Communication / Stakeholder Management



BRIEF OVERVIEW OF NSF OPERATING MODELFOR TENDER TO APPOINT A SYSTEM INTEGRATOR TO IMPLEMENT AN INTEGRATED MICROSOFT DYNAMICS BASED SYSTEMTable of ContentsPage No. TOC \h \z \t "Heading N1,1,Heading N2,2,Heading N3,3" Table of Contents PAGEREF _Toc437940948 \h 1Page No. PAGEREF _Toc437940949 \h 21Background PAGEREF _Toc437940950 \h 42Introduction PAGEREF _Toc437940951 \h 43NSF Operating Model PAGEREF _Toc437940952 \h 53.1001_Marketing and Communication PAGEREF _Toc437940953 \h 93.1.1Marketing PAGEREF _Toc437940954 \h 103.1.2Branding PAGEREF _Toc437940955 \h 113.2002_Governance Risk and Compliance PAGEREF _Toc437940956 \h 143.2.1Governance PAGEREF _Toc437940957 \h 153.2.2Risk Management PAGEREF _Toc437940958 \h 153.2.3Compliance PAGEREF _Toc437940959 \h 193.2.4GRC Reporting PAGEREF _Toc437940960 \h 203.3003_Secretariat PAGEREF _Toc437940961 \h 213.3.1Setup and Maintain NSF Calendar PAGEREF _Toc437940962 \h 223.3.2Maintain Committee Appointments PAGEREF _Toc437940963 \h 223.3.3Meeting Administration PAGEREF _Toc437940964 \h 233.4004_Integrated Skills Planning PAGEREF _Toc437940965 \h 243.4.1Demand Forecast PAGEREF _Toc437940966 \h 253.4.2Supply Planning PAGEREF _Toc437940967 \h 263.4.3Strategy Contextualisation PAGEREF _Toc437940968 \h 273.4.4Portfolio Initiation PAGEREF _Toc437940969 \h 283.4.5Innovation PAGEREF _Toc437940970 \h 293.5005_Projects PAGEREF _Toc437940971 \h 303.5.1Initiate PAGEREF _Toc437940972 \h 303.5.2Execute PAGEREF _Toc437940973 \h 523.5.3Close - Out PAGEREF _Toc437940974 \h 883.5.4Review PAGEREF _Toc437940975 \h 933.6006_Bursaries PAGEREF _Toc437940976 \h 983.6.1Determine Bursaries Focus Areas and Programmes PAGEREF _Toc437940977 \h 1003.6.2Bursary Proposals PAGEREF _Toc437940978 \h 1013.6.3Budget Consolidation and Allocation PAGEREF _Toc437940979 \h 1013.6.4Institutions Bursaries PAGEREF _Toc437940980 \h 1033.6.5NSF Outreach Programme PAGEREF _Toc437940981 \h 1033.6.6Bursaries Disbursements PAGEREF _Toc437940982 \h 1063.6.7Close Out PAGEREF _Toc437940983 \h 1073.6.8Bursary Monitoring PAGEREF _Toc437940984 \h 1093.7007_Fund Management PAGEREF _Toc437940985 \h 1103.7.1Budgeting PAGEREF _Toc437940986 \h 1123.7.2Incoming Funds PAGEREF _Toc437940987 \h 1143.7.3Funds Investment PAGEREF _Toc437940988 \h 1163.7.4Outgoing Funds (Disbursement) PAGEREF _Toc437940989 \h 1183.7.5Outgoing Funds (Administrative) PAGEREF _Toc437940990 \h 1193.7.6Monitor and Report PAGEREF _Toc437940991 \h 1203.8008_Performance Planning, Monitoring and Reporting PAGEREF _Toc437940992 \h 1213.8.1Planning PAGEREF _Toc437940993 \h 1223.8.2Performance Requirements PAGEREF _Toc437940994 \h 1233.8.3Reporting Requirements PAGEREF _Toc437940995 \h 1243.8.4Reporting Templates PAGEREF _Toc437940996 \h 1253.8.5Reporting PAGEREF _Toc437940997 \h 1263.8.6Performance Management PAGEREF _Toc437940998 \h 1273.9009_Finance Management PAGEREF _Toc437940999 \h 1283.9.1Finance Management PAGEREF _Toc437941000 \h 1293.9.2Cost Centre Management PAGEREF _Toc437941001 \h 1313.9.3Beneficiary Management PAGEREF _Toc437941002 \h 1323.10010_Human Resources PAGEREF _Toc437941003 \h 1333.10.1Workforce Planning PAGEREF _Toc437941004 \h 1373.10.2Recruitment PAGEREF _Toc437941005 \h 1393.10.3Performance Management PAGEREF _Toc437941006 \h 1413.10.4Time Recording PAGEREF _Toc437941007 \h 1433.10.5Succession Planning PAGEREF _Toc437941008 \h 1443.10.6Leave Management PAGEREF _Toc437941009 \h 1453.10.7Learning & Development PAGEREF _Toc437941010 \h 1463.10.8Grievance & Disciplinary PAGEREF _Toc437941011 \h 1473.10.9Terminations PAGEREF _Toc437941012 \h 1493.10.10Temporary Appointments PAGEREF _Toc437941013 \h 1513.10.11Work Integrated Learning PAGEREF _Toc437941014 \h 1533.10.12Payroll PAGEREF _Toc437941015 \h 1543.11011_Legal PAGEREF _Toc437941016 \h 1563.11.1Legal Orientation and Planning PAGEREF _Toc437941017 \h 1563.11.2Legal Support PAGEREF _Toc437941018 \h 1583.11.3Legal Awareness PAGEREF _Toc437941019 \h 1593.12012_Supply Chain Management PAGEREF _Toc437941020 \h 1603.12.1Tender Management PAGEREF _Toc437941021 \h 1613.12.2Contract Management PAGEREF _Toc437941022 \h 1633.12.3Procurement PAGEREF _Toc437941023 \h 1653.12.4Vendor Management PAGEREF _Toc437941024 \h 1673.13013_Asset Management PAGEREF _Toc437941025 \h 1693.13.1Planning and Acquisition PAGEREF _Toc437941026 \h 1693.13.2Maintenance PAGEREF _Toc437941027 \h 1723.13.3Decommissioning PAGEREF _Toc437941028 \h 1733.14014_Content Management PAGEREF _Toc437941029 \h 1743.14.1Master Data Management PAGEREF _Toc437941030 \h 1743.15015_IT Support PAGEREF _Toc437941031 \h 1763.15.1IT Strategy and Planning PAGEREF _Toc437941032 \h 1763.15.2IT Enablement PAGEREF _Toc437941033 \h 1783.15.3IT Service Delivery PAGEREF _Toc437941034 \h 1793.16016_Internal Audit PAGEREF _Toc437941035 \h 1803.16.1Appoint Service Provider PAGEREF _Toc437941036 \h 1813.16.2Audit Planning PAGEREF _Toc437941037 \h 1823.16.3Audit Engagement PAGEREF _Toc437941038 \h 1843.16.4Progress Reporting PAGEREF _Toc437941039 \h 1863.17017_Facilities & Occupational Health &Safety PAGEREF _Toc437941040 \h 1873.17.1Facilities Management PAGEREF _Toc437941041 \h 1873.17.2Occupational Health & Safety PAGEREF _Toc437941042 \h 189BackgroundThis design report serves as the output of Phase 1 Stage 3 of Project Siyaphambili. The report incorporates the outputs of all consultations and workshops held during this phase in which the operational model of the NSF was designed. The project stage activities included an in-depth analysis and design of process and considered resource requirements (people and systems) architecture of the Fund as it is envisaged to operate in future. IntroductionProcesses of the operating model have been illustrated by means of process mapping. Mapping of the various levels of the operating model have been recorded, as outlined in the diagram below:This report is generated as an extract from the operating modelling enabling tool, Enterprise Architect. It serves as a visual representation of the NSF organisational processes as it has been incorporated in the modelling tool. The electronic version operating model is dynamic and is envisaged to actively change as the organisation transforms and matures during implementation. This report is, due to its nature, a ‘point in time’ view of the model at the end of the design stage.The structure of this document is aimed at providing detail of each component of the operating model (Level 1), providing details of Levels 2 to 3 and detailed activities at Level 4. At this level (Level 4) activities are matched to a specific role / ‘swim lanes’ (appearing as vertical partitions), providing guidance as to the responsible resource to perform the associated activity.Other dimensions of the structure are included as Annexures to this report:Section 2 – NSF Organisational Structure: outlining the organisational structure supporting the roles / swim lanes included in Level 4 of the model;Section 3 – Governance Structure: summarising the governance structure (legislative and structural (committees)) emerging from the operational design;Section 4 – System Architecture: initial systems architecture based on requirements identified as part of the operational design;Appendices:Appendix A: Process Controls: a summary of emerging risks and controls required on Level 1-4 processes in the current operating model;Appendix B: Process Documentation: a summary of standard documents supporting / enabling Level 1-4 processes in the current operating model;Appendix C: Process Key Performance Indicators (KPI’s): a summary of performance indicators for Level 1-4 processes in the current operating model informing organisational performance; andAppendix D: Process Calendar: a high level view of important dates emerging from the detail behind Level 1 processes. Finally, the content of this document corresponds to version EYNSF077 of the model as finalised on 30 April 2015. Although this report is taken as the deliverable of Phase 1 Stage 3 of the project, it serves as a referencing framework and departure point for the implementation planning stage of the project.NSF Operating ModelThe high level components (Level 1) of the NSF operating model are summarised below:Figure 1: NSF Operating ModelThe NSF operating model consists of three components:Executive office – All enterprise processes targeted at stakeholder management, communication, governance and oversight as well as internal alignment (committee structures) within the Fund.Core Functions – Enterprise processes enabling strategic planning, project and/or bursary initiation, implementation, monitoring and evaluation. This will also include the overall management of fund investment.Support services – All enterprise processes required to enable support services for the day-to-day operations within the NSF.Enterprise processes of the abovementioned components are demonstrated by means of process mapping performed at various levels of details. Executive Office ProcessesMarketing & CommunicationMarketing and Communication cover all aspects of marketing (communication plans, marketing campaigns); brand awareness; standardisation of documentation as well as planning and steering all communication relevant stakeholders ernance, Risk and ComplianceGovernance, risk and compliance (GRC) includes all policy development; maintenance, communication and training of procedures; risk planning, measurement and management and ultimately reporting to the Audit Committee with regards to state of GRC within the Fund.SecretariatThe Secretariat function incorporates the creation and maintenance of the NSF calendar, supports and /or facilitates the formation and functioning of committees relevant within the governance structure.Core Functional ProcessesIntegrated Skills PlanningIntegrated Skills Planning is the ‘control room’ of the core business. It incorporates all research and analysis required to enable robust strategic planning, translating demand into a Fund portfolio (a collection of projects and bursaries) that will upon delivery aid in achieving strategic objectives listed in the Strategic Plan. It further spearheads innovation, ensuring that the fund responds appropriately towards trends within the skills environment.ProjectsThe Projects process includes all activities required to deliver a programme/project throughout its lifecycle. It takes its cue from the Integrated Skills Planning process, executing on the portfolio guidelines on a more granular level. It contains aspects of project initiation, monitoring and evaluation of execution and close-out. Finally it prompts a post implementation review processes where all lessons learnt are captured and redirected into the organisation to support enterprise intelligence and increase future efficiencies and effectiveness.BursariesThe Bursary process includes all activities required to deliver a bursary from inception to a point where the beneficiary obtains the associated qualification. It takes its cue from the Integrated Skills Planning process, executing on the portfolio guidelines on a more granular level. It includes the identification of focus areas, soliciting proposals, contracting, disbursement, monitoring and evaluation of the bursary process (beneficiaries and service provider (NSFAS)) and close-out. Fund ManagementFund management deals with the management of the revenue (receipts from DHET) of the NSF. This includes budgeting, accounting for incoming funds/levies, investment of surpluses, controlling fund expenditure on projects and bursaries as well as expending on administrative costs. Management of administrative costs is however included under the Finance Management support service process.Performance Planning, Monitoring and ReportingPlanning and monitoring performance is one of the most important processes within the NSF. This process includes planning for performance reporting, finalising performance and reporting requirements which is followed by the solicitation, finalisation and distribution of relevant information. The management of performance content (i.e. identification of poor performance, crafting of expediting measures to improve performance) is an ongoing process, creating a platform for early detection and proactive remedial actions.Support Service ProcessesFinance ManagementFinance management includes all financial processes that support the business requirements of the NSF and includes processes such as performing a financial due diligence on a bidder, issuing a fund certificate for a project, financial orientation of service provider, change request and financial transaction processing on projects.? Beneficiary Management covers the financial processes supporting the creation, amendment and removal of beneficiaries on the associated NSF payment system.Human ResourcesThe Human Resource process includes planning, recruitment and management of the employees (both full time and permanent) of the NSF. Management processes provides practices for performance management, time management (and leave) and remuneration. It further structures learning and development and systematise disciplinary procedures and contract terminationLegalLegal processes outlines all activities associated with the development of the NSF legal framework and associated policies and structures legal support on the development and execution of contracts. It further entrench legal awareness with targeted and structured training across the Fund.Supply Chain ManagementSupply chain provides structure for the planning, soliciting, contracting and management of vendors (excluding service providers and bursars). Asset ManagementAsset management include the planning, acquisition and maintenance of moveable assets of the NSF. Content ManagementContent management involves the creation, amendment and removal of master data. Master data include, but are not limited to, policies, procedures and processes of the NSF.IT SupportIT Support processes outlines activities involved in development of the strategy which will provide direction to the establishment of the important functions within IT. It further structures technology enablement by designing, developing and implementing IT services to improve overall business key business processes and functions, as well as supporting the delivery of IT services to the Fund.Internal AuditThe Internal Audit process supports the systematic and independent review of the efficiency and effectiveness of the NSF. It outlines the identification of a service provider, structures the planning, execution and reporting of audits performed within the Fund.Facilities & Occupational Health & SafetyFacilities and Organisational Health and Safety Management process enable a safe, enabling work environment for the employ of the NSF and supports business continuity. Facilities Management involves the coordination of space and people associated with the administration of the office space of the Fund. Occupational Health and Safety includes all activities concerned with the safety, health and welfare of NSF employees within the working environment.Details of Levels 1 to 4 of each of the above processes are provided in Sections 3.1 to 3.17 of this report.001_Marketing and CommunicationFigure 2: Marketing and Communication MarketingThe planning, execution and monitoring of Marketing Activities within the NSF.BrandingThe perceived NSF brand is assessed, compared to the envisaged brand position and a plan is developed to achieve the envisaged brand. A policy is developed subsequent to approval of the brand munication / Stakeholder ManagementInteraction and communication with relevant stakeholders are planned and managed.MarketingFigure 3: Marketing Develop Marketing StrategyA Marketing Strategy is developed from the NSF's objectives outlined in the Strategic and Annual Performance Plans. ExecuteSpecific marketing activities is identified, planned for and executed as outlined in the Marketing Plan. Monitor MarketingThe efficiency and effectiveness of marketing activities is assessed and incorporated into the relevant plans as input to the next planning cycle. BrandingFigure 7: Branding Develop Brand PolicyThe NSF brand is assessed and a preferred brand designed. The accepted brand is defined in a brand policy. Execute BrandingThe NSF brand as outlined in the brand policy is applied in all marketing material and at marketing events. Communication / Stakeholder ManagementFigure 10: Communication / Stakeholder Management Develop Communication PlanA communication plan and policy is developed and published for use within the NSF. Execute PlanStipulations of the communication policy and plan are incorporated within the day to day communication practices of the NSF. Monitor PlanThe expectations and requirements of prominent stakeholder groups are assessed and the necessary amendments incorporated into the planning of the NSF. Request for InformationA request for information directed to the NSF may be received from Parliament, 3rd Parties such as the media, or the general public. This process addresses how requests for information are resolved. 002_Governance Risk and ComplianceFigure 15: Governance Risk and Compliance GovernanceGovernance involves the conformity of the NSF policy environment is applicable and sufficient in ensuring that the organisation complies with the requirements of the regulatory environment. Risk ManagementRisk Management is the set of processes through which management identifies, analyses, and, where necessary, responds appropriately to risks that might adversely affect realization of the NSF's business objectives. ComplianceCompliance means conforming to NSF requirements. At an organizational level, it is achieved through management processes which identify the applicable requirements (defined for example in laws, regulations, contracts, strategies and policies), assess the state of compliance, assess the risks and potential costs of non-compliance against the projected expenses to achieve compliance, and hence prioritise, fund and initiate any corrective actions deemed necessary. GRC ReportingGRC Reporting involves the monthly reporting of the Governance, Risk and Compliance environment of the NSF. This includes all changes, updates and associated consultations/interactions within the organisation. GovernanceFigure 16: Governance Manage Policy ChangeManage Policy Change includes the identification, development and approval of NSF policies. Risk ManagementFigure 18: Risk Management Manage RiskRisk management involves the planning, assessing and adaptation to a relevant response to ensure that the impact thereof on the NSF is sufficiently addressed. Manage RiskFigure 19: Manage Risk Scan NSF Operational and Business EnvironmentThe GRC Officer examines NSF operational and business environment for change. Obtain Internal Audit or Auditor General FindingsThe GRC Officer requests the latest reports from Auditor General and internal audit for review. Change PolicyA change in policy has occurred. Identify and Classify RiskAny material changes, or risks raised during the findings of the said audit reports are extracted and examined for materiality and impact. Identify and Assemble the Organisational Risk Review TeamIdentification and assembly of the Organisational Risk Review Team who will have the required knowledge and experience to assist in the risk assessment. Identify and Assemble the Divisional Risk Review TeamIdentification and assembly of the Divisional Risk Review Team who will have the required knowledge and experience to assist in the risk assessment. Arrange Strategic Risk WorkshopArrange the risk review workshop where the identified risk(s) is / are assessed. Assessment of Strategic RisksProvide input on the risk identified and classified, which will be incorporated into the risk register. Provide Mitigation ActionsProvide applicable mitigating actions for review. Review and Provide InputProvide input on the risk identified and classified, which will be incorporated into the risk register. Amend Mitigation ActionsAmend the mitigating actions based on review notes and commentary. Consolidate all Inputs and List of MitigationsConsolidate the inputs and list of mitigation's. Create / Amend Risk RegisterCreate the risk register to record the risks identified. The risk register summarises the nature of the risk, the risk rating, the assigned response and owner.Review Risk RegisterReview of the updated risk register for adequacy. Review Risk RegisterReview of the updated risk register for adequacy. Develop Risk and Control FrameworkOnce the Risk Register has been approved the Risk & Control Framework is developed. This framework provides the base for use by internal audit. Review Risk and Control FrameworkReview the risk & control framework for adequacy. Review Risk and Control FrameworkReview the risk & control framework for adequacy.Review Risk and Control FrameworkThe risk & control framework is reviewed for completeness and validity. Amend Risk and Control FrameworkAmend the Risk and Control Framework based on review notes and commentary. Publish Risk & Control FrameworkPublish the risk register and risk & control framework on the relevant NSF platforms. ComplianceFigure 20: Compliance Manage Process ChangeManaging Process Change involves any change in policy or to the risk framework should be operationalised in the processes and manuals (where applicable). GRC ReportingFigure 22: GRC Reporting Monthly ReportingGRC Reporting involves the monthly reporting of the Governance, Risk and Compliance environment of the NSF. This includes all changes, updates and associated consultations/interactions within the organisation. 