he/she meets the
standards for the above specified award
Moderator feedback to the
Date:
c)
/
/
2
0
learner (Delete if not
applicable):
Moderator’s
signature:
Surname/last name
Moderator’s name:
First names (in full)
Title
Initials (first names)
Moderator comments (Delete
if not applicable):
Learner feedback notes to the
assessors (Delete if not
applicable):
Date:
Learner’s signature:
/
/
2
0
Assessor’s Comments on the Main Items of Evidence Presented
Evidence Includes
Curriculum Vitae
Work History
Job Specification
Products/Samples of work
References /Testimonials
Evidence of on the job assessment
Accounts of experience
Other certified Learning
Assessor observations/comments – additional requirements
Does the evidence presented demonstrate that the standards for the award have been met?
Evidence assessed for Authenticity
(details to be given) Evidence endorsed by current employer/referee/appropriate person.
Evidence dated and Verified at Interview
Evidence assessed for Sufficiency
Assessor is satisfied that the evidence is adequate to exceed the minimum standard
Evidence assessed for Validity
Evidence is directly relevant to the standard for the above
award
Assessor satisfied for Currency of Evidence
Evident is current within the last 5 years. Evidence presented may be older but must be current
within the present requirements of skill, knowledge and competences specified for the award.
Other comments about evidences submitted:
Assessor’s Signature: ________________________________ Date: __________________
YES
NO
External Verification Form
Verified By:
Date
Name of the Institution/Organization:
Decision by Verifier:
Supports the Recommendation above
Reason
Does not support the recommendation above
Notes:
Date:
Verifier Profile:
Observations of Verifier
Verifier’s Name & Signature: ______________________________________________
Date: __________________________________________________________________
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1.
2.
3.
4.
Purpose
Definitions
Scope
Policy application
4.1 Procedure for identification of learners with special needs
4.2 Approach to learners with special needs
4.3 Role of the learning support team
5. Communication of policy
6. Evaluation and review
7. Documentation
1. PURPOSE
The purpose of this policy is:
 Ensure enrolment of learners with special needs at XXXX;
 To assist sponsors and guardians in making an informed decision in relation to the enrolment of
their child in organisation;
 To comply with legislation.
2. DEFINITIONS
A learner has special educational needs if they have a learning difficulty which calls for special
educational provision to be made for them.
A learner has a learning difficulty if they:  have a significantly greater difficulty in learning than the majority of learners of the same age; or
 have a disability which prevents or hinders the learner from making use of educational facilities of a
kind generally provided for learners within XXXXXX;
A learner must not be regarded as having a learning difficulty solely because the language or medium of
communication of the home is different from the language in which he or she is or will be taught.
The different types of categories are listed below:









cognitive disability
physical disability
severe medical condition
hearing impairment
vision impairment
language disorder
specific learning difficulty
emotional disorders and behavioural disorders
Multiple disabilities - this is a combination of 2 or more of the above disabilities.
3. SCOPE
This policy is about all learners or people experiencing special educational needs in all age groups.
A learner or person has special educational needs if she/he has a learning difficulty or a disability which
calls for special educational and training provision to be made for him/her. Learning difficulty is defined
in terms of persons "who have a significantly greater difficulty in learning than the majority of their
peers, and/or have disabilities which either prevent or hinder them from making effective use of
educational and training facilities of a kind generally provided in education and training situation ."
Exceptionally able or gifted learners are excluded from this definition, as are persons for whom English is
a second language XXXX recognises that these learners have their own needs, however, which are
addressed separately.
4. POLICY APPLICATION
The aim of the SEN is to provide an inclusive programme for learners with disabilities. In line with the
XXXX A ethos, the programme allows learners with identified special educational and training needs the
inherent right of respect for their human worth and dignity and to realise their individual capacity for
spiritual, physical, social, emotional and intellectual development. The facilitators of learners with
special needs are a whole XXXX responsibility.
The whole XXXX staff (particularly those in direct contact with learners together with the assistance of
the support staff will aim:
 To protect and foster the dignity of the learner with special needs by a personal model of
professionalism.
 To foster a secure, safe, caring and accepting institutional environment.
 To give the learner every opportunity to develop the skills necessary to adapt to the challenges and
changes of life. By doing so allowing for the development of self-concept and self-esteem in the
learner with special educational and training needs.
 To set up and maintain a "care network" between the facilitators, staff and the general XXXX
community. This will assist the learner with special educational needs, to develop strengths and
abilities in the social, emotional and academic aspects of their education.
 To promote an environment in the classroom this will allow for the acceptance of the uniqueness
and the differences of each learner.
 To enable special needs learners to reach their full potential the following are offered, depending on
the needs of the learner:
(a) Support within the classroom by either an aid or LEARNING SUPPORT needs facilitator.
(b) Withdrawal of some learners so they are able to develop their skills in literacy, numeracy
and independent living skills.
(c) If a learner is skilled in a certain outcomes they are eligible to have assessment tasks
modified and their work modified.
(d) Physical or timetabling modifications of XXXX to enable the learners with special need access
to different areas and equipment.
g) Supplying learners with appropriate educational material so that they gain a sense of
achievement.
h) Continual in-servicing of staff so that they develop the skills needed to work with learners
with special needs.
i) Depending on the learner's needs access to the Special Provision Program for major
assessments.
4.1 PROCEDURE FOR IDENTIFICATION OF LEARNERS WITH SPECIAL NEEDS
 If a facilitator suspects that a student has a disability they need to discuss the situation with the
learner and relevant Supervisor. If it is suspected that the learner that has a cognitive disability,
language disorder, specific learning disability or a behavioural disorder the referral form needs to be
completed. This form will help in identifying the impact of the suspected disability on a learner's
ability to learn and their behaviour in both the training room.
 The facilitators after consulting with the learner's parents, sponsors or guardians refer the learner to
appropriate professional(s) for assessment.
 If the assessment(s) confirms a disability the appropriate documentation will be forwarded to the
relevant person at XXXX, where the assessment may be validated.
 If the learner obtains validation then they are included in the LEARNING SUPPORT Database and
become part of the XXXXX's LEARNING SUPPORT Education Program.
4.2 APPROACH TO LEARNERS WITH SPECIAL NEEDS
XXXX believes that success of the LEARNING SUPPORT Needs Program depends on a whole
organisational approach. With all members of XXXXXX training staff and support staff contributing to
the achievements of both individual special needs learners and the LEARNING SUPPORT Needs Program.
To ensure that this success continues and that all learner needs are being met a Organisation support
team will be established. Depending on the needs of each learner the team could consist of the
stakeholders including management, training staff, support staff and learner representatives. The team
may meet formally or informally depending on the needs of individual learners or the special needs
group as a whole.
4.3 ROLE OF THE LEARNING SUPPORT TEAM
 Ensure the integration of learners with special needs by helping to provide a secure, caring and
accepting environment.
 Facilitate the writing of the XXXX policy on Learner's with Special Needs and ensure that there are
opportunities and resources available for it to become a "working policy".
 Support in the development of IEP and ITP plans.
 Facilitate the access to professional development programs for facilitators and support staff. This is
to ensure that these people become more aware of needs of the learners and learn effective
strategies when facilitating or dealing with the learners.
 Advise on the modifications to the XXXX sites and/or the purchasing of special equipment that will
aid the LEARNING SUPPORT Needs Learners(s).
5. COMMUNICATION
The policy will be circulated to Support Staff, Facilitators, Assessors and Moderators. A workshop will be
conducted for Support Staff, Facilitators, Assessors and Moderators by an expert in SEN. Learners will be
informed about the policy during orientation.
6. EVALUATION AND REVIEW
This policy will be evaluated regularly and reviewed annually. The review team will comprise of the
following stakeholders within XXXX:




Management
Facilitating Staff
Support Staff
Learner Representatives
Changes or amendments to policy will be tracked and recorded accordingly.
6. DOCUMENTATION
 An approved master copy (hard-copy) of the SEN Policy
 An electronic copy of the SEN Policy
 A signed circulation list of employees that received the Policy.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1.
2.
3.
4.
Purpose
Definitions
Scope
Policy application
4.1 Principles
5. Communication of policy
6. Evaluation and review
7. Documentation
1. PURPOSE
The purpose of this policy is to ensure that the XXXXX's corporate image is projected in a positive,
coherent and consistent manner, whether by traditional methods or by new media such as the Web.
2. DEFINITIONS
 Corporate Image: the corporate image is the way the XXXXX is perceived by its stakeholders and the
general public via traditional methods and/or new media such as the Web.
 External Communication: dissemination of information to XXXXX community, its stakeholders and
the world at large.
 Marketing Activities: activities that are designed to promote the image of the XXXXX through the
use of various vehicles, such as printed materials, radio, television and transit ads.
 Advertising: advertising is the communication of a message that is created and displayed for the
sole purpose of promoting a corporation or its product.
 Sponsorship: sponsorship is corporate support received or given for a project, program or event,
which is publicly acknowledged.
 Commercial Activity: commercial activity refers to any revenue generating or fund raising activity on
XXXXX by an outside business or organization.
3. SCOPE
This policy is applicable to all personnel within the organization with specific reference to marketing and
communication personnel.
4. POLICY APPLICATION
4.1 PRINCIPLES
XXXXX shall assign the management of marketing and communications activities to a single staff
position, namely a Marketing and Communications Officer (MCO), along with a back-up person who has
the knowledge and authority to replace the MCO during an absence.
Where the marketing and communications activities of a unit do not warrant a full-time position, the
responsibilities shall nevertheless be assigned to a single position within the unit. If the responsibility
has not been assigned to a specific position, the responsibility for the management of marketing and
communications activities is assumed by XXXXX.
Training, administrative and support staff who require marketing and communications services shall
consult their MCO, who will in turn, interact with MCS, using the project management tools that are
available.
The MCO shall prepare and submit an annual marketing and communications plan to XXXXX. XXXXX will
identify the activities in the plan that are aligned with the corporate strategy, and then integrate them in
the annual comprehensive plan submitted to the XXXXX for approval.
The MCO shall contact MCS to obtain professional creative and editorial services for the realization of
approved activities. These services include graphic design, writing, editing, proofreading and translation.
The MCO shall contact MCS to obtain professional communication services for the realization of
approved activities. These services include community relations, media outreach, organization and
control of media events, preparation of news releases and media advisories, media training,
management of crisis communications, and assistance with the organization of major XXXXX events.
MCS has a photographer on staff to create and maintain a photographic record of activities and events
that are of lasting significance to the XXXXX. In such cases, members of the XXXXX community may
contact the MCS photographer directly to request service. Information about the photographs is
recorded and the original images are stored at the XXXXX Archives.
MCO's shall contact MCS for expert consultation and quality control of image and language for all
external marketing and communications activities, even if the activities have not been approved by MCS
for inclusion in the annual corporate strategy.
There is no charge for services provided by MCS staff for approved projects. However, costs for ad
placements, printing and other costs are the responsibility of XXXXX.
MCS recognizes that it is not possible to anticipate all marketing and communications activities and to
document them in advance in an annual plan. Should unexpected opportunities that might contribute to
the desired corporate image present themselves to XXXXX, the MCO shall consult with MCS prior to
initiating the activity. MCS will evaluate the options to determine the most effective and efficient
response to the opportunity (e.g. ad placements, sponsorship, advertising, commercial activities).
Ad Placement
The corporate image suffers if several units unknowingly place an ad in the same newspaper or
magazine on the same day, particularly if it is unplanned or if each ad has a different design. To avoid a
negative impact, the MCO shall consult with MCS prior to arranging an ad placement. Possible solutions
might be: to use a design template; to consider purchasing a larger, single space; to reschedule the
placement date; to select another publication with a similar readership.
Sponsorship
MCS will coordinate the XXXXX 's sponsorship efforts, and will develop a policy specifying the guidelines
and criteria regarding appropriate opportunities for sponsorship of external activities.
Advertising and Commercial Activities
Managers shall consult MCS prior to entering into agreements to allow advertising or commercial
activities by external organizations in XXXXX publications (printed or electronic) or on University
property.
MCS will develop a policy specifying the guidelines and criteria regarding appropriate opportunities for
advertising and commercial activities by external organizations.
5. COMMUNICATION OF POLICY
This policy will be circulated to all personnel within our organisation.
6. EVALUATION AND REVIEW
The marketing team will meet XXXXX times a year and will use the following to evaluate the success of
its marketing activities and take appropriate action:




Monitoring Surveys
Client Feedback Forms
Liaison with staff
Usage of service statistics
7. DOCUMENTATION
 An approved master copy (hard-copy) of the Marketing and Communications Policy
 An electronic copy of the Marketing and Communications Policy
 A signed circulation list of employees that received the Policy.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1
2.
3.
4.
5.
5.1
5.2
6.
7.
8.
Purpose
Definitions
Scope
Policy application
4.1 Administration of course fees
4.2 Payment options
4.3 Payment plan arrangements
4.4 Outstanding fees
4.5 Outstanding fees late payments fee
Procedures
Course fee review procedure
Course fee payment procedure
Communication of policy
Evaluation and review
Documentation
1. PURPOSE
Course fees may be approved and implemented if they meet any of the following conditions:
 They pay for the cost of activities related to a learning programme
 They provide learners with an object or product of value; or,
 They cover costs associated with specific learning programmes (e.g. specialized equipment or
materials, risk management, laboratory supplies or expendable products).
Course fees are not intended to replace general operating costs, which are to be paid from the general
XXXXX budget.
2. DEFINITION
Course fees means current amounts payable by learners to access a learning programme.
3. SCOPE
The policy applies to all learning programmes offered by XXXXXX. The policy and procedure shall be
followed for the establishment and continuation of XXXXX course fees.
4. POLICY APPLICATION
4.1 ADMINISTRATION OF COURSE FEES
 For each course fee Departments must have an approved Course Fee on file with the XXXXX before
any monies may be collected or dispersed.
 Proceeds from course fees can only be used for the purposes specified to create the fee.
 Administrative re-titling or renumbering of courses will not require XXXXX review when
departments document that the amount and purpose of fees is unchanged.
 Course fees will automatically expire for any course that has either been eliminated or not been
taught for three or more years.
4.2 PAYMENT OPTIONS




The course fees may be paid in advance before the course begins.
The course fees may be paid on invoice at the start of the programme.
The course fees may be paid under a payment plan arrangement.
Where available for the course of study the learner may pay all or part of their fees loan scheme.
4.3 PAYMENT PLAN ARRANGEMENTS
 By credit card on a fortnightly or monthly basis.
 By direct debit on a weekly, fortnightly or monthly basis.
4.4 OUTSTANDING FEES
There will be a late payment fee charged at the end of each month for outstanding accounts.
4.5 OUTSTANDING FEES LATE PAYMENT FEE
 Learners with outstanding fees will NOT be awarded with their certificates of competencies.
 Transcripts and marks will be withheld until outstanding accounts have been brought up to date.
 Learners with outstanding fees may not be permitted to enroll in subsequent programmes.
 XXXXX reserves the right to withdraw learners with outstanding debts from programmes until the
debts have been paid.
 If learners have any problems in regard to fees they should contact the Accounts Department
before the debt gets out of hand. This is a sign of integrity and demonstrates to XXXXX that the
learner desire to work with XXXXX to manage their debt.
 Learners will be referred to a debt collection agency if they cease LEARNING at XXXXX and have
outstanding fees.
5. PROCEDURES
5.1 COURSE FEE REVIEW PROCEDURE
 When a new or revised fee is contemplated, the initiating unit is advised to consult with the CFO (or
designee) to ensure that the fee is allowable under XXXXX regulations.
 A proposal to implement a new course fee, or to increase an existing course fee, must first be
approved by XXXXX.
 The XXXXX will review the proposed fee for conformance may also consider the following factors,
among others: Is the fee for a required course, or an elective? How many courses in the proposing
department already have fees? Is the size of the fee reasonable relative to the educational and
training value?
 The XXXXX will forward its recommendation to the XXXXX for her/his consideration and
consultation with the Chief Financial Officer. Only after XXXXX l approval and XXXXX’s approval (if
required) will a course fee be implemented.
5.2 COURSE FEE PAYMENT PROCEDURE




