STRATEGIC PLAN ANNUAL PERFORMANCE PLAN AND BUDGET PRESENTATION

STRATEGIC PLAN, ANNUAL PERFORMANCE PLAN AND BUDGET PRESENTATION TO THE PORTFOLIO COMMITTEE ON BASIC EDUCATION 7 APRIL 2016 CAPE TOWN

PRESENTATION OUTLINE PART A: STRATEGIC PLAN AND ANNUAL PERFORMANCE PLAN PART B: BUDGET 2016/17 – 2018/19

PRESENTATION OUTLINE PART A: STRATEGIC PLAN AND APP Overview Strategic Overview (Vision, Mission, Values) Alignment to Mandates Strategic Outcome Oriented Goals Programme Plans: Strategic Objectives, Indicators and Targets Strategic Planning Process Strategic Objectives, Indicators and Targets

OVERVIEW Umalusi revised its five-year strategic plan for 2015/162019/20 in 2015 The rationale for doing this was due to the following: To address the audit findings raised during the 2014/15 external audit; Alignment with the key government mandates: the NDP, the MTSF and the action Plan to 2019; Utilisation of the relevant Planning Frameworks; Making sure that the strategic objectives are smarter and measurable and; Development of Technical Indicator Descriptions

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 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 its work in research to ensure informed positions and approaches.

Value Leadership Decisiveness Diversity Transparency/ Fairness VALUES Behaviour Umalusi values leadership in directing performance of others in the sector and leading the way. Umalusi decisive in making decisions that are firm and beyond doubt, leading to conclusiveness. Umalusi embraces difference, variety or multi-format within the various services in the sector. Umalusi programmes and services are easy to access and understand. Our decisions and actions are clear, reasonable and open to examination. Professionalism Umalusi employees are professionals, well trained in our specialties, committed to service excellence, and dedicated to the successful accomplishment of our mission. Quality Umalusi constantly seek opportunities to improve our services and products. Quality and continuous improvements are an integral part of our daily operations. Teamwork Employees work as a team and value the contributions of each individual. We know that our people are our most important resource. Umalusi strives to be honest in our operations, conduct and discipline in the organisations’ actions that have Integrity. Umalusi commits to treat all its stake holders equally in an equitable way. Integrity Equity

ALIGNMENT TO MANDATES NDP Improving the quality of education, skills development and innovation Improving the quality for underperforming schools and further education and training colleges High quality school education Further and higher education and training that enables people to fulfil their full potential

MANDATES… MTSF South African must have access to education training of the highest quality characterised by improved learning outcomes Improvements in ECD Use of international benchmarks e. g. TIMSS and SACMEQ Improvement in ANA performance

MANDATES… Action Plan to 2019 Improving the quality of NSC results Improving the quality of learning outcomes Working with DBE about greater use of anchor items and other techniques that will facilitate monitoring of quality Monitoring of quality ECD Ensuring maintenance of standards

STRATEGIC ORIENTED GOALS GOAL 1: Improved organisational management, governance and financial viability to ensure high-quality, effective and efficient delivery of Umalusi’s mandate. GOAL 2: Improved assessment and quality assurance that is relevant and internationally benchmarked and supports the nation’s strategic interests for a highly skilled workforce and well qualified citizens.

STRATEGIC PLANNING PROCESS A detailed facilitated consultations with business units to determine the SWOT Strategic planning at Council level was conducted in February 2015 - this mapped the Strategic Planning Imperatives and discussed Strategic Risks and Mitigation processes. The Strategic Plan and Annual Performance Plan was drafted and subjected to a risk assessment. The Annual Performance Plan and the budget were developed. Engagement with the Planning Directorate of the DBE took place in August 2015 for the analysis and support with regards to Umalusi’s first draft plans. The feedback was incorporated into the drafts submitted to DBE, DPME and the National Treasury. A second engagement was in February 2016. Approval by the Council - The plan is reviewed and approved by the Council and then the Executive Authority and thereafter submitted to National Treasury and DPME.