003_SecretariatFigure 24: Secretariat Setup and Maintain NSF CalendarThis process involves interactions by the Secretary with internal and external coordinators to plan and finalise a NSF calendar that incorporates all meetings and other relevant milestone dates that form part of the NSF's governance structure. Maintain Committee AppointmentsThis process involves the identification, planning and finalisation of all committees that form part of the NSF's governance structure. Meeting AdministrationThis process involves all administrative tasks associated with the planning and execution of committee meetings. Setup and Maintain NSF CalendarFigure 25: Setup and Maintain NSF Calendar Setup and Maintain NSF CalendarThis process involves interactions by the Secretary with internal and external coordinators to plan and finalise a NSF calendar that incorporates all meetings and other relevant milestone dates that form part of the NSF's governance structure. Maintain Committee AppointmentsFigure 27: Maintain Committee Appointments Appoint CommitteeAppointment of the committee involves the structuring, review and approval of committee memberships. Perform Committee PlanningCommittee membership is formalised by securing appointments, soliciting relevant declarations and publishing all relevant information for future reference. Meeting AdministrationFigure 30: Meeting Administration Prepare for Committee MeetingThis process involves all preparatory work for committee meetings, to ensure that all members are duly notified of upcoming sessions. Manage Committee MeetingThis process involves the distribution of all meeting documentation prior, during and after committee meetings. 004_Integrated Skills PlanningFigure 33: Integrated Skills Planning Demand ForecastThis process involves the confirmation of the NSF’s mandate and the translation of legislative directives into a demand for skills. This demand is further analysed and captured in the strategic objectives (goals or long term results) which informs the development of the Strategic Plan as part of the Strategy Formulation Process. Supply PlanningDuring this process the NSF assesses its options in providing ‘skills supply’. This is done by identifying certain programmes/projects and bursaries that will succeed in providing beneficiaries with the required skills (i.e. outcomes) in the areas identified during forecasting. This process involves an assessment of the NSF’s internal resourcing (and knowledge base), its access to service providers and/or partners and ultimately available funding in prioritising certain initiatives. The outcomes of these initiatives inform the development of the Annual Performance Plan as part of the Strategy Formulation Process. Strategy ContextualisationDuring the process of strategy formulation, the demand forecasting and supply planning are captured in the Strategic and Annual Performance Plans. Portfolio InitiationPortfolio Initiation involves planning for risk as well as creating a framework for programme, project and bursary assessment. This framework captures the essence of the demand forecasting and supply planning process and is to be used by the Initiation and Bursary teams to develop and initiate programmes, projects and bursaries. This process concludes with a formal handover to the Initiation and/or Bursary team. InnovationThis process involves the monitoring of trends within the PSET System and innovating NSF operations (people, processes and/or systems) in response to the changing environment. Demand ForecastFigure 34: Demand Forecast Confirm MandateIdentify and obtain all relevant strategies, legislation and other relevant official documentation that guides the directive of the NSF. This process further involves the extraction and quantification of the NSF’s mandate and associated objectives as it is understood and solicits approval from the Accounting Authority of these inferences. Confirm Demand ImplicationsThis process involves an in-depth causal analysis to assess the objective problem areas as well as the associated skills demand of each mandate component/dimension. Based on the outcomes of this assessment, demand statements are prepared per mandate dimension. Identify and Agree Strategic Goals and ObjectivesThis process involves the development of (a) strategic goal(s) per objective, i.e. assessing which long-term results that the NSF seeks to achieve. This is informed by the demand statement developed previously. Associated elements of measurement, data requirement and baseline values for the specific goal are quantified. Identify and Assess Existing InitiativesAnalyses and quantify existing initiatives (programmes and/or projects) currently being funded by the NSF of which the outcome will address the strategic goals tabled. A view on external initiatives (of other role players in the PSET system and associated industries) are taken to identify synergies and/or quantify ‘supply’ expected from same. Supply PlanningFigure 39: Supply Planning Develop / Obtain Performance Scoring Framework (Per Objective)During this process a scoring framework for the assessment and prioritisation of possible NSF interventions to address skills demand (achievement of stated objectives) are developed or, in instances where it has already been developed, are confirmed. Assess Intervention LandscapeThis process involves obtaining a view of the resource and/or partnering capability of the NSF and assessing its capacity to deliver on its objectives, i.e. quantifying its ability to fund certain initiatives (training, research, bursaries) to create or facilitate a ‘supply’ of skills that will address the demand outlined in the demand statement. Quantify and Agree on Strategic OutcomesBased on the intervention(s) selected as part of the previous sub-process, specific outcomes are crafted and quantified and included in the logframe. Strategy ContextualisationFigure 43: Strategy Contextualisation Strategic PlanningReview and update the NSF’s strategic plan based on the legislative and strategic environment, extraction of the objectives listed in the demand statement and corresponding details listed in the logframe. Input to Annual Performance PlanningDevelopment of the NSF’s annual plan based on the objectives articulated in the strategic plan. Outcomes for performance are listed based on the intervention / supply statements developed, together with the corresponding details listed in the logframe. Portfolio InitiationFigure 46: Portfolio Initiation Risk Planning per PortfolioThis process involves the planning and recording of all relevant risks from a portfolio perspective. The baseline version of a risk register is created and communicated with the GRC unit. Develop / Obtain / Programme / Project FrameworkIn order to guide the project initiation team in the development of programmes/projects, a scoring framework is created for projects/programmes with a similar objective. Initiate HandoverTo ensure continuity in understanding and approach, a formalised process is followed whereby the ISP team orientates the Project Initiation unit. InnovationFigure 50: Innovation Trend AnalysisIn this process content of research obtained (as part of the strategic process), facts / results recorded in performance information and/or programme /project / bursary documentation are assessed to identify any potential trends. Functional Operations Readiness ReviewThis process considers the impact of trends on the operations of the NSF and considers the impact and associated response required from a people, process or system perspective. 005_ProjectsFigure 53: Projects InitiateProject initiation involves the translation of strategic objectives, outcomes and outputs into detailed activities to be included as part of a project scope. It further addresses the planning for and soliciting of suitable partners and service providers in preparation for the execution/implementation phase. Project initiation is managed by the Projects Initiation Team. Execute During the execution phase the Service Provider commences with implementation while the NSF's Project Monitoring Team monitors the project's performance on the achievement of outputs as well as adhering to the planned expenditure and schedule/programme. Close - OutDuring the close-out phase the NSF's Project Monitoring Team performs a final assessment on the project's achievement of outputs prior to issuing the relevant certificates and performing financial close-out. ReviewSubsequent to project close-out a post implementation review/impact assessment is performed according to the agreed metrics (outcomes) of the project. InitiateFigure 54: Initiate Identified NeedDuring this phase the 'identified need', i.e. the envisaged objectives, outcomes and outputs, are confirmed by the Initiation Team to ensure alignment. Develop VehicleDuring this process the Initiation Team consults with partners as identified during portfolio development (if applicable). Partners input, agreed roles and responsibilities are defined and incorporated into the relevant agreement. The team further develops a suitable procurement strategy for soliciting a service provider. Structure DealThe direction provided in the procurement strategy is implemented. This includes a open/closed bid process together with the evaluation, adjudication and award to a suitable service provider. Sign Memorandum of AgreementThe Initiation Team concludes the contracting process by incorporating the project deliverables (together with activities, outputs and outcomes), time frames, costs, roles and responsibilities into a Memorandum of Agreement. The involvement of the Project Monitoring Team is secured during the finalisation of the agreement. Unsolicited ProposalsUnsolicited proposals from Service Providers are acknowledged and assessed for strategic fit to the NSF Portfolio by the Initiation Team. Should a match exist the proposed scope is escalated to the ISP Team for consideration. Identified NeedFigure 55: Identified NeedIdentify Initiation Team PMThe initiation director assigns a project manager for the initiation phase of the project. Assignment might be informed by specific knowledge and skill set pertinent to the scope of the programme / project. The project manager receives an official appointment outlining all milestones dates. Confirm Programme/Project ParametersExtraction and alignment with logframe attributes including objectives, outcomes and outputs. Obtain relevant documentation on partnership awareness sessions. Develop Value Chain, High-Level Scope and Risk AssessmentThe IPM develops the Project Specific Value Chain, High-Level scope and Risk Assessment for the programme/project based on the input informed by the ISP process. Review Value Chain, High-Level scope and Risk AssessmentThe Initiation Director reviews the value chain and high-level scope for validity and relevancy. This includes the translation of outcomes and outputs into activities to be performed as part programme/project and a thorough analysis of upstream and downstream activities supporting the success of the programme/project.If the scope requires refinement, the IPM is requested to revisit /amend the programme/project scope. Review Value Chain, High-Level scope and Risk AssessmentThe ISP Team reviews the value chain and high-level scope for validity and relevancy. This includes the translation of outcomes and outputs into activities to be performed as part programme/project and a thorough analysis of upstream and downstream activities supporting the success of the programme/project.If the scope requires refinement, the IPM is requested to revisit /amend the programme/project scope. Amend Value Chain, High-Level Scope and Risk AssessmentThe IPM amends the value chain and high level scope and risk assessment based on the inputs provided by the ISP team. Develop VehicleFigure 56: Develop VehiclePerform Due Diligence on Partner(s)A thorough due diligence on the capacity, capabilities and good standing of the identified partner (s) is performed to quantify requirements and possible contributions. Structure PartnershipProceed with negotiations with potential partners based on pervious discussions/sessions held during the ISP process. This includes confirmation of delegated representatives, establishment of communication channels and other rules of engagement. Present NSF High Level ScopePresent the NSF defined scope of work for the associated programme/project including full details of objectives, outcomes and outputs as developed. Review Proposed Scope and Provide Commentary (If Required)Review the proposed scope as developed by the NSF. Any additions or changes to objectives, outcomes, outputs or approach is tabled for consideration and negotiation. Review Proposed Scope and Provide Commentary (If Required)Review the proposed scope as developed by the NSF. Any additions or changes to objectives, outcomes, outputs or approach is tabled for consideration and negotiation. Determine if Material Changes to Scope are RequiredDetermine if material changes to the scope of the project are required based on review notes and commentary, or have been requested by the Partner(s). Consult ISP TeamFor material changes to NSF developed scope, consultation with the ISP Team should be sought, prior to scope changes being incorporated into the Memorandum of Understanding (MoU), Amend Proposed ScopeAmend the proposed project scope based on review notes and commentary from the Partner(s) and, or ISP Analysis Team. Determine Acquisition ApproachExamine the agreed scope and propose an appropriate acquisition approach strategy based on the NSF policy and associated grant disbursement frameworks. Review Proposed Acquisition Approach StrategyThe partner reviews the proposed procurement against their policies and procedures. Review Proposed Acquisition Approach StrategyReview the proposed procurement against their policies and procedures. Amend Proposed Acquisition Approach StrategyAmend the proposed Acquisition Approach Strategy based on review notes and commentary. Determine if Memorandum of Understanding (MoU) is RequiredDetermine if Memorandum of Understanding (MoU) is required to capture agreements made with Partners. This might include commitments agreed to with regards to:Resource provisionFundingOther contributions made towards the programme/projectDraft Memorandum of Understanding (MoU)Prepare a draft MoU that includes all agreed objectives, outcomes and outputs pertinent to the scope of project. All roles and responsibilities, communication channels and other administrative aspects are documented.Review MoU ContentThe partner(s) reviews the content of the MoU. Review MoUReview the MoU for accuracy. Examine MoU and Provide RecommendationsThe PGC examines the MoU and provides commentary and amendments, if required. In addition the PGC will provide their recommendations. Examine MoUExamine the MoU and provide notes and commentary, if required. Amend MoUAmend the MoU based on review noted and commentary. Sign MoU (Partner)The partner's delegated authority signs the MoU. Sign MoU (NSF)Sign the MoU subsequent to the partner's delegated authority's signature. Structure DealFigure 57: Structure DealDevelop Terms of ReferenceDevelop the terms of reference (ToR) for inclusion into the procurement documentation of potential Service Providers. This includes description of scope, timelines, specifications, M&E matrix, measurement criteria and pricing schedule. Review Terms of Reference (ToR) for Accuracy, Completeness and ValidityReview the Terms of Reference (ToR) or accuracy, completeness and validity to determine that all necessary requirements are met in line with the value chain and scope statement developed. Incorporation of outcomes and objectives and associated data should be incorporated in the M&E matrix Review Terms of Reference (ToR) for Accuracy, Completeness and ValidityReview the Terms of Reference (ToR) or accuracy, completeness and validity to determine that all necessary requirements are met in line with the NSF goals, objectives and policies/legislation. Examine the Terms of Reference (ToR)Examine the Terms of Reference (ToR) and provide commentary, if required. Amend Terms of Reference (ToR)Amend the Terms of Reference (ToR) based on review notes and commentary. Develop RFP and Advert (Open Bids) / Invitation and Motivation (Closed Bid)Prepare a RFP that includes all additional tender conditions and procurement related returnable documentation. The tender notice/advertisement is prepared with all associated arrangements and milestone dates. Review RFP & Advert (Open Bid) / Invitation and Motivation (Closed Bid)Review the RFP and advert against the developed ToR. Review RFP & Advert (Open Bid) / Invitation and Motivation (Closed Bid)Review the RFP and advert against the developed ToR. The composition and focus of the committee should be as follows:The Project Manager - Prepares draft RFP for consideration, including benchmark analysis.A Senior member from ISP - Identifies strategic fit. A Senior member from Finance - Confirms available budget.Skills Development Subject Matter Expert(s) - Provides subject matter input. Legal Representative - Vetting for legal compliance.Supply Chain Management - Vetting for grants framework compliance.Review RFP & Advert (Open Bid) / Invitation and Motivation (Closed Bid)The Project Grants Committee (PGC) reviews the RFP and advert against the developed ToR. The committee may opt to identify a designated individual to review and approve the amendments suggested. The basis of this decision for an individual member of the PGC for review and approval is based on the PGC's definition of a minor or a soft rejection. This decision should be minuted as part of the meeting. Examine RFP & Advert (Open Bid) / Invitation and Motivation (Closed Bid)Examine the RFP & Advert (Open Bid) / Invitation and Motivation (Closed Bid) and provide commentary, if required. Amend RFP and or Advert / Invitation and / or MotivationThe RFP, advert or invitation is updated to incorporate any input and/or comments. After completion of updates, it is again distributed to the relevant role players for a second review. Place Advertisement (Open Bid)For Open Bids a tender notice/advertisement, as approved, is published as per the Grant Disbursement Framework. Invite Bidder(s) (Closed Bid)In the case of a closed bid, pre-identified bidder(s) is/are invited to attend a briefing/clarification session. Conduct Tender BriefingThe tender briefing is conducted. This session is aimed at addressing any RFP related queries and providing further clarity on the associated scope of work. Receive Proposals (Open and / or Closed Bids)Proposals are received by the as per the approved Grant Disbursement Framework. Screen Proposals (Open and / or Closed