ANNUAL INTEGRATED REPORT FROM POLICY DEVELOPMENT TO POLICY IMPLEMENTATION

Transcription

1 ANNUAL INTEGRATED REPORT FROM POLICY DEVELOPMENT TO POLICY IMPLEMENTATION

2 About SAQA... The South African Qualifications Authority is a statutory body established in accordance with of the South African Qualifications Authority Act, 58 of 1995 and continues under the National Qualifications Framework Act, 67 of In terms of the Public Finance Management Act, SAQA is a Schedule 3A National Public Entity. About this report... This Annual Integrated Report is prepared to comply with: Section 13 (2) of the NQF Act; Section 55 of the PFMA; and King III Report on Corporate Governance in South Africa. The 2014/15 Annual Integrated Report PART A 1 This is the fourth time that SAQA is producing an annual integrated report. We regard integrated reporting as a journey, and in each successive year we try to improve the report to make it easier to read and more meaningful to our stakeholders. Our aim is to provide a balanced and reasonable view of SAQA, so that our stakeholders can make an informed assessment of our performance.

3 TABLE OF CONTENTs PART A: GENERAL INFORMATION Statement of Responsibility for Performance Information PART A 1. Saqa s General Information List of Abbreviations and Acronyms Strategic Overview Vision Mission Principles Strategic Oriented Goals Legislative and Other Mandates Legislative Mandates Policy Mandates Organisational Structure Predetermined Objectives Overview of Saqa s Performance Service Delivery Environment and Strategic Outcome Oriented Goals Leadership Valuing our People Public Positioning Organisational Environment Key Policy Developments and Legislative Changes Performance Information by Programme Summary of Financial Information Board Structure Management Structure What Drives Us Foreword by the Chairperson of the Saqa Board Chief Executive Officer s Report PART B: PERFORMANCE INFORMATION...23 PART C: GOVERNANCE Introduction Portfolio Committee Executive Authority The Saqa Board Introduction Functions of the SAQA Board... 59

4 4.3. Activities of the SAQA Board and its Committees Workforce Planning Risk Management Key Developments in the Year Our Risk Management Process Major Strategic Risks Internal Control and Audit Committees Compliance with Laws and Regulations Fraud and Corruption Performance Management Framework Policy Development Future Human Resources Plans Human Resources Oversight Statistics Personnel Costs by Programme Personnel Costs by Salary Band Training Costs Code of Conduct Employment and Vacancies Sustainability Report Economic Viability Employment Changes Reasons for Staff Leaving PART A Environmental Sustainability Social and Transformation Matters Communication with Stakeholders PART D: Human Resource Management Introduction Overview of Human Resources Matters at SAQA Human Resources Priorities for the Year under Review Labour Relations: Misconduct and Disciplinary Action Equity Targets and Employment Equity Information PART E: FINANCIAL INFORMATION Statement of Responsibility Audit and Risk Committee Report Auditor General Report Annual Financial Statements... 97

5 PART A 4

6 PART A General Information FROM POLICY DEVELOPMENT TO POLICY IMPLEMENTATION

7 1. SAQA S GENERAL INFORMATION REGISTERED NAME: South African Qualifications Authority (SAQA) TELEPHONE NUMBER/S: PHYSICAL ADDRESS: SAQA House 1067 Arcadia Street Hatfield Pretoria 0083 FAX NUMBER: ADDRESS: saqainfo@saqa.org.za WEBSITE ADDRESS: 6 PART A POSTAL ADDRESS: PostNet Suite 248 EXTERNAL AUDITORS: Auditor-General of South Africa Private Bag X06 Waterkloof BANKERS: Standard Bank Pretoria 0145

8 2. LIST OF ABBREVIATIONS AND ACRONYMS ABBREVIATION / ACRONYM APP AQVN CAT CAS CDS CEO CHE CHIETA CPD EXPLANATION Annual Performance Plan African Qualifications Verification Network Credit Accumulation and Transfer Career Advice Services Career Development Services Chief Executive Officer Council on Higher Education Chemical Industries Education and Training Authority Continuous Professional Development ABBREVIATION / ACRONYM NQF NQF Act OQSF PDMS RPL SANC SAICA SAQA SAQA Act EXPLANATION National Qualifications Framework National Qualifications Framework Act Occupational Qualifications Sub-framework Performance and Development Management System Recognition of Prior Learning South African Nursing Council South African Institute of Chartered Accountants South African Qualifications Authority South African Qualifications Authority Act DBE DHET Department of Basic Education Department of Higher Education and Training SETA QC Sector Education and Training Authority Quality Council 7 DFQEAS DPSA Directorate Foreign Qualifications Evaluation and Advisory Service Department of Public Service and Administration QCTO Q & S Committee UWC Quality Council for Trades and Occupations Qualifications & Standards Committee University of the Western Cape PART A ECM Enterprise Content Management W&RSETA Wholesale and Retail Sector Education and Training EWSETA Energy and Water Sector Education and Training Authority Authority WP PSET White Paper for Post - School Education and Training FPI Financial Planning Institute WSP Workplace Skills Plan HEMIS Higher Education Management Information System ICS Integrated Communication Strategy ICT Information and Communications Technology PDP Personal Development Plan PFMA Public Finance Management Act NCAP National Career Advice Portal NLRD National Learners Records Database

9 3. STRATEGIC OVERVIEW 8 PART A 3.1. Vision A world-class National Qualifications Framework for South Africa 3.2. Mission Oversee the further development and implementation of the NQF and advance its objectives which contribute to the full development of each lifelong learner and to the social and economic development of the nation at large 3.3. Principles SAQA, in advancing the NQF: Ensures effectiveness to the advantage of lifelong learners, especially those in poor and rural communities; Embraces social justice, environmental sustainability and diversity; and Aligns its focus with government s national imperatives and priorities, such as the Human Resource Development Strategy (HRDS), Strategic Integrated Projects (SIP) and the National Development Plan (NDP). SAQA, as the oversight body of the National Qualifications Authority (NQF) and the custodian of its values, will boldly serve lifelong learners by: Demostrating leadership and co-ordination; Growing and valuing its people; and Being visible through education and advocacy interventions Strategic Oriented Goals SAQA set the following goals for the 2014/15 financial year: Leadership Staff Development Public Positioning Provide bold and competent leadership in the implementation of the NQF Act to the advantage of lifelong learners. Enhance capacity, and encourage and value the contributions of staff towards organisational effectiveness and excellence in service delivery. Publicly position SAQA as a value adding organisation through the further development of the NQF as a roadmap for learning and progression and as a transformative mechanism for society. SAQA recognises the NQF as a framework for communication, collaboration and co-ordination across education, training, development and work that supports: Career Advice Services (CAS); Articulation; Recognition of Prior Learning (RPL); and Staff development.

10 4. LEGISLATIVE AND OTHER MANDATES 4.1. Legislative Mandates SAQA is a statutory body established in terms of the South African Qualifications Act, No. 58 of It continues to exist under the National Qualifications Framework Act, No. 67 of The Constitution of the Republic of South Africa, 1996 The Bill of Rights, in Section 29 of the Constitution of the Republic of South Africa, 1996, provides for education: 1. Everyone has the right: a. To a basic education, including adult basic education; and b. To further education, which the state, through reasonable measures, must make progressively available and accessible. 2. Everyone has the right to receive education in the official language or languages of their choice in public education institutions where that education is reasonably practicable. In order to ensure the effective access to, and implementation of this right, the state must consider all reasonable education alternatives, including single medium institutions, taking into account: 3. Everyone has the right to establish and maintain, at their own expense, independent education institutions that: a. Do not discriminate on the basis of race; b. Are registered with the state; and c. Maintain standards that are not inferior to standards at comparable public education institutions. 4. Subsection (3) does not preclude state subsidies for independent education institutions. In keeping with these rights, the NQF Act includes the following provisions: 5. (1) The objectives of the NQF are to: (a) Create a single integrated national framework for learning achievements; (b) Facilitate access to, and mobility and progression within, education, training and career paths; (c) Enhance the quality of education and training; and (d) Accelerate the redress of past unfair discrimination in education, training and employment opportunities. PART A 9 a. Equity; b. Practicability; and c. The need to redress the results of past racially discriminatory laws and practices. (2) The objectives of the NQF are designed to contribute to the full personal development of each learner and the social and economic development of the nation at large.

11 (3) SAQA and the Quality Councils must seek to achieve the objectives of the NQF by: (a) Developing, fostering and maintaining an integrated and transparent national framework for the recognition of learning achievements; (b) Ensuring that South African qualifications meet appropriate criteria, determined by the Minister as contemplated in section 8, and are internationally comparable; and (c) Ensuring that South African qualifications are of an acceptable quality. The NQF Act positions SAQA as the oversight body of the NQF and the custodian of its values. SAQA therefore co-ordinates the work of the QCs and other NQF partners. This enables SAQA to engage with high-level strategic issues that enhance the coherent implementation of the NQF. Is responsible for conducting or commissioning research into NQF-related matters, to collaborate with international counterparts, and to initiate and drive a clear, co-ordinated communication and advocacy strategy to assist providers, learners and the public at large to understand the new NQF architecture and the implications for them of the changes; and Must perform any function consistent with the NQF Act that the Minister: HET may determine. The Public Finance Management Act, 1 of 1999 (PFMA), Treasury Regulations (2005), and the Framework for Strategic Plans and Annual Performance Plans (2010): In terms of the PFMA, SAQA is a Schedule 3A National Public Entity. SAQA therefore complies with the PFMA, applicable Treasury Regulations, and the provisions of the Framework for Strategic Plans and Annual Performance Plans. 10 The functions of SAQA are set out in sections 5(3) and 13 of the NQF Act, which became effective on 1 June In summary, SAQA: 4.2. Policy Mandates PART A Must advise the Minister: Higher Education and Training (HET) and decision-makers on NQF matters, oversee the implementation of the NQF, and liaise and consult with the QCs on matters relating to implementing the NQF; Is mandated to develop policies and criteria for the registration of qualifications and part-qualifications, assessment, RPL and credit accumulation and transfer, recognising a professional body and registering a professional designation, and the development and maintenance of the content of level descriptors; Is required to maintain a National Learners Records Database (NLRD) to ensure that South African qualifications are of an acceptable quality, and to provide an evaluation and advisory service with respect to foreign qualifications; SAQA s work is informed and guided by the following policies: The White Paper for Post-school Education and Training, 2013; and Ministerial Guidelines on Strategy and Priorities for the NQF and other directives received from the Minister: HET. The 2014/15 Ministerial Guidelines to Address Priorities for the NQF and other directives received from the Minister:HET mandated SAQA to focus on the following priorities during the financial year under review: -- Finalising the Policies on CAT and on Assessment; -- Completing the NQF Impact Study and submitting the report to the Minister:HET; -- Implementing the NQF System of Collaboration; -- Advising the Minister:HET on how the specific issues and recommendations raised in the White Paper for Post-school Education and Training will be dealt with; and

12 -- Developing a list of misinformation about qualifications and institutions in SA operating outside of the NQF. Considering the provisions of the WP PSET, SAQA will in the new financial year continue to focus on: The simplification of the NQF through: -- NQF Policies; and -- Communication of messages on the NQF. Addressing the over-production and non-use of qualifications by: -- Managing the proliferation of qualifications, and the registration of large numbers of qualifications; -- Reducing duplication and not re-registering unused qualifications and part- qualifications; and -- Recognising on the NQF, programmes based on unit standards and substantial skills programmes that have legal weight and meaning in the workplace. The further development and implementation of articulation through: -- Implementing and monitoring the implementation of the Articulation Action Plan; and -- Promoting articulation and quality assurance by ensuring that the NQF Policies on CAT, Assessment and RPL are implemented. Facilitating the work of the QC s through: -- Finalising the configuration and remit of QCs; -- Strengthening assessment and quality assurance systems institutionally within the context of criteria and guidelines developed by SAQA; and -- Ongoing support to the Quality Council for Trades and Occupations (QCTO) to build its capacity to become fully operational in terms of its quality assurance role and to reduce the quality assurance work carried out by the SETAs. The following national policy documents are relevant to the work of SAQA: National Development Plan 2030; Strategic Integrated Projects; Human Resource Development Strategy for South Africa ( ); National Integrated Human Resources Development Plan ( ); and National Skills Development Strategy III and the Declaration signed at the Skills Summit PART A 11

13 5. ORGANISATIONAL STRUCTURE 5.1. Board structure 12 Executive Committee Remuneration Committee Audit and Risk Committee Finance Committee BOARD Information and Information Technology Committee Qualifications and Standards Committee Career Advice Services Committee Advocacy and Communication Committee Research Committee Foreign Qualifications Committee * The Career Advice Services Committee had its last meeting on 18 November PART A Back row from left to right: Mr JS Samuels (SAQA CEO), Dr V Toni Penxa (Deputy Chairperson), Mr MJN Njeke (Chairperson of the Board), Mr SFA Mokonane, Dr CF Barnes, Prof. TG Schultz, Adv. KS Malunga, Ms GJ Mashabela, Mr D Adler Front row from left to right: Ms CS Müller, Mr O Sipuka, Ms ND Moodley, Ms MM Maboye, Ms CT Duba, Dr M Rakometsi, Dr D Webbstock

14 5.2. Management Structure 5.3. What Drives Us Director: Office of the CEO Director: Finance and Administration Director: Human Resources Director: Information Technology Director: International Liaison SAQA Board Chief Executive Officer Deputy Chief Executive Officer Director: Research Director: Foreign Qualifications Evaluation and Advisory Services Director: Registration and Recognition Director: National Learners Records Database Finalised the last two NQF Policies in the full suite of NQF Policies that provide an enabling platform for articulation Hosted a two-day International Seminar on Building Trust: Promoting Genuine Qualifications in the African Continent. This seminar culminated in the adoption of a joint declaration and agreement to establish an African Qualifications Verification Network Demonstrate bold and competent leadership in the NQF landscape Implemented a comprehensive leadership and staff development programme Ensured that staff understand SAQA s mandate to enhance organisational Enhance capacity and value staff contributions Publicly position SAQA s valueadd in serving the lifelong learner effectiveness and service excellence Expanded SAQA s social media presence Collaborated with one of the recognised professional bodies to inform the public about the NQF and its benefits PART A 13 Director: Advocacy, Communication and Support Deputy Director: Verifications

