Record and Data Management

PAETA: DATA MANAGEMENT

PRIMARY AGRICULTURE EDUCATION AND TRAINING AUTHORITY

FEBRUARY 2004

______Machiel van Niekerk Buti Thaba Chief Executive Officer Chairperson PAETA ETQA POLICY AND PROCEDURE NO: ______

ORIGINATED BY: ______

REVIEWED BY: ______

APPROVED BY: ______Introduction: Record and data management provide guidelines for management of learner information and record keeping to ensure quality control. Linking data with the NLRD SAQA regards the National Learners Records Database (NLRD) as a repository for storing and maintaining records of South African learners and their achievements. The contents of this database will be provided and maintained by various data suppliers, primarily ETQAs (who will receive their data from providers). These data suppliers will be creating electronic files in standard formats and transmitting them to the SAQA to be loaded into the NLRD. SAQA has provided a description of these standard layouts and how they are to be transmitted to the South African Qualifications Authority.

The direct link to SAQA will be from the PAETA Qa office. PAETA Qa will receive its information from its data suppliers who will, in turn, be constituent providers.

Data pertaining to ETQAs/Providers/SAQA structures, their accreditation and members are entered into the system via the NLRD on-line application. This application is accessible both locally at SAQA and via a remote connection. All new qualifications and standards entered into the system based upon the NQF are keyed directly into the NLRD through the on-line application. Integrity of the System At least three aspects of the PAETA IT system will be addressed in order to ensure systems integrity. These aspects are hardware, software, and operational.

Hardware  Server integrity – Accepted industry standards will be followed when a server is set up and administrated. This would include, amongst others, practices applicable to the transfer of information to and from the server, irrespective of whether the data transfer is done electronically or manually. It would also include that the necessary backup systems are in place, e.g. tape streamers, CD writers, remote data storage facilities, etc.  Electronic connectivity – It is essential that a system is operated which is reliable and stable. Clients should be able to access the relevant aspects of the system easily and reliably.  A contract with an acknowledged IT support institution is advisable and will be explored to prevent undue delays and losses should the hardware be compromised through breakages, power failures or theft, etc.

Software  Accepted industry practices should be followed. It is advisable to use software which allows for easy access by all clients, including those who use software which might be different from that used by PAETA. This implies that all documentation should be designed with effectiveness and simplicity in mind so that transfer of information from one programme to another is not compromised. Operational  Accepted industry practices will apply to all data handling. This implies, amongst others, that suitable personnel should be appointed and trained in the handling of data. It would also imply that suitable security measures be put in place to ensure confidentiality of information, for example, encryption measures could be considered where necessary. Recognised practices should apply with respect to the allocation and use of usernames and passwords. This is prescribed by law. It ensures an effective service.  Attention should be given to the management of data transfer in any other forms or formats which relate to the IT system. This includes processes involving backups and the storage of backup media e.g. CD’s, tapes, hard copies, etc.  Personnel responsible for the IT system must be au fete with procedures in the unlikely event of data corruption or loss.  Alternative procedures must be in place in order that the integrity of the system is not compromised in cases where personnel become ill, are transferred or may leave the services of PAETA.

Documentation management: The management of documentation can be divided into two categories.

Internal document management This would apply to matters such as normal instructions, mail, faxes, email, records, etc.

Instructions, directives, etc. It is imperative to have an effective record keeping system in place to ensure that all relevant instructions, directives, circulars, etc. are stored on an ongoing basis. This system will ensure that the relevant people receive applicable documentation timeously. Where security is applicable, the relevant measures will be put in place. Where applicable the necessary registers should be kept by suitable personnel. A segregation of duties may be necessary where the integrity of PAETA might be compromised.

It is advisable to have procedures ensuring the integrity and security of postage; courier services; electronic data; telephonic data; personnel records; learner records; provider records; faxes; e-mails, etc.

Internal control of documentation and data will include:  the proper authorisation of documents by signature of the properly designated person according to procedural delegations.  The designated responsibility of management.  Processing procedures within acceptable time limits. This will include but is not limited to the right person dealing with the documentation on the right time according to the relevant procedures.  Confidentiality includes, but is not limited to a safe place for storage.  Issue, distribution and revision of documents.

External document management Where applicable, steps must be taken to ensure that the management of documentation off PAETA premises are dealt with in accordance with standard procedures acceptable to PAETA. This may refer to records of learners held at providers, finances, etc. Should any discrepancies arise, the required procedures for dealing with such matters must be followed.

Confidentiality and security of mail will be ensured through appropriate mechanisms such as registered mail or courier services. Confidentiality and security of electronic mail will be ensured through the use of user identities linked to passwords. Individual user identities and passwords will trace access to the documents.