Bids)Screen proposals for compliance with all tender conditions. Appoint Technical Evaluation CommitteeAppoint a committee who is tasked to perform proposal evaluations and also due diligence assessments. This team consists of suitably experienced individuals possessing technical, financial and procurement competencies. The PM is by default the chair of this committee. Committee composition:1. Decision making powers rest with the following members:Project ManagerSenior Member from ISPSenior Member from FinanceSkills Development Subject Matter Experts2. Members who support the above team consist of the following members:Legal RepresentativeSupply Chain Management (assist with Secretariat services)Once the committee meets the above requirements, the final evaluation committee must be appointed. Each team member must sign a declaration of interest. Evaluate Proposals (Open and / or Closed Bids)The committee evaluates the technical and financial content of proposals that are responsive. In addition the responses must be evaluated against the agreed selection criteria and financial benchmarking against similar projects. Perform Due DiligenceThe committee performs due diligence assessments on all bidders identified. This includes an assessment of the bidder’s technical ability, capacity and financial good standing. This may include a site visit to the Service Providers head office and project site (where applicable) in order to determine if the Service Provider is capable of delivering on their bid application. Determine if Site Visit is RequiredDetermine is a site visit is required to the Service Provider(s) head office and or proposed project site to determine the capability of the site to meet NSF requirements specified in the RFP. Perform Site VisitThe committee performs a site visit of the Service Provider(s) head office and proposed project site to assess its ability to perform the work included under the proposed scope included in the RFP. Prepare Site Visit ReportThe committee documents all findings relating to the suitability of the Service Provider's site to meet NSF requirements specified in the RFP. Review Site Visit Report for Accuracy, Completeness and ValidityReview the Site Visit Report for accuracy, completeness and validity to determine if the capabilities of the Service Provider(s) have been adequately assessed and are in line with NSF requirements specified in the RFP. Amend Site Visit ReportAmend the Site Visit Report based on review notes and commentary providing further clarification where required. Prepare Recommendation(s)Based on the evaluation and the due diligence assessments performed, the committee concludes the assessments by preparing recommendations for consideration by the PGC. Compile PGC PackThe PGC pack and recommendations are compiled for purposes of review and approval. Review PGC PackThe PGC pack and recommendations are reviewed. Amend PGC PackRecommended changes to the PGC pack (if applicable) are incorporated. Finalise PGC PackShould no amendments to the PGC Pack be required, it is finalised (outlining the recommendations) for PGC consideration. Perform AdjudicationThe adjudication is conducted in accordance with the Grants Disbursement Framework and PGC Terms of Reference (ToR). Determine if Clarification is RequiredDuring PGC adjudication, areas of the bids being evaluation that required further clarification, must be identified. The method by which the requested clarifications will be adjudicated must also be determined by the PGC, this may take the form of a Round Robin between the PGC members, or another formal sitting of the PGC Committee.Should a Round Robin be selected to finalise bids requiring further clarification, the Round Robin should be conducted as per the specified guidelines / policy and clear conditions should be stipulated in the PGC minutes regarding such cases to be decided by means of Round Robin. Update PGC Pack to Address ClarificationsUpdate the PGC Pack(s) in line with the requirements of the PGC. Document Conditions (If Applicable)In the event that the PGC's decision to approve the recommendation submitted by the committee includes specific conditions, these conditions, together with specific actions and/or responsibilities is minuted as part of the meeting. Approve / Reject PGC RecommendationThe recommendations by the PGC either approved, referred back to the PGC or rejected by the Director General (DHET). Proposals / bids referred back will be updated in another PGC session or by means of Round Robin. Such proposals could also be referred back to the committee for further clarification. Notify Finance of Bid AwardFinance is notified when a bid has been approved by the DG (DHET) in order for them to update the commitment schedule. Send Notification to Successful and Unsuccessful biddersIssue letters to all bidders notifying them of the outcome of the evaluation. Sign Memorandum of Agreement (MOA)Figure 58: Sign Memorandum of Agreement (MOA)Prepare Draft MoAUpdate the standard MoA template with project specific information. The project specific Monitoring and Evaluation Matrix (M&E Matrix) is also drawn into the MoA. When preparing the Draft MoA, one must reference any conditions stipulated by the PGC in the recommendation if applicable. Assign Execution PMThe following criteria should be considered when selecting / assigning the Project Manager for the execution phase:Knowledge of project scopeKnowledge of subject matter (programme type)Knowledge of industryAvailability Prepare Cash Flow and Implementation PlanThe Service Provider (SP) prepares and submits a cash flow and implementation plan for the project as per the prescribed format. Ensure Scope AlignmentReview the proposed cash flow and implementation plan to ensure that the initial scope of work is conformed to and that is also aligns to the agreed contract value. Project costs should be aligned to activities. Review Cash Flow and Implementation PlanReviews the proposed cash flow and implementation plan as proposed by the SP. Milestones and totals are verified against the scope as listed in the proposal. Amend Cash Flow and Implementation PlanAmend the Cash Flow and Implementation Plan based on review notes and commentary. Update MoA and Circulate for ReviewUpdate the MoA to incorporate the reviewed/updated cash flow and implementation plan. Review MoAIn the event of partnership(s) the partner(s) delegated authority reviews the draft MoA to ensure that all agreed aspects are incorporated. Review MoA and Provide Amendments (if applicable)The SP reviews the content of the MoA including all relevant annexure's. Prepare Final Draft MoAIncoporate all suggested changes and/or updates as requested by the partner(s) and SP subsequent to circulation. Review Final Draft of MoAReview the final draft of the MoA to ensure that all contractual provisions, operational arrangements and administrative matters have been captured appropriately. After reviewing and accepting the draft MoA, Legal performs their final review before sending it to the DG for sign-off. Amend Final Draft MoAA final draft MoA is prepared which incorporates all input received from the contracting parties. Sign MoAThe DG signs the MoA subsequent to it being reviewed / signed by all relevant internal NSF parties. Sign MoAThe Partner's delegated authority signs the MoA (If applicable). Sign MoAThe SP's delegated authority signs the MoA. Unsolicited ProposalsFigure 59: Unsolicited ProposalsReceive Bid Related MaterialUnsolicited proposals are received centrally and logged, prior to handing same over to the identified project manager for assessment. Log Received Bid ApplicationThe unsolicited proposal is received. Review Received Bid Application for Compliance with NSF Administrative RequirementsReview the Received Bid Application to determine if it meets all necessary NSF Bid Application requirements (templates, structure, content). Determine if Applicant Requires Support in Meeting NSF Administrative RequirementsDetermine if the Applicant requires support in meeting the NSF administrative requirements when submitting a Bid Application. Support may include, but is not limited to:Assistance in completing NSF Bid Application Templates Providing information on where Bid Applications may be submitted Directing the Applicant to appropriate NSF channels where existing RFP's are/may/will be published. Notify Applicant of Required Content to Meet NSF Administrative RequirementsNotify the Applicant of required content/material/supporting documentation to meet the NSF administrative requirements when submitting a Bid Application. Provide Assistance to ApplicantProvide assistance to the Applicant in order to meet NSF requirements for Bid Applications. In addition, assistance may include, but is not limited to:Assistance in completing NSF Bid Application Templates Providing information on where Bid Applications may be submitted Directing the Applicant to appropriate NSF channels where existing RFP's are/may/will be published. Evaluate Received Bid Application Against Portfolio Plan ObjectivesThe ISP Team performs a further evaluation to determine match to the NSF Portfolio Plan. This includes considering how the 'outputs' suggested by the proposal might present alternative to address 'outcomes' listed in the Portfolio Plan. The unsolicited bid must be evaluated to determine if it meets the following requirements:Strategic fit to NSF objectives Availability of budget Compares favourably, in terms of financial benchmarks, to projects of a similar nature. Determine if Received Bid Application Matches Portfolio Plan ObjectivesThe ISP Team performs an assessment on the outcomes anticipated from the proposal submitted for a match to the NSF strategic objectives. Perform Technical Evaluation of Received Bid ApplicationThe committee evaluates the technical and financial content of proposals that are responsive. In addition the responses must be evaluated against the agreed selection criteria and financial benchmarking against similar projects. Perform Due Diligence on Received Bid ApplicationA thorough due diligence on the capacity, capabilities and good standing of the Service Provider is performed to quantify requirements and possible contributions. Prepare Recommendations on Received Bid ApplicationPrepare recommendation on received bid application. Review Recommendations on Received Bid Application Review the recommendation for accuracy, completeness and validity.Review Recommendation for Accuracy, Completeness and ValidityThe PGC reviews the recommendation for accuracy, completeness and validity and either approves the recommendation or refers it back to the committee to be updated / amended.Examine RecommendationsExamine the recommendations on the received bid application and provide commentary, if required. Amend Recommendation on Received Bid ApplicationThe committee updates the recommendation with the requirements. Communicate Decision to ApplicantIf the unsolicited proposal does not present a match to the NSF's requirements, it is communicated to the applicant and he/she directed to the relevant platform for NSF's official RFP's. Update Portfolio PlanThe ISP Team extends the NSF's Projects Portfolio Plan by including the 'outputs' as outlined in the proposal. Communicate Way Forward to Service ProviderPrepare a notice to the applicant outlining that the proposal matches the NSF's requirements and that the way forward will be confirmed subsequent to further analysis and recommendations of the PGC.ExecuteFigure 60: Execute Project Set UpThe Project Monitoring Team proceeds to orientate the service provider for project implementation. All monitoring and evaluation measures and events are communicated and scheduled. Monitor Performance (Monthly)The Project Monitoring team monitors the performance of the Service Provider on the achievement of project outputs and outcomes within the agreed time frame and budget on a monthly and or ad hoc basis as required. Monitor Performance (Quarterly)The Project Monitoring team monitors the performance of the Service Provider on the achievement of project outputs and outcomes within the agreed time frame and budget on a quarterly basis. Invoice verification forms part of this process. Perform Learner Verification Site VisitVerification of learner details / achievements against the service provider's report is performed by the project manager during the site visit. The selection of the sample size to verify the site is done randomly by the project manager at his/her discretion. Perform Progress Verification Site VisitA progress verification site visit is performed by the project manager to assess the progress of the project against a Service Provider's reported metrics. This may be done on an ad hoc basis subject to the project manager's discretion or in response to an incident. Monthly progress verification may be required for high risk projects. Perform Invoice Verification Site VisitAn invoice verification site visit is performed on a quarterly basis by the project manager, entailing an assessment of progress of the project as well as verification of the project expenses. The selection of the sample size of the invoices / financial documentation to verify the site is done randomly by the project manager at his or her discretion. Develop Rescue PlanIn cases where the service provider is unable to meet project requirements or contractual obligations and termination of their services occurs, a rescue plan must be implemented. The rescue plan applies only in cases where learners will become disenfranchised due to termination of the project.Renegotiate Project ContractRenegotiate the project contract based on the requirements of the NSF.Terminate Project ContractTerminate the project contract based on the requirements of the NSF. Administer Change Request (Minor Change)All changes to the project scope, budget and time frames are assessed and managed accordingly. Administer Change Request (Major Change)All changes to the project scope, budget and time frames are assessed and managed accordingly. Perform Interim EvaluationsInterim project evaluations are performed to assess performance on outcome indicators where applicable.Project Set UpFigure 61: Project Set Up Initiate Project SetupThe project manager initiates processes for project setup within the NSF. This includes the creation of a document structure in the electronic registry, financial and project management system setup. Project setup must at all times be guided by the Memorandum of Agreement (MoA).The Service provider must be sensitized to the creation of a project asset register is the scope of the project involves the development and or procurement of assets. However any assets procured or developed during the course of a project will not enter the NSF Asset Register. Prepare Site Visit SchedulePrepare a schedule of proposed site visit dates. Site visit types include but are not limited to:Learner Verification Progress Verification Invoice Verification These dates are incorporated into the relevant system to ensure that all parties are notified. Examine Site Visit ScheduleExamine the Site Visit Schedule and provide input as to finance staff availability to attend scheduled site visits. Review Site Visit Schedule for Accuracy, Completeness and ValidityReview the Site Visit Schedule for accuracy, completeness and validity to determine if proposed dates align to NSF performance reporting and objective requirements. Amend Site Visit ScheduleAmend the Site Visit Schedule based on review notes and commentary. Establish MilestonesEstablish milestones with the Service Provider by when the scope of work (and relevant output deliverables) are to be delivered/completed. Examine Milestones and Provide CommentaryThe Service Provider examines the details of milestones prepared and provides input where necessary. Review Milestones for Accuracy, Completeness and ValidityReview the milestones for accuracy, completeness and validity to determine if they are in line with dates and deadlines agreed in the Memorandum of Agreement (MoA). Amend MilestonesAmend the milestones based on review notes and commentary. Develop Reporting RequirementsDevelop reporting requirements with the Service Provider based on the templates, structure and content to be included in the performance reports. Examine Reporting Requirements and Provide CommentaryReporting requirements are examined to ensure agreement and acceptance thereof. Review Reporting Requirements for Accuracy, Completeness and ValidityReview reporting requirements for accuracy, completeness and validity to determine alignment to the performance reporting requirements of the NSF. Amend Reporting RequirementsAmend the reporting requirements based on review notes and commentary. Develop Reporting TimelinesDevelop reporting timelines/schedules with the Service Provider as to when reporting on project progress will take place. Examine Reporting Timelines and Provide CommentaryExamine Reporting Timelines and provide commentary. Review Reporting Timelines for Accuracy, Completeness and ValidityReview the reporting timelines for accuracy, completeness and validity to determine that it aligns to the delivery dates specified in the Memorandum of Agreement (MoA). Consideration must also be given to the suitability of the reporting timelines given the nature of services being delivered. Amend Reporting TimelinesAmend the reporting timelines based on review notes and commentary. Establish Reporting StructuresEstablish the reporting protocol for the programme/project. Examine Reporting Structures and Provide CommentaryExamine Reporting Structures and provide commentary. Review Reporting Structures for Accuracy, Completeness and ValidityReview reporting protocols for their suitability in line with MoA and NSF requirements. Amend Reporting StructuresAmend the reporting structures based on review notes and commentary. Conduct Kick-off MeetingThe project manager conducts a project kick-off meeting with the Service Provider. During this meeting project administrative matters and representatives are confirmed. In addition, the communication plan is formalised. The agreed implementation plan, programme and cash flow is emphasised and important milestone dates (monthly and quarterly reviews, interim evaluations (where applicable)) are scheduled. Frequency of site visits is determined based on the risk profile of the project/programme.Attend Orientation SessionThe project manager facilitates an orientation session at the SP site to familiarise their SP team with the systems and standard documentation requirements of the NSF. Included in this site visit is training on the use of the Project Monitoring and Reporting Tool (PMRT). Monitor Performance (Monthly)Figure 62: Monitor Performance (Monthly)Prepare Monthly Progress ReportThe SP prepares a monthly progress report as per pre-determined requirements. This may also include updating of relevant outputs and or outcomes on the M&E Matrix where applicable. If a remedial action plan exists, Monthly reports must include progress updates against the agreed remedial actions plan. Review Monthly Progress ReportThe project manager reviews the monthly report as submitted by the SP. This report is compared against items listed in the M&E Matrix (where relevant) together with any major deviations from the agreed schedule and cash flow. If a remedial action plan exists, Monthly reports must include progress updates against the agreed remedial actions plan. Review Monthly Progress ReportFinance reviews the monthly report as submitted by the SP. This report is compared against items listed in the M&E Matrix (where relevant) together with any major deviations from the agreed schedule and cash flow. If a remedial action plan exists, Monthly reports must include progress updates against the agreed remedial actions plan. Amend Monthly Progress ReportThe report is updated by the SP with any changes requested and/or queries raised by the Execution Project Manager and re-submitted. Determine if a Site Visit is RequiredBased on the content included in the progress report, a site visit may be required. Determine Type of Site Visit RequiredMonthly site visits conducted