15 6. FOREWORD BY THE CHAIRPERSON OF THE SAQA BOARD 14 PART A Context and Background The 5 th Board began its tenure quite dramatically in January The previous Board s term had ended three months earlier, and delays in the announcement of the new Board had caused further anxiety. The Chief Executive Officer (CEO) at the time was on extended sick leave, so I had to work with the Acting CEO to bring the new Board together and set up the various committees. The new Board was constituted against a backdrop of dramatic shifts and transformation in the broader context. The NQF Act and related legislation was promulgated on 19 February The new legislation was designed to address the allocation of responsibility, thus resolving tensions amongst key role players, and simplifying the NQF apparatus in order to fast-track the achievement of the NQF objectives. The executive responsibility for the NQF was also moved to be the sole responsibility of the Minister of Education. The NQF Act was to be implemented from 1 June MJN Njeke, Chairperson Introduction It is with a sense of pride that I reflect on my tenure as Chairperson of SAQA s Board. In March 2015, the 5 th SAQA Board gathered for its last strategic planning session. It was thus appropriate for us to reflect on what we had achieved, what we should be focussing on for the remaining eight months and what we wanted to hand over to the incoming 6 th SAQA Board. New government structures were created following General Elections on 22 April The Ministry of Education was split into two entities, thus establishing the Ministry of Higher Education and Training and the Ministry of Basic Education. The 4 th SAQA Board and the Minister : HET were unable to meet during their remaining term of office. Composition of the SAQA Board The NQF Act made provision for a smaller, more professional Board of 16 members (12 members who are appointed by the Minister: HET, as well as

16 the 4 CEOs of the CHE, QCTO, SAQA and Umalusi) as opposed to previous boards of 29 members comprising different stakeholder groups. The new structure still allowed for union representation. The Minister: HET also appoints the Chairperson of the Board. This new Board had to find its feet and started to function within the context outlined above. SAQA Board Achievements over the period Despite its unorthodox start, the 5 th Board made significant progress over the last four years. We succeeded in: Consolidating the NQF Forum and CEO Committee; Developing and implementing the NQF Implementation Framework and the System of Collaboration that guides how the DHET, DBE, SAQA and the Quality Councils work together; Appointing a new CEO and ensuring a smooth transition from the outgoing to the in-coming CEO; Continuing the tradition of good governance by achieving consecutive unqualified audits; Overseeing the appointments of several high level positions including the Deputy Chief Executive Officer; Ensuring the negotiation of multiple-year wage agreements with the union; Meeting the employment equity target for disability during the 2014/15 financial year; Overseeing the completion of NQF policy development so that the new Board can focus on implementing these policies; and Overseeing the completion of the third comprehensive Impact Study. The Board in general functioned very well as we kept our focus on governance matters and left the management of the organisation to the CEO and his staff. All our Board meetings were quorate. All committees of the Board functioned well except for the Foreign Qualifications and Information and Information Technology Committees that experienced difficulties with being quorate on a few occasions. These matters were successfully addressed and resolved. Challenges In the broader context, the WP PSET highlighted some of the challenges with the NQF and provides a framework for addressing the issues. We support the implementation of the WP PSET and we committed SAQA to the speedy implementation of the elements that it is responsible for. We believe that we have laid a good foundation for the next Board to continue on this path. Next Steps The Board s focus for its remaining term of office is to continue building strong partnerships within the NQF family, including enhancing our relationship with the Minister: HET and the leadership of the Quality Councils. Plans are being developed to ensure that there is a proper handover to the new Board. We are also hopeful that the new Board will be appointed before the 5 th Board s term of office expires so that the handover is smooth. Conclusion I can confidently state that we did our work to the best of our ability. We took our governance and oversight roles seriously. All our board meetings were quorate, we worked diligently, our committees functioned well bar one, we ensured that policies required by the NQF Act were developed, and during our last year we begin to oversee the further implementation of the NQF. We have taken the NQF forward and we are leaving SAQA in a better position than where we found it. I sincerely thank the Minister: HET, SAQA Board members, the CEO and SAQA Staff for their valuable contributions during the last five years. The SAQA Board PART A 15

17 also takes this opportunity to wish the incoming Board well during their term of office. MJN NJEKE CHAIRPERSON OF THE SAQA BOARD We support the implementation of the WP PSET and we committed SAQA to the speedy implementation of the elements that it is responsible for. We believe that we have laid a good foundation for the next Board to continue on this path. 16 PART A

18 7. CHIEF EXECUTIVE OFFICER S REPORT Policy development JS Samuels, CEO The theme of SAQA s 2014/15 Annual Integrated Report... from policy development to policy implementation is an apt description, especially as SAQA s operations during the year under review were largely aimed at finalising our NQF policy development work, while beginning to embrace our role of facilitating and monitoring the implementation of those policies that were finalised in previous years. I am proud to report that SAQA completed development of the full suite of policies required by the NQF. In the last year, we completed the Policy for Credit Accumulation and Transfer within the National Qualifications Framework (CAT Policy) and the National Policy and Criteria for Designing and Implementing Assessment for NQF Qualifications and Part-Qualifications and Professional Designations in South Africa (Assessment Policy). After being vetted by the legal advisors of DHET, these new policies were published in the Government Gazette on 28 November and 2 December 2014 respectively. We also published the National Policy for the Implementation of the Recognition of Prior Learning (RPL Policy) in the Government Gazette on 10 October Work has commenced on two other documents which address matters that SAQA, as the custodian of the NQF, believes require leadership and direction. In line with our strategy to enhance the credibility of the Foreign Qualifications Evaluation function and to distinguish SAQA s role from other national recognition bodies, SAQA developed a draft Policy and Criteria for Evaluating Foreign Qualifications within the South African National Qualifications Framework. In response to the wide media coverage focussed on qualifications fraud, we included SAQA s position on fraud and the role of verification in combating this problem in the Policy. The second document is a set of good practice principles and guidelines for learning that does not lead to a qualification or part-qualification. We critically reviewed the Criteria and Guidelines for Short Courses and Skills Programmes (June 2004) in order to develop the Guidelines for Good Practices for Learning not Leading to a Qualification or Part-Qualification registered on the NQF in South Africa. PART A 17

19 18 PART A The SAQA Board approved the publication of both draft documents for public comment on 13 March Policy Implementation The NQF Act assigns SAQA the responsibility to register qualifications and partqualifications on the NQF if they meet the policy and criteria for registration. During this year, SAQA registered 222 new qualifications. In addition to the Policy and Criteria for the Registration of Qualifications and Part-Qualifications on the National Qualifications Framework, all qualifications were also assessed against the agreed Level Descriptors for the South African National Qualifications Framework policy. Similarly SAQA is responsible for recognising professional bodies and registering professional designations. In the year under review, SAQA recognised 8 professional bodies and registered 19 professional designations that complied with SAQA s Policy and Criteria for recognising a Professional Body and Registering a Professional Designation for the purposes of the National Qualifications Act, Act 67 of It is very important for professional bodies not only to comply with the Policy and Criteria at the point of recognition, but that they continue to adhere to the requirements. We therefore introduced a process to conduct followup assessments two years after recognition by SAQA, to monitor whether professional bodies sustained their standing. We assessed 37 of the 40 professional bodies that were recognised during the 2012/13 financial year. Assessments of professional bodies that were recognised in the 2013/14 financial year will continue in While good progress was made in developing and implementing policy and criteria in the different fields of the NQF, we still sustained our mandated services and retained our focus in the four areas of Career Advice, Articulation, RPL and Staff Development. Career Advice Services I reported previously that the Ministerial flagship project on Career Advice Services came to an end on 31 August 2013 and that we entered into an agreement with the DHET to extend the project to deliver Career Development Services until the end of September As agreed, SAQA continued to provide this service during the first six months of the financial year and handed over the project to DHET on 1 October During the six months that we were responsible for the Career Advice Services, we responded to queries. SAQA will continue to provide information from the NLRD to populate the NCAP with new information on learning pathways and career paths. I pause here to thank the Career Advice Services Committee of the Board that concluded its work on 18 November 2014, the SAQA/DHET Career Advice Services Steering Committee and the SAQA Management and staff for their commitment to this project. SAQA proudly incubated, established, nurtured and grew this service to the point where it was viable to be incorporated into the wider career development strategy of DHET. Following the handover of the project, focus shifted to the development of the NQF Advisory Service. Articulation The WP PSET, approved by Cabinet in November 2013, requires SAQA to facilitate and monitor the implementation of an articulation framework while promoting articulation and quality assurance. In finalising the basket of NQF policies, we completed the policy framework needed to facilitate articulation. SAQA and the QCs discussed these policies

20 extensively during CEO Committee meetings and SAQA also provided comment to the QCs on their respective articulation related policies to ensure that the respective policies are aligned. SAQA met with the CHE and the QCTO to discuss articulation within and across the sub-frameworks and to address the issue of the proliferation of qualifications on the NQF raised in the WP PSET. We also assisted the QCTO, mainly with expertise on international comparability and articulation, to develop qualifications that met the policy and criteria requirements for registration on the NQF. We also implemented our part of the Articulation Action Plan and reported progress to the Minister: HET through the Articulation Progress Report. Recognition of Prior Learning (RPL) SAQA had already embraced its leadership role in the implementation of RPL in the previous financial year when we assisted organisations to implement RPL in the workplace. This activity, together with our commissioned research on RPL, fed into the 2013 National RPL Conference, where practical tools for implementing RPL were shared. In 2014/15 we continued to provide focused support to organisational RPL cases. We also concluded the pilot of two internal cases of RPL in the workplace that had started in the previous financial year. The lessons learned were incorporated into our internal RPL processes and provided valuable insights to inform the implementation of the national policy. The National Policy for the Implementation of the Recognition of Prior Learning provides for the establishment of a RPL Policy Co-ordination Sub-committee as part of the CEO Committee. The CEO Committee adopted the proposal developed to set up this Sub- committee. The DHET informed us that the Minister will be developing an overarching strategy to implement a national system for RPL and SAQA is well positioned to assist the Minister as required. Staff Development Our staff is our most valuable asset and during this past year we continued our efforts towards staff development. The most important initiative in the year was the extensive leadership and staff development programme aimed at equipping managers and developing employees at all levels of the organisation. During the year, we started a review of our performance management framework and it is pleasing to report that we finalised performance contracts for all of our employees and assessed them against these contracts. The next step is to review our current model for recognition and reward to ensure that it is affordable, fair and sustainable. An important principle that underlies the NQF and SAQA s work, which we also adhere to internally, is that of transformation. We are addressing transformation issues through our business principles and procurement practices and also in our staff employment practices. We have done very well against our employment equity targets especially in respect of the appointment of people with disabilities. 2.9% of our staff complement are people with disabilities. We also managed to improve demographic representivity at top and senior management level, where 50% are now female (compared to 33 % in March 2014), and 66% of managers are black, compared to 42 % the previous year. The overall profile remained fairly constant with 87% black and 63% of SAQA staff are women. International exposure SAQA has made a significant contribution in the international arena during the reporting period. We were commissioned by UNESCO to work on a study of world reference levels and contributed to the development of a possible global convention on the recognition of higher education qualifications. Two SAQA staff members were also part of an official government delegation led by the PART A 19

21 Deputy Minister: HET, Deputy Minister Manana, to the final adoption and signing of the Revised Arusha Convention (now called the Addis Convention). These international activities will have significant impact on the future of the recognition of qualifications globally. Conclusion With the completion of the NQF Policy Framework in 2014/15, our focus from 2015/16 onward will be on leading the drive to simplify the NQF while coordinating the implementation of the NQF policies to the benefit of lifelong learners and the country as a whole. I thank the Minister: HET and the DHET for their assistance and support in our work. We remain committed to working with them to further advance the NQF to benefit society. 2013/NQF/IF NQF IMPLEMENTATION FRAMEWORK AND SYSTEM OF COLLABORATION higher education & training Department: Higher Education and Training REPUBLIC OF SOUTH AFRICA 20 PART A My sincere appreciation goes to Mr Njeke, Chairperson of the Board, and to all members of the 5 th SAQA Board, whose term will end on 31 December Their steadfast and able leadership set a positive tone as we embarked and progressed on our journey from policy development to policy implementation, while their unwavering support and guidance inspired us to do our best. 2013/SOC higher education & training Department: Higher Education and Training REPUBLIC OF SOUTH AFRICA I also thank Dr Julie Reddy, Deputy CEO, the management and staff for their work and commitment to boldly serve lifelong learners. The South African Qualifications Authority NQF Implementation Framework The South African Qualifications Authority System of Collaboration JS SAMUELS CHIEF EXECUTIVE OFFICER: SAQA

22 OVERVIEW OF ACHIEVEMENTS FOR 2014/15 LEADERSHIP VALUING OUR PEOPLE 3 NQF policies published Suite of NQF policies completed transcripts issued 222 new qualifications registered CDS enquiries Serviced applications for evaluation of foreign qualifications Seminar on learning outcomes 1 NQF Impact Study Hosted international seminar to promote genuine qualifications African Qualifications Verifications Network endorsed Hosted workshops on Relational Agency 8 professional bodies recognised 19 professional designations registered Recorded incidents of misinformation about qualifications Research into learning pathways R was spent on staff development 17 publications and brochures 17 staff members received education assistance Monthly wellness clinic PUBLIC POSITIONING 2.2 million listeners reached per week via the Khetha Radio shows visits to website and mobi-site social media users Leadership and staff development programme face-to-face interactions with stakeholders social media impressions PART A 21

23 SUITE OF NQF POLICIES 22 PART A 2013/Q&PQ THE SOUTH AFRICAN QUALIFICATIONS AUTHORITY Policy and Criteria for the Registration of Qualifications and Part-qualifications on the National Qualifications Framework THE SOUTH AFRICAN QUALIFICATIONS AUTHORITY National Policy and Criteria for Designing and Implementing Assessment for NQF Qualifications and Part-Qualifications and Professional Designations in South Africa THE SOUTH AFRICAN QUALIFICATIONS AUTHORITY Policy and Criteria for Recognising a Professional Body and Registering a Professional Designation for the Purposes of the National Qualifications Framework Act, Act 67 of /RPL 2012/LD 2012/PB THE SOUTH AFRICAN QUALIFICATIONS AUTHORITY Level Descriptors for the South African National Qualifications Framework THE SOUTH AFRICAN QUALIFICATIONS AUTHORITY National Policy for the Implementation of the Recognition of Prior Learning THE SOUTH AFRICAN QUALIFICATIONS AUTHORITY Policy for Credit Accumulation and Transfer within the National Qualifications Framework

24 PART B Performance Information FROM POLICY DEVELOPMENT TO POLICY IMPLEMENTATION

25 1. STATEMENT OF RESPONSIBILITY FOR PERFORMANCE INFORMATION FOR THE YEAR ENDED 31 MARCH PART B The CEO is responsible for the preparation of the public entity s performance information and for the judgments made in this information. The CEO is responsible for establishing and implementing an internal control system designed to provide reasonable assurance of the integrity and reliability of performance information. In my opinion, the performance information fairly reflects the actual achievements against planned objectives, indicators and targets as per the strategic and annual performance plan of the public entity for the financial year ended 31 March SAQA s performance information for the year ended 31 March 2015 has been examined by the external auditors and their report is presented on page 94. The performance information of the entity as set out on pages 25 to pages 49 was approved by the SAQA Board. JS SAMUELS CHIEF EXECUTIVE OFFICER