Learners will receive an invoice at the commencement of each month for course fees paid.
Fees can be paid in full or by a payment plan arrangement.
Fees must be paid by the last week of classes in each month.
XXXXX accepts the following payment methods: Cheque, Money Order, and Credit Card, payment
through a bank, direct credit and direct debit.
 Under no circumstances learners to give money to facilitators to pay their fees.
 Receipts will be issued on the spot if paid personally or available for collection at reception if
requested. Learners are to keep their receipts for substantiation purposes.
6. COMMUNICATION OF POLICY
This policy will be circulated to all members of staff. Prospective learners will be informed through
brochures and other mass media.
7. EVALUATION AND REVIEW
The course fee policy will be evaluated on a regular basis and review once annually.
8. DOCUMENTATION
 An approved master copy (hard-copy) of the Course Fee Policy
 An electronic copy of the Course Fee Policy
 A signed circulation list of employees that received the Policy.
APPENDICES
 Course Fee Structure

XXXXXXXX
Course Fee
Learning Programme Name: _________________________________________________
Qualification / Unit Standard Title: ____________________________________________
Level: _________
Credits: _______
SAQA ID: _____________
No. Cost Description
1
Tuition / Facilitation / Training Fee
2
Learning Material
3
Assessments Fee
4
Certification
5
Other (Specify)
TOTAL
Unit Cost
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1.
2.
3.
4.
5.
6.
7.
8.
Purpose
Definitions
Scope
Policy application
Procedures
Communication of policy
Evaluation and review
Documentation
1. PURPOSE
To ensure that XXXXXX Internal Assessment Policy and Procedures is applied fairly and consistently to
provide learners with a clear framework within which they can appeal against assessment decisions.
2. DEFINITION
Assessment Appeal is the formal process through which learners may dispute the final assessment
judgements or outcomes made by the assessor.
3. SCOPE
This policy is applicable to assessment candidates, their assessors and moderators of assessment
outcomes within XXXXXX.
4. POLICY APPLICATION
XXXXXX will allow all learners the right of appeal against decisions relating to the XXXXXX Internal
Assessment Policy and Procedure.
Learners may appeals against assessments results based on the following grounds:






Unfair assessments
Victimisation by the assessor
Inappropriate assessments
Discrimination
Failure to prepare a learner for assessments
No feedback is provided to the learner
5. PROCEDURE
Stage One:
A learner should engage with XXXXXX staff to exhaust all informal means of resolving issues before
progressing to a formal appeal. These steps should be initiated within 5 working days of receiving
notification of the assessment decision.
Stage Two:
 A learner who wishes to make a formal appeal against XXXXXX decision should submit the appeal in
writing within 10 working days of being informed that Stage One has not been resolved to the
learner's satisfaction.
 The letter of appeal will be sent to the relevant Assessor and will state clearly the basis of the appeal
and any personal circumstances that the learner wishes to be considered. New evidence to support
the appeal may be included.
 The XXXXXX will be available to support and assist the learner in drawing up a letter of appeal.
 The Assessor will give written acknowledgement of receipt of the letter of appeal, normally within 3
working days.
 An appeal hearing will be held to give the learner the opportunity to personally discuss the basis of
the appeal.
 The learner may choose to be accompanied by a representative or friend. No legal representation
will be allowed.
 The appeal will be considered by a nominated panel within 10 working days of receipt of the letter
of appeal. In circumstances where 10 days is inappropriate, this period may be extended by mutual
agreement.
 Membership of the hearing will comprise the Manager, the relevant assessor and one other
member of training staff.
 The decision of the panel will be confirmed in writing by the Manager to the learner within 5
working days of the hearing.
 If the appeal is not resolved to the learner's satisfaction, the learner may move to Stage Three of the
procedure.
Stage Three:
 The learner should submit a letter detailing the basis of the appeal to the Manager within 5 working
days of receipt of the outcome of Stage Two.
 The Manager will give written acknowledgement of receipt of the letter of appeal, normally within 3
working days.
 The appeal will be considered by a nominated panel, which will meet normally within 5 working
days of receipt of the letter of appeal. In circumstances where this is inappropriate, this period may
be extended by mutual agreement.
 Membership of the panel will comprise the Manager and one other member of staff.
 The decision of the panel will be confirmed in writing by the Manager to the learner within 5
working days of the meeting.
 The decision of the appeals panel is final.
 The Manager will report annually to the Training/Facilitating Staff on the nature and outcomes of
formal appeals.
6. COMMUNICATION OF POLICY
Learners will be informed of the Assessment Appeals Policy through the Induction/Orientation and
Tutorial processes.
7. EVALUATION AND REVIEW
The policy will be evaluated on a regular basis and reviewed once a year.
8. DOCUMENTATION
 An approved master copy (hard-copy) of the Assessment Appeals Policy
 An electronic copy of the Assessment Appeals Policy
 A signed circulation list of employees that received the Policy.
APPENDICES
 Assessment Appeal Form
ASSESSMENT APPEALS FORM
I (full names) ____________________________________________________ the undersigned; Identity
Number_________________________ hereby lodge a dispute and therefore appeal against the
outcome of the assessment for the following unit standard as assessed.
Unit standard title
Level
Credits
SAQA ID
My appeal is based on the following reasons:
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Signed by the applicant on this ______ day of _______________________________ 2008.
Signature
______________________________________________________________________
FOR OFFICE USE ONLY
Received by _________________________________________________ on this ________ day of
_________________________ 2009.
Company stamp
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1.
2.
3.
4.
5.
6.
7.
8.
Purpose
Definitions
Scope
Policy application
4.1 Learning programme development
4.2 Learning programme delivery
4.3 Learning programme evaluation
4.3.1 Evaluation approach
Procedures
Communication of policy
Evaluation and review
Documentation
1. PURPOSE
The purpose of this document is to provide guidelines and direction in the design, development, delivery
and evaluation of learning programmes.
2. DEFINITION
Learning programme means the combination of courses, modules or units of learning (learning
materials and methodology) by which learners can achieve the learning outcomes for a qualification;
3. SCOPE
This policy is applicable to curriculum and materials developers, learning facilitators, assessors and
moderators.
4. POLICY APPLICATION
4.1
LEARNING PROGRAMME DEVELOPMENT
Education and training programmes fall broadly into one of two categories:
 Employment based programmes generally lead to Unit Standard Qualifications or equivalent and,
following initial assessment and action planning for individuals, training is through a full-time
systematic programme of work-based activity and learning. Direct training, supervision of practice,
and access to learning resources support the achievement of competences. Sometimes off-the-job
education and training is included. Programme design involves planning, often for individuals rather
than groups, a mix of learning and assessment opportunities matching the component units in the
award or other valid goals of learners.
 Education and training based programmes relate to general vocational and educational
qualifications. They can be part-time or full-time, take place in a range of centres, and are
sometimes linked to work-based placements.
Teaching and training is usually a group activity (increasingly supported through flexible learning for
individuals), and follows a timetable of learning and teaching sessions related to components in the
award.
Programme development involves planning how groups of learners can best achieve outcomes and
making decisions about programme components, locations and access arrangements, methods of
delivery, and assessment for certification.
For both types of programme, the requirements are met when, for each programme, there is a
statement of purpose which clearly links the target group to the award or other planned outcome and
to the end users of the programme (e.g. employers, higher education institutions). It should be clear
that well researched needs are being met.
There will be evidence that each programme achieves a good match with learner and client expectations
of content and standards. The programmes should lead to Unit Standard Qualifications or equivalent
where this is contractually required. They will follow any given specifications to the letter, (e.g. the
programme should be designed against the standards of the qualification to which they lead) or
particular criteria agreed by a client or with a learner. The learning opportunities in work placements
should be carefully identified to ensure that all the outcomes required by the award or other learning
goals can be achieved.
Particular attention will be paid to specifications for the integration of core skills into programmes in
order to achieve the appropriate degree of breadth. Core skills cover aspects such as communication,
numeracy, information technology, personal effectiveness, and problem solving. This organisation
knows, understands, and has taken steps to ensure that learners will be prepared for future changes by
progressing in these skills.
Education and training-based programmes for groups are organised to meet individual needs so far as
possible by flexible arrangements for access and progression through the programme, e.g. by self study
methods, accreditation of prior learning/achievement, assessment on demand.
For all programmes, there will be a clear outline of the learning resources and environment, staffing
requirements, and overall learning methodology appropriate to the aims and purposes of the
programme. Plans will demonstrate that learners will experience coherent, well structured and
sequenced activities.
Where learners with disabilities or learning difficulties are recruited to programmes leading to an award,
there are plans for modification of programmes, e.g. extra time, alternative learning methods, and
special assessment arrangements agreed with the awarding body.
Overall the programme development will ensure that there is a good degree of learner activity and that
learners are encouraged to take responsibility for their own learning.
Programme development is effectively managed and all aspects are regularly monitored and reviewed.
4.2 LEARNING PROGRAMME DELIVERY
Whereas the Programme Design section is concerned with the quality of the planned intentions, this
policy is concerned with the effectiveness of the training, teaching, and learning experienced which will
form the scope of this policy.
The success of XXXXX depends on the effective delivery of well designed programmes. The design will
be translated into practice so that learners achieve and realize their goals and education and training
standards set by the organisation.
Programme delivery is effective when there is:
 evidence of a purposeful, productive, and supportive learning environment;
 concern for learners as individuals;
 relevant, well produced and maintained resources which are adequate for the purposes of effective
learning;
 learning, teaching, and training approaches which are appropriate to the learning outcomes, the
needs of individual learners, and the learner's intended destinations which are varied and
emphasize learner activity and responsibility for learning.
When surveys are taken of training and teaching methods, often the strongest reactions relate to the
quality of relationships between staff and learners and the extent to which learners feel valued and well
supported in their learning tasks. Good facilitators make learning interesting and enjoyable, they form
friendly (but not over-familiar) relationships with learners, and they communicate a strong sense of the
value of the work being done to the highest possible standards.
Effective support for learning will be done through on-going assessment linked to teaching (formative
assessment or trainee-centered reviewing), providing learners with guidance on how they are
progressing and the next steps.
Programme delivery will be effectively managed and all aspects will be reviewed.
Organizations whose learners are mainly in employment-related training schemes on employers'
premises will ensure that systems are in place for making sure that work experience and placement subcontractors are briefed on the standards the organisation wants to be applied, and that they will have
co-operation in gathering evidence that the requirements are met.
4.3 LEARNING PROGRAMME EVALUATION
To ensure that learning programmes are adapted to take care of the needs of learners, to remain
relevant and appropriate as well as suitable for the target audience.
4.3.1
EVALUATION APPROACH
Evaluation approach will be as follows:
 The learning programme developer needs to determine if the programme meets the needs and
criteria established by earlier events.
 The developer should be able to identify those individuals who should have been involved and
receive specific feedback from them.
 The developer should after receiving feedback modify the programme as appropriate.
 The developer should obtain approval form those concerned before proceeding to the next event in
the training process.
 Through evaluation & feedback the developer should constantly check whether the program
designed is still relevant to the needs identified.
 The developer has to determine the specifications of the performance expected of a person in a
particular designated job.
5
PROCEDURE
If the staff members for a learning program are new to one another, initial time (perhaps as much as an
afternoon or an evening) should be scheduled for them to do their own team building. The staff typically
must take up the following considerations, in approximately the order given, as it prepares a learning
event.
Step 1: Training Needs Analysis:






What data do you have on the participants' jobs, back-home environment, age, sex, race, religion?
What are the participants' expectations for the learning program?
Has a pre-course questionnaire been administered?
Have you seen the program announcement?
What further information do you need to obtain at the beginning of the program?
What can you anticipate from the participants in the way of mood, volunteerism, and readiness?
Step 2: Determine Learning Outcomes:
 Discuss and write a set of outcomes for the program, usually not more than five, and have them
ready for use in the first session.
 Be explicit about values, the methods to be used, and any ground rules.
 Establish practitioner responsibilities as seen by the facilitator.
Step 3: Assess Staff Resources and Skills




What visual aids and devices have staff members brought with them?
What special skills and interests exist among staff members?
If certain unusual modules are needed, who can handle them?
Make a list of what resources are needed and the resources that are available to see if there are any
gaps.
Step 4: Determine Training and Prioritize
 This is the heart of the design: what should come first, second, etc.
 Block out the time schedule on newsprint and start filling it in.
 Begin with known elements: meals, free time, and perhaps time for back-home planning and
evaluation.
 As other elements are filled in, look at the schedule's balance, flow, and required energy level.
 Mornings are better for theory; afternoons for activity; evenings for nonverbal events and T -groups.
 If T -groups are included, theory sessions should be selected to enhance the T -group activity in its
predictable phases.
 One thing should lead to another. Will the experience of the participants be one of growth and
development, or will it seem to them that they are getting a series of unconnected inputs?
Step 5: State the Outcomes for Each Module
 This may be done by the staff, through discussion, or by the staff members responsible for a specific
module.
 Ideally, the objectives should be specific and measurable: "By the end of this period you should be
able to. . . ."
 Present the objectives to participants at the start of each session. Knowing where they are going will
help them to learn better.
Step 6: Predict the Time Schedule for Each Element
 This should be specific: introduction, ten minutes; forming groups and giving instructions, five
minutes; working on the task, forty minutes, etc.
 On a larger scale, review the schedule to see that sufficient time is available for what is planned, for
each element.
 Provide for "fillers." Is more time available than the work will consume? Avoid planning so much
that the participants feel hurried.
Step 7: Allocate Staff Responsibility
 Generally, all staff members participate in the first session, and all should be visible. Planning the
opening session often takes a large portion of the total planning time.
 For subsequent modules, individual staff members or pairs can volunteer to take responsibility.
 All staff need not participate in planning every session.
 Often a staff member will want to try to conduct a type of session for the first time as a means of
learning or stretching.
 No one should be overburdened or under utilized.
 This is a good time to establish a norm regarding when and how staff members can help one
another. When a staff member is up front, presenting, is it OK for others to interrupt?
Step 8: Assess the Logistics
 Space: large rooms, small rooms, comfort, convenience.
 Materials: handouts, pencils, newsprint, nametags, workbooks, masking tape, flipcharts on easels,
magic markers, tape recorders and tapes, reference materials.
 Housekeeping details: breaks, meals, physician, sleeping comfort, etc.
 Administration: registration, money, travel, personal supplies.
 Recreation: bar provision, indoor-outdoor resources, alone time, and socialization.
Step 9: Define Primary Client Concerns






Who is the primary client? Who is paying for this?
What are the client's expectations? How will you communicate?
Does your design to this point meet these expectations?
What contact will you have with the client before, during, and after the program?
Will the client be expected to take action as a result of the program?
Are you and the client clear on your contract?
Step10: Provide for Evaluation
 Will you evaluate as part of the design:







By obtaining post-meeting reaction sheets for each module?
By obtaining a daily rating of satisfaction or learning’s?
By obtaining an end-of-programme evaluation?
Each of these needs preparation. Who is going to do it?
Any provision for follow-up?
Is there a requirement for a report to the primary client?
Do you anticipate that the design as planned will meet the goals stated?
5. COMMUNICATION OF POLICY
This policy document will be circulated to the following:






Curriculum Development Experts,
Learning Programme Design and Development Experts,
Learning Delivery Facilitators
Assessors
Moderators
Quality Assurance Experts
6.
EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once a year by the following team:






Curriculum Development Experts,
Learning Programme Design and Development Experts,
Learning Delivery Facilitators
Assessors
Moderators
Quality Assurance Experts
The following will be used for evaluation and review:




Learner evaluation questionnaires
Feedback from Facilitators
Feedback from assessors
Feedback from moderators
7. DOCUMENTATION
 An approved master copy (hard-copy) of the Learning Programme Development, Delivery and
Evaluation Policy
 An electronic copy of the Learning Programme Development, Delivery and Evaluation Policy
 A signed circulation list of employees that received the Policy.
APPENDICES
 Learning Programme Development and Delivery Evaluation Form.
XXXXX
Learning Programme Development and Delivery Evaluation Form
Thank you for your active participation during the XXXXX training. Kindly complete the following
evaluation questions below. This evaluation form is an integral part of XXXXXXX quality assurance
management system.
Training dates
Training venue
Facilitator’s name
Evaluation of course materials
Kindly read the statements below and indicate your opinion by placing a tick in the respective block.
Response Area
Yes
No
Was the course material presented in a clear and consistent manner?


Was the structure of the respective course material clear and understandable?


Was the level of the course material relevant to your needs?


Were the learning objectives clearly expressed in the training materials?

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Were the learning objectives achieved?

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Was the course duration appropriate to the content offered?

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Did the course and materials meet up to your expectations?

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Is the course material applicable to your work environment?


Did the focus activities in the course materials enhance your learning
experience?


Will you be able to transfer the knowledge and skills gained on the course, into
your respective workplace?


What did you like most about the course materials presented?
What did you like least about the course materials presented?
Evaluation of the course facilitator
Kindly read the question below pertaining to the facilitator, and indicate your opinion by placing a tick in
the respective block.
Q: Did the facilitator:
Yes
No
Know the subject matter?


