CERTIFICATION POLICY AND PROCEDURE

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Everett Edwards
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1 CERTIFICATION POLICY AND PROCEDURE 24 MAY 2007 Page 1 f 10

2 PROCESS Certificatin Plicy and Prcedure DOCUMENT NO. LGSETA/Certificatin/ETQA/001 ISSUE DATE VERSION NO. 02 DOMAIN ETQA REPOSITORY K/ETQA/plicy/ REVISION DATE 24 May 2007 NEXT REVISION DATE 01 June 2010 ORIGINATOR(S)/AUTHOR(S) Page 2 f 10

3 APPROVAL SHEET APPROVED BY Name Title Designatin Date Signature APPROVED BY Name Title Designatin Date Signature APPROVED BY Name Title Designatin Date Signature AUTHORISED BY Name Title Designatin Date Signature Page 3 f 10

4 1. PURPOSE The Certificatin Plicy and Prcedure purprts t reflect the Lcal Gvernment Sectr Educatin Training Authrity s (LGSETA) cmmitment t the Terms and Cnditins f Accreditatin as an Educatin Training Quality Assurance Bdy (ETQA) as cntemplated in the ETQA Regulatins N f The latter includes inter alia the accreditatin f cnstituent training prviders and wrkplace prviders f training, the registratin f cnstituent assessrs and mderatrs, and the certificatin f cnstituent learners. 2. SCOPE The Certificatin plicy and prcedure shall apply t all accredited cnstituent training prviders and wrkplace prviders f training, registered cnstituent assessrs and mderatrs, and the certificatin f cnstituent learners seeking recgnitin fr the achievement f a Natinal qualificatin registered n the Natinal Qualificatins Framewrk (NQF). 3. RATIONALE The ratinale fr the develpment and implementatin f this plicy is t ensure cmpliance t the requirements fr the certificatin f accredited cnstituent training prviders and wrkplace prviders f training, registered cnstituent assessrs and mderatrs, and cnstituent learners wh have achieved the statuses f accreditatin, registratin and cmpetence against qualificatins and/r unit standards falling within the primary fcus f the LGSETA. It has further been develped t emphasise the fraud preventin measures and cntrls t ensure the credibility f the certificates issued by the LGSETA r any accredited training prvider r wrkplace prvider f training delegated in terms f the cnditins f accreditatin and certificatin t deliver learning prgrammes falling within the primary fcus f the LGSETA as per the ETQA Regulatins N which state that the ETQA shall: Accredit cnstituent prviders fr specific standards r qualificatins registered n the NQF; Evaluate assessment and facilitatin f mderatin amngst cnstituent prviders; Register cnstituent assessrs and mderatrs fr specific standards and qualificatins in terms f the criteria established fr this purpse; Take respnsibility fr the certificatin f cnstituent learners; Delegate selected functins cntemplated in sub-regulatin (1) t a cnstituent prvider r ther bdy with the prir apprval f the authrity, but may nt delegate its accuntability t the Authrity. 4. THE CERTIFICATION PROCESS AND PROCEDURE A cnstituent training prvider, wrkplace prvider f training, cnstituent assessr and mderatr, and cnstituent learner wh have achieved the status f accreditatin, registratin r cmpetence shall be certified by the LGSETA and issued a certificate in accrdance with the terms and cnditins f accreditatin, registratin and achievement as cntemplated in the Suth African Qualificatins Authrity (SAQA) ETQA regulatins, Registratin f Assessrs and Mderatrs, Certificatin f Learners by Accredited ETQA Bdies, and Plicy fr Acceptable Usage f SAQA Trademarks by Stakehlders. 4.1 Cnditins fr Issuing Certificates Certificates will nly be issued nce all details f the training prvider, assessr, mderatr and learner have been laded n t the Natinal Learner Recrds Database (NLRD) system Certificatin f Accredited Educatin and Training Prviders All certificates fr the recgnitin f accredited educatin and training prviders against full qualificatins shall be issued with the fllwing infrmatin: Registratin name(s) f the ETD Prvider Page 4 f 10