26 2. PRE-DETERMINED OBJECTIVES The Auditor-General currently performs the necessary audit procedures on the performance information to provide reasonable assurance in the form of an audit conclusion. The audit conclusion on the performance against predetermined 3. OVERVIEW OF SAQA S PERFORMANCE 3.1. Service Delivery Environment and Strategic Outcome Oriented Goals objectives is included in the report to management, with material findings being reported under the Predetermined Objectives heading in the Report on other legal and regulatory requirements section of the Auditor s Report. SAQA aimed to address three broad areas during the reporting period: SAQA is charged with overseeing the further development and implementation of the NQF Act, a key national policy for the transformation and integration of the education and training system in South Africa. As part of an overall strategy to foster a culture of lifelong learning, SAQA focuses on upholding the objectives of the NQF, including access, mobility and progression. SAQA aims to enable all individuals especially those in poor and rural communities to value, have access to, and succeed in quality, lifelong education and training as envisioned by the NQF Act. In advancing the NQF objectives, SAQA embraces social justice, environmental sustainability and diversity. SAQA bases its strategic imperatives on its understanding of the NQF as a framework for communication, co-ordination and collaboration across education, training, development and work. Leadership: providing decisive leadership and co-ordination Value our People: enhancing capacity, encouraging and valuing staff contributions Public Positioning: being visible through education and advocacy SAQA s performance in these three areas is discussed on the following pages. PART B 25

27 LEADERSHIP 26 PART B Our Leadership Goal: To provide bold and competent leadership in the implementation of the NQF Act to the advantage of lifelong learners ACHIEVEMENTS We: Published three NQF policies (RPL, Assessment and CAT) in the Government Gazette; Completed the required suite of NQF policies; Implemented a strategy to enhance the credibility of the foreign qualifications evaluation and advisory services function and clarify its role with regard to other recognition agencies in the country; Hosted a successful two-day International Seminar on Building Trust: Promoting Genuine Qualifications in the African Continent on 24 and 25 November SAQA took the lead in obtaining commitment to a Joint Declaration and reaching consensus to establish the African Qualifications Verification Network (AQVN); Occupied numerous radio spots and were quoted in a number of newspapers and online articles, especially with regards to our verification of national qualifications and the evaluation of foreign qualifications services; Published for public comment, a draft Guidelines for Good Practice for Learning that does not Lead to a Qualification or Part-Qualification document; Reached agreement with the QCTO and CHE on how to address the issue of the proliferation of qualifications on the NQF; Advised the QCTO on matters pertaining to the Occupational Qualifications Sub-framework (OQSF) Policy and assisted with the development of qualifications that meet the criteria for registration on the NQF; Provided leadership in regulatory and policy debates, through public SAQA events that focused on SAQA as a relational agency, learning outcomes, combating qualifications fraud and career development; Developed a costing model to ensure full cost recovery for services rendered by the Foreign Qualifications Evaluation as well as the Verifications functions; Uploaded substantial information onto the NLRD from Umalusi, the Kha Ri Gude Project, HEMIS and SANC; Serviced more than enquiries through the Career Development Services (CDS) unit for the first half of the financial year ( the CDS Project was transferred to the DHET on 1 October 2014); and Finalised the NQF Impact Study Achievement of our objectives under the Leadership goal Objective: Implement all the requirements of the NQF Act We: Published the following NQF Policies in the Government Gazette: National Policy for the Implementation of the Recognition of Prior Learning (RPL) on 10 October 2014; Policy for Credit Accumulation and Transfer within the National Qualifications Framework (CAT) on 28 November 2014; and National Policy and Criteria for Designing and implementing Assessment for NQF Qualifications and Part-Qualifications and Professional Designations in South Africa (Assessment) on 2 December 2014;

28 Continued with RPL work; and: Supported several organisations with their RPL cases. Objective: Monitor and report on implementation of the NQF Act through appropriate mechanisms Interacted regularly with the DBE, especially with regards to their national and regional Exam Irregularities Committees. Objective: Ensure research credibility to direct and steer policy, as well as legislative debates SAQA: Continued to monitor, through the CEO Committee, the progress made in achieving the priorities for the implementation of the NQF (as described in the NQF Implementation Framework and the Ministerial Guidelines on Strategy and Priorities for the NQF 2012/13 and 2014/15 respectively); and Developed, new priorities for the NQF Implementation Framework for consideration by the CEO Committee. Objective: Further enhance relationships with the Ministry of Higher Education and Training, and other relevant government departments, entities and partner organisations We: Obtained approval from the SAQA Board to publish the NQF Impact Study 2014; Concluded long term research partnership projects with UWC and Rhodes University; and Started a process to engage new research partnerships. 27 We: Developed a briefing document on SAQA s roles and responsibilities in PART B the event of a new Minister:HET being appointed after the May 2014 General Election; Regularly communicated with the Minister: HET and DHET. While many of these interactions related to the CDS project, there were also regular exchanges relating to SAQA s role in implementing the NQF; Utilised the CEO Committee to enhance relationships within the NQF family; Met periodically with DPSA to discuss SAQA s ongoing work relating to the verification of government employee qualifications; Hosted quarterly Partners Forum meetings with the SETAs, and the QCs for progress discussions on data loads of learner records on the NLRD; and 222 new qualifications were registered: (27 occupational and 195 higher education qualifications) 8 professional bodies recognised 19 professional designations registered verification of national qualifications batches processed; and individual transcripts issued applications for evaluation of foreign qualifications received and processed

29 28 PART B Qualifications per country as a percentage of the total 0.7% 0.9% 1.0% 1.1% 0.8% 0.9% 1.2% 1.0% 1.2% 1.2% 1.2% 1.4% 1.5% 1.5% 1.5% 1.6% 2.0% 2.1% 3.3% 3.9% 11.8% 4.3% 8.1% 8.8% 26.3% 10.9% Objective: Secure sustainable funding SAQA: 1 Zimbabwe India United Kingdom Nigeria Democratic Republic of Congo Lesotho United States of America Ghana Swaziland Pakistan Thailand Angola Germany Kenya Namibia Zambia Australia Botswana Cameroon France Malawi Peoples Republic of China Netherlands Uganda Ethiopia Other combined Developed a costing model that ensured full cost-recovery for with: verification and evaluation services; Prioritised activities to contain costs, as far as possible; Approached donor agencies to establish long-term relationships to secure funding for specific projects; and Continued to engage with the DHET to increase our baseline voted funds and secure additional funding for specific projects, such as the digitisation of learner records, particularly those related to the pre-1992 school-leaving certificates and teacher qualifications, and to establish a credible counter fraud initiative. Objective: Oversee the implementation of a credible system of recognised, quality, articulated learning and career paths, which removes systemic barriers to access and progression, and enables easy navigation SAQA implemented a strategy to enhance the credibility of the Foreign Qualification Evaluation and Advisory Service function and position SAQA as the preferred service provider in SA. In this regard we: Re-engineered the operating systems, processes and procedures to improve the quality of delivery; Introduced an online applications system to streamline and strengthen the applications process; Developed a policy and criteria for evaluating foreign qualifications within the South African NQF context, which includes SAQA s position on misinformation about qualifications; Invited representatives from 14 African countries to a seminar focusing on countering fraudulent qualifications with a view to building stronger relationships between countries to speed up the qualification verification process; Further developed a draft concept document on creating the African Qualifications Verification Network and started approaching donor organisations for start-up capital to establish the Network; Attended the conference on the Revised Arusha Convention. The Convention raised a number of important issues around international good practice which SAQA will use to streamline its own evaluation processes; Began recording cases of misinformation about qualifications, and Advised the Minister: HET on the legal constraints and requirements for establishing and publishing a Register of Fraudulent Qualifications. We: Provided a national multi-channel, accessible and sustainable Career Development Service to the public through the:

30 -- Telephone and SMS service; -- Online services (the website, mobi-site, and Facebook); -- The Khetha weekly radio programmes on 11 African Languages radio stations; and -- Walk-in facility and postal services. Worked with the Energy and Water SETA, the Chemical Industries Education and Training Authority (CHIETA) and the Wholesale and Retail SETA on sector specific projects. Objective: Assist and support the QCs to further the objectives of the NQF Continued to assist and support the three QCs to further the objectives of the NQF and reported progress achieved at CEO Committee meetings; Met with the QCTO and CHE to discuss articulation within and across the sub-frameworks and address the proliferation of qualifications on the NQF; and Advised the QCTO on : -- The OQSF Policy; and An extract from the NLRD shows the following information: Qualifications and part-qualifications registered on the NQF: occupational qualifications; higher education qualifications; and unit standards. Provider Accreditation: providers accredited to offer qualifications; and providers accredited to offer unit standards. Professional Bodies: 73 professional bodies recognised; 260 professional designations registered; people recorded against 99 registered professional designations; and of these, hold the CA(SA) designation. PART B 29 Learners and Achievements: Learners recorded; qualification enrolments and achievements captured; of these achievements are via RPL; unit standard enrolments captured; and higher education modules achievements recorded. Delegates attending the seminar on the verification of foreign qualifications -- The development of occupational qualifications that meet the criteria for registration on the NQF, especially with regards to international comparability and articulation.

31 30 PART B Provide leadership in the regulatory and policy debates, and influence and contribute to the formulation of government policy SAQA hosted: A Chairperson s Lecture on 10 September 2014 that featured Dr Tony Watts, an international career development expert; Workshops on Relational Agency by Professor Anne Edwards, from Oxford University, on 29 and 30 September The workshops focused on the underlying principles of collaboration and cooperation across practice boundaries and innovative ways of working in partnership with others to reach shared goals and objectives; A successful two-day International Seminar on Building Trust: Promoting Genuine Qualifications in the African Continent on 24 and 25 November Delegates from 14 countries who attended agreed to a Joint Declaration and to the establishment of an African Qualifications Verification Network (AQVN), which aims to bring together key stakeholders and strengthen relationships on the African continent, so that qualifications can be verified quicker and fraudulent practices combated in a more coordinated and effective manner; The Ben Parker Memorial Lecture on 22 January 2015 led by Professor Heila Lotz-Sisitka and Ms Presha Ramsarup. The lecture focussed on learning pathways in a transforming society; and A seminar and workshops in February 2015, led by Mr Stephen Adam, an international expert on learning outcomes. Establishing a sub-committee on RPL as envisaged in Section 49 (e) of the National Policy for the Implementation of the Recognition of Prior Learning; and Developing a NQF Implementation Framework for ; SAQA responded to public interest in combating fraudulent qualifications by: The CEO being interviewed on numerous radio stations and quoted in a range of newspaper articles regarding our work around evaluating qualifications and identifying misinformation about qualifications; Advising the Minister:HET on the legal implications of establishing and publishing a Register of Fraudulent Qualifications; Establishing a working group to develop Guidelines for Good Practices for Learning that does not Lead to a Qualification or Part-Qualification registered on the NQF in South Africa ; and On request from the French Embassy, establishing a task team to drive a process to accredit European Language courses that can benefit South African diplomatic staff in embassies around the world. SAQA facilitated discussions on policy matters during the CEO Committee meetings. The committee discussed: Progress achieved in implementing the priorities of the NQF; Progress towards the implementation of the WP PSET; Standardising Certification in Higher Education;

32 WORK IN PROGRESS We: CDS interface statistics Made some in-roads towards simplifying the NQF, but require a broader strategy in collaboration with the QCs, to take the process even further; Ensured that all qualifications that are registered on the NQF include articulation pathways, but we will need to monitor the process to ensure that articulation is possible in practice; and Need additional funding to implement the NQF Advisory Service, fulfil our obligations in overseeing the implementation of RPL, as well as for establishing a dedicated unit to focus on qualifications. 2.2 Million weekly radio listeners Likes on Facebook Visitors to website pages viewed Mobi-site visits. The mobi-site attracted more visitors than the website Telephone callers PART B cases 580 Walk-in clients SMS Professor Anne Edwards from Oxford University delivering the presentation on Relational Agency People reached during exhibitions and information sessions

33 32 PART B Creating new knowledge in 2014/15 SAQA is mandated to conduct and commission research, and publish the findings, on matters relating to the implementation and further development of the NQF. SAQA uses a collaborative partnership model and to date has worked with seven long-term research partnerships. In the 2014/15 financial year: SAQA/Rhodes University partnership SAQA/University of the Western Cape (UWC) partnership SAQA/University of KwaZulu- Natal (UKZN) partnership NQF Impact Study Research into learning pathways was completed Data-gathering for research towards supporting working learners in Higher Education was concluded A book on research into TVET College lecturers was produced The 2014 NQF Impact Study was completed 1. The SAQA/Rhodes University research into learning pathways This research focused on learning and other articulation pathways involving occupations in the area of sustainable development. The study revealed an absence of learning pathways at the elementary occupational levels; inadequate systemic level interventions at the intermediate levels, and a proliferation of specialisation options at high skills levels which are currently not integrated into the systems that enable learning pathways for sustainable development. Importantly, learning pathways can be understood in at least three ways. 1 Learning pathways can consist of linked qualifications and learning opportunities 2 They can be seen as either systemic articulation or a joined up system. Elements aligned to and supportive of learning pathways such as RPL and CAT are included here. 3 Learning pathways can be individualised for the learner as s/he transitions from training to work, or vice versa, from school to Higher Education Institutions, and so on The research findings showed that learning pathways need to consider both micro-level career story studies, and macro-level policy studies. These findings are relevant to other emerging areas seeking accommodation in the NQF. A comprehensive set of seven reports detailing the findings of this study, has been produced. 2. The SAQA / University of the Western Cape research into Lifelong Learning Networks of education and training institutions are key for enabling lifelong learning. The SAQA/University of the Western Cape (UWC) research addressed the question: How can the university respond meaningfully to the real circumstances of students to enhance prospects for their success and professional development? The study was about understanding the working lives of students, engaging with their workplaces, and influencing the teaching, learning and administrative environment of the university. The key contradiction, to which the research responded, is that access is being limited, through the partial closure of after-hours or evening classes, at a time and in a place where access for working and first generation students is a core