by the project manager can either be Progress Verification or Learner Verification visits. Update M&E Matrix with Monthly IndicatorsThe relevant outputs in the project M&E Matrix is updated by the project manager to incorporate metrics obtained through the report and/or site visit. Determine if Project Performance is on TrackBased on the findings from the report and/or site visit the project manager determines if the project is on track with regards to outputs, expenditure and general progress. Determine if Existing Remedial Action Plan is in PlaceShould the performance not be on track, the project manager confirms if a remedial action plan is currently in place on the project (i.e. from a previous iteration) Determine if Remedial Action Plan Requires AmendmentIn the event that a previous remedial action plan is being implemented, it is confirmed by the project manager if any updates and/or changes should be effected. Determine if Rescue Plan is RequiredThe project manager determines if a rescue plan is required. This is for cases where learners and/or infrastructure need to be reallocated or transferred. A risk assessment needs to be performed during the contract termination process which will inform the Rescue Plan. Request Remedial Action Plan from Service ProviderIn the event of under performance on outcomes, outputs, expenditure and/or schedule, the project manager requests the SP to prepare a remedial plan to expedite progress on the project. The project manager further includes terms and conditions of the action plan and facilitates a way forward session. Prepare and Submit Remedial Action PlanThe SP prepares a remedial action plan to address and resolve items raised by the NSF. Determine if Change Request is RequiredThe content of the remedial action plan may result in a change on the project. In this case a change request needs to be prepared by the project manager. Review Remedial Action PlanThe project manager reviews the SP's remedial action plan to determine if suggested interventions will be successful in addressing areas of concern. Review Remedial Action Plan with EPM RecommendationReview the SP's remedial action plan together with the project manager’s observations / comments on the perceived effectiveness of the proposed recovery plan. Review Proposed Remedial Plans Ability to Address Underperformance on Outputs and OutcomesReview the assessment performed by the project monitoring team on the SP's remedial action plan. The affect on the project's outcomes and outputs as envisaged/developed during the portfolio planning process is assessed to determine if this plan will result in material deviations. Amend Remedial Action PlanThe Service Provider incorporates any requested amendments into the remedial action plan. Update Cash Flow, Programme and M&E MatrixThe project manager updates the M&E matrix, cash flow and programme where relevant. Implement Remedial Action PlanImplement the remedial action plan as accepted by the NSF. Monitor Performance (Quarterly)Figure 63: Monitor Performance (Quarterly)Prepare Quarterly Progress ReportThe SP prepares a quarterly progress report as per pre-determined requirements. If a remedial action plan exists, Quarterly reports must include progress updates against the agreed remedial actions plan. The Quarterly Progress Report for the Service Provider must include a Pro Forma Invoice. Perform Desktop Review of Quarterly ReportThe project manager reviews the quarterly report as submitted by the SP. This report is compared against items listed in the M&E Matrix (where relevant) together with any major deviations from the agreed schedule and cash flow. If a remedial action plan exists, Quarterly reports must include progress updates against the agreed remedial actions plan. Perform Desktop Review of Quarterly ReportFinance reviews the quarterly report as submitted by the SP. This report is compared against planned and valid expenditure. If a remedial action plan exists, Quarterly reports must include progress updates against the agreed remedial actions plan and strict assessment of planned vs actual expenditure. Perform Desktop Review of Quarterly ReportReview the quarterly report as submitted by the SP. Amend Quarterly Progress ReportThe Service Provider amends the Quarterly Progress Report to incorporate any suggested changes and/or updates. Determine if a Site Visit is RequiredBased on the content included in the progress report, a site visit may be required. Determine Type of Site Visit RequiredThe type of site visit to be performed by the project manager is determined from the detail contained in the Service Provider’s Quarterly Report. An invoice Verification site visit will always be required on Quarter-end and Learner Verification and / or Progress verification may be required on Quarter-end, but only on isolated instances. When the type of Site Visit has been determined, a team must be established to conduct the site visit including representatives from the following:ProjectsInitiationISPFinancePrepare Site Visit Report and Update M&E Matrix with Quarterly IndicatorsA site visit report, learner verification report and the monitoring section of the M&E matrix is updated with information obtained from the site visit(s).Review Site Visit Report and M&E Matrix for Accuracy, Completeness and ValidityReview all relevant site report(s) and M&E Matrix prepared by the project manager. Amend Site Visit Report and or M&E MatrixUpdate the relevant report and/or matrix. Determine if Project Performance is On TrackBased on the findings listed in the site visit report(s) and M&E Matrix, the project manager determines if project performance is on track. Determine if Existing Remedial Action Plan is in PlaceShould the performance not be on track, the project manager confirms if a remedial action plan is currently in place on the project (i.e. from a previous iteration). Determine if Remedial Action Plan Requires AmendmentIn the event that a previous remedial action plan is being implemented, it is confirmed by the project manager if any updates and/or changes should be effected. Determine if Rescue Plan is RequiredThe project manager determines if a rescue plan is required. This is for cases where learners and/or infrastructure need to be reallocated or transferred. A risk assessment needs to be performed during the contract termination process which will inform this rescue plan. Request Remedial Action Plan from Service ProviderIn the event of under-performance on outcomes, outputs, expenditure and/or schedule, the project manager requests the SP to prepare a remedial plan to expedite progress on the project. The project manager further includes terms and conditions of the action plan and facilitates a way forward session. Prepare and Submit Remedial Action PlanThe SP prepares a remedial action plan to address and resolve items raised by the NSF. Determine if Change Request is RequiredThe content of the remedial action plan may result in a change on the project. In this case a change request needs to be prepared by the project manager. Review Remedial Action PlanThe project manager reviews the SP's remedial action plan to determine if suggested interventions will be successful in addressing areas of concern. Review Remedial Action Plan and RecommendationsReview the SP's remedial action plan together with the project manager's observations/comments on the perceived effectiveness of the proposed recovery plan. Review Proposed Remedial Plans Ability to Address Under-Performance on Outputs and OutcomesReviews the assessment performed by the Project Monitoring team on the SP's remedial action plan. The effect on the project's outcomes and outputs as envisaged/developed during the portfolio planning process is assessed to determine if this plan will result in material deviations. Amend Remedial Action PlanThe Service Provider incorporates any requested amendments into the remedial action plan. Update Cash Flow, Programme and M&E MatrixThe project manager updates the M&E matrix, cash flow and programme where relevant. Implement Remedial Action PlanThe SP implements the remedial action plan as accepted by the NSF. Prepare Final InvoiceThe SP prepares an invoice based on the agreed items during the site visit. The invoice, with all relevant supporting documentation, is submitted to the project manager for approval. Prepare Payment PackThe project manager prepares a cover report outlining the review and main findings on the SP's quarterly report. A payment certificate and payment advice is prepared in support of the invoice together with all supporting documentation. Review Payment PackReview the payment advice with all supporting documentation (payment certificate and cover report) for accuracy and adequacy.Amend Payment PackThe project manager amends the payment pack to incorporate any suggested changes and/or updates.Forward Notification of Payment to Service ProviderThe project manager receives notification that payment has been effected. Proof of payment is forwarded to the SP.Perform Learner Verification Site VisitFigure 64: Perform Learner Verification Site Visit Identify Project Learner SitesThe project manager identifies all learner sites included under the project scope. Perform Sample Selection of Learner SitesThe project manager performs a random sample selection to identify specific sites to be included for learner verification. Identify Learners Associated with SiteThe project manager extracts lists of learners for the selected site(s). Perform Sample Selection of Learners for SiteThe project manager performs a random sample selection to identify specific learners to be included for learner verification in line with the NSF Sampling Methodology. Examine Quarterly Progress Report The quarterly report is verified against findings from the learner verification process. Determine if Actual Learner/s Match Quarterly Progress ReportThe project manager establishes whether the learners included under the quarterly report matches the learners as verified on site. Prepare Incident ReportShould a discrepancy exist the project manager prepares an incident report, outlining specific discrepancies identified during the learner verification process. Review Incident Report for Accuracy, Completeness and ValidityVerify the content of the incident report. Amend Incident ReportInclude any amendments requested subsequent to the review of the incident report. Perform Progress Verification Site VisitFigure 65: Perform Progress Verification Site Visit Examine Relevant Progress ReportThe monthly report is verified against findings from the progress verification process. Determine if Monthly Progress Report Matches Site ProgressThe project manager visits the site and compares items listed in the report with actual progress on site. Prepare Incident ReportShould a discrepancy exist the project manager prepares an incident report, outlining specific discrepancies identified during the progress verification process. Review Incident Report for Accuracy, Completeness and ValidityVerify the content of the incident report. Amend Incident ReportInclude any amendments requested subsequent to the review of the incident report. Perform Invoice Verification Site VisitFigure 66: Perform Invoice Verification Site Visit Examine Quarterly Progress ReportIn preparation for the invoice verification site visit, the project manager studies the Quarterly Progress Report for specific items included and claimed for as part of the report. Determine if Quarterly Progress Report Matches Site ProgressThe project manager visits the site and compares items listed in the report with actual progress on site. Recon Project Invoices and Consolidated Supporting DocumentsThe service provider consolidates all supporting documentation (invoices, bank statement) for the payment claim for scrutiny by the project manager. Review Consolidated Project Invoices for Accuracy, Completeness and ValidityThe project manager performs an in-depth analysis of the expenditure to date on the project by verifying supporting invoices and other financial detail. Based on the volume of information the project manager should apply random sampling to further scrutinise specific payments on the project. Amend Project InvoicesThe Service Provider may be requested to amend the payment claim should the project manager identify specific discrepancies or inaccuracies. Determine if Quarterly Progress Report Requires UpdateIt should be determined if an update of the quarterly progress report is required based on the analysis performed and the site visit conducted. Update Quarterly Progress ReportThe Service Provider updates the progress report with items requested by the project manager. Review Quarterly Progress Report for Accuracy, Completeness and ValidityThe project manager reviews the quarterly report to serve as an accurate reflection of progress verified on site. Review Quarterly Progress Report for Accuracy, Completeness and ValidityPerform a review of the progress report to identify any items of risk that might have remain undetected. Notify Service Provider of Required AmendmentsNotify the Service Provider of required amendments to the Quarterly Progress Report. Amend Quarterly Progress ReportIf applicable, the Service Provider updates the progress report with items requested. Develop Rescue PlanFigure 67: Develop Rescue PlanPrepare Draft Rescue PlanThe project manager prepares a draft rescue plan based on the risk analysis performed as part of the contract termination process. Review Draft Rescue Plan for Accuracy, Completeness and ValidityReview the draft rescue plan against historical information and the analysis performed during the contract termination process. Review Draft Rescue Plan for Accuracy, Completeness and ValidityReview the proposed rescue plan to determine if all outcomes included in the initial project scope is significantly addressed to minimise impact on overall strategic objectives and goals. Amend Draft Rescue PlanThe project manager includes all updates to the rescue plan as requested by the Execution and/or Initiation Director. Prepare Final Rescue PlanAll updates are included and the project manager finalise the rescue plan Review Final Rescue Plan for Accuracy, Completeness and ValidityReview the final rescue plan against historical information and the analysis performed during the contract termination process. Review Final Rescue Plan for Accuracy, Completeness and ValidityReview the final rescue plan against historical information and the analysis performed during the contract termination process. Amend Final Rescue PlanThe project manager includes all updates to the rescue plan as requested. Determine Course of Action Based on Rescue PlanThe course of action is based on the type of rescue plan developed. Renegotiate Project ContractFigure 68: Renegotiate Project Contract Identify Need to Renegotiate ContractIdentify a need to renegotiate an existing contract based on business unit interaction and or business requirements not being suitably met under the current conditions of the existing contract. Examine ContractExamine contract and identify current goods or services to be delivered. Determine if Contract Renegotiation is RequiredDetermine if contract is currently meeting the needs and objectives of NSF. Legal must provide input to determine if contract terms and conditions are in line with the requirements of the NSF. Prepare Draft ContractPrepare a draft contract based on the existing contract. A draft contract will need to be prepared as negotiation with the vendor will need to take place. The draft contract must address the issues that necessitated the need for contract renegotiation. Review Draft Contract for Accuracy, Completeness and ValidityReview the draft contract for accuracy, completeness and validity to determine if all necessary requirements are addressed. Input from the legal department must be sought to ensure contracting terms and conditions are aligned to NSF requirements. Amend Draft ContractAmend the draft contract based on review notes and commentary. Terminate Project ContractFigure 69: Terminate Project Contract Identify Need to Terminate ContractIdentify a need to terminate an existing contract based on business unit interaction and or business requirements not being met by the existing contract. In the event that a contract relates to a project, the EPM will perform the contract termination process.Examine ContractExamine contract and identify current goods or services to be delivered. Identify Risks to the NSF if Contract is TerminatedIdentify potential risks to the NSF should the contract be terminated. This may include delays to NSF initiatives while a new SP is contracted, reputational risk, risk of litigation by the SP and penalties that may apply to contract termination. Determine if Risks to the NSF are AcceptableAcceptability of the risk to the NSF must be determined with input from the Legal department and the executive office of the NSF and all potential impact considered before deciding to terminate the contract. Determine if Contract Can be RenegotiatedDetermine if the contract can be renegotiated with the vendor to better suit the needs and objectives of the NSF. If the SP is unwilling to renegotiate the contract further assessment of the risks must take place and a decision to see the contract to its expiry or to continue with its termination made. Examine Contract Termination ClausesExamine the contract termination clauses and their associated penalties. Identify Applicable Termination ClauseIdentify the applicable termination clause to be used in the termination of the contract. Legal is required to ensure that the appropriate termination clause/method is selected and adhered to. Terminate ContractTerminate the contract with the SP and notify them of the reason for termination. Should the SP choose to pursue litigation against the NSF for termination this must be addressed and resolved by Legal. Vendor Management must also be notified, so that the SP can be blocked. Administer Change Request (Minor)Figure 70: Administer Change Request (Minor)Identify Need for Change RequestA need for a change request is identified by the project manager. This might include a change in scope (outcomes and outputs) and or programme. This might be the result of an approved remedial action plan or other scenarios qualifying as a change request as per the change request terms of reference. Minor changes that may or may not affect the overall budget or scope of the project can be approved by the committee as per the associated delegated authority. Prepare Change RequestThe project manager prepares a change request for consideration by the committee. This request should be accompanied by all applicable documentation to be presented at the next session(s) of the above committees where applicable. Review Change Request for Accuracy, Completeness and ValidityReview the content of the change request for accuracy, completeness and validity to determine if the request meets the requirements of the NSF. Review Change Request for Accuracy, Completeness and ValidityThe committee reviews the change request for accuracy, completeness and validity to determine if the request meets the requirements of the NSF. This should be done during a formal sitting of the committee. Examine Change RequestThe recommendations/decisions are reviewed and accepted or rejected. Amend Change RequestAmend the Change Request based on review notes and commentary. Prepare MoA AddendumThe MoA Addendum is prepared after approval of the change request and distributed for the required signatures. Review MoA Addendum for Accuracy, Completeness and ValidityReview the MoA Addendum for accuracy, completeness and validity to determine if it aligns with the requirements of the project and NSF objectives. Examine MoA AddendumExamine the MoA Addendum and provide commentary, if required. Examine MoA AddendumExamine the MoA Addendum and provide commentary, if required. Amend MoA AddendumAmend the MoA Addendum based on review notes and commentary Sign MoA AddendumSign the MoA Addendum Sign MoA AddendumSign the MoA Addendum Update M&E Matrix, Cash Flow and ProgrammeThe project manager