• Document No. 001

  • Auditor details

  • Auditor Contact Details

  • Auditor signature

  • Add drawing

  • Date and time

  • Institution Name

  • Telephone

  • Address
  • contact person in the organization

  • Contact details

  • Pictures of institution building

  • Number of programmes to be audited on this visit

  • Names of persons to be interviewed

  • Names, designations and reason for selection

  • Number of sites the institution operates

  • Audit site details

Institutional Management and Planning

Institutional Management and Planning

  • Organogram of the company

  • Add media

  • Does the institution have a strategic plan?

  • Does the plan show the future vision of the institution?

  • Does the institution have a vision statement drawn from the strategic plan?<br>

  • Does the institution have a business plan drawn from the strategic plan and is known to senior managers?

  • How would you rate the staff knowledge of the strategic and business plan?

  • Select from range

  • Does the business plan have a budget to support the development of the business plan

  • Does the mission statement link to the business and strategic plan?

  • Are the goals and objectives clear, and do they link to the strategic direction of the institution?

  • Rate the quality of the goals and objectives and their link to the identified strategy



  • Does the institution have a marketing plan which clearly identifies how it would market it's products and services

  • Has the institution identified its unique selling points (USP)

  • Are the institutions products and services accessible to its target market?

  • Is the information contained in the marketing material compliant with legal and regulatory requirements?

  • Does the institution evaluate its marketing strategies?

Prospectus or Brochure

  • Does the institution have a clear prospectus that communicates all the service offerings of the institution?

  • Does it have an institutional Organogram

  • Does it have the staff in the different programmes?

  • Does it include articulation possibilities

  • Does it offer RPL opportunities

  • Does it include the target groups and the learner entry requirements

  • Does it include the support services offered by the institution?

  • Does it include assessment requirements?

  • Does it include a learner code of conduct?

  • Does it include the rules of the institution and the disciplinary measures?

  • Rate the quality and appeal of the prospectus

  • Select from range

Legal and Regulatory

Legal and Regulatory

  • Does the institution have compliance with the quality council for each of its programmes?

  • Is the accreditation and/or registration letter from the quality council visible to the learners?

  • Is the vision, mission and quality statements visible at the institutions reception?

  • Rate the quality of the display of these statements

  • Select from range

  • Does the institution have all its compliance requirements filed neatly and correctly for audit purposes?

  • Rate the quality of this file

  • Select from range



  • Does the institution have a clear finance policy?

  • Does the institution have the resource requirements per programme in line with the budgets?

  • Rate the institutions preparation and quality of resource lists

  • Select from range

  • Does the institution show financial stability to offer the learning programmes it does? Base this on the analysis of the audited institutional documents. <br>Confirmation from auditors or banking institutions could be accepted.

  • Rate the financial stability of the institution

  • Select from range

  • The institution prepares good finance management evident in the income and expense statement and the year to date budgeting.

  • Does the institution have an accurate asset register include any technical tools and equipment?

  • Does the institution have an effective system to manage its student fees and related income.

  • Rate the institution system to manage its income.

  • Select from range

  • Has the institution identified the financial risks that can occur

  • Rate the institution ability to identify and manage it s risks

Human Resources

Human Resources

  • Institution has a clearly formulated HR policy and procedures

  • Rate the effectiveness of the HR policies

  • Select from range

  • Institution has a clear staff recruitment and selection policy and procedures that outlines the staff induction procedures

  • The institution complies with the basic conditions of employment and related labour relations

  • Institution complies with the employment equity requirements

  • Institution has clear job descriptions with responsibilities and accountabilities

  • All staff are issued with company employment contracts

  • Institution has a performance management system to promote effective teaching and learning

  • This is in line with the the institutions workplace skills plan?

  • Staff development plans are evaluated in line with the staff appraisals to increase productivity

  • The system is well documented and includes all staff.

  • Staff are registered with the professional body linked to the designation where one exists

  • A staff development plan is in place for all staff.

  • Rate the institutions management of the performance and skills planning

  • Select from range

  • HR records and staff files are kept in line with the quality policy of the institution.

  • All staff sign a code of conduct and Code of ethics.

  • Institution complies with all statutory requirements: BCE, OHS, UIF, PAYE, Fire safety



  • Administration documents are in line with the institutional quality policy

  • Procedure documents clearly identify roles and responsibilities

  • Administration resources are adequate as per industry requirements

  • Rate the administrative resource provisioning

  • Select from range

Learner Enrolment

  • Learner Enrolment/recruitment policy and procedures are well designed and clear

  • Learner enrolment processes are well structured and documented.