34 part of the university s historic mission. The research developed an argument and approach for the university to move beyond the traditional binaries of partand full-time provision, and day and night-time classes, to flexible learning and teaching provision for the diversity of students across the different ages and stages of life. The project used UWC as a case study to track, and included the actual institutional transformation that is necessary to enhance lifelong learning. A booklet highlighting the main findings of the study will be published in due course. 3. SAQA/University of KwaZulu-Natal research into FET College lecturers The SAQA/University of KwaZulu-Natal (UKZN) partnership research project ( ) sought to understand the impact of the post-1994 vocational education and training system, and vocational qualifications on lecturers in public TVET colleges. The study also examined the ways in which these lecturers lives were shaped by, and served to shape, the new system. This project was located in a context in which there had been little training or support for college lecturers, and even less known about this group of educators. The key research findings which show that national data on the system is limited and that there is little detailed research into the lives, careers and experience of college lecturers are still relevant. SAQA and the UKZN partners developed a book on these research findings in the 2014/15 reporting year. possible to draw direct lines of cause and effect. The findings of the study track shifts in understandings of, and developments relating to, systemic integration and articulation, redress, learner access, success and progression, quality and transparency, communities of practice in education and training, and the tools used in the system, over time. The firstlevel analyses show trends per sub-sector while the meta-analysis makes clear that the NQF has had a profound impact on the education and training system as a whole. Importantly, the NQF Impact Study report integrates information that is usually held in disparate places. This comprehensive study is the result of collaborative work between SAQA and the QCs, with inputs from the two departments of education. Based on its findings, the study report makes specific recommendations in relation to further enhancing understandings and developments relating to specific NQF objectives, and specific trends. Future developments and trends can be juxtaposed against those shown in the report. PART B Assessing the impact of the NQF SAQA is mandated to assess the impact of the NQF at periodic intervals. The central question addressed in the 2014 Impact Study was: What impact has the NQF had? Included in the research were sub-questions relating to specific NQF objectives. In instances where it was possible to analyse direct impact, documentary analysis and first-level analyses were conducted using readilyavailable data. Given that the NQF is a complex construct, it was not always

35 VALUING OUR PEOPLE 34 PART B Our Goal: To enhance capacity, and encourage and value the contributions of staff towards organisational effectiveness and excellence in service delivery ACHIEVEMENTS We: Embarked on an 18-month leadership and staff development programme that included every employee in SAQA; Engaged with staff through dedicated events to ensure their understanding of our mandate and strategy; Worked with the Financial Planning Institute (FPI) to educate staff on financial planning; Provided a monthly wellness clinic that offered a wide range of health services to staff; Ensured that staff members signed performance contracts and received feedback on their performance; and Began investigations into developing an appropriate model for staff recognition and reward. SAQA: Initiated an extensive leadership and staff development programme that was customised to deliver on SAQA s requirements. Based on the Workplace Skills Plan (WSP) and Personal Development Plans (PDP), we developed learning and development plans for each directorate; Ensured that staff members received feedback on their performance; Designed new staff induction and development programmes; Worked with the FPI to address staff on Women and Financial Freedom as part of SAQA s birthday and Women s Month celebrations in August 2014; and Achievement of our objectives under the goal to value our people Objective: Prioritise the professional development of staff and refine the performance recognition and reward systems Graduates celebrate with their lecturers at the LLL graduation ceremony

36 Commenced with a review of the staff performance recognition and reward system. We developed a draft terms of reference for a service provider to investigate and recommend an appropriate model for the recognition and reward of staff. Objective: Ensure that SAQA s mandate is understood internally and aligned to the organisation s strategy We Launched the Annual Performance Plan (APP) for 2014/15 to staff which provided the CEO with an opportunity to interact with staff. He reflected on SAQA s achievements for 2013/14, and highlighted the strategic imperatives for 2014/15; Reviewed our mid-term progress in implementing the APP. The CEO also took the opportunity to acknowledge staff who had reached different longterm service milestones with SAQA; Convened Wednesday-morning sessions for strategic discussions and engagements among senior managers. Weekly Friday morning meetings focused on operational issues across directorates. In addition, the management team met quarterly to review progress against the APP and their operational plans. Special Monday morning sessions with the Executive Management team took place prior to every Board, EXCO and Audit and Risk Committee meetings; Conducted a series of strategic conversations with staff. The outcomes from these conversations were incorporated into management s inputs towards the Board s Strategy Workshop; and Developed inputs and draft strategic imperatives to drive SAQA s future strategies, plans and performance, for consideration by the Board at its Strategy Workshop. Objective: Ensure that the organisational design is aligned to the mandate SAQA: Allocated key tasks according to the organisation s mandate; Separated the Verifications function from the NLRD Directorate and appointed a dedicated Project Manager to lead the Verifications team; and Obtained approval from the Board to set up the NQF Advisory Service to respond to NQF related queries from the public. WORK IN PROGRESS We: Need to think more creatively about how to recognise staff contributions; and Should put in place succession plans linked to staff learning and development plans. 12 staff members passed their formal further studies examinations 48 staff members granted study leave R R spent on staff development 17 staff members received education assistance PART B 35

37 PUBLIC POSITIONING 36 PART B Our Goal: Publicly position SAQA as a value adding organisation through the further development of the NQF as a roadmap for learning and progression and as a transformative mechanism for society ACHIEVEMENTS We: Developed and implemented a focused social media strategy to drive awareness and understanding of the SAQA value proposition primarily with policy makers and policy implementers. SAQA s website, LinkedIn, Facebook, Google+ and the SAQALive Twitter profiles all formed part of this strategy; Used the recommendations from the market research studies to develop action plans to promote SAQA and its products and services; and Communicated key messages to stakeholders through exhibitions and events, radio programmes, publications and advertisements. by the target audiences (policy makers, policy implementers and policy beneficiaries) to develop action plans for the new financial year. The focus will be on: -- Improving the three target audiences awareness, understanding and value of SAQA and the NQF; -- Increasing the number of people using our online media platforms; and -- Establishing an NQF Advisory Service to further the implementation of the NQF; Commissioned a study to analyse SAQA s frontline processes to enhance our customer focus. The manner in which we engage with our stakeholders was informed by the recommendations emerging from the research. Objective: Educate and advocate so that policy makers, policy implementers and policy beneficiaries recognise and value the role of SAQA and the NQF in the establishment of recognised learning and career path systems Achievement of our objectives under the goal of public positioning Objective: Review and advance the Integrated Communication Strategy (ICS) of key messages relating to SAQA and the NQF SAQA: Used the recommendations from the market research studies on the level of awareness, understanding and value of SAQA and its brands SAQA used various platforms to reach stakeholders. We: Participated in numerous exhibitions and events during the year; Produced a number of thematic publications for specific target audiences Managed the weekly Khetha radio programmes, and were interviewed on various radio stations on a variety of topics; Communicated with the media and general public through targeted media releases on our website; Implemented a radio campaign for the youth that involved eleven community radio stations. In addition, we secured 273 spots on Cape

38 Talk and 702 to promote the NQF, artisanship and Apply Now! Campaign. ; and Developed and implemented a focused social media strategy to drive awareness of SAQA s value proposition primarily with policy makers and policy implementers. SAQA s website, LinkedIn, Facebook, Google+ and the SAQALive Twitter profiles formed part of this strategy. SAQA: Launched the new integrated SAQA portal (website) on 1 April The website and mobi-site were updated to display information on postschool options, as well as learning and work opportunities; Regularly updated the SAQALive Twitter feed. This platform is gaining traction as more clients use it to raise service-related issues; and Steadily increased the social media traffic. WORK IN PROGRESS We: Need to work more closely with the QCs and other partners to further improve their awareness, understanding and value of the NQF; and Must improve our engagement with clients who make use of our services. Policy Implementers Overall Annual Percentage Awareness, Understanding and Value of the NQF and SAQA 93.0% 37 Policy Makers 92.0% 91.5% 92.0% 92.5% 93.0% 93.5 PART B Speakers at the seminar on the verification of foreign qualifications: Mr J Samuels (CEO, saqa), Mr G Jeppe (Director International Relations, DHET), Ms N Gumbe (Director, Advocacy, Communication and Support, SAQA) and Adv. KS Malunga (SAQA board member and Deputy Public Protector) The Khetha radio programmes reached 2.2 million listeners per week Produced 17 publications and brochures

39 3.2. Organisational Environment In the previous Annual Report, SAQA raised concerns over its financial ability to maintain the standard of service delivery expected by clients. In addition to our on-going efforts to contain costs, the SAQA Board approved a new cost recovery fee structure for some of the services rendered. This affects clients making use of our verification and evaluation services. As a result of the abovementioned efforts, we were still able to render our functions optimally during the current financial year. We continue to seek funding for our priority projects such as the digitisation of learner records, particularly those related to the pre-1992 school-leaving certificates and teacher qualifications, and to establish a counter fraud unit. 38 PART B 3.3. Key Policy Developments and Legislative Changes No revisions or alterations of SAQA s mandate took place in the 2014/15 reporting period. The Minister launched the WP PSET towards the end of the previous financial year. The WP PSET has multiple implications for the NQF, SAQA, the QCs and the entire education and training sector. The CEO Committee dedicated substantial time to discussing the implications and implementation of relevant sections of the WP PSET, especially the areas that pose a challenge.

40 4. PERFORMANCE INFORMATION BY PROGRAMME SAQA has seven programmes. The programmes are: 1. ADMINISTRATION, which includes the following functions: 1.1. Executive Office, responsible for the overall coordination and organisational performance in response to SAQA s mandate; 1.2. Finance and Administration, responsible for effective financial and infrastructural governance and resources to support SAQA s objectives; 1.3. Human Resources, responsible for providing strategic and operational support to embrace diversity, environmental sustainability, and social justice and contribute towards the delivery of SAQA s mandate; 1.4. Information Technology, responsible for effective ICT governance and IT infrastructural resources to support the achievement of organisational objectives and business processes; and 1.5. Advocacy, Communication and Support, responsible for informing stakeholders and the public about the NQF, SAQA and related matters; 2. REGISTRATION AND RECOGNITION is responsible for: Registering nationally relevant and internationally comparable qualifications and part-qualifications that meet national criteria and articulate across sub-frameworks; and Recognising professional bodies and registering professional designations on the NQF. 3. NATIONAL LEARNERS RECORDS DATABASE is responsible for maintaining and further developing the NLRD s functionality which serves as the key national source of information for human resource and skills development in terms of policy, infrastructure and planning; 4. FOREIGN QUALIFICATIONS, EVALUATION AND ADVISORY SERVICES is responsible for evaluating foreign qualifications against set criteria including verifying the authenticity of qualifications and comparing foreign qualifications with similar qualifications on the South African NQF; 5. CAREER ADVICE SERVICES was, until its handover to DHET on 1 October 2014, responsible for providing a comprehensive national multichannel career advice service; 6. RESEARCH is responsible for conducting evidence-based research to evaluate the impact of the NQF and inform the development and further implementation of the NQF; and 7. INTERNATIONAL LIAISON is responsible for liaising with international partners on matters concerning qualifications frameworks and sharing best practice within the NQF family. PART B 39

41 This Report is based on the Revised Annual Performance Plan for 2014/15 that was submitted to the Executive Authority on 10 October 2014 and approved on 4 December PART B NO STRATEGIC TARGET PERFORMANCE INDICATORS ANNUAL TARGETS ACTUAL PERFORMANCE 1 ADMINISTRATION 1.1 Executive Office Strategic Objective: Provide bold and competent leadership in the implementation of the NQF Act to the advantage of lifelong learners 1 Implement all the requirements of the NQF Act Achieved 2 Monitor and report on implementation of the NQF Act through appropriate mechanisms 3 Provide leadership in the regulatory and policy debates, and influence and contribute to the formulation of government policy NQF Implementation Framework for (as monitoring tool) approved and implemented Report on all Ministerial Guidelines to address priorities of the NQF Number of NQF policies or guidelines implemented or reviewed and simplified and implemented Input provided to legislation and policies as required Develop a new Implementation Framework for (as monitoring tool) Report on the Ministerial Guidelines Report on monitoring and co-ordination of the implementation of the Subframeworks by the Quality Councils Report on oversight and monitoring of the implementation of SAQA NQF policies Report on advice provided to the Minister on all requested matters or as deemed necessary Developed the draft Framework for for discussion at the February 2015 CEO Committee meeting The draft framework served at the SAQA Board meeting in March 2015 QCs are currently providing input into the document Achieved Completed the Report on progress against the Ministerial Guidelines for 2014/15 Achieved SAQA developed and updated the Tracking Grid which serves as a progress report for the CEO Committee Achieved Developed and updated the Report in this respect Achieved Produced a consolidated report on the separate sets of advice provided to the Minister The report included: -- Briefing Note on the priorities of the NQF and SAQA s role -- Comments on the Ministerial Priorities and Guidelines, both for 2014/15 and for 2015/16 -- Development of a Fraud Register and the implications of making this public

42 NO STRATEGIC TARGET 4 Collaborate towards an articulated NQF 5 Effective collaboration between SAQA and the QCs 1.2 Finance and Administration PERFORMANCE INDICATORS Implement action plan on Articulation Implement the System of Collaboration to guide mutual relations between SAQA and the QCs Annual report on effective collaboration approved ANNUAL TARGETS Implement SAQA s contribution to the Articulation Plan and develop a final report on implementation of the Articulation Plan Implement the System of Collaboration to guide mutual relations between SAQA and the QCs and engage with the QCs as required Annual report on effective collaboration approved ACTUAL PERFORMANCE Achieved Produced a progress report on SAQA s contribution to the Articulation Action Plan Achieved Facilitated the implementation of the System of Collaboration. This is managed through the CEO Committee Collaboration is monitored through reporting recorded on the CEO Committee Tracking Grid Achieved Produced the Annual Report on effective collaboration The Chairperson of the CEO Committee approved the report Maintain an effective and efficient Financial Management system 6 Support strategic decision A clean audit report Receive a clean audit report Achieved making through financial Received a clean and unqualified audit report for scenario planning, budgeting 2013/14 from the Auditor-General and maintaining effective and efficient financial management 7 Ensure effective governance, and compliance with sustainability and statutory requirements and codes as applicable to SAQA Percentage of compliance with National Treasury requirements Achieve 100% compliance with National Treasury requirements Produce and submit timeously 12 monthly management accounts and 4 quarterly reports Achieved Aligned SAQA s Financial policies and procedures to the PFMA and National Treasury Regulations Reviewed the relevant Finance Policies to align them with the National Treasury Instruction Note. The Board approved the reviewed policies Achieved Produced 12 monthly management accounts and 4 quarterly reports in line with National Treasury requirements PART B 41

43 42 PART B NO STRATEGIC TARGET PERFORMANCE INDICATORS ANNUAL TARGETS Receive an unqualified and clean audit report 100% compliant to the PFMA Receive an unqualified audit report 1.3 Human Resources Provide strategic and operational human resource support to SAQA 8 Prioritise the professional Percentage of compliance 100 % compliance Achieved development of staff and with all human resource refine the recognition and legislation and regulations reward system Percentage of staff performance contracts developed and approved. Percentage of staff assessed against performance contracts Number of organisation-wide and directorate Learning and Development Plans developed and approved 100% of staff performance contracts approved ACTUAL PERFORMANCE Received a clean and unqualified audit in the 2013/14 financial year SAQA s Human Resources Policies fully complied with all human resource legislation and regulations Reviewed all relevant HR policies and amended where necessary, to be in line with the latest legislation Submitted the Workplace Skills Plan and Annual Training Report on 27 May 2014, after an extension of 1 month was granted Submitted the Employment Equity Report online to the Department of Labour on 15 January 2015 Achieved Developed and approved performance contracts for all staff 100% of staff assessed Achieved Completed all staff assessments Implement 95% of planned learning and development activities. Report on implementation of Learning and Development Plans Achieved Fully implemented learning and development activities across SAQA Achieved Received and collated the Learning and Development Plans for all Directorates into the Organisational Learning and Development Plan Produced a report on the implementation of the Learning and Development Plans