updates the M&E Matrix, cash flow and programme where relevant. Administer Change Request (Major)Figure 71: Administer Change Request (Major)Identify Need for Change RequestA need for a change request is identified by the project manager. This might include a change in scope (outcomes and outputs) and or programme. This might be the result of an approved remedial action plan or other scenarios qualifying as a change request as per the change request terms of reference. Major changes that affect the overall budget or scope of the project should be approved by the PGC. Details of the associated change (i.e. value or scope change details) will be provided in the DoA.Prepare Change RequestThe project manager prepares a change request for consideration by the PGC. This request should be accompanied by all applicable documentation. Review Change Request for Accuracy, Completeness and ValidityReview the content of the change request for accuracy, completeness and validity to determine if the request meets the requirements of the NSF. Review Change Request for Accuracy, Completeness and ValidityThe committee reviews the change request for accuracy, completeness and validity to determine if the request meets the requirements of the NSF. This should be done during a formal sitting of the PGC. Examine Change RequestThe recommendations/decisions of the committee is reviewed and accepted or rejected. Amend Change RequestAmend the change request based on review notes and commentary. Perform Interim EvaluationsFigure 72: Perform Interim EvaluationsAccess Current Version of M&E MatrixAccess the latest version of the M&E matrix containing all relevant updates on outcomes to date. Based on the indicators and data requirements listed in the matrix, all relevant documentation and/or data is extracted. Obtain Contract Documentation and Collect Data (Outcomes)Sourcing of all relevant data applicable to the outcomes to be measured/assessed as part of the interim evaluation. Determine if a Site Visit is RequiredBased on the content included in the M&E Matrix and contract documentation, a site visit may be required. Conduct Site VisitConduct a site visit to verify data obtained as part of outcome measurement / impact assessment. Perform Outcomes Assessment and Update M&E MatrixSubsequent to the review and verification of project outcome indicators the M&E matrix is updated with information / findings. Determine if Project Performance is on TrackBased on the assessment of the content of the M&E matrix a determination of project performance is made. Prepare Interim Evaluation ReportPrepare an interim evaluation report as a narrative summary of the interim impact assessment as performed. Review Interim Evaluation ReportReview the interim evaluation report as prepared. Amend Interim Evaluation ReportAmend the Interim Evaluation Report based on review notes and commentary. Distribute Interim Evaluation ReportSubsequent to approval of the interim evaluation report, it is distributed. Close - OutFigure 73: Close - Out Project & Financial Close OutA final assessment of the project is performed with the associated project and financial close-out. All relevant documentation is archived for future reference. Project & Financial Close OutFigure 74: Project & Financial Close Out Determine Project Close Out ApproachDetermine the Close Out Approach for the Project based on administrative and reporting requirements. The following areas should be included, but are not limited to:Financial and contractual requirements and reporting Learner details and certification Project asset register administration Stakeholders communication Content of the close-out ReportDocument Project Close Out ApproachThe project Close Out Approach indicating requirements, actions and associated timelines should be documented and discussed with the service provider. Review Project Close Out Approach for Accuracy, Completeness and ValidityReview the Project Close Out Approach for accuracy, completeness and validity to determine if it meets the requirements of the NSF's performance reporting requirements and important calendar dates. Review Project Close Out Approach for Accuracy, Completeness and ValidityReview the Project Close Out Approach for accuracy, completeness and validity to determine if it meets the requirements of the NSF's performance reporting requirements and important calendar dates. Notify Service Provided of Required AmendmentsNotify the Service Provider of required amendments to the Project Close Out Approach. Amend Project Close Out ApproachAmend the Project Close Out Approach based on review notes and commentary. Prepare Draft Close Out ReportThe SP prepares a Draft Project Close Out report as per the accepted NSF standard. The Draft Close Out Report must contain the previous quarter's Quarterly Report. Review Draft Close Out ReportThe project manager reviews the draft project close out report for conformance to NSF requirements. Amend Draft Close Out ReportAmend the Draft Close Out Report based on review notes and commentary. Conduct Site visitIf required the project manager will conduct a site visit to verify outputs as listed as part of the close-out report. Prepare Site Verification ReportSubsequent to conducting the site visit the project manager prepares a site verification report. Update M&E matrixThe project manager updates measurements of the indicators of outputs as listed in the M&E matrix. Prepare Final Project Close Out ReportA final close-out report is prepared which incorporates all elements of the project up to and including the contractual close-out date. Prepare Project Close Out PackPrepare a Project Close Out Pack. The Project close-out pack must include but is not limited to:Final Project Close Out Report (as prepared by the Service Provider) Site Verification Reports M&E Matrix Review Project Close Out Pack Review the SP's close-out report, updated M&E matrix and site verification report (where relevant) and issue a project close out certificate. Amend Project Close Out PackAmend the Project Close out Pack based on review notes and commentary. Where applicable request amendments to the final project close out report from the SP. Prepare Project Close Out CertificatePrepare the project close out certificate for the associated project. Review Project Close Out Certificate for Accuracy, Completeness and ValidityReview the Project close out certificate for accuracy, completeness and validity to determine if it meets the requirements of the NSF. Amend Project Close Out CertificateAmend the Project close out certificate based on review notes and commentary. Issue Project Close Out Certificate to Service ProviderIssue the Project close out certificate to the SP and Partners (if applicable). Schedule and Conduct Lessons Learned SessionThe project management schedules and conducts a lessons learnt session with the Initiation and ISP teams. Schedule Post Implementation ReviewThe project management schedules post implementation reviews (impact assessment) as stipulated in the MoA to assess achievements against the M&E Matrix. Archive Project DocumentsThe project management archives all project documentation as per the policy. ReviewFigure 75: Review Formalise Evaluation ApproachPreparations for project evaluation are performed by identifying and/or recruiting the relevant evaluator where appropriate. Perform Review and Measure ImpactThe post implementation review / impact assessment is performed by measuring project outcome indicators. 3.5.4.1Formalise Evaluation ApproachFigure 76: Formalise Evaluation ApproachPrepare Evaluation ApproachPrepare an Evaluation Approach detailing whether evaluation will be performed on a project, program or portfolio level. This should be informed by consultations with the ISP team on efficiencies with regards to the measurement of performance information. Review Evaluation Approach for Accuracy, Completeness and ValidityReview the proposed Evaluation Approach for accuracy, completeness and validity to determine if evaluation should be done at a project, program or portfolio level in line with NSF requirements. Review Evaluation Approach for Accuracy, Completeness and ValidityReview the proposed Evaluation Approach for accuracy, completeness and validity to determine if evaluation should be done at a project, program or portfolio level in line with NSF requirements. Amend Evaluation ApproachAmend the Evaluation Approach based on review notes and commentary. Determine if Project, Program or Portfolio Evaluation is RequiredBased on the findings of the approached approach, determine if a project, program or portfolio evaluation is required. 3.5.4.2.Perform Review and Measure ImpactFigure 77: Perform Review and Measure ImpactAccess M&E MatrixStudy the M&E matrix and extracts the indicators and associated requirements of the listed outcomes. Collect Data on Project OutcomesCollect the relevant data as outlined in the M&E Matrix Perform Review on OutcomesMeasure performance on project outcomes based on data collected. Prepare Post Implementation Review (PIR)Prepare a Project Post Implementation Review (PIR) Report documenting intended outcomes and objectives of the project in relation to actual outcomes and objectives. Review PIR for Accuracy, Completeness and ValidityReview the project Post Implementation Review (PIR) for accuracy, completeness and validity to determine if the findings correspond to actual project performance and intended outcomes and objectives. Amend PIRAmend the Post Implementation Review (PIR) based on review notes and commentary. Distribute PIR to StakeholdersDistribute the Post Implementation Review (PIR) to all applicable stakeholders. File and Archive PIRFile the Post Implementation Review (PIR) with the Project documentation and archive according to NSF requirements. 006_BursariesFigure 78: Bursaries Determine Bursaries Focus Areas and ProgrammesThe ISP team determines the NSF strategy and objectives, its strategic focus areas and portfolio of programmes that will be funded during the strategic period. As an integral part of the NSF’s mandate to fund projects of national priority related to the achievement of the national skills development strategy, the NSF bursaries programmes are designed to deliver the NSF objectives. The Bursaries unit therefore work in partnership with the ISP team to determine the future bursaries focus areas and programmes that are aligned to the delivery of the NSF objectives.The institutions bursaries category refers to lump sum grant disbursements to other institutions, to enable such institutions to provide bursaries to beneficiaries based on NSF specific criteria. Such disbursements are based on approved bursary proposalThe NSF outreach programme category refers to NSF own initiated general and special bursaries programmes, usually based on community/skills needs identified by the NSF and DHET in a specific geographical area, that are qualified through an NSF assessment and initiated by the NSF.Bursary ProposalsThe bursary proposals process form part of the institutions bursaries category. Proposals are received from institutions such as the NSFAS, NRF, NIHSS, SAMSA, the DHET and others on programme fund requirements for the forthcoming year. Proposals are evaluated by the bursaries unit and the BTC, recommendations provided to the PGC. The PGC reviews all recommendations and make the final determination on approvals/rejections, which are ratified by the EO. SLAs are signed with institutions to ensure that the various institutions comply with NSF's Bursary applications receiving requirements. Budget Consolidation and AllocationThe budget consolidation and allocation process includes the consolidation of all the approved institutions budgets and Outreach programmes bursaries into a single budget determination. The total bursary request is then compared against the approved bursary budget which was done as part of the overall bursary budgeting process informed by ISP analysis. The bursary allocation process agrees the bursary institutions' allocations and agreed disbursement dates which is consulted and communicated to the finance department and approved by the CFO. Institutions BursariesThis process details the Institutions' bursary process from the student applications (processes outside of the NSF) to NSF's monitoring of the institutions selection process and criteria. NSF Outreach ProgrammeThe NSF outreach programmes for bursary focus areas details the programme planning, application management and contracting processes. Bursaries DisbursementsThe grant disbursements for institutions bursaries (bulk disbursements) and outreach programmes are detailed in this process. Disbursements are made to institutions such as the NSFAS, NRF and DHET based on approved proposals. Disbursements are also made either to the NSFAS (who administer beneficiary payments to learning institutions) or directly to such learning institutions for beneficiaries of the outreach programme. Close OutA close out report is compiled that will capture the lessons learnt for management improvement purposes.Furthermore, this report will contain and assessment of the students education to determine if the student has been employed or not.All data and information must be reported on and filed.This process considers the annual reporting of the results of all students for an academic year. Bursary MonitoringBursaries monitoring includes the processes to monitor the payments made to learning institutions by NSFAS and/or NSF for approved NSF bursary holders, the processes to monitor bursary holder academic performance, as well as the management of change requests by bursary holders. Determine Bursaries Focus Areas and ProgrammesFigure 79: Determine Bursaries Focus Areas and Programmes Attend Handover Meeting with ISP TeamAttend the ISP handover meeting to discuss and confirm the bursaries portfolio and prioritisation. At this point, the ISP team also provides the estimated funding to be allocated for bursaries for the various strategic objectives. Bursary Programme DevelopmentAnalysis of strategic objectives by assessing possible bursary focus areas (outputs) and developing a bursary plan of programmes. Bursary ProposalsFigure 82: Bursary Proposals Communicate Criteria / Requirements to InstitutionsThe NSF Bursaries unit will determine and set the specific criteria that institutions must comply with as informed by the details of the logframe and the resultant NSF bursary plan of programmes. These criteria are determined based on the skills requirements and key focus areas of the NSF Bursaries Scheme and its key objectives. Based on these stringent set of criteria, the institutions are required to provide a response via a proposal. Receive Proposals from InstitutionsThe institutions are to respond to the NSF via a proposal comprising the set of criteria and requirements. This process also describes the evaluation of proposals as per the relevant framework and the formalisation of allocations to institutions. Budget Consolidation and AllocationFigure 85: Budget Consolidations and Allocation Consolidate and Allocate Bursary BudgetsThe Budgeting process for Bursaries includes the compilation of budgets for institutions bursaries and the outreach programmes in consultation with the finance department based on the bursaries plan (inclusive of the bursary focus areas and programmes) and prior year allocations to institutions and beneficiaries, where beneficiaries complied with the criteria to receive further bursaries for the forthcoming academic year. All budgets are consolidated into the bursary budget for review and approval by the CFO. Institutions BursariesFigure 87: Institutions Bursaries Student Application ProcessThe process whereby the applicant applies for a bursary / loan and assessed for their suitability therefor. Monitor Selection ProcessMonitoring of selected applicant and the final decision as to whether a bursary or loan is granted to them. Student Application ProcessFigure 88: Student Application Process Student Applies to a Learning Institution for Admission to StudyNSF Outreach ProgrammeFigure 90: NSF Outreach Programme Outreach Programme PlanningThis process involves the planning of the outreach programme, including the target audience, geographical focus areas (where applicable), the means used to reach the intended beneficiary, including all relevant timelines. Receive ApplicationsThis process involves the first step in outreach programme implementation, up to the point where an application is solicited from targeted individuals/groups. Qualify ApplicationsThis process outlines the review of the bursary application and supporting documentation for completeness, and the communication of further requirements to the applicant (where applicable). Evaluate ApplicationsThis process outlines the evaluation and approval process of applications submitted under the outreach programme. ContractingThis process describes the procedure where an applicant enters into a legal contract with the NSF for the funds received. The contract includes all conditions and criteria that the bursary holder must comply with as part of the agreement. Bursaries DisbursementsFigure 96: Bursaries Disbursements Institution DisbursementsThis process outlines the disbursement of funds to institutions by the NSF. Outreach Programme DisbursementsThis process outlines the disbursement of funds to bursars by institutions, facilitated by the NSF. Close OutFigure 99: Close Out Record Lessons LearntCapture lessons learnt based on the end-to-end process, including institution performance and throughput performance enhancement methods utilised, in order to improve future processes. Perform Evaluation of OutcomesEvaluate the different bursaries programme outputs and outcomes based on the initial targets set in the bursary roll-out plan, and follow up with institutions on discrepancy explanations. Complete Filing and ReportingBursaries programme, performance information and bursary holder data and information will be reported to executive management and stored centrally. Year End Financial ReportingPerformance information will be collected, reviewed and finalised for annual financial reporting purposes. Bursary MonitoringFigure 104: Bursary Monitoring Monitor Payments MadeMonitor the timely disbursement of funds to institutions and Outreach Programme Awardees, and confirm the timely disbursement of funds from institutions to learning institutions for tuition and other fees at the correct level approved by the NSF. Monitor PerformanceMonitor the academic progress and performance of the bursary holders throughout the academic year, with specific emphasis on throughput targets to be reached as agreed with institutions. Change Request (Institution)This process entails the management of a change request arising from an institutional requirement. Change Request (Outreach)This process entails the management of a change request arising from an NSF Outreach Programme. 