Encourage participation?


Answer questions thoroughly?


Respect your knowledge and experience?

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Provide relevant examples and analogies?


Provide clear explanations and instructions?

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Generate a desire to learn?


Any feedback to the facilitator
Evaluation of the logistics
Kindly read the statements below and indicate your opinion by placing a tick in the respective block.
Yes
No
Was the venue appropriate for the training that was offered?


Was the seating arrangement conducive to learning?


Were the refreshments provided adequate?


Please submit the evaluation form back to the course facilitator. Thank you.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1.
2.
3.
4.
Purpose
Definitions
Scope
Policy application
5. Procedures
5. Identification and preliminary investigations
5.2 The informal grievance investigation
5.3 The informal grievance hearing
5.3.1 The grievance hearing: Phase 1
5.3.2 Finding on the facts
5.3.3 The grievance hearing: Phase 2
5.3.4 Corrective action
6. Communication of policy
7. Evaluation and review
8. Documentation
1. PURPOSE
The purpose of this policy is to give guidance and to provide a framework for all employees and learners
of XXXXXXX to deal with grievances raised effectively, and at the earliest possible stage.
2. DEFINITION
 The mild grievance: This type of grievance does not involve a dispute of facts or require that
evidence be lead to understand the nature of the grievance. The superior or official can easily
ascertain the nature of the problem and feels that he/she is capable of resolving the grievance
without assistance. For example a worker or learner lodges a complaint about the unclean state of
the toilet facilities. In this instance the superior is required to follow the Informal Grievance
Investigation Procedure.
 The serious grievance: This type of grievance revolves around a dispute of facts and further
evidence or witness testimonies may be necessary to understand the nature of the grievance.
Alternatively the superior or official does not feel he/she is capable of resolving the grievance
without assistance. For example, one worker or learner claims another worker or learner hit him
during their lunch break. In this instance the grievance must be channeled through the formal
Grievance Hearing Procedure.
 The sensitive grievance: The sensitive grievance may include grievances about discrimination,
sexual harassment and other forms of harassment, victimisation etc. In this instance the grievance
must be channeled through the formal Grievance Hearing Procedure.
3. SCOPE
The policy shall apply to all employees and learners of XXXXXX.
4. POLICY APPLICATION
The objects and purposes of the Grievance Procedure will only be achieved if it functions effectively and
is properly utilized. In light of the above, XXXXXX is committed to ensuring that:
 Employees and learners are aware of the opportunity to express grievances.
 Employees and learners feel free to express their grievances without the fear of victimization or
intimidation or prejudice to their employment relationship.
 Employees and learners are encouraged to use the procedure, but also warned not to abuse it with
false grievances.
 Sensitive grievances are dealt with privately, and confidentiality of information is maintained.
The XXXXX in accepting this policy gives commitment to the following:
 The resolution of all grievances timeously.
 Recognizing the employees’ and learners’ right to be represented by a fellow employee or learner if
he/she wishes to do so.
 Ensuring that Management handles grievances with the Human Resources Department acting in an
advisory capacity.
 Creating an environment in which an employee or learner may lodge a grievance without fear of
being victimized or prejudiced.
 Ensure that all grievances are handled in a confidential manner.
 Ensure that each step in the procedure shall be subject to the stipulated time limits, unless
otherwise determined by the parties through mutual agreement.
5. PROCEDURE
5.1 IDENTIFICATION AND PRELIMINARY INVESTIGATIONS
 Employees and learners must be informed of their rights to lodge a grievance and where the
applicable Grievance Application Form can be obtained.
 All grievances may be lodged with management/Human Resource Department if the employee or
learners feels more comfortable doing so.
 No employee or learner may leave his/her normal place of work/learning or engage in any grievance
discussion without prior permission, and such permission shall not be unreasonably withheld.
 Assistance must be offered if necessary by the superior/or any relevant official in lodging such a
grievance and completing the Grievance Application Form.
 The official must consider the nature and type of the grievance lodged and based on this assessment
make a decision as to the best grievance resolution procedure to follow. The mild grievance can be
dealt with via the informal investigation route, however a serious grievance and sensitive grievance
requires a formal hearing. The appropriate procedures to follow are discussed below.
5.2 THE INFORMAL GRIEVANCE INVESTIGATION
 The aggrieved employee’s superior or learners facilitator, or person with whom the grievance has
been lodged must ensure the Grievance Application From has been correctly completed and the
grievance is clearly understood.
 The superior or official must then discuss the grievance and proposed corrective action with the
employee or learner in private. The decision on corrective action, if any, must be detailed on the
Grievance Application Form.
 The aggrieved employee or learner / employee or learner representative or witness must sign the
Grievance Application Form.
 If the employee or learner is dissatisfied with the decision he/she may lodge an appeal within 5(five)
working days of the outcome being received.
 If the employee or learner is satisfied with the decisions, the corrective action must be implemented
and recorded on the form.
5.3 THE FORMAL GRIEVANCE HEARING
 A chairperson must be arranged to conduct the grievance hearing.
 The employee must be notified of the grievance hearing in writing.
 Ensure the aggrieved employee/s or learner/s receive such notification at least 2(two) working days
before the Grievance Hearing so as to allow sufficient time to prepare.
 If the grievance has been lodged against another party such party must also receive the notification
of the hearing and of his/her rights, as well as the grievance/s lodged, at least 2(two) working days
prior to the hearing.
5.3.1 THE GRIEVANCE HEARING: PHASE 1
 The chairperson must advise the parties present of the purpose of the hearing and their rights
during the hearing.
 The aggrieved employee or learner or employee or learner representative must then be given an
opportunity to motivate the grievance.
 The person against whom the grievance was lodged must be given the opportunity to respond to
the grievance.
 Both parties may present evidence/ call witnesses to motivate their case. Both parties may also
cross question witnesses.
 The Hearing may be adjourned at this stage if necessary.
5.3.2 FINDING ON THE FACTS
 The chairman must now make a finding on a balance of probabilities on the validity of the grievance.
 If the grievance is found to be invalid, the findings must be recorded in writing and signed by the
aggrieved employee or learner/ employee or learner representative or witness.
 The aggrieved employee or learner must also advised of his/her/their right to appeal within 5(five)
working days of receiving the outcome and of the applicable Application for Appeal Form to
complete.
 If the grievance is found to be valid, the Grievance Hearing: Phase 2 needs to be conducted.
5.3.3 THE GRIEVANCE HEARING: PHASE 2
 The chairman must present the finding on the validity of the grievance and permit both the
aggrieved employee/s or learner/s and other party an opportunity to present suggestions for
corrective action.
 Responses and discussion as to the feasibility of such suggestions must be entertained.
 Both parties must be questioned as to whether they are satisfied with the proceedings.
5.3.4 CORRECTIVE ACTION
 The chairperson must decide on the most effective and viable corrective action and advice the
employee or learner in writing of the decision made on the Outcome of Grievance Hearing Form.
 The chairperson must ensure that such corrective action is implemented and that progress is
recorded. The employee or learner must also be advised of his/her right to appeal against the
decision within 5 (five) working days of receiving the outcome if he/she is dissatisfied.
6. COMMUNICATION OF POLICY
This policy will be circulated to all staff and learners enrolling with XXXXXX. Staff will attend a workshop
while learners will be informed of the policy during orientation programme.
7. EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once annually.
8. DOMUMENTATION
 An approved master copy (hard-copy) of the Grievance Policy
 An electronic copy of the Grievance Policy
 A signed circulation list of employees that received the Policy.
APPENDICES
 Grievance form.
XXXXXXX
Grievance Form
To: _________________________________________________________________________________
An interview is requested with regard to the following grievance/s:
Summary of the grievance:
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
The aggrieved individual/s must write a full statement on her/his/their contentions on the provided
page and submit it to the relevant person within the organisation.
Full Names of complainant: _____________________________________________________________
Signature: _____________________________________ Date: _________________________________
Findings and comments of first official:
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Findings and comments of second official:
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Findings and comments of third official:
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Full Statement by Complainant
_____________________________________________________________________________________
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Signature___________________________________ Date: ___________________________________
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1.
2.
3.
4.
Purpose
Definitions
Scope
Policy application
4.1 Management of offsite or onsite learning
4.2 Offsite or worksite working learning agreement
4.3 Offsite or worksite assessment
4.4 Offsite or worksite learning moderation
4.5 Monitoring of on and offsite learning
5.
6.
7.
8.
Procedures
Communication of policy
Evaluation and review
Documentation
1. PURPOSE
The purpose of this policy is to describe practices applied by XXXXX to manage off-site practical or worksite components of learning.
2. DEFINITION
 “Onsite learning” is provision of classroom based or contact learning at the premises of the
education and training service provider.
 “Offsite learning” is provision of work-based learning or delivery of distance learning away from the
normal premises used by the education and training service provider.
3. SCOPE
The scope of this policy covers the management of off-site practical or work-site components of learning
which does not happen under the direct management of XXXXX.
4. POLICY
4.1 MANAGEMENT OF OFF-SITE OR WORK-SITE LEARNING
Learning programme delivery may entail theoretical on-site as well as practical or experiential off-site or
work-site learning. There is therefore a need for a well coordinated and well managed process of
managing off-site or work-site learning.
4.2 OFF-SITE OR WORK-SITE LEARNING AGREEMENT
A learner must enter into a learning agreement which must include the following:
 Learner details
 Assessor details
 Learner understanding of assessment process, appeals rights and access to the organisational
requirements
Organisational requirements must be communicated to the learner including the environment where
assessment will be conducted.
Arrangements should be made and communicated to learners on the following issues:
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Needs for people with physical disabilities
Work shifts
Communication difficulties
Mentoring and coaching
Working conditions
Occupational health and safety
Learners are required to keep a log of the experiential or practical tasks performed in the workplace.
Learners may do several of the practical or experiential tasks on any day even simultaneously. These
tasks should be completed as assigned by the Experiential or Workplace Facilitator/ Mentor/ Coach or
Assessor.
The Workplace or experiential Facilitator/Assessor should check the logged activities recorded by the
learner. Regular feedback must be given to the learner and on-the –job coaching or mentoring should be
conducted as when required.
If the Workplace or Experiential Facilitators/Assessor is satisfied with the experiential or workplace skills
demonstrated, comments must be provided in the feedback section and the log must then be signed off.
If the Workplace or Experiential Facilitators/Assessor is not satisfied with the experiential or workplace
skills demonstrated, and sign off the log indication should be provided on action to be taken to correct
the gaps identified.
4.3 OFF-SITE OR WORK-SITE ASSESSMENT
The workplace assessment of unit standards should be as streamlined and user-friendly as possible for
assessors, learners and moderators while remaining true to the letter and spirit of the relevant
regulations. Workplace assessment is the workplace equivalent of practices in educational institutions
whereby competence is evaluated, and on the basis of which qualifications are awarded.
It is imperative to recognise the centrality of workplace assessment and seek to promote its effective
implementation.
Assessment must be conducted by competent and qualified assessor who must meet the following
criteria:
 Must have been credited against the unit standards “Conduct outcome based assessments, level 5,
15 credits, NLRD ID Number 115753”.
 Registered as an assessor with the relevant ETQA
 Have experience as an assessor
 Must have subject matter expertise in the area where assessment is to be conducted.
4.4 OFF-SITE OR WORK-SITE LEARNING MODERATION
Moderation must be conducted by competent and qualified assessor who must meet the following
criteria:
 Must have been credited against the unit standard “Conduct moderation of outcome based
assessments, level 6, 10 credits, NLRD ID Number 115755,
 Must have been credited against the unit standards “Conduct outcome based assessments, level 5,
15 credits, NLRD ID Number 115753”.
 Registered as an assessor with the relevant ETQA
 Must have experience as an assessor
4.5 MONITORING OF ON AND OFF-SITE LEARNING
Monitoring should be viewed as a process to improve quality of provision for workplace related learning.
XXXXXX will appoint internal and external monitors at its discretion that will carry out the monitoring of
learning conducted at workplaces or off-site as well as on-site. Monitoring of on-site theoretical
learning and off-site practical or experiential learning will be conducted once a month.
Monitoring officers will conduct monitoring using approved monitoring tools. Feedback from a
monitoring process should include recommendations that will assist enhancement of quality
improvement within the organisation.
Monitoring should be conducted ethically inline with the principles of the NQF on assessment which
include among other issues the following:
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Fairness
Validness
Authenticity
Credibility
Transparency
Reliability e.c.t.
A\preliminary monitoring report should be produced within seven days after the monitoring process has
been carried out. The report should be circulated and one copy should be sent to the workplace or offsite and on-site provider.
The workplaces or a learner in the workplace have the right to appeals against the outcome of a
monitoring if there are disputes arising from the monitoring report. Such appeals should be done in
writing within three days after receipt of the monitoring report.
Disputes should be lodged directly with the Monitoring Officer of XXXXXX stating the reasons or
grounds of such an appeal.
5. PROCEDURE (MONITORING)
Step 1: Appeal lodged with the monitoring official
Step 2: Monitoring Official acknowledge receipt of appeal within 24 hours after receipt
Step 3: Monitoring Official responds to the appeal within 72 hours. If the dispute is resolved, the matter
is closed.
Step 4: If the matter is unresolved, the Monitoring Official refers the matter to the Facilitator or
Assessor or moderator depending on the nature of the dispute. The Facilitator or Assessor or
Moderator attend to the dispute within 48 hours after referral of the matter and the matter is resolved
Step 5: If the matter is unresolved, the Facilitator or Assessor or Moderator refers the matter to the
Chief executive Officer.
The Chief Executive Officer resolves and closes matter.
Should the Chief Executive Officer fail to resolve the matter, HWESETA may intervene, however, it
should be noted that every effort will be made to ensure that the matter is resoled internally.
6. COMMUNICATION OF POLICY
This policy will be communicated to all Support Staff, Facilitators of Learning, Assessors, Moderators,
Mentors and Coaches and Learners registered for learning with XXXX.
7. EVALUATION AND REVIEW
This policy will be evaluated on a regular basis and reviewed once annually.
8. DOCUMENTATION
 An approved master copy (hard-copy) of the Management of Offsite and Onsite Learning Policy
 An electronic copy of the Management of Offsite and Onsite Learning Evaluation Policy
 A signed circulation list of employees that received the Policy.
APPENDICES
 Off-Site Training Checklist
OFFSITE TRAINING PREPARATION CHECKLIST
Action
Confirm Attendees
Obtain roster of attendees for training session.
Provide trainees with any pre-training instructions.
Training Room Equipment
Ensure room is easy for trainees to locate (e.g., make signs, if necessary).
Prepare to point out items such as restrooms, coffee, and water.
Ensure lighting is appropriate for activities such as note taking, viewing of
audio-visual aids, and hands-on computer training.
Ensure any sound distractions are eliminated or minimized.
Ensure temperature is comfortable for trainees and cool enough for
equipment.
Arrange furniture to allow all trainees to see the trainer and audio-visual aids.
Training Software
Ensure the training database is ready for the new session.
Ensure system security is correctly established for all trainees.
Equipment
Ensure all workstations are in place and working properly.
Ensure printer is working properly (e.g., adequate paper and toner).
Ensure overhead projector is working properly (e.g., focus and bulb works).
Ensure large screen projector is working properly (e.g., focus and bulb works).
Ensure VCR is working properly (e.g., test on television).
Ensure flip chart has adequate paper and flip chart stand is steady.
Completed
OFFSITE TRAINING PREPARATION CHECKLIST
Action
Ensure slide projector is working properly.
Audio-Visual Materials
Photocopy handouts, including extra copies.
Arrange handouts in order of use.
Prepare transparencies.
Arrange transparencies in order of use.
Ensure training materials are in place (e.g., presentation notes).
Secure any additional trainee materials (e.g., User Manual).
Rewind video tape(s) or cue to point desired.
Ensure slides are in order and right side up.
Ensure any posters are taped in the location desired.
Ensure visual aids are visible from the back of the room.
Trainer Supplies - Confirm that the following supplies are available:
Spare lamps for projection equipment
Grease pencils for transparencies
Color marking pens
White board pens
White board eraser
Pens and tablets of paper
Name cards or tags for trainees
Pointer
Completed
OFFSITE TRAINING PREPARATION CHECKLIST
Action
Completed
Masking tape
Extra flip chart pad