5 Registratin/Identificatin Number f the ETD Prvider Status f Accreditatin Title f qualificatin fr Accreditatin Appendix describing the Unit Standard(s) assciated with the Qualificatin Accreditatin Date Accreditatin Expiry Date Signature f ETQA Manager Signature f LGSETA CEO Date f Issue LGSETA Name, Lg and seal SAQA Lg, Hlgram and serial number Certificate serial number Certificatin f Registered Cnstituent Assessrs and Mderatrs All certificates fr the recgnitin f registered cnstituent Assessrs and Mderatrs against full qualificatins shall be issued with the fllwing infrmatin: Full name(s) and surname f the Assessr r Mderatr Identificatin Number f the Assessr r Mderatr Assessr r Mderatr Registratin Number Title f qualificatin registered t assess r mderate Appendix describing the Unit Standard(s) assciated with the Qualificatin Registratin Date Registratin Expiry Date Signature f ETQA Manager Signature f LGSETA CEO Date f Issue LGSETA Name, Lg and seal SAQA Lg, Hlgram and serial number Certificate serial number Certificatin f Recgnitin f Learner Achievement(s) All certificates fr the recgnitin f learner achievement(s) against full qualificatins shall be issued with the fllwing infrmatin: Full name(s) and surname f the Learner Identificatin Number f the Learner Title, number, level, and credits f the qualificatin achieved Achievement date Issue date SAQA Lg, Hlgram and serial number NLRD Number f Learner LGSETA Name, Lg and seal Signature f LGSETA CEO Signature f ETQA Manager Certificate serial number Ntificatin and Distributin f Certificates fr Accreditatin, Registratin and Achievement(s) The LGSETA shall ntify in writing fr cllectin and/r frward all certificates by registered mail t the training prvider, assessr, mderatr r learner. Recrds f all certificates issued with dates, signatures, quantity f certificates and serial numbers shall be kept in a secured rm with limited access. 4.2 Prcedure fr Issuing Certificate Page 5 f 10

6 4.2.1 Accredited ETD Prviders and Registered Assessrs and Mderatrs The LGSETA upn receipt f the required infrmatin shall verify the infrmatin against the plicies and data captured n the database fr the ETD prvider, assessr and mderatr; The LGSETA shall receive the verified and the fllwing infrmatin fr the recgnitin f the accredited ETD prvider, assessr r mderatr: A recmmendatin reprt specifying the accreditatin r registratin status and perid A decisin f the ETQA Plicy Cmmittee t accredit the prvider r register the assessr r mderatr fr the perid specified. The ETQA Manager shall cmmunicate the decisin t the accredited cnstituent prvider, assessr r mderatr; The ETQA Manager shall request the printing f the certificate and affix the SAQA hlgram and LGSETA seal r any ther persn designated t d s; The ETQA Manager shall validate the certificate by signing it tgether with the LGSETA CEO; The riginal cpy f the certificate will be frwarded t the prvider and a cpy f the riginal will be kept in a secure rm with all the relevant recrds and register Recgnitin f Learner Achievements The cnstituent ETD prvider shall ntify the LGSETA in writing upn cmpletin f mderated assessments with the fllwing infrmatin attached: Accreditatin status Learner Infrmatin details Assessment and Mderatin reprts Learner achievements An n-site verificatin visit will be cnducted in line with the prcedures fr assessment and mderatin; A verificatin reprt will be cmpiled and submitted by the designated verifier(s) t the ETQA Manager r any ther persn s designated; The ETQA Manager will acknwledge, capture and verify the learner achievements; A recmmendatin reprt fr the endrsement f learner achievements will be submitted by the ETQA Manager r any ther persn s designated t the ETQA Plicy Cmmittee; The ETQA Plicy Cmmittee shall endrse the learner achievement results; The learner achievement results will be up-laded n the database linked t the NLRD t generate the learner s NLRD number; The ETQA Manager r any ther persn s designated will cmmunicate the decisin f the ETQA Plicy Cmmittee t the ETD prvider; The ETQA Manager r any ther persn s designated will request that a certificate be generated; The ETQA Manager and the LGSETA CEO shall sign the certificate t validate its authenticity; The riginal cpy f the certificate will be frwarded t the prvider and a cpy f the riginal will be kept in a secure rm with all the relevant recrds and register; The ETQA Manager r any ther persn s designated will frward reprts n learner achievement results and any ther infrmatin s required t SAQA in accrdance with the agreed prcedures and timeframes fr reprting. 4.3 Cnditins fr nt Issuing Certificates Page 6 f 10