  • Learner registration processes are clear to all administration staff

  • Learner records are well maintained in line with the quality policy and the requirements of the quality council

  • Are the learner files well maintained and indexed?

  • Do the learner files have all the documents required by the quality council: e.g. certified ID copies, matric certificate, certified copies of school certificates.

  • Security of administration and learner records are governed by good policy and procedures

  • Statistics on learner attendance per programme is available and accessible

  • Learner records are maintained and archived according to the requirements of the quality council

  • Rate the quality of learner records and archive.

  • Select from range

  • Statistics on learner drop out rates with reasons are available as per requirements of the quality policy

  • Institution collates tracer studies on learners who have completed their studies and found job placements

  • Rate the institutions management of learner records

  • Select from range

Institutional Resources

Institutional Resources

Physical resources match the number of learners and the quality requirements

  • Lecture and training rooms meet the teaching requirements. Rooms are fitted in line with the quality policy and quality council requirements

  • Physical premises: Documents confirm ownership or rental of premises to meet the programme requirements

  • Teaching and learning resources are available in line with the institutions quality policy : projectors, computers, videos, podcasts.

  • Rate the quality of teaching and learning resources

  • Library: Copies of prescribed texts, recommended readings, related learning content including technology and ebooks

  • Select from range

  • Rate the institutions library resources

  • Select from range

  • Rate the institutions use of technology in the teaching and learning.

  • Select from range

  • The management of equipment is in line with the quality policy. Documenatation of calibration and maintenance of equipment is available.

  • In technical programmes, full fitted workshops with the required equipment meet curriculum requirements

  • Ablution facilities and access to drinking water and refreshments are in line with learner numbers

  • Legal documents available if resources are shared

  • Institution has a site plan outlines the resource layout

  • Does the building have access to people with disabilities

  • facilities management plan is used to manage institutions resources

  • Buildings are clean and well maintained.

  • Rate the cleanliness and neatness of the building

  • Select from range

  • Adequate facilities are available to staff and learners during breaks

  • The building has been evaluated by a professional and is certified to be compliant with the national safety requirements of the Department of Labour?

  • In emergencies, the building has escape routes identified and marked on an evacuation plan?

  • The building has fire extinguishes that are checked according to safety requirements?

  • Do the number of learners match the building capacity?


Quality Management

  • Does the organization establish, document, implement, maintain and continually improve a quality management system.

  • Does the institution have a quality manual.

  • Identification of processes needed for the QMS and their application throughout the system.

  • Are there policy and procedures for all the institutions processes?

  • Are there adequate determination and sequence and interaction of these processes

  • Is there a quality policy that identifies corrective action requirements?

  • Has the organization established some type of documentation and controls for the QMS?

  • Does the quality include a statement of commitment to meeting requirements, customer satisfaction and to continual improvement of the QMS.?

  • Is the quality policy communicated and understood at appropriate levels in the organization?

  • Are the quality objectives clear and measurable?


  • Is there evidence of involvement by top management towards development and improvement of the QMS through the following: Iniation of action/ measures to communicate to the organization the importance of meeting regulatory and legal requirements as applicable to the programme offered?

  • Measures to communicate with the organization the importance of meeting customer requirements?

  • Are there measures For top management to conduct management reviews?

  • Is there measures for top management to review resource requirements including having measures to collect data on resource needs and provide timely resources to achieve quality objectives?

  • Does top management have methodologies to ensure that customer needs and expectations are determined through the QMS, and these are converted into requirements and fulfilled with the aim of achieving customer satisfaction?

  • Quality focused meetings are held regularly?

Quality of Records

control of Documents

  • has the documented procedure been established to control all documents?

  • does the procedure include controls for the approval of documents for adequacy prior to use?

  • Measures to identify changes and current version status of documents.

  • Measures to prevent the unintended use of obsolete documents, and to apply suitable identification to them if they are retained for any purpose.

  • has the documented procedure been established for the identification, storage, retrieval, protection, retention, time and disposition of quality records and learner records?

  • learner records are regularly updated and available for checking?

  • Staff are allocated responsibility of checking and auditing learners records

  • Has top management identified functions and interrelationships to facilitate effective quality management?

  • Has top management defined and communicated to the organization the responsibilities and authorities of those involved in the effective operation of the QMS?

