Umalusi: Audit Report & Performance Information in Education

2. PRESENTATION OUTLINE • BACKGROUND • Audit report • PART A: performance information • PART B: human resources • PART C: financial matters

3. Background: Role of Umalusi • Umalusi is the quality Council responsible for qualifications registered on the general and further education and training qualifications sub-framework (GFETQSF) on the National Qualifications Framework (NQF). • The Council ensures that the providers of education and training have the capacity to deliver and assess qualifications and learning programmes and are doing so to expected standards of quality.

4. Umalusi’s mandate is determined by two Acts namely: • The National Qualifications Framework Act No 67 of 2008 (NQF) ; and • The General and Further Education and Training Quality Assurance (GENFETQA) Act No 58 of 2001 amended in 2008. • Background: Mandate summarised 4

5. Develop and manage a sub-framework of qualifications in collaboration with SAQA and the other two Quality Councils (QCs) supported by the necessary quality assurance policies and processes. • Develop and implement the necessary quality assurance policies in respect of quality assurance of provision. • Maintain a database of learner achievements and related matters; and submit such data in a format determined in consultation with the SAQA for recording on the national learners’ records database. • Mandate summarised

6. Commission and publish research related to the development and implementation of the sub-framework of qualifications. • Formalisation of relationships which include: • advice to the relevant Minister on matters relating to the GFET sub-framework of qualifications; • collaboration with the SAQA and other QCs in terms of the NQF; and • advocacy of the sub-framework and its qualifications. • Mandate summarised

7. Audit Report • Report of the External Auditor • Page 52-55 of Annual Report • Achieved 16th Unqualified Opinion since 2001 • Pre-determined objectives Findings: • usefulness of indicators.

8. Part A: Performance Information • Vision & mission • Values • Summary of performance • Program 1 – Administration • Program 2 – Qualifications and Research • Program 3 – Quality Assurance and Monitoring • Concluding statements

9. Vision And Mission VISION A trusted authority in quality assurance of education provision recognised locally and internationally. MISSION • To meet educational and societal needs, we shall provide valid, reliable and equitable examinations and a range of assessment services in a professional, innovative, efficient and effective manner. This will be done through: • Developing and managing a sub-framework of qualifications for general and further education and training that is benchmarked internationally; • Quality assuring qualifications and curricula; • Confirming that assessment is fair, valid and reliable; • Quality assuring the provision of education and training, and assessment providers; and • Grounding Umalusi’s work in research to ensure informed positions and approaches.

10. Values

11. Overall status of performance

12. Status of achievement per programme

13. Programme 1: Administration • Programme 1 covers the following sub-programmes: • Governance and Office of the Chief Executive Officer (GOCEO) • Public Relations and Communications (PR and Comms.) • Information Communication Technology (ICT) • Finance and Supply Chain Management (F&SCM) • Human Resource Management and Development (HRM&D)

14. Programme 1 - Analysis of target vs actual

15. Programme 1 - Analysis of performance Indicators achieved or over-achieved Indicators under-achieved 1.1.2: Payment of service providers within 30 days • 1.1.1: Financial Audit outcomes • 1.1.3: HR performance management • 1.1.4: Communication platform utilisation • 1.2.1: ICT Infrastructure • 1.2.2: ICT systems utilisation

16. Programme 1: Future strategies

17. Programme 2: Qualifications and Research Programme 2 covers the following sub-programmes: A. Qualifications, Curriculum and Certification • The role of QCC is to ensure and enhance the status and quality of the sub-framework of qualifications which Umalusi develops, manages and reviews; • Evaluating curricula to ensure that these are of acceptable quality; • The certification of school learner and adult student performance for all the qualifications on the general and further education and training sub-framework; and • Verifying all qualifications that it and its predecessor, SAFCERT have issued since 1992.

18. Programme 2: Qualifications and Research… B. Statistical Information and Research Umalusi conducts research and analysis and reports on quality within the general and further education and training sub-framework. The mandate is to: • conduct research that is informed by the emerging needs of the education system to engage stakeholders towards innovative thinking; • report on the key indicators of quality and standards in general and further education and training; • establish and maintain databases; and • Lead research and analysis and provide statistical support and information across Umalusi.