7 A certificate shall nt be issued if the abve cnditins fr issuing certificates and the fllwing cnditins have nt been adhered t: Requirements fr accreditatin f training prviders, registratin f assessrs r mderatrs and learners achievement f cmpetence; Timeus cmmunicatin within 60 days f cmpletin f mderated assessments by the training prvider; Preparatin f a certificatin r graduatin ceremny prir t ntifying the LGSETA t cnduct verificatins f mderated assessments; Lack f evidence f frmal receipt frm the LGSETA n the endrsement f Learner achievements; Flaws r irregularities in the accreditatin, registratin, assessment and/r mderatin, quality assurance f learner achievement prcesses; Inadequate and incnsistent assessments, mderatins, and quality assurance f learner achievements; Incmplete r incnsistent learner, assessr r prvider infrmatin; Any ther irregularities that may be detected during and after the verificatin prcess. 4.4 Quality Assurance Measures in the Issuing f Certificates The fllwing quality assurance measures shall apply in the issuing f certificates: Rutine updating and validatin f the cnstituent prvider, assessr, mderatr and learner infrmatin submitted; Accurate and cntinuus capturing f data n the database linked t the NLRD; Mnitring and auditing the accuracy f the infrmatin captured n individual learner recrds fr up-lading n the NLRD; On-site verificatins f mderated assessments and prvisin f supprt n prblem areas; Endrsement f the verificatin reprts fr ratificatin by the LGSETA ETQA Plicy Cmmittee and cmmunicatin by the ETQA Manager r any ther persn s designated; Cnfirmatin f details n the certificatin by Administrative persnnel befre issue. 4.5 Security, Fraud, Preventin, Authenticity and Delegatin Measures and Cntrl The integrity, security and cntrl f data and issue f certificates shall be ensured by putting in place the fllwing security measures: Access t the database and up-lading f data shall be limited t the LGSETA ETQA Management and ETQA persnnel designated t perfrm this functin; The designated persnnel t access the database and up-lad data shall be issued with individual passwrds; All certificates shall be printed in accrdance t the recmmendatins, cnditins and specificatins f the SAQA Dcument n Certificatin f Learners by Accredited Bdies and Plicy n Acceptable Usage f SAQA Trademarks by Stakehlders; All certificates shall be issued n a special kind f paper and shall bear the LGSETA name, lg, seal, crprate clurs prjecting its crprate image and will have the fllwing security measures: Paper type watermark security paper 95gsm-120gsm Invisible LGSETA lg watermark Security ink used t print the certificates Explding numbers SAQA lg, hlgram and serial number The LGSETA will issue the certificates slely fr the fllwing purpses: Fully accredited ETD prviders Registered Assessrs and Mderatrs Page 7 f 10

8 Learner Achievements against registered full NQF qualificatins falling within the primary fcus f the LGSETA All certificates shall be issued against the LGSETA s primary fcus NQF registered qualificatins with signatures f the fllwing LGSETA designated fficials: LGSETA Chief Executive Officer ETQA Manager All certificates shall be issued n the fllwing cntrl measures t ensure the security f the certificates: All certificates shall be kept in a secure rm with limited access; All certificates shall have sequential numbers assigned t assist with filing and auditing; A register f all certificates issued shall be kept and will have the fllwing infrmatin: Date f print; Name f persn wh printed the certificate Number f certificates printed and their serial numbers; Number f certificates cancelled and destryed and their serial numbers. The LGSETA will slely use their wn certificates and nt use any thers. All certificates shall be designed and printed by the LGSETA and/r designated and cntracted service prvider. All csts fr printing f the certificates shall be carried by the LGSETA. All frmats f the certificates that the LGSETA wishes t delegate fr use by the delegated cnstituent prvider falling within the primary fcus f the LGSETA shall be agreed upn between the LGSETA and the delegated cnstituent ETD prvider; A cnstituent prvider shall request permissin in writing frm the LGSETA fr delegatin t issue certificates within qualificatins that fall under the scpe f Accreditatin f the LGSETA; A representative in authrity f the cnstituent prvider shall cmmit in signature t adhere t the terms and cnditins fr such delegatin until such time that permissin is withdrawn by the LGSETA r cnstituent prvider in writing; The delegated ETD prvider shall carry the cst fr the printing f the certificates whse frmat shall be agreed upn by the LGSETA and the delegated ETD Prvider; All certificates shall be issued n a special kind f paper whse specificatins shall be agreed upn between the LGSETA and the delegated ETD prvider whse integrity has been determined and accreditatin cnfirmed; 5. DUPLICATE CERTIFICATES The LGSETA shall issue duplicate certificates upn written request by the cnstituent training prvider, assessr, mderatr r learner with full mtivatin f why a duplicate certificate shuld be issued. The request may be ratified by the ETQA Plicy Cmmittee upn merit and cnfirmed in writing by the ETQA Manager. All certificates issued with incrrect infrmatin t cnstituent prviders, assessrs, mderatrs, r learners shall be recalled and destryed befre any ther certificate is issued. 6. APPEALS The cnstituent training prvider, assessr, mderatr, learner may appeal t the LGSETA against the decisin made by the ETQA Plicy Cmmittee nt t award a certificate in terms f the LGSETA Appeals Plicy and Prcedure. 7. GLOSSARY OF TERMS Page 8 f 10