  • Has top management appointed a member (s) as "management representative" with responsibility and authority to<br>:report to management on the performance of the QMS, including needs for improvements?

  • Promote awareness of customer requirements throughout the organization.

  • Does the organization ensure communication at various levels and functions regarding the processes of the QMS and their effectiveness?

  • Are the review intervals planned?

  • Do reviews include the need for changes to the QMS, quality policy, and / or quality objectives?

  • Does the review input include current performance and improvement opportunities related to:results of audit/evaluations.

  • Does it include customer feedback.

  • Process performance and learning material feedback.

  • Status of corrective and preventative actions

  • Follow up action from earlier management reviews

Per programme

Curriculum Development

  • Has the need for the qualification been established in the region?

  • Is it responsive to the needs of industry and labour market generally?

  • Is the programme based on a QCTO recognized qualification and NQF aligned?

  • Has stakeholders been involved in the development of the curriculum?

  • Did the process get approval from the decision making body of the institution?

  • ARe the objectives clearly stated?

  • has the curriculum been structured to promote learner achievement?

  • Has the curriculum been structured to effective use time and resources?

  • has the work integrated learning component been properly document <br>Ed in the curriculum?

  • Have the resource requirements for the curriculum been identified I.e. human, physical and material?

  • Does the curriculum identify the rationale for the learning programme?

  • Does it identify the performance indicators?

  • Programme entry requirements?

  • Are the learner requirements clearly outlined?

  • has the credit and allocation of hours been explained?

  • Does it identify articulation possibilities?

  • Does the programme have an instructional strategy that recommends the teaching and learning methods appropriate to the competences?

  • Is the sequence of the programme structured logically?

  • Does the curriculum provide a list of prescribed and recommended texts and/or resources?

  • Is the minimum and maximum duration of the programme specified?

  • Does the programme have an RPL framework?

  • Are the review requirements stated?

Per programme internal audit

internal Audit

  • has a documented procedure been established that includes the responsibilities of the parties in the institution for conducting the audit?

  • are the requirements for the audit been specified?

  • Has the audit criteria, scope, frequency and methods been identified?

  • criteria for the selection of auditors ensuring audit independence?

  • Requirements for recording audit evidence?

Analyse audit evidence

  • How does the institution report the analysis?

  • Does the management take timely corrective action on deficiencies found during the audit?

  • Are follow up actions part of the audit process?

  • Are suitable methods established for measurement and monitoring of those processes necessary to meet customer requirements?

  • When planned results are not achieved is corrective action taken?

Monitoring and measurement

  • Has the organization established appropriate stages to measure and monitor programme characteristics?

  • Do the measurement and monitoring records indicate the authority responsible for checking and release of the programme.

  • Is there an annual monitoring plan for each programme?

  • Are there sufficient methodologies to measure the performance of the QMS?

  • Provide evidence of monitoring for each process with special focus on the curriculum, learner support, teaching and learning, learner materials.

Control and non conforming product

  • Has a documented procedure been established to define the processes involved in control of non conformity?

  • Do the processes identify responsibilities and authorities for dealing with non conformities?

  • Do they specify methods to eliminate the non conformance?

  • Does the institution determine collect and analyse appropriate data to determine the suitability and effectiveness of the QMS and to identify improvements that can be made?

  • Does the data used for analysis provide information on customer satisfaction and/or dissatisfaction?

  • Does it provide information on conformance to customer requirements

Continual Improvement

  • Does the institution plan and manage processes necessary for the continual improvement of the QMS?



  • Does the institution have a teaching policy?

  • How is the policy implemented in the institution?

  • Are the facilitators appropriately qualified in the relevant subject area?

  • Do the facilitators have the required industry experience?

  • Do the facilitation have competences in facilitation that promote understanding of teaching and learning strategies and learning styles?

  • Are there continuous professional development programmes in place to support facilitators?

  • How are the teaching competences monitored, evaluated and improved? The competences are regularly updated as trends change in industry, research skills and academic writing is encouraged?

  • Does the institution have adequate teaching resources in line with the learner intake and course requirements?

  • Is there effective use of technology in the programme?

  • What are the flexibility in the modes of delivery?

  • Are there innovations in the delivery of the programme?

  • Are the activities for the reinforcement of learning?

  • Are there opportunities to draw from learners experience?

  • Does it accommodate for the different pace of learners?

Learning Material

Learning MaterialIs

  • is the learning material aligned to the competences outlined in the curriculum?