007_Fund ManagementFigure 109: Fund Management BudgetingThe preparation of the NSF budget for the financial year that dictates where funds will be disbursed in line with NSF goals and objectives. Incoming FundsThe sources from which the NSF receives its funding, such as the Skills Development Levy, and the management thereof. Funds InvestmentThe investment of NSF funds, and management thereof when not being disbursed to projects and or Bursaries. The primary goal being the earning of interest when funds are awaiting disbursement. Outgoing Funds (Disbursements)The disbursement of funds to projects and bursaries that are in line with the NSF's goals and objectives. Outgoing Funds (Administrative)The disbursement of funds to administrative expenditure and or services that are in line with the NSF's goals and objectives.Monitor and ReportThe monitoring and reporting on of all incoming and outgoing funds to and from the NSF via levies received and funds disbursed. BudgetingFigure 110: Budgeting Prepare Cost Centre BudgetCost Centres prepare a budget for the year and submit it to Finance for consideration and incorporation into the Preliminary Budget. Prepare Internal Preliminary BudgetPrepare the internal preliminary budget for distribution to internal NSF stakeholders. The goal of the internal preliminary budget is to provide input to the planning sessions conducted on an annual basis. Prepare and Submit MTEF SubmissionPrepare the Medium Term Expenditure Framework (MTEF) for submission to the National Treasury. The National Treasury will review the MTEF submission and provide feedback and updates. Prepare and Submit Financial Input to Draft APPPrepare the financial input to the Annual Performance Plan (APP) and submit to the ISP Team for inclusion into the APP. Prepare and Submit ENEPrepare the ENE for submission to the National Treasury. The National Treasury will review the ENE submission and provide feedback and updates. Prepare and Submit Financial Input to Final APPPrepare the financial input to the Annual Performance Plan (APP) and submit to the ISP Team for inclusion into the APP. Amend BudgetAmendment of the budget will be triggered by a event or events or by Ministerial intervention. Incoming FundsFigure 118: Incoming Funds Receive Skills Development LevyThe Skill Development Levy is paid to the NSF by SARS on a Monthly basis. The Levy is then allocated according to the NSF goals and objectives or invested with the PIC. Withdraw Funds from PICFunds not currently in NSF accounts for the purposes of disbursement are to be invested with the Public Investment Corporation (PIC). When funds are ten required for disbursement they are withdrawn from the PIC account that NSF holds. Receive SETA Surplus RefundSETA Surplus Refunds are paid to the NSF by the relevant SETA's on instruction by the Minister. The refunds then allocated according to the NSF goals and objectives or invested with the PIC. Receive Other IncomeReceive income from other sources. This will usually be funds that are received on an ad hoc basis, or once off. Funds InvestmentFigure 123: Funds Investment Develop Funds Investment PlanDevelopment of a funds investment plan detailing how funds are to be invested by the NSF in line with legislation. Maintain Funds Investment PlanMaintenance of the funds investment plan detailing how funds are to be invested by the NSF in line with legislation. Invest Project/Bursary RefundsRefunds received from the close out of projects and bursary initiatives must be invested in line with the NSF Investment Charter.Record Interest Earned on Project/Bursary AccountsInterest earned on Project/Bursary accounts with the PIC is reviewed on a monthly basis to ensure alignment to agreed rates and expected returns. Invest Funds (General)Investment of funds from non specific sources. Record Interest Earned on InvestmentsInterest earned on NSF investments with the PIC is reviewed on a monthly basis to ensure alignment to agreed rates and expected returns. Outgoing Funds (Disbursement)Figure 130: Outgoing Funds (Disbursement) Disburse Funds to Projects/BursariesRequests to disburse funds to projects and or bursaries are reviewed. Once all appropriate checks have been performed on the request, the funds are disbursed into the project and or bursary account. Outgoing Funds (Administrative)Figure 132: Outgoing Funds (Administrative) Pay 2% Levy to SARSNSF pays a maximum levy of 2% to SARS based on a SARS calculated value for services provided. Monitor and ReportFigure 134: Monitor and Report Perform Monthly ReportingReporting is performed on a monthly basis including the reconciliation of NSF accounts and the preparation of a Monthly Report, which is distributed to stakeholders. Perform Quarterly ReportingReporting is performed on a quarterly basis including the reconciliation of NSF accounts and the preparation of a Quarterly Report, which is distributed to stakeholders. Perform Annual ReportingReporting is performed on an annual basis including the reconciliation of NSF accounts and the preparation of an Annual Report, which is distributed to stakeholders. 008_Performance Planning, Monitoring and ReportingFigure 138: Performance Planning, Monitoring and Reporting PlanningThe planning process includes the setup and maintenance of the NSF reporting calendar. In addition, Strategic Planning and the development of the Annual Performance Plan takes place. Performance RequirementsThe performance requirements process includes the development and maintenance of the performance requirements (Key Performance Indicators KPI's). Reporting RequirementsThe reporting requirements process includes the development and maintenance of the reporting requirements. Reporting TemplatesThe reporting templates process includes the development and maintenance of the reporting templates to be used by the NSF.. ReportingThe reporting process includes the development of reporting material by the NSF business units, the consolidation thereof and the preparation and distribution of monthly, quarterly and annual reports by the NSF to both internal and external stakeholders. Performance ManagementThe performance management process covers the monitoring of the NSF's performance against agreed metrics and interventions, if required, when performance targets are not met. PlanningFigure 139: Planning Develop Reporting CalendarDevelopment of the Reporting Calendar to be utilised by the NSF to adhere to internal and external reporting timelines. Maintain Reporting CalendarMaintenance of the Reporting Calendar to be utilised by the NSF to adhere to internal and external reporting timelines. Conduct Strategic Planning SessionConducting of the Strategic Planing Session and the development of the NSF Strategic Plan. Develop Annual Performance Plan (APP)Development of and distribution to relevant stakeholders of the NSF Annual Performance Plan. Performance RequirementsFigure 144: Performance Requirements Develop Performance Requirements (KPI's)Development of the Performance Requirements (KPI's) to be utilised by the NSF in order to measure and track performance against goals and objectives. Maintain Performance Requirements (KPI's)Maintenance of the Performance Requirements (KPI's) to be utilised by the NSF in order to measure and track performance against goals and objectives. Reporting RequirementsFigure 147: Reporting Requirements Develop Reporting RequirementsDevelopment of the Reporting Requirements to be utilised by the NSF in order to report on performance against goals and objectives. Maintain Reporting RequirementsMaintenance of the Reporting Requirements to be utilised by the NSF in order to report on performance against goals and objectives. Reporting TemplatesFigure 150: Reporting Templates Develop Reporting TemplatesDevelopment of the Reporting Templates to be utilised by the NSF in order to capture information relevant to the reporting of performance against goals and objectives. Maintain Reporting TemplatesMaintenance of the Reporting Templates to be utilised by the NSF in order to capture information relevant to the reporting of performance against goals and objectives. ReportingFigure 153: Reporting Prepare Reporting MaterialPreparation of relevant reporting material to be completed in the approved NSF templates for inclusion into the Monthly, Quarterly and Annual NSF reports. Source and Consolidate Reporting MaterialSourcing and consolidation of reporting material from the NSF business units for incorporation into the Monthly, Quarterly and Annual NSF reports. Prepare, Review and Distribute ReportsPreparation, review and distribution of the NSF Monthly, Quarterly and Annual performance reports. Performance ManagementFigure 157: Performance Management Measure PerformanceMeasurement of NSF performance against agreed metrics. Investigate Discrepancies and ResolveInvestigation of discrepancies between agreed performance metrics and actual performance, and the development of resolutions to address areas of concern. 009_Finance ManagementFigure 160: Finance Management Finance ManagementFinance Management covers those financial processes that support the business requirements of the NSF.Cost Centre ManagementCost Centre Management covers the financial processes supporting the creation, amendment and closing of Cost Centre's. Beneficiary ManagementBeneficiary Management covers the financial processes supporting the creation, amendment and deletion of beneficiaries on the NSF Banking System. Finance ManagementFigure 161: Finance Management Perform Financial Due DiligencePerforming a financial due diligence on a prospective bidder is crucial to ensure that they are financially capable in meeting the business requirements of the NSF. A financial due diligence will examine the prospective bidders:Balance SheetIncome StatementOwnership StructureFinancial ObligationsEquityOutstanding Debts and CreditsPerform Budget and Commitment Schedule CheckThis process involves the performing a budget and commitment schedule check to determine if funds are available.Issue Fund CertificateA Fund Certificate is issued for each project funded by the NSF. The fund certificate serves as a guarantee of funds that will be made available in order for the project to be undertaken and completed. Facilitate Service Provider Banking Toolkit SessionFacilitate a session with the Service Provider to educate them in how project bank accounts must be setup and managed. In addition all relevant banking information must be completed by the Service Provider and Reviewed by NSF Finance to ensure alignment to NSF requirements. Process Change RequestA Change Request is completed whenever there is an amendment required to the project. These can be minor in nature. However when the change involves the requirement of additional funds in order to meet the goals and objectives of the project, a new Fund Certificate will need to be issued. Processing a change request in this instance relates to those changes to a project that result in additional funding being required. Perform Project Close OutPerforming a project close out from a financial standpoint involves a review of the project close-out report for its financial accuracy, completeness and validity to ensure that the project remained within budget. Process TransactionProcessing a transaction serves to provide the structure for how all financial transactions are to be processed by the NSF. Cost Centre ManagementFigure 169: Cost Centre Management Create Cost CentreThis process deals with the creation of a cost centre.Amend Cost CentreThis process deals with the amendment of a cost centre.Close Cost CentreThis process deals with the closing of a cost centre.Beneficiary ManagementFigure 173: Beneficiary Management Create BeneficiaryCreate a beneficiary on the NSF Banking System based on the business needs of the NSF. When creating a beneficiary on the Banking System, due care must be taken to ensure that the beneficiary details being created are accurate, complete and valid. Amend BeneficiaryAmend a beneficiary’s details on the NSF Banking System based on changes to the beneficiary banking details. When amending a beneficiary’s details on the Banking System, due care must be taken to ensure that the beneficiary details being amended or updated are accurate, complete and valid. Delete BeneficiaryDeletion of a beneficiary from the NSF Banking System should occur under the following conditions:The beneficiary has ceased to exist The beneficiary has ceased to do business within the boundaries of South Africa The beneficiary has been bought out/taken over by another organisation/company 010_Human ResourcesFigure 177: Human Resources Workforce PlanningWorkforce Planning involve the following:Department Structure and the Creation of a New PostPermanent employees are appointed based on the approved departmental structure and all posts on the departmental structure are funded. Job Profiling and EvaluationA job profiling and evaluation is performed for each post within the NSF Structure before the post is filled. Monitoring of Vacant PostsAll vacancies are identified and filled on time, and only funded posts are filled. RecruitmentRecruitment involve the following:AdvertisementAll job advertisements placed are valid, accurate, and clear in order to timely appoint the best qualified candidate. Application ReceivingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Screening / Short listingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Offer of EmploymentAll job offers are approved. For all appointments made an approved a contract between NSF and the employee is in place and are signed by both parties. File and Data MaintenanceAll employee records are maintained and are safeguarded. Employee information captured is valid and accurate. InductionEmployees are timely and adequately introduced to NSF and their new role. ProbationNew employees are timely assessed within the probation timeframe on whether they are able to demonstrate their capability within the new role assigned. Performance ManagementPerformance Management involve the following:Performance AgreementPerformance agreements are signed for new employees. Performance EvaluationEmployee performance is continuously assessed to ensure maximum productivity and accuracy of work product. Time RecordingTime Recording involves the following:OvertimeAccurate, valid and timely recording of overtime to ensure correct payroll pliance to law and regulation regarding the overtime limit.Succession PlanningSuccession Planning involve the following:Accelerated Development ProgrammeSuccession and career planning programmes are being deployed throughout NSF. Leave ManagementLeave Management involve the following:Annual, Maternity, Paternity, Study, Special, Unpaid, Family Responsibility, Sick, Occupational Injury / DiseaseAccurate and timely recording and computation of leave to ensure correct payroll processing. Leave balances are monitored and excessive leave balances are identified in time to enable corrective action. Learning & DevelopmentLearning and Development involves the following:Training ProgrammeTraining programmes are developed to ensure continuous employee development and maximum output. Training AssistanceTo that training assistance provided to employees are valid, within budget, and will help NSF to achieve their objectives. To ensure there is continuous monitoring of results over employees who received training assistance to ensure positive results for NSF expenditures. Payroll is computed in an accurate and timely manner. Grievance & DisciplinaryGrievance and Disciplinary involves the following:GrievanceThere is a process in place to ensure that grievances are dealt with in a timely manner.DisciplinaryThere is a process in place to ensure that misconduct is dealt with in a timely manner.TerminationsTerminations involve the following:Resignation, Retirement, Absence without Permission, Termination of probation / DisciplinaryManage employee separations such that the impact of employee separation on the organization is minimized. Temporary AppointmentsTemporary Appointments involve the following:AdvertisementAll job advertisements placed are valid, accurate, and clear in order to timely appoint the best qualified candidate. Application ReceivingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Screening / Short listingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Offer of EmploymentAll job offers are approved. For all appointments made an approved a contract between NSF and the employee is in place and are signed by both parties. File and Data MaintenanceAll employee records are maintained and are safeguarded. Employee information captured is valid and accurate. InductionEmployees are timely and adequately introduced to NSF and their new role. Time RecordingPayments made to Temporary Appointments are valid and accurate. Contract Completion (Termination)Manage employee separations such that the impact of employee separation on the organization is minimized. Work Integrated LearningWork Integrated involve the following:AdvertisementAll job advertisements placed are valid, accurate, and clear in order to timely appoint the best qualified candidate. Application ReceivingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Screening / Short listingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Offer of EmploymentAll job offers are approved. For all appointments made an approved a contract between NSF and the employee is in place and are signed by both parties. File and Data MaintenanceAll employee records are maintained and are safeguarded. Employee information captured is valid and accurate. InductionEmployees are timely and adequately introduced to NSF and their new role. PayrollPayroll involves the following:Business TravelTraveling expenses paid to employees in a timely manner and are valid and accurate. Acting in a PostFor acting appointments made, a valid letter of acting appointment exists. Changes in appointment information is accurately captured onto Persal. Compensation Adjustment (Progression and Merit)Progression adjustments and Merit bonuses are valid and accurately captured onto Persal. Compensation Adjustment (Cost of Living)Cost of living adjustments are valid and accurately captured onto Persal. Payroll ProcessingPayroll computed is valid and is performed in an accurate and timely manner. Right amount is made to the right person at the right time. Workforce PlanningFigure 178: Workforce Planning Develop StructurePermanent employees are appointed based on the approved departmental structure and all posts on the departmental structure are funded. Activities under Department Structure include the development and approval of a Department structure. Job ProfilingJob profiling is performed for each post within the NSF Structure before the post is filled. Activities under Job Profiling include defining the tasks that the employee will be performing in that specific position, thereafter reviewing and approving the Job Profiling that was performed. From the defined tasks, the skills, experience and expertise required to perform those tasks are determined. Job EvaluationsA Job Evaluation is performed for each post within the NSF Structure before the post is filled. Based on the Job Profiling, a Job Evaluation is conducted to determine the level for each post within the NSF Structure. Job Evaluations are to be completed every 3 years according to legislation. Activities under Job Evaluation include agreeing on a Job Evaluation methodology, performing the Job Evaluation and appointing a review panel to verify and approve the Job Evaluation that was performed. Create New Post(s)Permanent employees are appointed based on the approved departmental structure and all posts on the departmental structure are funded. Activities under the Creation of a New Post include requesting for the new post to be created, a budget verification and an approval of the request. Once the request is approved job profiling and evaluation needs to be conducted for the post. Remove/Transfer Post(s)Permanent employees are appointed based on the approved departmental structure and all posts on the departmental structure are funded. Activities under the Remove/Transfer Post include requesting for the new post to be removed/transferred, a budget verification and an approval of the removal/transfer. Monitor Vacant PostsAll vacancies are identified and filled on time, and only funded posts are filled. Activities under Monitoring of Vacant Posts include, the preparation and review of the Vacancy Report on a bi - monthly basis. The timelines for the Recruitment Process are documented in the Vacancy Report in order to identify the cause of any delays in the Recruitment process. Vacant posts need to filled within 6 months. RecruitmentFigure 185: Recruitment Advertise Post(s)All job advertisements placed are valid, accurate, and clear in order to timely appoint the best qualified candidate. Activities under Advertisement include the preparation and review and approval (after budget verification) of a request to advertise and the advertisement itself and the advertisement of the post in the newspaper / DPSA Vacancy Circular / NSF News Flash. Receive ApplicationsThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Activities under the Receiving of Applications include receiving the applications through post or in the application box, capturing the applications in the application