44 NO STRATEGIC TARGET PERFORMANCE INDICATORS ANNUAL TARGETS ACTUAL PERFORMANCE Refined recognition and Implement approved Achieved reward system approved and remuneration system for REMCO approved the Interim Remuneration System implemented all staff and recognise and and it was implemented reward 100% of staff who Developed a draft terms of reference on Recognition qualify and Rewards SAQA s Remuneration and Human Resources Committee approved the appointment of a service provider to investigate and recommend an appropriate Recognition and Rewards model 1.4 Information Technology Strategic Objective: Develop an effective and efficient IT System that supports SAQA 9 An effective and efficient IT A coordinated and integrated Get Approval for ICT Achieved system that supports the knowledge and information Procurement Strategy, Approved the IT Enterprise Architecture document that business of SAQA system in place ICT Migration Policy, ICT includes the ICT Procurement Strategy, Migration Plan/ Enterprise Architecture Policy Approved the Knowledge Management Strategic Framework Uptime exceeds 95% Uptime exceeds 95% Achieved Uptime was 95% Percentage compliance with 100% compliance with all IT Achieved all IT governance legislation governance legislation and Fully complied with all IT governance, legislation, and regulations and codes of regulations and codes of regulations and codes of best practice best practice best practice Compiled User Access Management Procedures and revised and implemented the Patch Management process Updated the IT Policy Catalogue 1.5 Advocacy, Communication and Support Strategic Objective: Inform the public about SAQA, the NQF and related matters 10 An accessible NQF for policy makers, implementers and beneficiaries An NQF advisory service to further the implementation of the NQF is in place Concept document approved Achieved The Board approved the concept document in March 2015 Implementation of the NQF Advisory Service to commence on 1 April 2015 PART B 43

45 NO STRATEGIC TARGET PERFORMANCE INDICATORS Number of people using social media platforms Percentage of the three target audiences awareness, understanding and valuing of the NQF ANNUAL TARGETS 5% increase over previous year s use: people using SAQA/NQF social media platforms ACTUAL PERFORMANCE Achieved SAQA s social media platforms showed the following activity: -- SAQA website, Facebook, Twitter, Google+, LinkedIn had users/followers/likes and impressions 5 % increase over baseline Achieved The overall increase in Awareness, Understanding and Valuing was measured as follows: -- Policy Makers (18%) -- Policy Implementers (23%) 44 PART B 2 REGISTRATION AND RECOGNITION Strategic Objective: Provide bold and competent leadership in the implementation of the NQF Act to the advantage of lifelong learners 11 Implement all the requirements of the NQF Act Achieved Percentage of qualifications and part-qualifications recommended by the QCs registered using the Policy and Criteria for the registration of qualifications and part qualifications on the NQF Process 100% of qualifications and partqualifications recommended by the Quality Councils for registration on the NQF Processed 100% of the qualifications and partqualifications recommended by the Quality Councils for registration on the NQF Registered 195 Higher Education qualifications and 27 Occupational qualifications In total 222 qualifications met the requirements for registration Percentage of professional bodies and professional designations processed using the relevant professional body s Policy 100% of professional bodies that applied and meet the criteria recognised and their respective designations registered Achieved Processed 100% of the applications received for professional bodies recognition and the registration of professional designations Recognised 8 professional bodies and registered 19 designations

46 NO STRATEGIC TARGET PERFORMANCE INDICATORS Percentage of professional bodies monitored 3 NATIONAL LEARNERS RECORDS DATABASE ANNUAL TARGETS 30% of recognised professional bodies monitored Strategic Objective: Maintain and further develop the National Learner Records Database 12 Support and direct the national and international mobility of lifelong learners, including workers by facilitating the recognition of their learning Percentage of successfully submitted data from QCs that has been successfully loaded Percentage of successfully submitted data from professional bodies that has been successfully loaded 100% of all data received from QCs that meet the criteria are successfully loaded twice per year 100% of all data received from professional bodies that meet the criteria are successfully loaded twice per year ACTUAL PERFORMANCE Achieved and exceeded Monitored 50.1% of the recognised professional bodies. This equates to 37 of the 73 recognised professional bodies. This target was exceeded because the Directorate wanted to include all professional bodies that were recognised in 2012/13 in the monitoring project and managed to monitor 93% of the professional bodies targeted. Achieved Successfully loaded 100% of all data received in July and August 2014 from QCs. Successfully loaded 100% of all data received in January and February 2015 from QCs Achieved Successfully loaded 100% of all data received in April and May 2014 from professional bodies Successfully loaded 100% of all data received in October and November 2014 from professional bodies PART B 45 Number of Comprehensive Reports on all information in the NLRD Provide a qualificationsverification service that processes a percentage of applications received Annual Comprehensive Report produced 1 100% of applications processed Achieved Produced the NLRD Annual Comprehensive Report for 2014/15 Captured and processed batches of records and issued transcripts Produced progress reports for each quarter 1 100% of applications processed means that all applications received electronically are checked against set information requirements and those found to be non-compliant are returned to the sender. Compliant submissions proceed to the verification stage. This target measures timeliness of first response against set quality criteria.

47 46 PART B NO STRATEGIC TARGET PERFORMANCE INDICATORS ANNUAL TARGETS 4 FOREIGN QUALIFICATIONS EVALUATION AND ADVISORY SERVICES Strategic Objective: Provide a foreign Qualifications Evaluation and Advisory Service 13 Implement all the requirements of the NQF Act 14 Support and direct the national and international mobility of lifelong learners, including workers by facilitating the recognition of their learning 15 Ensure the credibility, integrity and reliability of information regarding learner achievements by verifying and evaluating the authenticity of documentation and information An approved Policy Framework for the recognition of foreign qualifications in line with the NQF Act implemented Percentage of applications for evaluation of foreign qualifications is processed Report on fraudulent qualifications in the evaluation of foreign qualifications including the number of initiatives undertaken to counteract document fraud Policy Framework completed and approved by the Board 2 100% of applications processed Report produced, including one initiative to counter fraud ACTUAL PERFORMANCE Achieved The Board approved the Draft Policy for the Evaluation of Foreign Qualifications for public comment Published the Draft Policy in the Government Gazette on 27 March 2015 Achieved 100% of applications were processed In total SAQA: Received and registered applications Declined applications Compared and recognised qualifications Achieved Produced a report on qualifications found to be misrepresented in the evaluation of foreign qualifications and included a number of initiatives undertaken to counteract document fraud During the current year, SAQA recorded 454 cases of misrepresented qualifications The initiative to counteract document fraud included: -- The start of establishing a document bank -- Piloting of the online verification of Certificates of Evaluation initiative 5 CAREER ADVICE SERVICES Strategic Objective: Provide bold and competent leadership in the implementation of the NQF Act to the advantage of lifelong learners 16 Provide leadership in Provide a Career Carry out the activities of Achieved and handed over to DHET: the regulatory and policy Development Service (CDS) the task team as mandated Carried out the activities of the task team as mandated debates, and influence and as mandated by the Minister by the Minister of Higher by the Minister of Higher Education and Training until contribute to the formulation of Higher Education and Education and Training the CDS project was handed over to DHET on 1 October of government policy Training 2015 Produced a handover report 2 100% of applications processed means that all applications received are screened against set criteria and returned if found to be non-compliant. Applications meeting the criteria proceed to the verification stage. This target measures timeliness of first response against set quality criteria.

48 NO STRATEGIC TARGET 17 Further develop the sustainable, credible and quality national career advice service PERFORMANCE INDICATORS Percentage of cases provided with information and advice on the NQF and careers by phone, , SMS, and face-to-face ANNUAL TARGETS Resolve 100% of helpline cases opened 6 RESEARCH Provide bold and competent leadership in the implementation of the NQF Act to the advantage of lifelong learners 18 Ensure research credibility to direct and steer policy as well as legislative debates Facilitate, maintain, finalise and report on the research Achieved NQF Impact Study completed Finalise the two existing research partnership projects according to their respective schedules Finalise SAQA / QC NQF Impact Study report for printing ACTUAL PERFORMANCE Achieved SAQA resolved a total of enquiries for the 2 quarters in 2014 Produced final reports on the research partnerships with UWC and Rhodes University Achieved The NQF Impact Study 2014 report was finalised and approved by the SAQA Board in March INTERNATIONAL LIAISON Research report on ombuds function Research commences on SAQA s ombuds function Strategic Objective: Enhance international collaboration and benchmarking 19 Report on international regulatory and policy debates Two documents produced informing NQF partners and other stakeholders about international best practice Number of SAQA bulletins produced which include at least 2 articles on international trends NQF glossary of terms produced Research Report on World Reference Levels produced At least 1 SAQA Bulletin produced Achieved Prepared a draft concept document on SAQA s role in the ombuds function for further discussion Achieved Published the Glossary of Terms (NQFpedia) online and in hard copy Achieved Completed the UNESCO Research Report on World Reference Levels Achieved Produced and published 2 research Bulletins dealing with the Recognition of Prior Learning (RPL) and Credit Accumulation and Transfer (CAT) (both Bulletins include articles on international trends) PART B 47

49 NO STRATEGIC TARGET 20 Ensure research credibility to direct and steer policy as well as legislative debates PERFORMANCE INDICATORS Number of benchmarking reports produced or benchmarking workshops held ANNUAL TARGETS Benchmarking report with Malaysia produced ACTUAL PERFORMANCE Achieved Completed the benchmarking exercise with Malaysia and produced a report on the findings 48 PART B Number of international forums attended in order to share best practice Two Forums attended Achieved and exceeded We participated in: The Ethiopia International NQF Conference in June 2014 The Experts Meeting on Recognition of Studies in Higher Education held in July 2014 UNESCO World Reference Levels of Learning Outcomes meeting in September 2014 The UNEVOC global TVET forum on 13 and 14 October 2014 The Conference of States for the re-launch of the Revised Arusha Convention on 11 and 12 December 2014 as part of the official South African delegation This target was exceeded because of SAQA s commitment to ensuring that international best practice is inculcated into its DNA Number of trends analyses conducted on international developments Report on Professional Teacher Standards for the Commonwealth published Achieved Published the Report on Professional Teacher Standards for the Commonwealth Number of workshops or seminars are hosted to inform stakeholders about relevant international development Workshop on the use of level descriptors Achieved Hosted a Workshop on the use of level descriptors in February 2015

50 NO STRATEGIC TARGET PERFORMANCE INDICATORS ANNUAL TARGETS ACTUAL PERFORMANCE 21 Number of approved guidelines or policies developed or reviewed Number of learners on the Lifelong Learning and the NQF course that are SAQA staff members Develop guidelines of good practice for learning that does not lead to a qualification or partqualification registered on the NQF 3rd Intake of at least 5 SAQA staff members registered Achieved and exceeded Developed / reviewed the following guidelines / policies: Guidelines for good practice on learning that does not lead to a qualification was approved by the SAQA Board and published in the Government Gazette for public comment at the end of this financial period The Credit Accumulation and Transfer (CAT) Policy and National Policy and Criteria for Designing and Implementing Assessment for NQF Qualifications and Part-Qualifications and Professional Designations in SA were approved and published in the government gazette in December 2014 Not achieved The 3rd Intake had 4 SAQA staff members registered as learners -- This target was not achieved owing to SAQA s 49 operational workload, which did not allow for a 5 th staff member to be away from work for any length of time PART B -- 3 Staff members graduated -- The 4 th member did not finish the course as she resigned from SAQA.

51 50 Executive Office Finance and Administration PART B Human Resources Information Technology

52 Registration and Recognition Research 51 PART B Advocacy, Communication and Support

53 52 National Learners Records Database International Liaison PART B Verifications

54 53 PART B Foreign Qualifications Evaluations and Advisory Services

55 5. SUMMARY OF FINANCIAL INFORMATION 5.1. Revenue Collection 54 PART B Sources of revenue Estimate 2014/ /2014 Actual Amount Collected (Over)/Under Collection Estimate Actual Amount Collected (Over)/Under Collection R 000 R 000 R 000 R 000 R 000 R 000 Government Grant Evaluation Fees - DFQEAS (5 663) Verifications Fee income Career Advice Services project - NSF funding (1 283) Interest Received (661) (293) Rental Income Sundry Income Total

56 5.2. Programme Expenditure 2014/ /2014 Programme and Sub-Programme Name 1. Administration & Support Budget Actual Expenditure (Over)/Under Expenditure Budget Actual Expenditure (Over)/Under Expenditure R 000 R 000 R 000 R 000 R 000 R Executive Office Finance & Administration Human Resources (399) Information Technology Advocacy & Communication Support (1 124) Directorate Recognition and Registration National Learners Records Databse including Verifications Project Directorate Foreign Qualifications Evaluation and Advisory Services (DFQEAS) Career Advice Services (1 577) Research International Liaison Total PART B

57 5.3. Capital Expenditure 2014/ /2014 Capital Expenditure Budget Actual Expenditure (Over)/Under Expenditure Budget Actual Expenditure (Over)/Under Expenditure R 000 R 000 R 000 R 000 R 000 R 000 Land and Buildings IT Equipment (161) Motor Vehicles Furniture and Fixtures Intangible Assets (132) (4 164) Total (3 371) 56 PART B

58 PART C Governance FROM POLICY DEVELOPMENT TO POLICY IMPLEMENTATION

59 1. INTRODUCTION While the management structure of SAQA is somewhat different from that of a private organisation, the SAQA Board is committed to the principles of openness, integrity, efficiency, accountability and compliance as reflected in the King Code of Governance Principles 2009 (King III). We therefore continuously work towards improving our already sound governance processes. In keeping with the provisions of King III, SAQA conducted its annual review of the Governance Manual, which deals with the activities of the Board and Board 2. PORTFOLIO COMMITTEE Committees (the Rules of Procedure, Terms of Reference and other relevant governance matters), to ensure that they remain relevant and comply with legislative and governance requirements. In addition, we continue to conduct a self-appraisal of the performance and effectiveness of the Board and Board Committees. We also considered the effectiveness of the improvement measures implemented after the previous assessment. 58 PART C SAQA reported to the Portfolio Committee on Higher Education and Training twice in the last financial year. We met with the Portfolio Committee on 17 October 2014 and presented our Annual Integrated Report for 2013/14. Apart from reporting on our performance, we also reported on governance matters such as risk management, our environmental sustainability development initiatives, and communication with our stakeholders. We were pleased to report that we received an unqualified and clean audit report for 2013/14. The second meeting with the Portfolio Committee took place on 25 March 2015, when we presented our Strategic Plan for 2015 to 2020 and the Annual Performance Plan for 2015/16. We highlighted our main strategic priorities for the next five-years. They are: Decisive and coherent leadership; Staff development; Public positioning; and Implementation of NQF policies. The focus areas will be: RPL; Articulation; Simplification of the NQF; and NQF Advisory Service. Furthermore, in line with a directive received from the Minister: HET, we will establish a List of Misinformation about Qualifications. We noted the Committee s request for SAQA to strengthen its focus in this respect, particularly in light of public interest in exposing fraudulent qualifications. We discussed budgetary constraints and noted concerns raised regarding the high personnel costs, and their implications for achieving our objectives. As suggested by the Committee, our relationship with DHET is very important to secure partnerships that may assist, both in alleviating the expected budgetary shortfall and achieving successful outcomes in quality assurance projects.