  • Are the out outcomes/objectives of each section in the learner material clearly stated?

  • Is the alignment between the learner material and the curriculum provided in a matrix?

  • Does each learner have access to learning material?

  • Is the learning material updated regularly in line with changes in industry?

  • Are there support guides for facilitators?

  • Is the language of the learner guides at the correct level?

  • Does the layout and design of the learner guide meet quality requirements?

  • The learner guides have learning activities that fosters review and self assessment?

  • The learning guide contain evidence of review e.g. Version numbers, page numbers, review dates etc.?

Work Integrated Learning

work Integrated Learning

  • does the institution have a work integrated learning policy and procedures?

  • Are the objectives of work integrated learning clearly stated?

  • Is the WIL effectively implemented, monitored and evaluated?

  • Is the process well structured?

  • Are there clear guidelines to learners and employers on what is required?

  • Are there well written agreements to support the process with clear roles, responsibilities and account abilities.

  • In the case of programmes requiring technical resources, is there a list to ensure employers have the resources necessary?

  • Are the assessment tools for the work integrated learning well designed and clear?

Learning Support

Learning Support

  • Does the institution have a learner support policy and procedures?

  • Do all staff understand the requirements for learning support?

  • How is this communicated and monitored?

  • Are there opportunities for a anemic support?

  • Are there opportunities for counseling support?

  • Are there support resources?

  • Are there IT resources to support learning?

  • Are learners sufficiently oriented to the programmes?

  • Are learners clear about the objectives and goals of the programmes?

  • How do learners communicate their difficulties to the institution?

  • How are the support provided evaluated and is feedback provided?

  • Are learners supports in finding placement to WIL?



  • Does the institution have an assessment and moderation policy and procedures?

  • Do the assessment methods match appropriately to the competences in the curriculum?

  • Does the assessment framework include the three types of assessment: diagnostic, formative and summative?

  • Are the assessors subject matter experts?

  • Are the assessors competent in the assessor skills programme?

  • Are the moderators competent subject matter experts?

  • Are the moderators competent in the required moderator skills programme?

  • Are the assessor and moderator registered with the industry professional body?

  • Are the learner entry into the assessment clearly outlined and understood?

  • The design of assessment is checked for accuracy?

  • Security mechanisms in place to protect assessment integrity?

  • Assessments adhere uncompromisingly to the principles of assessment?

  • The process of assessment is clear and understood?

  • The process for reassessment is clear and is implemented according to policy?

  • Is there a well designed assessment guide?

  • Assessment guides includes assessments for the theory, practical and workplace learning components?

  • THe assessment guide includes model answers and marking memorandums.

  • Tools to records assessment results meet quality requirements?

  • Assessment reports meet quality requirements?

Assessment Planning

  • Assessment is planned according to the quality council requirements?

  • Learners are advised timeously of the assessments?

  • The logistics of assessments are provided to learners timeously?

  • Internal procedures and communication between assessors and institution is accurate to avoid any delays?

  • Invigilator instructions are written and available on day of assessments?

  • Assessments conducted in an environment that does not compromise security and integrity of assessments?

  • Moderation is conducted both internally and externally in line with the policy. The criteria and guidelines for moderator is available?

  • Moderation reports is fed back into the quality process?

  • Opportunities is available for both assessors and learners to communicate with the moderator?

  • Accurate, secure capturing of results are monitored and risks identified?

  • Identify the strategies to ensure the accuracy and integrity of results?

  • The institution engages in fraud prevention strategies in the assessment process from assessment design to release of learner results?

  • Confidentiality of learner data is protected?

  • Improvement and review suggestions are fed back into the assessment?

  • All assessment records are maintained according to the quality policy?

  • Learners actively evaluate the assessment process? The results of the evaluation is fed back into the assessment process?

  • Assessment results are analyzed by assessors. Assessment results are discussed in quality meeting in line with requirements.



  • the appeals policy is well structured and accessible to all learners.

  • The procedures for learners to follow is clear and provided to them in writing?

  • Proper records are available for all appeals?

  • Correct processes are followed for each appeal?

Learner Management System

  • Learner management system is adequate for the number of learners?

  • Data on learner performance can be extrapolated with ease?

  • Learner data in uploaded as learners progress through the system?

  • The capturing in done in line with the quality council requirements?

  • The institution is able to give reports on learner numbers per programme for each year.

  • Learner attendance is captured on the system?

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.