register and signing - off the application register on the deadline date. Screen/Shortlist ApplicationsThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Activities under screening and short listing include completing a screening checklist for all applications received, appointing an interview panel, short listing and interviewing candidates, creating a second short list that will go through background checking and preparation and approval of the recommendation to appoint. Offer EmploymentAll job offers are approved. For all appointments made an approved a contract between NSF and the employee is in place and are signed by both parties. Activities under Offer of Employment include the preparation, review and signing of the employee contract also informing unsuccessful candidates. File and Maintain DataAll employee records are maintained and are safeguarded. Employee information captured is valid and accurate. Activities under File and Data Maintenance include creating an employee file, performing a completeness check on the file, scanning the file to be stored electronically, also filing the employee file in the Registry and capturing and approving employee information on Persal. Conduct InductionInductionEmployees are timely and adequately introduced to NSF and their new role. Activities under Induction include providing the new joiner with a orientation pack, providing the new joiner with the NSF specific Induction and ensuring the employee attends the Public Sector Induction that is facilitated by Palama. Manage Probation (Min 12 Months)ProbationNew employees are timely assessed within the probation timeframe on whether they are able to demonstrate their capability within the new role assigned. Activities under Probation include a quarterly probation evaluation that needs to be performed, preparing and implementing a performance improvement plan if the employee's performance is unsatisfactory, capturing the evaluation results on Persal and termination if the employee's performance fails to improve even after implementing the performance improvement plan / preparing and approving a confirmation of permanent appointment if the employee's performance is satisfactory and have four successful probation reports. Performance ManagementFigure 193: Performance Management Prepare Performance AgreementsPerformance AgreementPerformance agreements are signed for new employees. Activities under Performance Agreement include the preparation and approval of the Performance Agreement and capturing the Performance Agreement into Persal. Conduct Performance EvaluationPerformance EvaluationEmployee performance is continuously assessed to ensure maximum productivity and accuracy of work product. Activities under Performance evaluation include conducting a performance evaluation on a quarterly basis, implementing a performance improvement plan if the employee's performance is unsatisfactory, terminating the employee contract if the employee's performance continues to be unsatisfactory and capturing the performance evaluation on Persal. Time RecordingFigure 196: Time Recording Manage OvertimeOvertimeAccurate, valid and timely recording of overtime to ensure correct payroll processing. Compliance to law and regulation regarding the overtime limit. Activities under Overtime include identifying the need for Overtime, making a prior mutual agreement, completing an Overtime request on the system and approval of the Overtime requested. Succession PlanningFigure 198: Succession Planning Develop Accelerated Development ProgrammeAccelerated Development ProgrammeSuccession and career planning programmes are being deployed throughout NSF. Activities under the Accelerated Development Programme (ADP) include identifying an employee with potential, determining the required skills and training needs, completing and approving ADP form, allocating a mentor to the identified employee, providing training to the identified employee and capturing the newly developed skills / training attended in the succession plan. Leave ManagementFigure 200: Leave Management Manage LeaveAnnual, Maternity, Paternity, Study, Special, Unpaid, Family Responsibility, Sick, Occupational Injury / DiseaseAccurate and timely recording and computation of leave to ensure correct payroll processing. Leave balances are monitored and excessive leave balances are identified in time to enable corrective action. Activities under Leave include completing a leave request in the system, attaching evidence where relevant, and the approval of the Leave request. Learning & DevelopmentFigure 202: Learning & Development Develop Training ProgrammeTraining ProgrammeTraining programmes are developed to ensure continuous employee development and maximum output. Activities under Training Programme include receiving the Minister directives, obtaining the training needs documented in the employee's development plan which is documented in the employee's performance agreement, preparing a training and development plan, budget verification, approval of the plan and the implementation and monitoring of the plan. Provide Training AssistanceTraining AssistanceTo that training assistance provided to employees are valid, within budget, and will help NSF to achieve their objectives. To ensure there is continuous monitoring of results over employees who received training assistance to ensure positive results for NSF expenditures. Payroll is computed in an accurate and timely manner. Activities under Training Assistance include completing a request for training assistance, reviewing and approval of the request, preparing, reviewing and signing the training assistance contract, capturing the contract details in Persal, approval of the details captured in Persal and monitoring of the employee's performance.Grievance & DisciplinaryFigure 207: Grievance & Disciplinary Manage GrievanceGrievanceThere is a process in place to ensure that grievances are dealt with in a timely manner. There is an up to date, approved policy in place that is centrally stored that describes the process that needs to be followed to resolve grievances. A stage 3 grievance will be resolved in a maximum of 1 month. The outcome / resolution are documented by the Chair of the grievance meeting, will be signed by the grieved employee and the Chair, scanned and filed in the employee file. Perform Disciplinary Procedures (Less Serious Misconduct)DisciplinaryThere is a process in place to ensure that misconduct is dealt with in a timely manner. There is an up to date, approved policy in place that is centrally stored that describes the process that needs to be followed to resolve misconduct. Misconduct will be investigated by the appropriate level of management, the employee will have an opportunity to respond to the possible misconduct. The results of the investigation will be documented, if the investigation revealed that the employee is not guilty he / she and the employee who reported the misconduct will be notified. Depending on the seriousness of the misconduct, the outcome of misconduct will lead to one of the following procedures:Verbal Warning; Written Warning; Final Written Warning; and Termination. Perform Disciplinary Procedures (Serious Misconduct)DisciplinaryThere is a process in place to ensure that misconduct is dealt with in a timely manner. There is an up to date, approved policy in place that is centrally stored that describes the process that needs to be followed to resolve misconduct. Misconduct will be investigated by the appropriate level of management, the employee will have an opportunity to respond to the possible misconduct. The results of the investigation will be documented, if the investigation revealed that the employee is not guilty he / she and the employee who reported the misconduct will be notified. Depending on the seriousness of the misconduct, the outcome of misconduct will lead to one of the following procedures:Verbal Warning; Written Warning; Final Written Warning; and Termination. TerminationsFigure 211: Terminations ResignationResignationManage employee separations such that the impact of employee separation on the organization is minimized. Activities under Resignation include submission of a resignation letter, informing HR of the resignation in order to start the termination process, completing a termination checklist, completing a pension form, and conducting exit interviews. RetirementRetirementManage employee separations such that the impact of employee separation on the organization is minimized. Activities under Retirement include HR running the Retirement report on a monthly basis, HR informing all relevant parties in order to start the termination process, completing a termination checklist, completing a retirement form, and conducting exit interviews. Absence Without PermissionAbsence without PermissionManage employee separations such that the impact of employee separation on the organization is minimized. Activities under Absence without Permission include the Line Manager / Supervisor trying to get hold of the employee who have been absent from work seven consecutive days, Line Manager / Supervisor informing HR of the absenteeism if unsuccessful, HR trying to get hold of the employee, terminating the employee's contract and preparing an explanatory report if the employee has not responded / HR could not get hold of employee, and HR informing all relevant parties in order to start the termination process. Termination of Probation/DisciplinaryTermination of Probation / DisciplinaryManage employee separations such that the impact of employee separation on the organization is minimized. Activities under Termination of Probation / Disciplinary include the Line Manager informing HR of the employee's poor performance on probation (HR will already be informed in the case of a Disciplinary), HR informing all relevant parties in order to start the termination process, completing a termination checklist, completing a pension form, and conducting exit interviews. Attrition ReportingManage employee separations such that the impact of employee separation on the organization is minimized. Activities under Attrition Reporting include the preparation of the quarterly Attrition Report, analysing the report and reviewing it. Temporary AppointmentsFigure 217: Temporary Appointments RecruitmentRecruitment involve the following:AdvertisementAll job advertisements placed are valid, accurate, and clear in order to timely appoint the best qualified candidate. Application ReceivingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Screening / Short listingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Offer of EmploymentAll job offers are approved. For all appointments made an approved a contract between NSF and the employee is in place and are signed by both parties. File and Data MaintenanceAll employee records are maintained and are safeguarded. Employee information captured is valid and accurate. InductionEmployees are timely and adequately introduced to NSF and their new role. Time RecordingPayments made to Temporary Appointments are valid and accurate. Activities under Recruitment include Advertisement, Application Receiving, Screening / Short listing, Offer of Employment, File and Data Maintenance,Induction and Time Recording Contract Completion (Termination)Contract Completion (Termination)Manage employee separations such that the impact of employee separation on the organization is minimized. Activities under Contract Completion include Persal notifying HR that the contract end date has almost been reached, HR informing all relevant parties in order to start the termination process, completing a termination checklist, completing a retirement form, and conducting exit interviews. Time RecordingPayments made to Temporary Appointments are valid and accurate. Activities under Time Recording include the employee completing a time sheet, the Supervisor reviewing the time sheet, submitting the time sheet to HR for capturing on Persal, and approval on Persal to ensure time sheet is correctly captured. Work Integrated LearningFigure 221: Work Integrated Learning Appointment of Interns & In-Service TraineesAppointment of Interns involve the following:AdvertisementAll job advertisements placed are valid, accurate, and clear in order to timely appoint the best qualified candidate. Application ReceivingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Screening / Short listingThe right person is selected for the position; the assessment process is credible, consistent, fair and open. Offer of EmploymentAll job offers are approved. For all appointments made an approved a contract between NSF and the employee is in place and are signed by both parties. File and Data MaintenanceAll employee records are maintained and are safeguarded. Employee information captured is valid and accurate. InductionEmployees are timely and adequately introduced to NSF and their new role. Activities under the Appointment of Interns include Advertisement, Application Receiving, Screening / Short listing, Offer of Employment, File and Data Maintenance, and Induction. PayrollFigure 223: Payroll Expense ClaimsBusiness TravelTraveling expenses paid to employees in a timely manner and are valid and accurate. Activities in Business Travel include the capturing, submitting, reviewing and approval of the expense claim on the system. Acting in a PostActing in a PostFor acting appointments made, a valid letter of acting appointment exists. Changes in appointment information is accurately captured onto Persal. Activities for Acting in a Post include submission from the Line Manager to appoint an employee in an acting position, approval of the submission, submitting the Line Manager's approved submission to HR, HR writing a submission to appoint an employee in an acting position, approval of HR's submission, preparation, review and acceptance of a letter of employment in an acting position, documenting the acting details in the acting register, calculating and approving the back payment after six weeks, capturing and approval of back payment on Persal, paying the employee, capturing and approving the acting details for the rest of the acting period on Persal and updating Persal after the acting period. Compensation Adjustment - Progression & MeritProgression adjustments and Merit bonuses are valid and accurately captured onto Persal Activities in Compensation Adjustment (Progression and Merit) include obtaining performance evaluations of all employees, attend a workshop to review performance agreements, discuss, agree and award progression increases and merit bonuses to deserving employees, approval of the progression increases and merit bonuses, informing HR of the adjustments in order to update Persal and approval of the adjustments captured in Persal.Progression adjustments takes place from 1 April for Senior Managers and 1 July for lower level employees. Merit Bonuses are paid in the last week of March. Compensation Adjustment - Cost of LivingCost of living adjustments are valid and accurately captured onto Persal Activities under Compensation Adjustment (Cost of Living) include DPSA informing Persal to make the cost of living adjustments, Persal capturing the adjustments, NSF HR correcting the adjustments made on Persal if required, review and approval of adjustments made by NSF HR. Payroll ProcessingPayroll ProcessingPayroll computed is valid and is performed in an accurate and timely manner. Right amount is made to the right person at the right time. Activities under Payroll Processing include conducting a payroll run, reconciling previous to current month's payroll, reviewing of the reconciliation, approval of payroll processing on Persal, printing payslip's, collection of payslip's, signing for payslip's received on payroll register and payment of employees. 011_LegalFigure 231: Legal Legal Orientation and PlanningThe identification and analysis of legal developments, development of the legal framework of the NSF, and facilitation of, or input into, the creation of legal policy affecting the NSF Legal SupportProviding legal support to core and ancillary functions of the NSF Legal AwarenessPromoting and facilitating awareness within the NSF of the legal framework of the NSF Legal Orientation and PlanningFigure 232: Legal Orientation and Planning Maintain Legislative FrameworkSearch for, identify, obtain and study relevant legal sources or developments which may affect the NSF and/or any of its operations. Legal Policy DevelopmentDevelop and/or vet Regulations, policies, circulars, practice notes. Legal SupportFigure 235: Legal Support Contract SupportContract support includes consultation with initiation and execution teams to incorporate contract specific requirements which include any project or grant specific conditions and/or mitigate or address risks identified. Dispute Resolution SupportPreparation and support in initiating, defending, or otherwise joining litigation or other dispute resolution processes affecting projects and/or the NSF in general, where applicable. Legal AwarenessFigure 238: Legal Awareness Legal AdviceLegal prepares a legal opinion on a case-by-case basis as requests are received from within the NSF. Legal TrainingLegal conducts workshops, training sessions, and prepares memoranda on the legal aspects of certain functions within the NSF. 012_Supply Chain ManagementFigure 241: Supply Chain Management Tender ManagementManagement of Tenders for internal NSF procurement requirements. Contract ManagementManagement of Contracts for internal NSF procurement.ProcurementProcurement of goods and services for internal NSF consumption. Vendor ManagementManagement of Vendors for internal NSF procurement. Tender ManagementFigure 242: Tender Management Review and Select Proposed TendersReview proposed tenders submitted to the relevant Evaluation Committee for alignment to the NSF goals and objectives. Proposed Tenders may follow a top down approach originating from ISP, or a bottom up approach originating from Procurement. Prepare Request for Proposal (RFP)Prepare the RFP for going to market. This will include the requirements of the NSF for good and or services to be rendered. Conduct Vendor Q&AConduct question and answer session with Vendors to resolve queries or issues raised by Vendors with regards to the issued RFP. Evaluate Tender ResponsesEvaluate bids/responses received from Vendors based on selection criteria and capability of Vendor to meet the NSF requirements specified in the RFP. Conduct NegotiationsConduct negotiations with preferred bidders. Award TenderAward the Tender to the Vendor best suited to meet the objectives and requirements specified in the RFP according to the selection criteria. Contract ManagementFigure 249: Contract Management Create Contract TemplatesCreate contract template/s applicable to the most commonly contracted goods and services procured by the NSF. Maintain Contract TemplatesMaintain contract template/s based on changes in the legislative and legal environments or as a result of lessons learned. Create ContractCreate a contract based on the requirements on the NSF. Negotiate ContractNegotiate the contract with the preferred vendor to reach an outcome favourable to both NSF and the Vendor Execute ContractExecute the contract and establish reporting timelines and channels. Renew ContractRenew contract with the preferred vendor based on the requirements of NSF. Renegotiate ContractRenegotiate the contract with the preferred Vendor based on changes to NSF requirements. The request to renegotiate the contract may originate from the NSF or the Vendor. Terminate ContractTerminate the contract with the preferred Vendor based on changes to NSF requirements. This may be the result of the Vendor being unable to meet the requirements as stipulated in the contract or changes in NSF requirements. Close ContractClose the contract when it has reached the agreed expiry date. Perform all associated close out functions. ProcurementFigure 259: Procurement Prepare Annual Procurement PlanThe Annual Procurement Plan documents what the NSF needs to procure for the year ahead and the potential sources from where the procurement will take