ANNUAL INTERNAL QUALITY AUDIT REPORT: audit period

PROVIDER ORGANISATION
AUDITED:

REPORT COMPILED BY:

POSITION:

PURPOSE OF INTERNAL AUDIT:

The purpose of the internal audit is to ensure that the degree of excellence specified for
provision and assessment has been achieved.

SCOPE OF INTERNAL AUDIT:

The internal audit addresses the provider’s QMS policies, procedures and review
mechanisms.

INTERNAL AUDIT PROCESS

The internal audit process comprises the following steps:

 Ensure an understanding of the audit dimensions.

 Ensure an understanding of the provider organisation’s quality management system
and business.
 Communicate to the provider organisation what is required for the internal audit and
agree on the timeframe for the internal audit.
 Obtain sufficient relevant evidence through inspection, observation, enquiry and
confirmation.
 Plan for discussions between the auditor, the accountable person and relevant staff,
to facilitate an ongoing mutual understanding of the audit objectives, procedures,
outcomes and evidence requirements, and to maximise opportunities for the
gathering of relevant evidence.
 Compile a draft internal audit report and provide feedback to the provider
organisation.
 Submit the finalised audit report to the BANKSETA ETQA by 30 September.
OUTCOME OF INTERNAL AUDIT

1. The table should be completed for each audit dimension:

AUDIT QUESTION PROCESS EVIDENCE ASSESSMENT OUTCOME

Audit Dimension: insert dimension
As per BANKSETA Process followed to Sources of evidence Assessment of the  In terms of whether the
audit dimension / gather qualitative and evidence obtained provider organisation:
auditor checklist quantitative evidence o Has carried out its
duties effectively as from the
previous audit
o Continues to satisfy
the SAQA regulatory
requirements (regulation 13 of
the ETQA Regulation No.
6290)
o Has fulfilled the
BANKSETA accreditation
requirements
o Is likely to carry out
its duties over the next year
from the date of completion of
the audit

2. Indicate by means of an overview of the actual audit whether the provider organisation has advanced the objectives of the
NQF in the period under review.
RATING OF INTERNAL AUDIT

The Auditor needs to specify if the audit report is:

 A Favourable Audit Report
 A Qualified Audit Report
 An Adverse Audit Report

DECLARATION BY THE AUDITOR:

I insert name of auditor acknowledge that as an auditor, I have:

1. Maintained an independent attitude and unbiased viewpoint throughout the auditing

process.
2. Maintained integrity and objectivity throughout the auditing process, and was free of
any conflict of interest, and have not knowingly misrepresented the facts.
3. Complied with the BANKSETA Auditing Standards.
4. Been able to deliver the service with integrity or objectivity.

AUDITOR: DATE:

NAME SIGNATURE

FEEDBACK BY THE PROVIDER ORGANISATION

The insert provider organisation trading name declares that:

1. A declaration has been signed by the accountable person of the provider

organisation and the auditor, to the effect that the internal quality audit has been
completed according to the stipulated dimensions
2. In instance of a Favourable Audit Report, a statement has been included, to the
effect that an internal quality audit has been conducted, and that the findings are
satisfactory.
3. In the instance of a Qualified Audit Report or an Adverse Audit Report, an action
plan will be developed to address the non-conformances as outlined by the Auditor
and submitted to the BANKSETA within 30 days of receipts of the BANKSETA inter
audit evaluation letter.

Should the provider organisation not agree with the Auditor’s findings please attach a
report with evidence stipulating the areas of disagreement.

PROVIDER DATE:
ORGANISATION:
NAME SIGNATURE