19. Programme 2 - Analysis of target vs actual

20. Programme 2 - Analysis of performance Indicators achieved or over-achieved Indicators under-achieved 2.1.3: Certification of learner records 2.1.4: Verification of learner achievement • 2.1.1: Registration of new qualifications • 2.1.2: Review of existing qualifications • 2.2.1: Publication of research reports

21. Programme 2: Future strategies

22. Programme 3: Quality Assurance and Monitoring Programme 3 comprises of the following sub-programmes A. Quality Assurance of Assessment This function entails: • external moderation of question papers; • external moderation of continuous assessment; • verification of monitoring of the conduct, administration and management of assessment and examinations processes; • management of concessions and examination irregularities; • external moderation of marking; and • moderation of assessment results.

23. Programme 3: Quality Assurance and Monitoring… B. Evaluation and Accreditation • Standards for provision determined, maintained and strengthened • Public and Private assessment bodies will be monitored. • Quality assurance of provision, through an accreditation and monitoring process of private institutions offering the qualifications Umalusi certifies. • Evaluates the capacity of private education and training providers to implement registered qualifications for which they seek accreditation. • Monitors and evaluates the capacity of private providers and assessment bodies to conduct practical, internal and external, assessment of learner achievements that lead to the issuing of registered qualifications by Umalusi.

24. Programme 3 - Analysis of target vs actual

25. Programme 3 - Analysis of performance Indicators achieved or over-achieved Indicators under-achieved 3.1.1: Moderation of examination question papers • 3.1.2: QAA reports • 3.2.1: Accreditation report

26. Programme 3: Future strategies

27. Concluding statements • Errors identified on the indicators were reported and corrections were approved by the Minister • Standard Operating Procedures are in place • Performance outputs are verified on a quarterly basis – the systems needs to improve at unit level • Achievement of APP targets is part of SMS’ Performance Agreements • The Audit Tracking Register is adding value in reducing the number of findings raised by Internal and External Auditors. • Umalusi has strengthened its capacity on the management of Performance Information – a performance information specialist has been appointed in the Audit and Risk Committee.

28. Part B : Human Resources • Employment and vacancy • Employment changes • All figures as at 31 March 2017

29. Employment and vacancies

30. Employment changes

31. Part C : Financial Matters • Statement of financial position • Statement of financial performance • Material items: • Accumulated surplus • Irregular expenditure • Related parties

32. Statement of financial position

33. Assets

34. Statement of financial position

35. Assets – Liabilities = Net Assets

36. Statement of financial performance

37. Revenue

38. Revenue

39. Statement of financial performance

40. Expenditure – Annual Report

41. Expenditure – National Treasury

42. Expenditure

43. Accumulated surplus • Committed funds – Council approved a tender amounting to R36,420,108 for the renovations of 41 Van Reyneveld Street, adjacent to the current building. • DBE assisted with the request to retain surpluses and has been granted by National Treasury. • A revised budget for 2017/18 was submitted to DBE.

44. Irregular expenditure • Current year: • Awarding a contract extension to a supplier with a non-tax compliant status R319,975 • Acquired goods without going through a competitive process of sourcing three quotes R140,547 • Renewal of contract without going through a competitive process of sourcing three quotes R37,278

45. Irregular expenditure • Outcome: • Investigated and found no official liable in terms of law for the irregular expenditure. • A process of progressive disciplinary steps followed by management. • Condonation to proceed as per National Treasury Guideline on Irregular Expenditure issued April 2015. • SCM issues identified have been recorded and will be monitored in terms of the continuous improvement plan.

46. Related parties

47. Related parties

48. Expenditure – Top 10

49. Expenditure – Top 10

50. Current Issues and the Way Forward • Governance of Umalusi: • Umalusi has appointed a SCM specialist to ensure SCM policies and processes are compliantto legislation. • Implementation of policies and procedures. • Monitoring of compliance.