60 3. EXECUTIVE AUTHORITY The national elections took place on 7 May In anticipation of a change in administration in the Ministry of Higher Education, the SAQA Board prepared and submitted a briefing document on the NQF, SAQA and its functions, as well as the priorities for the NQF going forward and SAQA s role and progress in implementing them. We also submitted a report on progress with implementing the Ministerial Priorities and Guidelines 2012/13, which carried through to 2013/14. Prior to issuing the Ministerial Guidelines to address priorities for the National Qualifications Framework for 2014/15, the Minister gave SAQA and the QCs the opportunity to comment on a draft version of the document. SAQA submitted comment and subsequently received the final document. We incorporated the priorities into a reworked version of SAQA s APP for 2014/15, which was submitted to the Minister: HET and DHET on 10 October 2014, and approved on 4 December The Minister requested SAQA to investigate the possibility of establishing a fraud register. SAQA sought legal advice and advised the Minister of its findings. SAQA also submitted quarterly reports, dealing with our compliance with the PFMA, and financial and non-financial performance. As required, these reports were submitted in July and October 2014 and January and April We also submitted financial and performance reports to DHET for the CDS project, and after the project was handed over to the DHET in October 2014, we produced and submitted a comprehensive handover report THE SAQA BOARD PART C 4.1. Introduction In accordance with Section 14 (3)(a) of the NQF Act, the Minister: HET, following a public nomination process, appointed the fifth SAQA Board with effect from 1 January With the exception of the CEO, all Board members are independent non-executives Functions of the SAQA Board The functions of the Board are set out in sections 5(3), 11 and 13 of the NQF Act. In summary, the SAQA Board: Must advise the Minister: HET and decision makers on NQF matters, oversee the implementation of the NQF and liaise and consult with the QCs on matters relating to implementation of the NQF; Is mandated to develop policies and criteria for the development and registration of qualifications, assessment, RPL and CAT, recognising a professional body and registering a professional designation and the development and maintenance of the content of level descriptors; Is required to ensure that South African qualifications are of an acceptable quality and are internationally comparable;

61 60 PART C Is also required to maintain a NLRD and to provide an evaluation and advisory service with respect to foreign qualifications; and Is further responsible for conducting or commissioning research into NQF-related matters, to collaborate with international counterparts and to initiate and drive a clear, co-ordinated communication and advocacy strategy to assist providers, learners and the public at large to understand the new NQF architecture and the implications of the changes for them. SAQA is a National Public Entity that is listed under Schedule 3(A) of the PFMA. In addition to the responsibilities set out in the NQF Act, the Board also fulfils the role of the Accounting Authority in terms of Section 49 of the PFMA. As the Accounting Authority, the Board acts in a fiduciary capacity and must ensure that: Effective, efficient and transparent systems of financial and risk management, internal control, internal audit and procurement are in place; Effective and appropriate steps are taken to collect revenue due and to prevent irregular, fruitless and wasteful expenditure and losses from criminal conduct and expenditure as a result of non-compliance with operational policies; Effective and efficient management is in place, which includes ensuring the safeguarding of the assets of SAQA and controlling its liabilities, revenues and expenditures; Applicable legislation and regulations are complied with; An effective and appropriate disciplinary system is in place to deal with failures to comply with the PFMA and the internal control system; Budgets, major contracts and other commitments are approved; The finances are properly controlled; and SAQA operates as an ethical organisation. The SAQA Board sets strategy and policy. Management formulates strategy and makes policy proposals for the SAQA Board to consider and approve. Management implements the decisions made by the SAQA Board and maintains systems of internal control as well as accounting and information systems. The Board monitors the performance of management Activities of the SAQA Board and its Committees During the year under review, the SAQA Board met four times to conduct its work, and also held a strategy workshop to plan for 2016/17. In addition to the members, the Deputy CEO attended all Board meetings while Directors attended meetings as required. Section 16(1) of the NQF Act allows the Board to establish committees to assist in the execution of its fiduciary responsibilities. The table below reflects the structure of committees utilised by the SAQA Board: COMMITTEE Executive (EXCO) Qualifications and Standards (Q & S) Audit and Risk Finance Information and Information Technology (I & IT) Remuneration and Human Resources Research CHAIRPERSON Mr M J N Njeke Ms S Müller Mr M Brown Mr M J N Njeke Mr D Adler Mr M J N Njeke Prof T G Schultz 3 Career Advice Services (CAS) Mr O Sipuka Foreign Qualifications Advocacy and Communication Adv K S Malunga Mr J S Samuels

62 Attendance by Board members at SAQA Board and Board Committee meetings were as follows: Title Surname Initials Qualifications and Standards I & IT Career Advice Services Advocacy and Communication Foreign Qualifications Research Remuneration And Human Resources Mr Adler D - 4/4-1 1/4 4/4-4/4 5/5 4/4 4/4 4/4 Dr Barnes CF / /4 Ms Duba CT - 2/ /4 Mr Essop A /3 Ms Maboye M - - 2/ /4 Adv Malunga KS /4-2/4-3/4 1/4 3/4 Ms Mashabela GJ /4 Mr Mokonane A 5/6-2/ /4 Ms Moodley ND / /4 Ms Müller CS 6/ / /4 3/4 Mr Njeke MJN /4 4/5-4/4 4/4 Dr Rakometsi M /4 Mr Samuels JS - 4/4 4/4 4/4 4/4 0/1-5/5-4/4 4/4 Prof. Schultz TG /1 4/ /4 4/4 Mr Sipuka O / / /4 3 1/4 Dr Toni Penxa V 6/ /1 3/ /4 4/4 Dr Webbstock D /1 Finance Audit and Risk EXCO Board PART C 61 (Footnotes) 1 Mr Adler attended the January 2015 Meeting of the Advocacy and Communications Committee on invitation 2 Mr Essop opted not to have his contract as CEO of the CHE renewed, and therefore ceased to be a Board member on 1 March Mr Sipuka missed some Board and committee meetings owing to a prolonged commitment outside of SA. 4 Dr Webbstock attended the March 2015 Board Meeting as Acting CEO of the CHE

63 In accordance with Section 16(2) of the NQF Act, persons who are not members of the Board have been co-opted to serve on Board Committees. Attendance of co-opted members of the committees were as follows: Title Surname Initials Qualifications and Standards I & IT Advocacy and Communication Mr Brown M /5 4/4 Prof Clayton PG - 2/ Prof Cooke JA 5/ Mr Chanza E / Career Advice Services Foreign Qualifications Research Finance Audit and Risk 62 Ms Chinje N - - 2/ Mr Fisher S - 3/ /4 PART C Ms Fordyce A - - 3/ Ms Gray E - 4/ Mr Hall K 2 4/4 2/ Mr Isaacs SBA / Mr Leso L / Prof Kuye JO 4 0/ Ms Mabaso Z / Ms Magongoa B - 2/ /2 Mr Makhaga N / Dr Mbhele B / Mr Mbokotho L /1 -

64 Title Surname Initials Qualifications and Standards I & IT Advocacy and Communication Mr Mkhondo B - 0/ Mr Mockler KG 5/ /4 Mr Moloisane J / Mr Monedi J / Mr Nepfumbada MP /4 Mr Oosthuizen MJ - 3/ Career Advice Services Foreign Qualifications Research Finance Audit and Risk (Footnotes) 1 Mr Chanza was co-opted as member of the Foreign Qualifications Committee on 13 March He attended the November 2014 and February 2015 meetings of the Committee by invitation 2 Mr Hall was co-opted to the Q & S Committee on 16 July Mr Leso was co-opted to the Advocacy and Communications Committee on 6 March Prof Kuye resigned from the Q & S Committee on 16 July Ms Magongoa resigned from the Audit and Risk Committee on 27 November Mr Makhaga was co-opted as member of the Foreign Qualifications Committee on 3 December Mr Mbhele served on the Foreign Qualifications Committee in his capacity as member of HPCSA. He left the employ of the HPCSA and was therefore no longer a member of the Committee 8 Mr Mbokotho resigned from the Finance Committee on 31 July 2014 PART C 63

65 Title Surname Initials Q & S I & IT Advocacy and Communication Mr Ori S 4/ Dr Parker D / Mr Patel F / Prof Pendlebury S /1 - - Prof Potgieter C /1 - - Dr Pretorius JA - 3/ Career Advice Services Foreign Qualifications Research Finance Audit and Risk 64 PART C Dr Reddy J /5 - Ms Samuels M / Prof Sehoole MT /1 - - Ms Starr N 2 1/4 Ms Tabata T 3 1/2 Ms Vieira A /5 3/4 Dr Vasuthevan S / Prof Walters S /4-1/1 - - (Footnotes) 1 Dr Parker resigned as member of the Foreign Qualifications Committee on 19 November Ms Starr was co-opted to the Q & S Committee on 16 July Ms Tabata was co-opted to the Finance Committee on 1 October Dr Vasuthevan resigned as member of the Foreign Qualifications Committee on 6 March 2015 All Board committees operate within approved Terms of Reference. Apart from the members, the Deputy CEO and relevant Directors also attended meetings of Board Committees.

66 5. RISK MANAGEMENT There is no opportunity without risk. We have the right structures in place to identify, monitor and manage our risks effectively. Risk is managed at three distinct levels in the organisation the line managers at operational level, oversight by the governance structures and assurance by third parties. Step 1: Identify and define risk Step 2: Assess and rate the risks Step 3: Monitoring and reporting on risks 5.1. Key Developments in the Year Conducted a review of our Risk Management Plan and Risk Register, and took steps to align them with the strategic objectives for the financial year. Risks and risk mitigation plans were categorised as follows: -- Risks related to SAQA s leadership role; -- Risks related to staff development; -- Risks related to the public positioning of SAQA; and -- Risks of a governance nature. By actively managing the mitigation plans and implementing mitigation strategies, we were pleased with our success in decreasing the risk rating on some risks Our Risk Management Process The SAQA Board, in the execution of its fiduciary duties, and in compliance with Sections 50(a) and 51(c) of the PFMA, ensures that a detailed Risk Management Plan is developed annually. This Plan includes strategies to mitigate identified risks. The Risk Management Plan includes identified strategic and operational risks, and is structured per Directorate. Directorate identifies and defines strategic and operational risks Risks are recorded on a Risk Management template Risks are rated according to likelihood of occurring and impact if they do occur, on a scale of 1 (low likelihood / impact) to 5 (very strong likelihood / great impact). The risk rating is the product of the likelihood and impact scores. Risk ratings of 1-8: managed through routine operations; Risk ratings of 9-15: staff member assigned to manage risk; Risk ratings of 16-25: Specific action plans are developed to mitigate against these risks. Action Plans are incorporated into Directorate Operational Plans. Detailed Risk Management Plans of each directorate (irrespective of risk ratings) collated into Organisational Risk Management Plan Risk Managemant Steering Committee comprising the CEO, DCEO and Directors: Reviews Risk Plan annually; submits Plan to the Audit & Risk Committee; assesses risks with ratings of quarterly by reviewing impact of mitigation strategies and making adjustments where necessary to the risk ratings and mitigation strategies; identifies new areas of risk Audit & Risk Committee of the Board: recommends the Risk Managment Plan tot he Board for approval annually; ensures on a quarterly basis that the risk assessment and management procedures followed, are satisfactory; reports progress to the board on a quarterly basis. PART C 65 Figure 1: SAQA s Risk Management Process

67 5.3. Major Strategic Risks 66 PART C Risk Context Prioritised risk relating to SAQA s Leadership role Lack of understanding of SAQA s role to evaluate foreign qualifications and the increasing prevalence of fraudulent qualifications as well as constraints in detecting fraud We do not fully understand our mandate regarding the evaluation of foreign qualifications process and we are not fully able to deal with the increased prevalence of fraudulent qualifications. This risk emanates from: Interpretation of section 13(m) of the NQF Act Current approach regarding evaluating foreign qualifications Client queries of our evaluation outcome Failure of internal processes to prevent and detect misrepresented qualifications increased work volume making it difficult to detect fraud Increase in number of degree mills Mitigation strategy We must: Review legal advice regarding the interpretation and understanding of the NQF Act Engage with staff to encourage understanding of the Act Align processes and procedures with the Act Take cognisance of our role in relation to other legislation e.g. Immigration Regulations Mitigation: Our successes We have: Developed Policy and Criteria for the Evaluation of Foreign Qualifications, which includes SAQA s position on misrepresented qualifications Learned from our international counterparts at several international events Responded to the public interest in qualifications fraud Started to keep statistics of misrepresented qualifications Established a document bank Implemented online verification of Certificates of Evaluation Enhanced the verification phase Conducted a gap analysis of current practice Implemented a system to only accept online applications Obtained legal advice regarding the establishment and publication of a Register of Fraudulent Qualifications