Additional blank transparencies
Additional paper for the printer
Extension cord
I certify that training preparation is complete.
Trainer Signature:
Date:
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1. Purpose
2. Definitions
3. Scope
4. Policy application
4.1 Security of certificates
4.2 Issuing duplicate certificates
5. Procedures
6. Communication of policy
7. Evaluation and review
8. Documentation
1. PURPOSE
The purpose of this policy is to describe the format for learner certification applied by XXXXXXX inline
with prescribed requirements.
2. DEFINITION
Certificate is a document certifying that one has met specified requirements or document issued to a
person who completed a course of study which can be a Skills Programme, National Certificate, Diploma
or Degree.
3. SCOPE
The scope of this policy covers the certification of learners after successfully completing a learning
programme based on National qualifications Framework registered unit standards in the primary focus
of HWSETA.
4. POLICY APPLICATION
XXXXX’s will only issue a certificate for skills programmes or short courses.
The learner must retain the certificate issued by XXXXXXX’s as proof of achievement until a full
qualification has been achieved. The certificate should, as a minimum, contain the following:
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Institution name
HWSETA accreditation number if accredited
Company logo
Company registration number
Full Names & Identity Number of the learner
Qualification/Unit standard title, level, credits and SAQA ID
HWSETA learner achievement or endorsement number
Signatures;
Date of achievement;
Date of issue
HWSETA logo
SAQA logo
4.1 SECURITY OF CERTIFICATES
Certificates will have security features like a water mark and other features to prevent fraudulent and
corrupt production and issuing of unauthentic certificates. A company specializing in production of
security papers will be contracted to produce certificates.
4.2 ISSUING DUPLICATE CERTIFICATES
Should a learner loose the issued certificate, no original replacements will be made. The learner may be
issued with a duplicate certificate. The learner will pay a fee for issuing of a duplicate at a fee to be
determined by XXXXXXX from time to time based at determined fees.
5. COMMUNICATION OF POLICY
This policy will be circulated to all Facilitators of Learning, Assessors, Moderators and Support Staff. A
workshop will be conducted to familiarize Facilitators of Learning, Assessors, Moderators and Support
Staff with the policy. Learners will be informed of the certification process during orientation
programme.
6. EVALUATION AND REVIEW
The policy will be evaluated on a regular basis and reviewed once annually.
7. DOCUMENTATION
 An approved master copy (hard-copy) of the Learner Certification Policy
 An electronic copy of the Learner Certification Policy
 A signed circulation list of employees that received the Policy.
Appendices
Certificate Sample
Certificate of Competency
(Your name and company logo)
Issued to:
Full Names, Identity Number 7707073366086
For achievement of NQF Registered Qualification/Unit Standard:
Community Health Worker, level 3, 120 credits, SAQAD ID Number XXXX.
Learner Achievement date:
15 June 2010
Certificate Issue date:
20 July 2010
HWSETA endorsement number:
xxxxxxxx
________________________
Chief Executive Officer
______________________
Manager: Training
SAQA LOGO
HWSETA LOGO
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Table of Contents
1. Purpose
Name
Date
2. Definitions
3. Scope
4. Policy application
.1 Disciplinary code
.2 Offences
.2.1
Dishonesty
.2.2
Dangerous actions
.2.3
Other offences
.3 Disciplinary action
.3.1
Basic methods of disciplinary action
.3.1.1 Verbal warning
.3.1.2 Written warning and final written warning
.3.1.3 Dismissal from the organisation
.3.1.4 Formal disciplinary inquiry
.4 Right of appeal
5. Procedures
6. Communication of policy
7. Evaluation and review
8. Documentation
1. PURPOSE
The purpose of this policy is to regulate discipline in the learning environment with the key principle that
XXXXX as an education and training service provider should create an environment mutual respect
among employees and learners as well as learners themselves.
2. DEFINITION
Discipline is training to act in accordance with established rules; accustoming to systematic and regular
action; drill; or Subjection to rule; submissiveness to order and control; habit of obedience; or to
accustom to regular and systematic action; to bring under control so as to act systematically; to train to
act together under orders; to teach subordination to; to form a habit of obedience in; to drill.
3. SCOPE
This policy is applicable to all learners registered at XXXXXX for any learning programmes.
4. POLICY APPLICATION
4.1 DISCIPLINARY CODE
Disciplined behaviour is essential for the successful achievement of both the organisation’s and the
learner’s objectives. It is the responsibility of the management of XXXXX to maintain disciplined
behaviour. For discipline to be maintained fairly, the learners should know what constitutes misconduct
and the procedure which will be followed when dealing with misconduct.
A disciplinary code should be based on the following principles: Disciplinary action should be corrective as opposed to punitive, the aim being to bring about a
change in the behaviour of trainees who have indulged in undesirable actions, so that such trainees
adhere willingly, through greater acceptance and understanding, to standards of conduct and
performance.
 Punitive action should only be taken where prior and adequate corrective action has proved
ineffectual or when a first offence is very serious and or in deserving cases.
 As far as practicable, similar offences committed under similar circumstances will be treated equally
through similar disciplinary action.
4.2 OFFENCES
Serious offences:
These could be subject to an inquiry, result in action against the learner in the form of dismissal from
the organisation.
4.2.1 DISHONESTY
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Theft
Cheating assessments
Misuse of XXXXX property for private purpose (which is theft)
Any action that can be construed as dishonesty
Any attempt to commit any of the above.
4.2.2 DANGEROUS ACTIONS
These are actions endangering the lives, health and safety of staff, guests or other learners:
 Willful damage to the organisation’s property and/or equipment, the property of other trainees or
the property of guests.
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Flagrant disregard of safety standards.
Fighting, assault or attempted assault.
Refusal to obey legitimate and lawful instructions given by a member of the XXXXX staff.
Persistent misconduct following on two (2) pervious written warnings for the same or substantially
the same form of misconduct.
 Bringing and/ or using drugs on the organization’s premises (excluding prescription drugs)
4.2.3 OTHER OFFENCES
These usually consist of breaches of general discipline resulting in ordinary disciplinary action.
NB. The list of offenses set out is not exhaustive and serve only as an illustration.
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Absence from the training programme without prior notice.
Poor time-keeping
Being under the influence of liquor or drugs.
Bringing and/ or consuming liquor on the Institute’s premises.
Disorderly behaviour on Institute premises.
Being disrespectful towards other guests.
4.3 DISCIPLINARY ACTION
4.3.1 BASIC METHODS OF DISCIPLINARY ACTION/MEASURES
There are four basic methods of disciplinary action which can be taken against learners. In order to
severity these are:
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Verbal warning
Written warning
Final Written Warning
Dismissal from the Institute
4.3.1.1 VERBAL WARNING
 In the case of minor offenses, a lecturer should hold an informal disciplinary inquiry with the trainee,
which may result in a verbal warning.
 A written record of this warning should be kept for six (6) months.
4.3.1.2 WRITTEN WARNING AND FINAL WRITTEN WARNING
 If the verbal warning fails, the Learning Facilitator/Assessor should give the learner a formal written
warning. A repetition of wrongful behaviour or a more serious offence can result in final written
warning.
 A written warning shall be valid for a period of six (6) months, where after the trainee will revert to a
clear record.
 All written warnings will be recorded on a disciplinary form which will be placed on the trainees file.
A copy of the disciplinary form will be sent to the learner’s parents or guardian or employer.
4.3.1.3 DISMISSAL FROM THE ORGANISATION
When in the management’s opinion:
 Series of verbal and / or written warning given for minor misconduct have not been effected, or
 When a trainee is alleged to have committed a major misconduct, XXXXX must, before taking
disciplinary action, hold a formal inquiry.
4.3.1.4 FORMAL DISCIPLINARY INQUIRY
The following principles should be observed at that inquiry:
 The inquiry should be held as soon as possible after the event, provided that a reasonable time is
allowed for the trainee to prepare for his/ her defense.
 The learner may, if necessary, be suspended prior to, during or pending the outcome of the inquiry.
Conducting a Formal Disciplinary Inquiry
Normally present at the inquiry are:
 The chairperson of the inquiry. The chairperson must not be the complainant.
 The accused
 a trainee representative, unless the accused does not require representation. The representative
should be a fellow trainee and no legal representation is allowed.
 interpreter (if necessary)
 the complainant
At the start of the inquiry the chairperson should read out and explain the misconduct under inquiry.
The chairperson should ask the accused if she/ he understands the complainant and if so whether he/
she pleads guilty or not guilty
The learner rights at the inquiry are to:
 have an interpreter, if requested,
 have representation by a fellow trainee of his/ her own choice, if requested,
