Audit Readiness Checklist (QCTO)

Summary

This checklist helps training providers prepare for QCTO external moderation, verification visits, and SETA audits. Use it to ensure your digital records in skillSYMS meet all compliance requirements.

Who This Guide Is For

• Quality assurance managers
• Training provider administrators
• Internal moderators preparing for external visits
• Anyone responsible for audit preparation

Understanding QCTO Audits

Types of Audits

1. External Moderation: Sample review of assessments and learner work
2. Verification Visit: On-site inspection of facilities and records
3. SETA Audit: Compliance check against accreditation conditions
4. Ad-hoc Investigation: Response to complaints or concerns

What Auditors Look For

• Evidence of quality management systems
• Accurate learner records
• Valid assessor/moderator registrations
• Proper evidence management
• Consistent assessment practices

Pre-Audit Preparation (2-4 Weeks Before)

Administrative Records

• Accreditation Certificate: Current and displayed
• Programme Approval Letters: For all registered programmes
• MoU with Employers: Signed agreements for workplace components
• Insurance Certificates: Public liability and professional indemnity

Staff Records

• Assessor Registrations: Verify all assessors have valid ETDP SETA certificates
• Moderator Registrations: Verify moderator credentials
• Staff CVs: Updated with qualifications and experience
• Appointment Letters: Formal appointments for assessors/moderators

In skillSYMS: Navigate to Settings → Team → Credentials to verify and upload registration documents.

Learner Records

• Learner Agreements: Signed by all enrolled learners
• ID Verification: Copies of IDs on file
• Enrolment Records: Complete for all active learners
• Progress Records: Up-to-date status for each learner

In skillSYMS: Run the Audit Report from Reports → Compliance → Audit Preparation

Evidence Quality Check

Portfolio of Evidence

For a sample of learners (minimum 10%):

• All required evidence types are present
• Evidence is correctly dated and attributed
• File quality is acceptable (readable, complete)
• Evidence aligns with assessment outcomes
• No plagiarism indicators

In skillSYMS: Use Reports → Evidence Completeness to identify gaps.

Assessment Records

• All assessments have recorded outcomes
• Feedback is provided for each assessment
• Re-assessments are documented
• Assessor signatures are present
• Dates are within programme period

Moderation Records

• Moderation samples meet minimum requirements (usually 10-20%)
• Moderation decisions are documented
• Feedback to assessors is recorded
• Appeals are handled per policy
• Moderation reports are complete

Data Export Verification

QCTO MIS Exports

Before the audit, verify your export data:

1. Navigate to Exports → QCTO01/QCTO02
2. Generate a preview export
3. Check for validation errors
4. Verify learner counts match your records
5. Ensure all required fields are populated

Common Export Issues

• SA ID numbers are valid (Luhn check)
• Dates are in correct format
• Status codes are valid
• No duplicate records
• Qualification codes match SAQA database

In skillSYMS: The export validation will flag issues automatically. Address all errors before audit.

Physical Facility Preparation

If the audit includes a site visit:

• Training venue meets accreditation conditions
• Resources specified in application are available
• Health and safety requirements met
• Accessible facilities if required
• Clean and professional appearance

During the Audit

Have Ready

• Login credentials for auditor access (read-only role)
• Printed summaries of key reports
• Physical evidence files (if not fully digital)
• Staff available for interviews
• Contact details for workplace supervisors

Auditor Access in skillSYMS

Create a temporary auditor account:

1. Navigate to Settings → Team → Add User
2. Select role: Auditor (Read-Only)
3. Set expiry date (end of audit period)
4. Share credentials with auditor
5. Disable account after audit

Responding to Findings

If issues are identified:

1. Acknowledge the finding
2. Do not make excuses
3. Explain your corrective action plan
4. Set realistic timelines
5. Document everything

Post-Audit Actions

After the Visit

• Disable auditor account
• Document verbal feedback
• Share findings with relevant staff
• Create action plan for findings
• Set follow-up dates

Corrective Actions

For each finding:

1. Identify root cause
2. Implement correction
3. Put preventive measures in place
4. Document the resolution
5. Follow up as required

Common Mistakes to Avoid

1. Incomplete Records: Ensure all learners have complete files
2. Outdated Credentials: Check assessor registrations before audit
3. Missing Signatures: Digital signatures must be present
4. Data Mismatches: QCTO exports must match internal records
5. Last-Minute Preparation: Start preparation at least 2 weeks early

Ongoing Compliance

Don’t wait for audits! Monthly checks:

• New assessor credentials verified
• Evidence upload rates on track
• Assessment turnaround times met
• Moderation quotas achieved
• Export validation clean

Next Steps

• Reporting & Exporting — Generate compliant exports
• Evidence Pack Structure — Organize evidence properly
• POPIA-Safe Data Handling — Protect learner data