68 Risk Prioritised risk relating to staff development Failure to establish and enhance a performance and recognition culture, resulting in poor performance, key activities not being completed at the required level of quality and low staff satisfaction Context We do not optimally manage the performance of staff and recognise their contributions. This may result in poor performance and key activities not being completed at the required level of quality. This risk emanates from: Management culture and behaviours resulting in inconsistent interpretation and application of PDMS principles to contract stretch targets, conduct assessments and give feedback to staff SAQA requires scarce and specialised skills in a number of areas to be able to perform tasks optimally and to the required standard Prioritised risk relating to public positioning of SAQA SAQA not meeting the expectations of stakeholders and the public to provide quality information and advice on the NQF on time We are experiencing a lack of capacity to respond to the volume and nature of enquiries due to: The ratio of enquiries to expert advisors Lack of self-help, user-friendly online options Lack of infrastructure for searchable content Mitigation strategy We must: Develop managers and capacitate them in their leadership task Source the required training as identified in the PDPs Prioritise the implementation of the required core training to ensure the development of the specialised skills We must: Analyse the skills required Mobilise support from relevant Directorates to increase the capacity of the NQF Advisory Service Develop infrastructure for a searchable tool for NQF content to enable the provision of quality, consistent and easy-to-understand information Engage with directorates in the process to create and quality assure NQF knowledge content Mitigation: Our successes We have: Implemented an extensive leadership and staff development programme aimed at empowering managers to effectively demonstrate leadership behaviours and to manage performance, provide feedback and recognise and reward staff. The programme is also aimed at staff members to create greater understanding of how SAQA functions. Designed new staff development and induction programmes Taken steps to ensure that staff fully understand SAQA s mandate as well as internal developments and national policies that influence their work Initiated a review of the recognition and reward system We have: Developed an implementation plan which involves support from the relevant Directorates. The Plan was discussed by Executive Management Started to draft a plan to develop a searchable tool for NQF content Agreed to, early in the new financial year, convene a forum to create, review, update and quality assure the NQF knowledge content PART C 67

69 68 PART C Risk Prioritised risk of a governance nature SAQA not meeting deadlines for verification of qualifications Context We are experiencing a reputational risk as we may not be able to meet the required deadlines for verification of qualifications. This risk emanates from: Volume of work Lack of capacity Insufficient resources SAQA unable to employ full staff complement for the Verifications Project Staff complement present, but necessary skills must be built Difficulty in locating some of the information partners (e.g. due to closure) Lack of cooperation by some information partners We must: Mitigation strategy Manage the expectations of the Minister of Public Service and Administration, (DPSA) and government departments Negotiate realistic timeframes and agree on dates, as per the fee structure that includes specific priority rates Ensure adequate resources for the Verifications Project Utilise all resources possible for locating the relevant information partners or their archived information Liaise with the information partners frequently Ensure that the information partners receive acknowledgement of their responses and efforts Mitigation: We have: Our successes Capacitated the Verifications Project with a Project Manager who has instilled renewed energy and direction into the project Managed to upload substantial information from Umalusi, Kha Ri Gude, HEMIS and SANC to the NLRD Fully staffed the Verifications Project and are continuously training the appointed staff to build the required skills levels Been responding and distributing requests within one day after receiving the request Been in daily contact with the major information partners to ensure quality feedback and that problems are identified early and escalated when needed 6. INTERNAL CONTROL AND AUDIT COMMITTEES Based on the nature and size of the staff complement, the SAQA Board deemed it inappropriate to establish an in-house internal audit function. The internal audit function was outsourced to Deloitte & Touche. The Audit and Risk Committee reviewed the work of Deloitte & Touche, while it continued to revisit and assess the need to establish an internal audit function.

70 7. COMPLIANCE WITH LAWS AND REGULATIONS As in previous financial years, we maintained a list of the major legislation, codes and rules that SAQA must comply with, as well as additional rules, codes and 8. FRAUD AND CORRUPTION SAQA maintained its internal policies on Fraud Prevention and Detection as well as on Fraud Reporting during the year. No cases of fraud occurred during the financial year, but: The investigation of a case of irregular behaviour by an employee in the Directorate: Foreign Qualifications Evaluation and Advisory Services (DFQEAS), which was initiated at the end of the previous financial year, was concluded during the year under review. The staff member was found guilty and dismissed. standards that the Board subscribed to. We provided confirmation of compliance to the Audit and Risk Committee and the Board. This irregularity did not result in any material harm to SAQA. SAQA subsequently uncovered that three temporary staff members, who were recommended to SAQA by an employment agency, did not hold the required minimum qualifications and their contracts were terminated. We have implemented mechanisms to ensure that the qualifications of all prospective staff are verified before any appointments are made. PART C CODE OF CONDUCT We choose to be an ethical organisation, both internally and in our external interactions. Our code of ethics and our client services standards inform our business principles and provide guidance to employees on their application. The SAQA Code of Ethics, which forms part of our Governance Manual, was reviewed in March 2015, during the annual review of the Governance Manual. During the year, we continued to actively manage the quality of service provided by our staff. We developed a Client Service Standards publication for all staff, and reviewed and discussed client complaints at the weekly Executive Management meetings.

71 10. SUSTAINABILITY REPORT 70 PART C Economic Viability Economic sustainability in the public sector generally refers to the ability of government to meet its service delivery and financial commitments, both now and in the future. For SAQA this is an important consideration as we are, to a large extent, dependent on government grant funding.. Given our funding challenges, we continued our efforts to reprioritise and curb costs to more effectively use the government grant to deliver optimally on our functions as mandated by the NQF Act. SAQA supplements government funding by charging for certain services. We have now implemented a charging model that enables us to fully recover the costs of some of the services that we render. Also, we secured additional funding for specific projects, for example additional funding of approximately R 15 million, over three years, for the qualifications verification project. Going forward, we will continue to seek funding for other priority projects such as the digitisation of learner records and the establishment of a strong viable counter fraud unit. initiatives in the course of their duties, members with an interest in promoting environmental sustainability and the tenant in SAQA House. The Committee reported to SAQA s Audit and Risk Committee and its work and roles and responsibilities were guided by the Policy on Environmental Sustainability Development. The theme guiding the Committee s Work Plan for 2014/15 was: en-lightenment! In order to achieve its objective, activities focused on the key areas below: Energy efficiency and saving; Environmentally friendly pest control practices; Improving air quality; Recycling and eco-friendly waste disposal and management (paper, plastic, cans, glass and e-waste); Bread bag tags for wheelchairs project, and Improving communication and sharing good practice. Below is a summary of our achievements in implementing the 2014/15 Work Plan: Energy efficiency and saving: Environmental Sustainability The SAQA House Environmental Sustainability Development Committee met quarterly during the year under review and continued its efforts to reduce SAQA s carbon footprint. Chaired by the Deputy Chief Executive Officer of SAQA, the Committee included members of the SAQA management team, staff who were responsible for coordinating and discharging the organisation s sustainability During the 2014/15 financial year SAQA converted various conventional light fittings to light-emitting diode lights (LED s). Although the conversions only involved a small percentage of the total light usage within SAQA House, significant financial savings were achieved. The initial capital outlay for the projects outlined below amounted to R

72 We were pleased to report that these focused initiatives resulted in a decrease of kW in energy consumption and a saving of R for the year. offices and the roof of the building weekly, but this solution was not sustainable in the longer term. Conventional lights Basement 3 rd Floor North 6 th Floor Foyer 4.80kW 3.88kW 0.60kW LED s 0.50kW 0.47kW 0.03kW *Saving hours = hours 24hours Figure 2: Savings made through introducing energy efficient lights Environmentally friendly pest control practices We continued to implement and monitor the alternative environmental and human friendly pest control strategy, which we introduced in November The strategy has proved to be highly effective in controlling pests and substantially reduced the number of complaints received from staff about the side effects of the chemical products that were previously used. We also extended the use of eco-friendly cleaning products in public facilities including the kitchens and bathrooms. Improved air quality In 2013/14 we introduced a project to improve the air quality in SAQA House by placing Spekboom wonder plants in each office. Unfortunately, after 18 months of implementation we were forced to terminate this project. We realised that the SAQA House infrastructure was not conducive to staff keeping these extraordinary carbon efficient plants in their offices. The plants required direct sunlight to grow and thrive, which was not possible in most of the offices. The Facilities Manager made a concerted effort to rotate the plants between the In 2015/16, we will consider less onerous, environmentally-friendly options to improve the air quality in SAQA House. Recycling and eco-friendly waste disposal and management We continued with our successful initiative to recycle paper, glass, plastic and e-waste. We secured additional e-waste bins and noted that the equipment procured to dispose of e-waste materials like light bulbs, assisted us to effectively manage the safe disposal of these items. The bread bag tags for wheelchairs project This project, which was started in 2013/14, continued at a slow but steady pace. We began exploring different strategies to achieve this target sooner. Improving communication and sharing good practice The Committee regards communication as an important tool to raise staff awareness and encourage participation through the sharing of good practices and tips on environmental sustainability initiatives. Throughout the year, the Committee implemented a multi-media communication strategy to inform staff and stakeholders about initiatives to reduce our carbon footprint and eco-friendly good practices at work and home. In addition, we introduced the concept of Toolbox Talks to serve as a forum to en-lighten and engage all staff and stakeholders to take personal and collective action to use the earth s limited resources in an environmentally responsible manner. PART C 71

73 10.3. Social and Transformation Matters SAQA is committed to transformation and is actively working towards transformation in the workplace. The organisation has implemented an Employment Equity Policy, to ensure demographic representivity amongst employees and equal access to opportunities for all. Furthermore, procurement policies that have been aligned to the objectives of black economic empowerment were measured regularly to assess progress achieved. SAQA understands its responsibility to society, and has a longstanding involvement with community development projects. The annual generous contributions of books, clothing, food, money and utility items by staff were donated to the Tshwaraganang Orphanage in Hammanskraal. 72 SAQA supporting the Tshwaraganang Orphanage PART C 11. COMMUNICATION WITH STAKEHOLDERS SAQA believes that the key to successfully implementing the NQF is communicating, coordinating and collaborating with stakeholders across the education, training, work and development sectors. There are a multitude of stakeholders that we have categorised into three groups to streamline communication: policy makers, policy implementers and policy beneficiaries. We established an integrated communication strategy, which underpinned all our interactions with each of these stakeholder groups as we worked to improve the quality of our conversations and the relevance of the information that we shared. Engaging in strategic conversations: We held strategic discussions of a conceptual nature at the quarterly CEO Committee meetings. The QCs and the Inter-departmental NQF Steering Committee, comprising representatives of the DHET and DBE, were represented at these meetings. SAQA and the QCs reported on progress against the implementation of the Priorities for the NQF Implementation Framework During the latter part of the year, we deliberated on the Ministerial Guidelines for 2014/15 and the Minister s request for SAQA to

74 develop a Register of Fraudulent Qualifications. The Draft Priorities for the NQF Implementation Framework for stimulated further debate and discussion in the Committee. Creating a platform for intellectual debates SAQA created opportunities for intellectual debates and engagements with stakeholders around important topics in the education, training and development environment. The research seminars on Realising Lifelong Learning through Flexible Provision and the Implications for Teaching in Higher Education Institutions, as well as Understanding Learning Pathways in the Context of the NQF were examples of the topics that sparked lively debate. These research findings were a result of the SAQA-University of the Western Cape (UWC) research partnership into lifelong learning and the SAQA-Rhodes University research partnership into learning pathways for selected scarce skills in the Green Economy. Further learnings were shared with stakeholders at the Ben Parker Memorial Lecture. Professor Heila Lotz-Sisitka and Presha Ramsarup lead the lecture on Learning Pathways in a Transforming Society. The public seminar on Learning Outcomes in the Context of Level Descriptors, presented by international expert Mr Stephen Adam, showcased ground-breaking international work in this field that inspired SAQA staff to re-examine our own processes and thinking. 73 PART C Mr Stephen Adam delivering the Public Seminar on learning outcomes Seeking public comment Professor Heila Lotz-Sisitka and Ms Presha Ramsarup, guest speakers at the Ben Parker Memorial Lecture SAQA sought public comment for each of the NQF policies that were developed. During the last year, SAQA consulted a public forum for inputs into the Draft

75 74 PART C Policy and Criteria for Evaluating Foreign Qualifications within the South African NQF. The Board approved this policy, together with the Draft Guidelines for Good Practice for Learning that does not lead to a Qualification, for publication for public comment in March Similarly, SAQA contributed to the development of policy and legislation by providing comments on various draft policies and proposed legislation that impact the education, training and development sector. Participating in forums SAQA s permanent forum structures continued to allow for regular collaboration and communication around specialist areas. These structures were designed to help SAQA fulfil its mandate. Forums such as the NLRD Partners Forum which ensured that regular data loads of learner records were obtained from data sources such as the SETAs, the SAQA/DPSA Steering Committee which tracked trends in the verification of qualifications across the public sector, the Professional Bodies Forum which considered topics like professional ethics, RPL and professional designations, the Advocacy and Communications Committee which discussed the most effective ways to educate the public about the NQF and the NQF Communication Practitioners Forum that promoted the NQF and empowered their members through planned continuous professional development (CPD) events, made significant strides in their areas of focus. Collaborating with partners to reach policy makers, policy implementers and policy beneficiaries SAQA and the Financial Planning Institute (FPI) collaborated to inform the public about the NQF and its benefits. This included the SAQA Women s Month Celebration / Financial Planning Week, joint research on CPD and the FPI speech contest held at the Coastal FET College and KwaMakhutha in Kwa Zulu-Natal. SAQA also collaborated with the Wholesale and Retail Sector Education and Training Authority (W&R SETA), Chemical Industries Education and Training Authority (CHIETA) and Energy and Water Sector Education and Training Authority (EWSETA). The SAQA / W&R SETA partnership conducted workshops in the Western Cape, Mpumalanga, Limpopo, Free State and the Northern Cape for life orientation educators, technical and vocational education and training college lecturers, student support officers, SETAs, DBE officials and career development practitioners. The SAQA / CHIETA Media Campaign targeted learners, unemployed youth and parents through radio campaigns and social media. The social media campaign reached about stakeholders while the radio campaign broadcast on 10 SABC African language stations, drew an estimated audience of 2.2 million people. Interacting with learners and interested members of the community SAQA staff interacted with the community at 40 exhibitions during the course of the year. The most prominent of these events included the Mandela Day Career Festival, the National Offender Skills Development Summit and the World of Work Expo. The exhibitions attracted about school and postschool learners, life orientation teachers, subject advisors, unemployed youth, graduates and career development practitioners. SAQA and the Energy and Water SETA (EWSETA) collaborated to conduct research into learning pathways in the Energy and Water sector. The collaboration went further to promote scarce and critical skills, artisanship and learning programmes in the energy and water sector. Seven interviews, 14 billboards and 273 promotional spots were broadcast on popular radio stations, including Metro FM. The campaign ran for a month, was broadcast in six languages and reached an estimated audience of 12 million people.