 have the opportunity to confer with representative, at reasonable times before, during and after the
inquiry,
 question the complainant and witnesses during the inquiry, either himself/ herself (he/ or through
his representative.
 give evidence himself/ herself (he/ she cannot be compelled to do so) to call witnesses to give
evidence and to argue either himself/ herself or through his/her representative on the question of
whether the misconduct occurred.
 give evidence himself/herself to call witnesses to give evidence and to argue either himself/herself
or through his/her representative in mitigation of disciplinary action.
Outcome of Inquiry
After hearing all sides of the case, the chairperson must decide whether the alleged misconduct was
committed or not and if so, on the action to be taken. The action taken should be in line with this
Disciplinary Code and Procedures and thus with previous decisions involving the same or substantially
the same circumstances.
The outcome of the inquiry may include;
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exoneration,
a verbal warning,
a written warning, or
a dismissal.
The learner will be allowed an opportunity to mitigate on the severity of the penalty.
4.4 RIGHT OF APPEAL
The learner has the right to appeal against a dismissal to the next level of management above that of
the chairperson, such appeal to be lodged within three (3) working days of the decision to dismiss.
Grounds for appeal may include;
 Incorrect procedure followed, or
 New evidence that existed at the time of the misconduct
5. COMMUNICATION OF POLICY
The disciplinary code policy will be circulated to all learners upon admission at XXXXX for any learning
programme. The learners will be informed of the disciplinary code during orientation.
6. DOCUMENTATION
 An approved master copy (hard-copy) of the Disciplinary Code Policy
 An electronic copy of the Disciplinary Code Policy
 A signed circulation list of learners that received the Policy.
Policy Code
Effective Date
Review
date
Approved
By
Version
Number
Signature
Name
Date
Table of Contents
1.
2.
3.
4.
5.
6.
7.
8.
Purpose
Definitions
Scope
Policy application
4.1 Learner recruitment and selection
4.2 Learner recruitment
4.3 Learner selection
Procedures
5.1 Non South African learner recruitment and selection
5.2 Employee training and development
5.3 Language policy
5.4 Appeals
Communication of policy
Evaluation and review
Documentation
1. PURPOSE
The purpose of this policy is to regulate and provide clear guidelines based on good practice for the
recruitment and selection of prospective learners to advance the objectives of redress, equity, quality,
excellence and optimal success of learners who gain admission to XXXX.
2. DEFINITIONS
 Prospective learner is a person who qualifies to study for a subsidised programme at XXXX.
 Recruitment is an integrated process which, through marketing and promotional activities, aims to
create an awareness, interest and desire amongst prospective learners who meet the entrance
requirements to learn at XXXX.
 Rules of Admission is the minimum requirements for access to a module or programme.
 Learner selection is the process and mechanisms whereby a person is offered the opportunity to
register for a specific programme at XXXXX.
3. SCOPE
This policy applies to the recruitment and selection of learners to all learning programmes of study at
XXXX which lead to achievement of a unit standard or a qualification, and has application to all persons
who represent XXXX in the recruitment and selection of prospective learners.
No specific requirement for the recruitment and selection of learners may be inconsistent with or
contravene the provisions of this policy.
4. POLICY APPLICATION
4.1 LEARNER RECRUITMENT AND SELECTION
 Learner Recruitment and Selection is in accordance with the strategic indicators of XXXXX;
 XXXX recognises that learner recruitment and selection is a complex process that includes the
promotion and marketing of programmes to prospective learners, parents, advisors, life-orientation
facilitators and other relevant stakeholders; the identification and selection of applicants for specific
programmes of learning; the number of places available on a programme of learning; alignment
with the admission policy, processes and procedures and support of national imperatives regarding
“skills shortages and human resources”.
 A prospective learner who has special needs is made aware of the support that XXXXX can offer,
while not allowing these issues to affect any decisions on admission.
 Within the confines of the specified recruitment procedures and selection criteria XXXX is
committed to ensuring that no potential learner receives prejudicial treatment on the basis of age,
colour, creed, disability, ethnic origin, gender, marital status, nationality, race, sexual orientation or
social class or is disadvantaged by requirements, peer and employee’s attitudes or behaviour that
cannot be seen as justifiable.
 Compliance with XXXXXX’s rules of access does not give applicants automatic right of admission to
any programme of study or qualification offered by XXXX. Admission may be refused on any of the
following grounds (amongst others):
(a) limitation (capping) of learners numbers;
(b) the Enrolment Management Plan of XXXXX;
(c) XXXXX infrastructure (e.g. staff, classrooms, laboratories);
(d) limitation (capping) of learner numbers and additional requirements stipulated by professional
bodies and SETAs;
(e) specific requirements, approved by XXXXX.
 Recruitment information and learner selection criteria have reference to programmes;
4.2 LEARNER RECRUITMENT
 XXXXX provides accurate information on programme requirements regarding application, selection
and admission procedures, fee structures, social and support facilities and contact details.
 Marketing materials comply with the XXXX’s corporate identity, are relevant, accurate at the date of
publication, not misleading, accessible and provide information that enables prospective learners to
make informed decisions about their options.
 Policies and procedures are transparent and applied fairly, courteously, consistently and
expeditiously.
 Former learners may play a supportive role in the recruitment of prospective learners.
4.3 LEARNER SELECTION
 Explicit selection criteria are determined for each programme recommended by XXXXX.
 Selection criteria for learning at XXXXX include one or more of the following:
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learning programme-specific requirements;
personal interviews;
biographical information;
portfolios of evidence;
Recognition of Prior Learning (RPL);
 In the event of selection criteria being weighted, such weighting is specified.
 The best learners are selected on the basis of performance and any other evidence of potential as
required by the curriculum and professional requirements of the programme for which application is
made.
 XXXX is responsible for learner selection. Delegation of authority may be devolved as deemed fit.
 The selection status of applicants released by Administration is limited to ‘accepted’, ‘not accepted’
or ‘on the waiting list’. Release of reasons for the selection status of an applicant is confidential and
is the responsibility Management when requested by an applicant.
5
PROCEDURES
5.1 NON-SOUTH AFRICAN LEARNER RECRUITMENT AND SELECTION
The recruitment and selection of non-South African learners is subject to the conditions set out in the
Immigration Act No. 13 of 2002.
5.2 EMPLOYEE TRAINING AND DEVELOPMENT
XXXX ensures that all employees involved in learner recruitment and selection are competent to fulfil
their roles and responsibilities in order to ensure compliance and consistency of procedures.
5.3 LANGUAGE POLICY
The recruitment and selection processes are conducted in accordance with the provisions of XXXXX’s
language policy.
5.4. APPEALS
Should an applicant not be admitted to a programme:
 a request may be made to the Facilitator who shall attempt to give comprehensive feedback on
admission matters, failing which the applicant may be referred to the Manager concerned for
feedback;
 feedback is accompanied by guidance in terms of how an applicant can improve his/her chances of
being successful in a subsequent application; and/or
 the applicant may be referred fro learner counselling for possible redirection to a more appropriate
course of action;
 if the applicant is still not satisfied; the matter can be referred to the CEO
 As XXXX is unable to grant automatic right of admission to all applicants who meet the minimum
selection criteria, an appeal may only be made on the grounds that:
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6
the relevant facilitator in which the programme resides failed to follow its published selection
process; and/or
the process is inconsistent with XXXX’s policies on learner selection and admission.
An appeal should be lodged with the Manager within 10 working days of final notification of the
outcome of the selection and admission processes.
COMMUNICATION OF POLICY
This policy will be circulated to all staff at XXXXXX and communicated to the general public and
prospective learners through a variety of communiqué including brochures, radio, newspaper
advertisements, newsletters ect.
7
EVALUATION AND REVIEW
The policy will be evaluated on a regular basis and reviewed once annually.
8
DOCUMENTATION
 An approved master copy (hard-copy) of the Learner Admission Policy
 An electronic copy of the Learner Admission Policy
 A signed circulation list of employees that received the Policy.
APPENDICES
 Learner Admission Application Forms
XXXXXX
LEARNER ADMISSION APPLICATION FORM
Surname
Full names
Title
Identity number
Date of birth
Nationality
Gender
Race
Home language
Employment status
Disability status
Citizenship
Physical address
Code
Postal address
Code
Phone number
Mobile number
Fax number
E-mail
Highest grade passed
Tertiary qualification/s
Learning Programme Applied
Year of Learning
Venue
Course start date
Name of Guardian
Signature of guardian
Learner signature
Date signed