9 The legislative terms used in this plicy and prcedure dcument are as defined in the SAQA plicy dcuments n Criteria and Guidelines fr ETQAs, 2001 and Criteria and Guidelines fr the Registratin f Assessrs, and have been used withut alteratin t avid differentiatin in meaning and cntext within which they have been cnceptualised and used. Achievement refers t the recgnitin granted t a learner when all required learning utcmes have been successfully demnstrated. Accreditatin means the certificatin, usually fr a particular perid f time, f a persn, a bdy r an institutin as having the capacity t fulfil a particular functin in the quality assurance system set up by the Suth African Qualificatins Authrity in terms f the Act. Assessment means the prcess f cllecting evidence f learners wrk t measure and make judgments abut the achievement r nn-achievement f specified Natinal Qualificatins Framewrk standards and/r qualificatins. Assessr means the persn wh is registered by the relevant Educatin and Training Quality Assurance Bdy in accrdance with criteria established fr this purpse by a Standards Generating Bdy t measure the achievement f specified Natinal Qualificatins Framewrk standards r qualificatins, and "cnstituent assessr" has a crrespnding meaning. Auditing is an event cnducted within a specified perid and the utcme f which is a summative evaluatin f attainment f quality. Cnstituent means belnging t the defined r delegated cnstituency f an rganisatin r bdy referred t in these regulatins. Educatin, Training and Develpment (ETD) Practitiner, is a term used in this dcument t include the whle spectrum f educatrs and trainers: teachers, trainers, facilitatrs, tutrs, markers, lecturers, develpment fficers, mentrs and the like. Educatin and Training Quality Assurance (ETQA) Bdy means a bdy accredited in terms f sectin 5(1) (a) (ii) f the Act, respnsible fr mnitring and auditing achievements in terms f natinal standards r qualificatins, and t which specific functins relating t the mnitring and auditing f natinal standards r qualificatins have been assigned in terms f sectin 5(1) (b) (i) f the Act. Learner means an individual wh is participating in a learning prgramme with the purpse f achieving credits fr standards and r qualificatins Learning prgramme means the cmbinatin f curses, mdules r units f learning (learning materials and methdlgy) by which learners can achieve the learning utcmes fr a qualificatin. Mderatin means the prcess which ensures that assessment f the utcmes described in Natinal Qualificatins Framewrk standards r qualificatins is fair, valid and reliable; Mderatr means the persn wh mderates assessments. Mnitring is a cntinuus prcess f review f quality that can be cnducted internally and/r externally t recmmend quality imprvements. Natinal Learners Recrds Database (NLRD) refers t an electrnic infrmatin system that assists the SAQA t manage the NQF. Primary fcus means that activity r bjective within the sectr upn which an rganisatin r bdy cncentrates its effrts. Page 9 f 10

10 Prvider means a bdy which delivers learning prgrammes which culminate in specified Natinal Qualificatins Framewrk standards r qualificatins and manages the assessment theref. Qualificatin means the frmal recgnitin f the achievement f the required number and range f credits and ther requirements at specific levels f the NQF determined by the relevant bdies registered by SAQA. Quality assurance means the prcess f ensuring that the degree f excellence specified is achieved. Registered standards means standards r qualificatins registered n the Natinal Qualificatins Framewrk. Registratin means the prcess which ensures that the persn wh assesses learner cmpetence has the requisite criteria recmmended by Standard Generating Bdies (SGBs) fr specified NQF registered standards and/r qualificatins. Registered cnstituent assessr means an assessr wh has met the requirements fr registratin as an assessr f specified NQF qualificatins and/r standards and has been registered by the ETQA under whse primary fcus the standards and qualificatins fall. Registered cnstituent mderatr means a mderatr wh has met the requirements fr registratin as a mderatr f specified NQF qualificatins and/r standards and has been registered by the ETQA under whse primary fcus the standards and qualificatins fall. Sectr means a defined prtin f scial, cmmercial r educatinal activities used t prescribe the bundaries f an Educatin and Training Quality Assurance Bdy. Unit Standard refers t registered statement f desired educatin and training utcmes and its assciated assessment criteria tgether with administrative and ther infrmatin as specified in the regulatins. Validatin means the verall prcess by which it is determined by an ETQA whether r nt an assessment is valid (has succeeded in assessing what it claims t have assessed); and leading t the acceptance r rejectin f assessment results it can include a range f validatin ptins, fr example, verificatin, statistical analysis, examinatin f the assessment instrument, sampling f evidence f applied cmpetence, bservatin f prcesses, site visits r interviews. Verificatin means the prcess managed by an ETQA fr externally verifying (checking) mderatin prcesses and cnfirming r verturning mderatin findings. Verifier means the persn wh verifies the mderatin prcess. 8. REFERENCES This plicy and prcedure dcument must be read in cnjunctin with the fllwing SAQA dcuments: a. ETQA Regulatins N f b. Certificatin f Learners by Accredited ETQA Bdies. c. Plicy fr Acceptable Usage f SAQA Trademarks by Stakehlders. d. Criteria and Guidelines fr the Registratin f Assessrs. Page 10 f 10

CERTIFICATION POLICY

CERTIFICATION POLICY Table of contents 1. Background... 3 1.2 Definitions... 3 1.3 Application and Scope... 5 2. Statement of Policy Intent... 6 3. General requirement... 7 4. Issue of certificates...