76 Learning from and contributing to international initiatives During the year under review, SAQA made great strides in claiming its space in the international community. Not only did SAQA participate at the Arusha Convention event in December 2014, but SAQA also led the drafting team for the revised Arusha Convention. The Arusha Convention is an important document for international engagement on the evaluation of foreign qualifications. SAQA signed a memorandum of understanding with the Malaysian government and assisted the Lesotho Ministry of Education with NQF related matters. SAQA also facilitated the adoption of a Joint Agreement by 14 African countries, at the seminar hosted by SAQA in November 2014, on the Verification of Foreign Qualifications. This agreement will go a long way to accelerating the process of verifying foreign qualifications and combating qualifications fraud. SAQA further formed an alliance with the Groningin Declaration to gain access to information about qualifications in the European Union. 75 Figure 3 below shows SAQA s influence across the NQF landscape in terms of its interactions with stakeholders. The blue circles depict initiatives that were driven by SAQA. SAQA participated in all the other events that were hosted by DHET (depicted in red), DBE events (shown in grey) and those hosted by other organisations (shown in orange). CHE driven events are in green, Umalusi in pink and QCTO in purple. The table on page 64 lists the actual events that are represented in Figure 3. PART C

77 Figure 3: SAQA s influence on the NQF Landscape Learners records NQF Landscape Articulation 76 PART C Professional bodies Recognition of Prior Learning 2 29 NQF Policies & guidelines Fraud detection & prevention Other organisations UMALUSI DBE SAQA NQF Partners CEO Forum Council of Higher Education (CHE) DHET Teachers & Early childhood development Quality Council for Trades & Occupations (QCTO) Research Qualifications & standards Lifelong learning International best practice NQF Advocacy Key DHET driven initiative DBE driven initiative CHE driven initiative Other organisation driven SAQA driven initiative Umalusi driven initiative QCTO driven intiative

78 SAQA s participation in activities that influenced the NQF Lanscape in 2014/15 1 NLRD Partners Forum 21 Joint agreement with 14 African countries on collaboration for the verification of qualifications 2 National RPL Conference 22 Presentation on quality assurance in higher education to African countries at meeting in Ethiopia 3 Research seminar on Realising lifelong learning through flexible 23 Drafting team of the Arusha Convention as adopted in Ethiopia provision: what does this mean for teaching in Higher Education Institutions? 4 Research seminar on Understanding learning pathways in the context of 24 Published a Standards Framework for Teachers and School Leaders the NQF in South Africa. 5 Hosted a colloqium on Relational agency 25 Public seminar on learning outcomes as level descriptors 6 Ben Parker lecture on Learning pathways in a transforming society 26 Published policies on RPL; Assessment and Credit Accumulation and Transfer 7 Work with the Department of Science & Technology in the Indigenous Knowledge Systems Working Group 27 Stakeholder engagement on Draft foreign qualifications policy and guidelines for good practice for learning that does not lead directly to a qualification 8 Professional Bodies Forum 28 Participate in forum on Teacher Development & Curriculum Management hosted by the Department of Basic Education (DBE) 9 Steering Committee and Working Group for Severe Intellectual Disability (Department of Basic Education) 29 Project Steering Committee on Career Development Services 10 Vice Chancellor (Research Advisory Committee) Task Team on 30 Involvement with the Groningen Declaration Network Indigenous Knowledge Systems - UKZN 11 National and Western Cape Education Department Irregularities Committee 31 Assisted Ethiopia in developing the ENQF MIS, a learner records database similar to the National Learner Records Database of SA 12 Department of Higher Education & Training Bogus Colleges Task Team 32 Hosted a Study tour of National Accreditation Board (NAB) of Ghana 13 National Inter-departmental Early Childhood Development Training and Curriculum Sub-committee 33 Collaboration with the Financial Planning Institute (FPI) to inform the public about the NQF 14 Qualification Development (Facilitators & Developers) Forums of the 34 Participation in the NQF Communicators Practitioners Forum (CPF) Quality Council for Trade & Occupations 15 Submitted articles regarding Professional Body recognition for 35 Workshops for teachers and support staff in collaboration with the W&R SETA publication in the PRISA Newsletter and HR Focus 16 Assisted Ethiopia in the development of their NQF 36 SAQA collaborated with CHIETA on campaigns using radio and social media for the unemployed youth. 17 Signed a memorandum of understanding with Malaysia 37 Collaboration with EW SETA to promote scarce skills 18 Article on recognising genuine qualifications for publication in Business 38 Community engagement through exhibitions & workshops Brief 19 Assisted the Lesotho Ministry of Education with information on NQF 39 Seminar on building trust and verifying foreign qualifications policies and teacher qualification documents 20 Joint report, with UNESCO on world reference levels 40 SAQA/DPSA Steering Committee PART C 77

79 78 PART C

80 PART D Human Resources Management FROM POLICY DEVELOPMENT TO POLICY IMPLEMENTATION

81 1. INTRODUCTION 80 PART D 1.1. Overview of Human Resource Matters at SAQA SAQA has a fairly stable workforce. Our industrial relations are cordial and without incident. There is a multi-term substantive agreement between SAQA and SADTU in place that will enter into its third and final year in 2015/16. Salary negotiations are therefore scheduled to take place for the 2016/2017 financial year Human Resource priorities for the Year under Review Learning and development is a SAQA strategic imperative because competent and professional staff are key to the effective delivery of SAQA s mandate. Every staff member has a learning and development plan that is aligned to the strategic objectives of the organisation. During the year under review, an intensive organisation-wide leadership and staff development intervention was initiated which will continue into the next financial year. The overall objective of this multi-year intervention is to enhance the culture of effective leadership and performance as well as coaching and mentoring with a workforce that focuses on common values, quality, customers, problem solving and accountability. Services. Also, selected staff members participated in the annual Leaders for Lifelong Learning course which was developed to ensure a deepened understanding of the South African and other NQFs and targeted at prospective future leaders in the education space. To date, sixteen SAQA staff members have successfully completed the course with three members graduating at the end of November Performance Management Framework Performance contracting, reviews and assessments are conducted annually with all staff members. The recognition and rewarding of outstanding performance received attention as the organisation continues to review its approach to recognition, appreciation and reward beyond monetary considerations. A new model will be investigated in the next financial year Policy Development SAQA completed a review of eight HR policies during the year, to ensure relevance and compliance with the legislative framework and SAQA s practices Future Human Resources Plans 1.3. Workforce Planning SAQA provided adequate and focused training to ensure development and continuity in areas where skills are scarce and critical. This related specifically to evaluators in the Directorate for Foreign Qualifications Evaluation and Advisory SAQA will continue to implement both leadership and staff development programmes to enhance the organisation s focus on improving and optimising service delivery. A comprehensive review of the Remuneration and Reward System will be conducted in the next financial year to develop a model that is affordable and sustainable, whilst enabling the organisation to attract and retain talented and competent staff.

82 2. HUMAN RESOURCES OVERSIGHT STATISTICS 2.1. Personnel Costs by Programme Programme Total expenditure for the entity Personnel expenditure Personnel expenditure as a % of total expenditure No of employees Average personnel cost per employee Administration and support % Recognition and registration of qualifications and part qualifications % National learners records database (NLRD) % Foreign Qualification Evaluation and Advisory Services % Career Advice Services % 0 - Research % International Liaison % Total % 148 PART D 81 *Career Advice Services shows zero employees as the project ended on the 30 September 2014 and staff was transferred with the project to DHET.

83 2.2. Personnel Costs by Salary Band Level Personnel expenditure % of personnel exp. to total personnel cost No. of employees Average personnel cost per employee F Lower / E Upper % E Lower % D % C % B % A - Total % 148 Note: 82 This amount differs from the R65,486,691 because the following items are processed via the VIP payroll system, but are allocated to the personnel cost in the general ledger: PART D Payments to agencies for temporary staff Payment to COIDA Payments to staff for education assistance Payments for recruitment of staff Provisions raised for bonuses Provisions raised for leave

84 2.3. Training Costs Directorate / Business unit Personnel expenditure Training Expenditure Training Expenditure as a % of Personnel costs No. of employees Average Training cost per employee Administration and Support % Recognition and Registration % National Learners Records Database (NLRD) % Foreign Qualification Evaluation and Advisory Services % Career Advice Services Research International Liaison % PART D

85 2.4. Employment and Vacancies 2013/ / / / / PART D Programme No of employees Approved Posts No of employees Vacancies % of vacancies Administration and Support % Foreign Qualifications Evaluation and Advisory Services % Recognition and Registration % National Learners Records Database % Verifications % Programme 2013/ / / / /2015 Administration & Support No of employees Approved Posts No of employees Vacancies % of vacancies F Lower / E Upper % E Lower % D % C % B % Total % Programme 2013/ / / / /2015 Foreign Qualifications Evaluation and Advisory Services No of employees Approved Posts No of employees Vacancies % of vacancies F Lower / E Upper % E Lower % D % C % B % Total %

86 Programme 2013/ / / / /2015 Recognition & Registration No of employees Approved Posts No of employees Vacancies % of vacancies F Lower / E Upper % E Lower % D % C % B % Total % Programme 2013/ / / / /2015 National Learners Records Database No of employees Approved Posts No of employees Vacancies % of vacancies F Lower / E Upper % E Lower % D % C % B % Total % PART D 85 Programme 2013/ / / / /2015 Verifications No of employees Approved Posts No of employees Vacancies % of vacancies F Lower / E Upper % E Lower % D % C % B % Total %

87 2.5. Employment Changes 86 PART D Salary Band Employment at beginning of Period Appointments Terminations Employment at end of Period F Lower / E Upper E Lower D C B Total Reasons for Staff Leaving Reason Number % of total no. of Staff Leaving Death % Resignation % Dismissal % Retirement % Ill Health % Expiry of contract % Other % Total % 2.7. Labour Relations: Misconduct and Disciplinary Action Nature of disciplinary action Number Verbal Warning 2 Written Warning 3 Final Written Warning 0 Dismissal 3 Total 5

88 2.8. Equity Targets and Employment Equity Information Levels Male African Coloured Indian White Current Target Current Target Current Target Current Target F Lower / E Upper E Lower D C B A Total Levels Female African Coloured Indian White Current Target Current Target Current Target Current Target F Lower / E Upper E Lower D C B A Total PART D 87

89 Levels Disabled Staff Male Female Current Target Current Target F Lower / E Upper E Lower D C B A Total PART D

90 PART E Financial Information FROM POLICY DEVELOPMENT TO POLICY IMPLEMENTATION

91 1. STATEMENT OF RESPONSIBILITY Statement of Responsibility for the Annual Financial Statements for the year ended 31 March 2015 The Accounting Authority is responsible for the preparation of the public entity s Annual Financial Statements and for the judgements made in this information. The Accounting Authority is responsible for establishing and implementing a system of internal control designed to provide reasonable assurance as to the integrity and reliability of the Annual Financial Statements. In my opinion, the financial statements fairly reflect the operations of the public entity for the financial year ended 31 March JS SAMUELS CHIEF EXECUTIVE OFFICER 90 PART E The external auditors are engaged to express an independent opinion on the Annual Financial Statements of the public entity. The SAQA Annual Financial Statements for the year ended 31 March 2015 have been audited by the external auditors and their report is presented on page 94. The Annual Financial Statements of the public entity set out on page 97 to page 137 have been approved. MJN NJEKE CHAIRPERSON OF THE BOARD

92 2. AUDIT AND RISK COMMITTEE REPORT We are pleased to present our report for the financial year ended 31 March The Audit and Risk Committee is an independent statutory committee appointed by the Board. In addition to its statutory responsibilities, further duties have been delegated by the Board to the committee. This report deals with all of the committee s duties and responsibilities. Terms of Reference The committee adopted formal Terms of Reference that was approved by the Board. The committee conducted its affairs in compliance with the Terms of Reference and discharged its responsibilities contained therein. Role and Responsibilities Statutory Duties The committee s role and responsibilities include the statutory duties set out in sections 76(4) (d) and 77 of the PFMA 1999 and sections 3.1 and 27.1 of the Treasury Regulations issued in terms of that Act and further responsibilities assigned to it by the Board. The committee executed its duties in terms of the requirements of King III. Audit Plan and budgeted audit fees for the 2014/15 financial year. The Auditor- General was not asked to provide any non-audit services. Financial Statements and Accounting Policies and Practices The committee reviewed the accounting policies and practices and the financial statements of the organisation and was satisfied with their appropriateness and compliance with the effective Standards of Generally Recognised Accounting Practices (GRAP). This included any interpretations, guidelines and directives issued by the Accounting Standards Board (ASB). No concerns or complaints in relation to the reporting practices of the organisation were received. Internal Financial Controls The committee oversaw the process by which the internal audit function provided a written assessment of the effectiveness of SAQA s system of internal control and risk management, including internal financial controls. This written assessment formed the basis for the committee s recommendation to the Board s response to the External Audit Report to fulfil its reporting requirements. The Board s report on the effectiveness of the system of internal control is on page 66. The committee fully supports the opinion of the Board in this regard. Whistle Blowing PART E 91 External Auditor In terms of the PFMA, the external auditor is the Auditor-General. The committee, in consultation with Executive Management, agreed to the Engagement Letter, No concerns or complaints were received relating to the accounting practices and internal audit, the content or auditing of the financial statements or any related matters from within or outside SAQA, during the 2014/15 financial year.

93 Duties Assigned by the Board Governance of Risk 92 PART E In addition to the statutory duties of the committee, as reported on above, the Board determined additional functions for the committee to perform as set out in the committee s Terms of Reference. They include the following: Integrated Reporting The committee fulfils an oversight role regarding the integrated report and the reporting process. The committee considered the organisation s sustainability information as disclosed in the integrated report and assessed its consistency with operational and other information known to the Audit and Risk Committee members and, for consistency, with the Annual Financial Statements. The committee discussed the sustainability information with management and was satisfied with the information provided. According to King iii, the committee should recommend to the board the appointment of an external assurance provider on material sustainability issues. The committee s recommendation to the SAQA Board was not to appoint an external assurance provider. This recommendation is premised on the belief that the relatively straightforward nature and extent of the information did not warrant such an appointment. The Board assigned oversight of the risk management function to the committee. The committee reviewed the risk management process, the effectiveness of risk management activities, the key risks facing the organisation and responses to address them. The committee fulfilled its oversight role regarding financial reporting risks, internal financial controls, and fraud and information technology risks as they relate to financial reporting. Internal Audit The committee ensured that the internal audit function was independent and had the necessary resources, standing and authority to enable it to discharge its duties. Furthermore, the committee oversaw co-operation between the internal and external auditors and served as the link between the Board and these functions. The committee reviewed and recommended the Internal Audit Charter for Board approval and approved the Annual Audit Plan The internal auditor reported to the committee. It reviewed and provided assurance on the adequacy of the internal control environment across all of SAQA s operations. The head of the Internal Audit team had direct access to the committee, through its chairperson. Going Concern The committee reviewed a documented assessment including key assumptions, prepared by management, of the going concern status of the Authority and made its recommendation to the Board. The Board statement on the going concern status of SAQA is set out on page 97. The committee assessed the performance of the internal audit function. Evaluation of the Expertise and Experience of the Finance Director and Finance Function The committee satisfied itself that the Finance Director has appropriate expertise and experience.

94 The committee satisfied itself with the appropriateness of the expertise, adequacy of resources of the finance function and the experience of the senior members of management responsible for the finance function. Mr MJ Brown Chairperson 93 PART E