Transmission of data to Seta and SAQA. It is envisaged that the PAETA ETQA will allow for the transmission (receiving from providers and sending to SAQA) of data through the following mechanisms, as prescribed by SAQA:

Email: Each data supplier will be given an email contact at SAQA in Pretoria and will have the options of sending files to that email contact who will then place the files in the appropriate directory on the NLRD server.

Removable Media: Data suppliers will have the option to send input files to SAQA on diskettes or on CD ROM. These files will be transferred to the SAQA server by the NLRD administrator . Information requested: The following categories of information, covering all aspects of the provider, learner and qualifications information and data, respectively, will be requested from accredited providers and will be registered on a data base which complies to the SAQA requirements:

INFORMATION ON ACCREDITED PROVIDERS

1. Detail of Provider:  Trading Name of Provider  Street Address of Provider  Postal Address  Telephone Number(s)  Fax Number  E-mail Address  Contact Person  Province 2. Detail of Company:  Title of Body Corporate or Holding Company  Names & Addresses of Directors, Members or Owners  Postal Address

3. Detail of contact person at facility:  Name of General Manager, or most senior person, at training facility  Cell Number of above person  Name and Status of Contact Person (if different)  Cell Number of Contact Person  Multi-site Provider (Yes or No)

4. Accreditation detail of Provider:  Date of application for accreditation  Date of evaluation (on site visit)  Date of accreditation  End date of accreditation  Date of de-registration (if applicable)  Accreditation number  ETQA with whom accredited

INFORMATION ON ACCREDITED LEARNING PROGRAMMES

5. Detail on Qualifications within SETA  NQF –band on which education and training will be provided  Name of qualification presented at institution  Duration of qualification  NQF registration number of qualification  Number of learners registered for qualification

6. Name of learnerships presented at institution  Duration of learnership  NQF registration number of qualification  Number of learners registered for learnership

7. Detail on Qualifications within other SETAs’ primary focus  Name of qualification presented at institution  Duration of qualification  NQF registration number of qualification  Number of learners registered for qualification  Name of SETA 8. Name of short course presented at institution  Duration of short course  Name of qualification the credits will lead to  NQF registration number of qualification the credits will lead to  Title and number of unit standards the short course will lead to  Number of learners registered for short course INFORMATION ON ACCREDITED ETD PRACTITIONERS

9. Detail of ETD Practitioners  Name of Institution  Number of ETDPs employed by the institution on full time basis  Number of ETDPs employed by institution on contract or part time basis  Surname of ETDP  Name of ETDP  Home Language  Gender  Postal address  Physical Address  Phone number  Cell phone number  E-mail address 10. ETDP Registration  Years of experience  Qualification of assessor  Qualification or Unit Standards ETDP is presenting  Registration with which SETA  Registration number  Registration date and end date

11 Detail of Assessors  Name of institution  Surname of Assessor  Name of Assessor  Home Language  Gender  Postal address  Physical Address  Phone number  Cell phone number  E-mail address

12 Assessor Registration  Years of experience  Qualification of assessor  Qualification or Unit Standards assessor is assessing  Registration with which SETA ETQA  Assessor registration number  Assessor registration date and end date

INFORMATION ON LEARNERS

13 Learner Data  Surname  Name  Age  Race  Gender  ID number or accepted equivalent  Physical address  Postal address  Qualification/ Learnership/ short course/ Unit standards the learner is enrolled for  List of Credits obtained  Enrollment date  Summative assessment date  Certificate issued  Date of certification

14 Qualification/Degree Enrolment/Achievement  National  Learner Alternate  Qualification Code  Qualification  Learner Achievement Status  Assessor Identifier  Learner Achievement Type  Learner Achievement Date  Learner Enrolled Date  Honours Classification  Provider Code  Provider Etqa  Assessor Etqa  Learner Birth Date  Date Stamp 15 Course & Learning Program Enrolment/Achievement Learner Alternate Alternative Type Course Code Learner Achievement Status Assessor Identifier Learner Achievement Type Learner Achievement Date Learner Enrolled Date Provider Code Provider Etqa Assessor Etqa Date Stamp

16 Unit Standard Enrolment/Achievement Learner Alternate Alternative Type Unit Standard Learner Achievement Status Assessor Identifier Learner Achievement Type Learner Achievement Date Learner Enrolled Date Provider Code Provider Etqa Assessor Etqa Date Stamp

MANAGING INFORMATION: PROVIDERS

Providers must show evidence of a data managing process which will allow for:  Recording learning against unit standards  Recording credits in terms of progress  Manage progress against individualised/customised learning programmes  Process to establish individualised learning programmes  System to integrate practical and theoretical learning (learnerships)