place. In addition the goal of the procurement plan is to:Aid the NSF in determining what goods and services need to be procured Consolidate input from stakeholders (Cost Centres, Departments etc.) as to their requirements Establish timelines for business critical procurement of goods and or services Create and Review Purchase RequisitionCreate and review the purchase requisition for goods and services to determine its accuracy, completeness and validity. Process Purchase OrderProcess the purchase order and submit it to the preferred vendor to be filled. Receive GoodsReceive goods from vendor, inspecting them for quality and quantity. Should the goods not meet quality standards they must be returned to the vendor in the form of collection by the vendor. Receive ServicesReceive services from the vendor, inspecting them for quality and completeness. Should the services not meet quality standards, the vendor must be notified and an assessment done to determine the vendor’s ability to provide the services to the appropriate quality requirements. Issue PaymentIssue payment to vendor for goods and or services rendered after confirming with the business unit or cost centre that the goods and or services were delivered to the appropriate quality, quantity and or completeness requirements. Vendor ManagementFigure 266: Vendor Management Create VendorCreate a vendor on the NSF Vendor Management System based on the business needs of the NSF and the ability of the vendor to provide goods and or services to meet those needs in line with the NSF's goals and objectives. Vendor details may include but is not limited to:Banking Details Physical Address Tax Certificates BEE Certificates (if applicable) When creating a vendor on the Vendor Management System, due care must be taken to ensure that the vendor details being created are accurate, complete and valid. Amend VendorAmend a vendor’s details on the NSF Vendor Management System based on changes to the vendor such as updated tax or BEE certificates. This may also include but is not limited to:Change of vendor banking details Change of vendor physical address When amending a vendor’s details on the Vendor Management System, due care must be taken to ensure that the vendor details being amended or updated are accurate, complete and valid. Block VendorVendors that have not provided goods and or services to the NSF for a period of three months or more should be blocked on the NSF Vendor Management System. This is in order to prevent the use of vendors who do not hold up to date documentation with the NSF. The default state of Vendors should be blocked as a preventative measure. Unblock VendorA vendor is unblocked on the NSF Vendor Management System following a review of their documentation to determine if it is up to date and complies with NSF requirements. In addition a review of the vendors suitability to continue to provide goods and or services to the NSF may be performed. Delete VendorDeletion of a vendor from the NSF Vendor Management System should only occur under the following conditions:The vendor has ceased to exist The vendor has ceased to do business within the boundaries of South Africa The vendor has been bought out/taken over by another organisation/company The preferred state of an inactive vendor is to be blocked on the NSF vendor management system as opposed to deleted. The reason for this is to provide a comprehensive list of vendors with whom the NSF has sourced goods or services. 013_Asset ManagementFigure 273: Asset Management Planning and AcquisitionPlanning and Acquisition entails the assessment of what assets are needed in order for the NSF to meet its service delivery objectives, through the actual acquisition of assets and subsequent recognition and addition into the NSF Asset Register.MaintenanceMaintenance entails Asset Register Maintenance, the Asset Movement processes and Movable Asset Control. Asset Register Maintenance is vital to ensure that asset value in the moveable asset register is a true reflection of the current potential market value. Asset Movement is the process where an asset is moved to the area or department where it is going to be utilized and Movable Asset Control is the process which should ensure maximum utilization and value for money from an asset is achieved. DecommissioningDuring an assets lifecycle, damages can occur or it could become obsolete. Similarly, an asset can also seize to operate at the required operational level at the end of the asset useful live which would require it to be taken out of commission. Planning and AcquisitionFigure 274: Planning and Acquisition Demand ManagementThe Asset Lifecycle begins when it is established what assets are needed in order for the Department to meet its service delivery objectives. Demand Management is the process whereby the Department’s needs are analysed to ensure the right quantity of the right item would be purchased at the right time. Asset AcquisitionThe Asset Acquisition phase follows Demand Management and identifies the means by which the asset is going to be acquired by the Department. An item can be acquired through purchasing, transferred from another Government Department, self-constructed or received as a donation. Asset Recognition and AdditionAlthough there may be different means through which the Department can acquire an asset, regulation requires that all items which comply with the criteria to be recognized as an asset, must be captured into the moveable asset register of the Department. This process is known as the Asset Recognition process. This process will ensure that the asset is tagged and that all the relevant and correct information is captured into the Department’s asset register through its asset management system.When the asset arrives at the premises, it needs to be inspected to ensure that it is the correct item and it is without any defects as per the original purchase order or transferring documents. The item is received into the store or receipt area, the store records updated and payment is authorized and made to the supplier if applicable. This process is known as Asset additions. MaintenanceFigure 278: Maintenance Asset Register MaintenanceTo ensure that asset value in the moveable asset register is a true reflection of the current potential market value, periodic Asset Register Maintenance is required. This process covers all financial related information such as, useful life, depreciation, residual value, impairment (losses) and asset evaluations. Asset MovementAfter an asset has been recognized in the Asset Register, the asset is moved to the area or department where it is going to be utilized. This Asset Movement process needs to be closely monitored and controlled and the movable asset register updated whenever subsequent movement of the asset takes place again. Movable Asset ControlTo obtain maximum utilization and value for money from an asset, the asset needs to be operated and maintained as per the manufacturer specification. Operations and maintenance could affect the guarantee of the asset; therefore the asset needs to be maintained according to the original manufacturers operational and maintenance procedures. Movable Asset Control covers the condition and existence of all the assets, ensuring that the assets are safeguarded against theft and improper operational and maintenance practices. Movable Asset Control is a continuous process from when the asset has been received until it has been disposed of. DecommissioningFigure 282: Decommissioning Asset DisposalDuring an assets lifecycle, damages can occur or an asset could become obsolete. Regulation requires that assets that will have no future economic benefit to the Department be removed from the asset register. The Asset Disposal process must ensure that assets identified for disposals are properly assessed, approved for disposal and that the asset disposal is recorded on the asset register. This will include the method of disposal, date of disposal, value at which the asset is disposed of and any/all costs relating to the process of disposal. 014_Content ManagementFigure 284: Content Management Master Data ManagementMaster Data Management (MDM) is a means of allowing the NSF to link important business data to a single master file to provide a common point of reference. MDM allows for streamlining of data/information sharing between NSF department.MDM comprises of the following processes:Creation of Master Data Amendment of Master Data Deletion of Master Data Master Data ManagementFigure 285: Master Data Management Create Master DataCreate a master data record on the NSF Content Management System based on the business needs of the NSF. This may include but is not limited to the following:Policies Procedures Processes Legislature Amend Master DataAmend a master data record on the NSF Content Management System based on changes to the requirements of the NSF. This may include but is not limited to changes in the following affecting the operations of the NSF:Policies Procedures Processes Legislature Delete Master DataDeletion of a master data record should only occur under the following conditions:The record is no longer required due to changes in NSF business requirements The record is no longer required due to changes in process, policy and or procedure The record is no longer required due to changes in legislature or regulatory environment 015_IT SupportFigure 289: IT Support IT EnablementThe objective of technology enablement is to support the business strategy by designing, developing and implementing IT services to improve overall business key business processes and functions, IT Service DeliveryITIL (Information Technology Infrastructure Library) describes Service Delivery as a processes that assists IT to: Clearly define the content of its services; Clearly define the roles and responsibilities of customers (those who pay for the services), users (those who use the services) and Service Providers; and Set expectations of service quality, availability and timeliness IT Strategy & PlanningIT strategy and planning addresses both the enabling and execution of long-range IT planning. It provides a range of options and recommendations as to how best to establish the important functions within IT. IT Strategy and PlanningFigure 290: IT Strategy and Planning Define IT StrategyEstablishing alignment and integration between IT and Business strategic objectives; and formulate a long-term scope of the IT goals. Define IT DemandDefining IT needs that will ensure that the business capabilities of NSF are appropriately addressed from a technology perspective Establish IT SupplyThe IT supply is in essence the response of IT to the demands of the IT strategy, and by association, the IT demands of NSF. We establish both the current state of the IT environment and what a future IT environment could possibly look like should it be structured to meet IT Demand. IT EnablementFigure 294: IT Enablement Manage UsersAttending to user requirements and expectations and managing these based on established service level agreements between business and IT. Manage HardwareIdentifying hardware required, providing the hardware and effectively managing the availability and functionality thereof. Manage SoftwareIdentifying software required, providing the software and effectively managing the availability and functionality thereof. IT Service DeliveryFigure 298: IT Service Delivery Incident ManagementAccording to ITIL (IT Infrastructure Library), the most widely accepted approach to IT service management. Incident Management activities involves:Detecting and recording incident details Matching incidents against known problems Resolving incidents as quickly as possible Prioritizing incidents in terms of impact and urgency Escalating incidents to other teams as appropriate to ensure timely resolution Event ManagementAccording to ITIL (IT Infrastructure Library), the most widely accepted approach to IT service management. Event Management activities include: Recording, managing and escalating service problems as appropriate Analysing historical data to identify and eliminate potential incidents before they occur Identifying underlying causes of incidents and preventing recurrences Developing workarounds or other solutions to incidents Submitting change requests to Change Management as required to eliminate known problems 016_Internal AuditFigure 301: Internal Audit Appointing a Service ProviderNSF appoints a service provider only if it selects to employ a co-sourcing model for IA, meaning that the NSF will appoint a Director: Internal Audit / Chief Internal Auditor to manage the function, or will continue to make use of the DHET Chief Internal Auditor services in this regard. Should the NSF decide to recruit its own IA team, this process will not be required. The key objectives expected from the service provider include:Working with NSF to identify and understand the organisation’s risk profile. Facilitating several sessions with the chief internal auditor to co-develop the IA strategy and medium term plan. Audit PlanningDuring the planning phase the audit team is formed and the team gains an understanding of the objectives of the audit. The Annual Audit Plan is the output document for the Audit Planning phase and it introduces the audit engagements to be performed for the year.In the Annual Audit Plan the following information is included:1. Mandate;2. Objectives & Scope of the Annual Audit Plan;3. Accountability;4. Engagement Co-ordination and Co-operation;5. Reporting Structure;6. Internal Audit Expectations;7. Approach to the Preparation of an Annual Audit Plan; and8. Financial Implication of the Annual Audit.Audit EngagementThe Audit Engagement refers to the actual execution of the audit according to the agreed scope of work. The Audit Engagement includes the following phases:Plan Audit - This is the planning stage with the audit team and setting out the individual audit area objectives. This is an opportunity for the audit team to conduct research into the proposed audit area and to identify and articulate the risks associated with the audit area. A risk discussion is conducted with the relevant NSF staff at the commencement of planning to identify inherent risks. Conduct Audit Fieldwork - The Audit Fieldwork phase comprises the gathering of audit evidence which forms the basis of the audit opinion and amongst other things, also gives a view on the effectiveness of controls. Perform Reporting - The internal audit report communicates the results of the audit work. Conduct Follow-Up Audits - Follow-up audits are conducted on findings previously raised. Progress ReportingProgress Reporting comprises of the following phases:Progress reporting - Progress Reporting involves monthly status meetings to report on the progress of audits.Coordination with External Audit - Coordinating with the External Auditor involves aligning the internal and external audit activities.Quarterly Audit Committee Meetings - As part of the periodic reporting process, Internal Audit should meet formally with the Audit Committee at least quarterly. Appoint Service ProviderFigure 302: Appoint Service Provider Appoint Service ProviderNSF Supply Chain department appoints a service provider for co-sourcing and resource support on the upcoming audit. The key objectives expected from the service provider include:Working with NSF to obtain and understand the organisation’s risk profile. Facilitating several sessions with Internal Audit to co-develop a strategy to position itself as a class leading function and strategic asset. Co-developing the work plan that includes communication protocols, roles and responsibilities, human resource developments and measures for success. Appoint Service ProviderFigure 303: Appoint Service Provider Audit PlanningFigure 304: Audit Planning Prepare Annual Audit PlanAn annual audit plan is essential for planning and conducting audits efficiently and effectively. An audit plan serves to document pertinent planning information and establishes a set of procedures or steps for the auditors to follow. It identifies audit objectives and contains cross-references to applicable sections of the audit work plan, as well as audit instructions and audit policy guides. The audit plan also includes or refers to background information intended for inclusion in the audit report. When properly constructed, the audit plan documents and provides:1. Mandate;2. Objectives & Scope of the Annual Audit Plan;3. Accountability;4. Engagement Co-ordination and Co-operation;5. Reporting Structure;6. Internal Audit Expectations;7. Approach to the Preparation of an Annual Audit Plan; and8. Financial Implication of the Annual Audit. Audit EngagementFigure 306: Audit Engagement Plan Audit FieldworkThis is the planning stage with the audit team and setting out of the respective audit area objectives. This is an opportunity for the audit team to conduct research into the proposed audit areas, and to identify and articulate the risks associated with the audit areas. A risk discussion is conducted with the relevant NSF staff/management at the commencement of planning to identify inherent risks and to document them. Conduct Audit FieldworkThe task is conducted by Internal Audit Team and the purpose is to test controls and gather audit evidence to form the basis of the audit opinion on the effectiveness of controls.The objective of this phase is to: - Understand the various processes for which controls will be tested; Test the effectiveness of the controls, by gathering the appropriate evidence; and Documenting evidence regarding the effectiveness of controls to support our IA findings and opinions. Perform ReportingThe Internal Audit Report communicates the results of the audit work. Conduct Follow-Up AuditsFollow-up audits are conducted on findings previously raised, which have subsequently been reported as resolved and ready for follow-up. Progress ReportingFigure 311: Progress Reporting Progress ReportingProgress Reporting involves monthly status meetings to report on the progress of the audit. Coordination with External AuditCoordinating with the External Auditor involves aligning the internal and external audit activities. Quarterly Audit Committee MeetingsThe timing, form and content of periodic reporting should generally be agreed as part of the NSF expectations definition in the planning phase. As part of the periodic reporting process, Internal Audit should meet formally with the Audit Committee on a quarterly basis. 017_Facilities & Occupational Health &SafetyFigure 315: Facilities & Occupational Health & Safety Facilities ManagementThe management of NSF facilities is from the basis of the NSF occupying only part of a rented premises whereby the Landlord has the building maintenance and up-keeping responsibilities. Cleaning and security services are contracted services and the main task of the NSF facilities manager will be to facilitate the required services which are rendered through contracts with the various service providers. Occupational Health & SafetyThe OHS is governed by the Occupational Health & Safety Act, 1993 (Act No. 85 of 1993) which aims to provide for the health and safety of persons at work and for the health and safety of persons in connection with the use of plant and machinery; the protection of persons other than persons at work against hazards to health and safety arising out of or in connection with the activities of persons at work; to establish an advisory council for occupational health and safety; and to provide for matters connected therewith. Facilities ManagementFigure 316: Facilities Management Manage FacilitiesThe management of NSF facilities is from the basis of the NSF occupying only part of a rented premises whereby the Landlord has the building maintenance and up-keeping responsibilities. Cleaning and security services are contracted services and the main task of the NSF facilities manager will be to facilitate the required services which are rendered through contracts with the various service providers. Occupational Health & SafetyFigure 318: Occupational Health & Safety ................
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