PROGRAMME 1: ADMINISTRATION Overview • 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)

Programme 1: Administration… Strategic Objective 1. 1 To improve administrative and governance services (Finance, HR, Communication) in order to support the mandate of Umalusi and to strengthen compliance and accountability. Indicators 2016/17 1. 1. 1 Achievement of a financially unqualified opinion Unqualified audit Targets 2017/18 2018/19 Unqualified audit 1. 1. 2 Percentage of service providers paid within 30 days 100%

Programme 1: Administration… Strategic Objective Indicators 2016/17 1. 1 To improve administrative and governance services (Finance, HR, Communication) in order to support the mandate of Umalusi and to strengthen compliance and accountability. 1. 1. 3 Percentage of staff meeting level 3 and above of their performance target on the Performance Management and Development System (PMDS) 1. 1. 4 Number of communication platforms used by stakeholder clusters within the GFET sub- framework to access information. Targets 2017/18 2018/19 98% 98% 7 8 8

Programme 1… Strategic Objective 1. 2 To provide ICT Infrastructure and business applications so as to promote efficiency through ICT as a business operations enabler on an annual basis. Indicators 1. 2. 1 A report providing an executive summary of the status of the ICT Infrastructure. 1. 2. 2 A report on the customer satisfaction survey on performance of the ICT system Targets 2016/17 2017/18 4 reports A report

Programme 1 Risks Risk Description Lack of succession planning and retention practices Insufficient Resources Strategic/ Operational Strategic Mitigation Performance management in place. Internal climate studies are performed. Exit interviews are held. Advice on courses to study is provided. Advertise more broadly to attract more candidates. Head hunt for certain positions. Conduct salary market survey every two years. Staff establishment has been extended. Use of contractors. Job evaluations are performed.

Programme 2: Qualifications and Research Overview: This programme has two sub-programmes: A. Qualifications, Curriculum and Certification Standards set and maintained for qualifications, curriculum, verification 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, reviews and certifies. Quality assuring/benchmarking the qualifications and their related curricula is QCC’s contribution to the overall quality of the certificate which Umalusi issues. This function also oversees the issuing and verification of certificates.

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: o Conduct research that is informed by the emerging needs of the education system to engage stakeholders towards innovative thinking o Report on the key indicators of quality and standards in general and further education and training; o Establish and maintain databases.

A. Qualifications, Curriculum and Certification Strategic Objective Indicator Targets 2. 1 To effectively manage the General and Further Education and training Qualifications Sub-framework 2. 1. 1 Number of curricula evaluated SA: 12 annually Int: 1 2016/17 2. 1. 2 Percentage of learner records evaluated per qualification in terms 100% of certification requirements 2017/18 2018/19 SA: 6 Int: 18 SA: 3 Int: 9 100%

Qualifications, Curriculum and Certification… Strategic Objective 2. 1 To effectively manage the General and Further Education and training Qualifications Sub-framework Indicators 2016/17 2. 1. 3 Number of SC certificates NSC issued per NC(V) 2 qualification NC(V) 3 annually NC(V) 4 N 3 GETC: ABET 2. 1. 4 Number of verifications completed 336 000 annually Targets 2017/18 SC NC(V) 2 NC(V) 3 NC(V) 4 N 3 GETC: ABET 353 000 2018/19 SC NC(V) 2 NC(V) 3 NC(V) 4 N 3 GETC: ABET 370 000

B. Statistical Information and Research Strategic Objective Indicators 2. 2. To undertake 2. 2. 1 Number of research projects research reports annually in order to published plan and strategize for the emerging needs of the Quality Council as well as the General and Further Education and Training Sector Targets 2016/17 6 2017/18 8 2018/19 8

Programme 2 Risks Risk Description Strategic / Mitigation Operational - Delay in the Strategic - Applying pressure on the implementation of department through letters new qualifications and communication and - Umalusi fading from providing guidelines on the public work to be done. consciousness and - Advocacy work and executive perhaps having our strategy planning is in place, mandate reduced together with Council advice.

Programme 2 Risks… Risk Description Lack of agreement regarding roles and responsibilities in qualification development and implementation Research does not inform strategic direction and position papers Strategic / Mitigation Operational Strategic - Umalusi Policy in place regarding the sub framework for the development of qualifications and Curriculum. Strategic - Constant and consistent communication with all stakeholders (meetings and workshops) Comment on National Policy developed by SAQA, QCs and the Departments in order to create coherence in the NQF space. • Use of Research Advisory Committee to monitor development of position papers.

Programme 3: Quality Assurance and Monitoring Overview 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 • moderation of assessment results

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.

A. Quality Assurance of Assessment Strategic Objective Indicators 3. 1 To ensure the credibility of the Examination results of the qualifications registered in the GFET subframework. 3. 1. 1 Number of question papers quality assured per qualification per assessment body. Targets 2016/17 • • • 2017/18 GETC 88 • (DHET 52 - IEB 34 - • BENCH MARK • 2) DBE NSC- 260 • DBE SC- 90 • IEB NSC 126 • SACAI -93 • NC(V)- 390 • NATED 116 • 2018/19 GETC 88 • (DHET 52 - IEB 34 - • BENCH MARK • 2) DBE NSC- 260 • DBE SC- 98 • IEB NSC 126 • SACAI -95 • NC(V)- 390 • NATED 116 • GETC 88 (DHET 52 - IEB 34 BENCH MARK 6) DBE NSC- 267 DBE SC- 90 IEB NSC 126 SACAI -97 NC(V)- 390 NATED 116

A. Quality Assurance of Assessment… Strategic Objective Indicators Targets 3. 1 To ensure the credibility of the Examination results of the qualifications registered in the GFET subframework. 3. 1. 2 Number of • quality • assurance of • assessment • reports per qualification, per assessment body, per examination cycle. 2016/17 5 - GETC, 3 -NSC, 3 -VET and 1 SC report per examination cycle 2017/18 2018/19 • • 5 - GETC, 3 -NSC, 3 -VET and 1 SC report per examination cycle

B. Evaluation and Accreditation Strategic Objective Indicators Targets 2016/17 2017/18 3. 2 To improve the provisioning and assessment of qualifications on the General and Further Education and Training sub-framework by evaluating and pronouncing on applications received for accreditation annually 3. 2. 1 A report on Evaluation and Accreditation of private education institutions and 1 report independent assessment bodies 2018/19 1 report

Programme 3 Risks Risk Description Inadequate HR capacity to meet expanding mandate Reputational risk if IRT principles not implemented Strategic / Mitigation Operational Strategic Contract workers appointed to help with workload. Operational Meetings with all assessment bodies including DBE, DHET and IEB. Staff development opportunities to understand gain knowledge on IRT.

Programme 3 Risks Risk Description Inadequate HR capacity to meet expanding mandate Strategic / Mitigation Operational Strategic Contract workers appointed to help with workload. Review Umalusi HR organogram. Access to and integrity of data Operational Registration/ Accreditation interplay relating to FET Colleges Strategic Share information across Umalusi. Analysis of data by Data Manager. Quarterly meetings with DHET.

PRESENTATION OUTLINE PART B : BUDGET 2016/17 – 2018/19 Errata Revenue estimates Revenue projection Expenditure estimates Projected surplus 2015/2016 Expenditure per program Growth in human capital

ERRATA Total figures on page 16 incorrect and not in accordance to approval received from DBE. Program budgets for 2015/16; 2016/17; 2017/18 & 2018/19 also incorrect, due to employee costs allocation to Administration: Page 20 – Programme 1 Page 23 – Programme 2 Page 26 – Programme 3

Revenue estimates

Revenue projection

Expenditure estimates

Transfer from Accumulated surplus 2015/16 National Treasury approved Umalusi’s request to retain surpluses for the following projects in July 2015: Renovations of purchased building Contingency expenditure Due to unforeseen circumstances renovations will only be done in 2016/2017 A request to retain surpluses will be made to National Treasury.

Expenditure per program

Growth in human capital

Expenditure trends Strategic Outcome Oriented Goal 1 – Improve organisational management, governance and financial viability to ensure high-quality, effective and efficient delivery of Umalusi’s mandate. Ensure compliance. Effective policies, strategies and plans compliant with legislation and good corporate governance. Establish a Strategic Planning unit.

Expenditure trends Strategic Outcome Oriented Goal 2 – Improved assessment and quality assurance that is relevant and internationally benchmarked and supports the nation’s strategic interests for a highly skilled workforce and well qualified citizens. Roll out of full accreditation. Internal research in educational aspects and quality assurance processes. Introduction of new qualifications requires enduring funding. Security features in regards to certificates needs ongoing improvement needed.

Thank you very much to Ms N Gina, Chairperson of the Portfolio Committee, and Honorable members for this opportunity to present Umalusi’s Budget Review Dr MS Rakometsi