An NQF that promotes genuine qualifications: SAQA s role in combating fraud

Transcription

1 An NQF that promotes genuine qualifications: SAQA s role in combating fraud Michael White, Coleen Jaftha and Joe Samuels 1 South African Qualifications Authority 25 September This paper was developed by the three authors and they take full responsibility for the views expressed here. The paper would not have been possible without the contributions from all SAQA directorates but particularly those of DFQEAS, CAS, NLRD, EO and DRR. We also acknowledge the following SAQA staff members who read and made comments to improve the factual accuracy and readability of the document: Heidi Bolton, James Keevy, Edcent Williams, Eddie Brown, Yvonne Shapiro, Nadina Coetzee, Shandukani Manyaka, Navin Vasudev and Felicity Lamola.

2 CONTENTS List of Figures and Tables... 3 List of definitions... 4 List of acronyms... 8 Section one: Introduction Organisation of the paper Section two: the regulatory role of SAQA The regulatory framework for national qualifications The GFETQSF The OQSF The HEQSF The regulatory framework for qualification providers and professional bodies Public and private providers Certification Professional bodies Section three: NQF information services available to the public The Management Information System of the NQF Assistance in understanding information about national qualifications Investigating and counteracting unscrupulous and fraudulent practices Fraud reporting Section four: verification of national and foreign qualifications Verification of national qualifications Individual verification service Verification of qualifications of employees in the SA public service Trends in verification of national qualifications Evaluation of foreign qualifications Trends in forgeries of foreign qualifications Verification of the issued SAQA Certificate of Evaluation Verification of overseas institutions Section five: concluding comments Challenges Diversity and number of education providers Transition between the SAQA Act and NQF Act Abuse of the SAQA Certificate Verification response times and reliable information sources SAQA s future plans Counter-fraud strategy Implementation of the SAQA VeriSearch Implementing the Groningen Declaration SAQA is urging the public to use the SAQA service References Attachment A: The Groningen Declaration

3 List of Figures and Tables List of Figures Figure 1: The South African NQF, its three sub-frameworks and their quality councils Figure 2: Types of enquiries via the NQF and Career Advice Services Helpline ( ) Figure 3: Comparative study of qualifications submitted for verification up to April Figure 4: Where is verification of foreign qualifications required? Figure 5: Growth in the foreign qualifications evaluation service ( ) Figure 6: Foreign qualifications statistics Figure 7: Most forged qualifications confirmed by foreign countries Figure 8: Percentage of forged SAQA Certificates Figure 9: Accredited vs non-accredited overseas institutions Figure 10: Most queried non-accredited institutions List of Tables Table 1: Roles regarding registration, accreditation and certification Table 2: NQF information available from the NLRD Table 3: Foreign qualification information

4 List of definitions Accredited provider A legally established institution (public or private) that has been recognised, usually for a particular period of time, by a QC or its appointed agent, as having the capacity or provisional capacity to offer a qualification or part-qualification registered on the NQF at the required standard Assessment The process used to identify, gather and interpret information against the required competencies in a qualification or part-qualification in order to make a judgement about a learner s achievement Bogus Pretending to be real or genuine Certification The formal recognition that a learner has successfully completed a qualification or part-qualification Council on Higher Education An independent statutory body responsible for advising the Minister of Higher Education and Training on all higher education policy issues, and for quality assurance in higher education; the CHE is also the Quality Council for Higher Education established in terms of the NQF Act tasked to achieve the objectives of the NQF and to develop and manage the HEQSF Diploma/ Degree mills An entity in which: Degree-granting authority does not come from a generally accepted government agency; Procedures for granting credit for prior learning, and for determining the amount and quality of work done to earn the degree, do not meet generally accepted standards; and Those who make the decisions on credit, and on quantity and quality of work, do not have the credentials, experience or training typically associated with people performing these tasks. Diploma mills are frequently linked with accreditation mills to give the appearance of authenticity. Foreign qualification A qualification offered by an awarding institution that is accredited or recognised in a national system other than South Africa and in accordance with the national policies, or generally accepted practice of that country Forgery Unlawfully and intentionally making a false document to the actual or potential prejudice of another 4

5 Fraud The unlawful and intentional making of a misrepresentation which causes actual prejudice or which is potentially prejudicial to another General and Further Education and Training Qualifications Sub-framework (GFETQSF) The sub-framework of the NQF for General and Further Education and Training that is developed and managed by Umalusi Higher Education Qualifications Sub-framework (HEQSF) The sub-framework of the NQF for Higher Education that is developed and managed by the CHE National Learners Records Database (NLRD) The electronic management information system of the NQF under the authority of SAQA, which contains records of qualifications, part-qualifications, learner achievements, recognised professional bodies, professional designations and all related information such as registrations and accreditations National Qualifications Framework (NQF) The comprehensive system approved by the Minister for the classification, registration, publication and articulation of quality assured national qualifications and part-qualifications. The South African NQF is a single integrated system comprising three coordinated qualifications sub-frameworks for: General and Further Education and Training; Higher Education; and Trades and Occupations Occupational Qualifications Sub-framework (OQSF) The sub-framework of the NQF for Trades and Occupations that is developed and managed by the QCTO Part-qualification An assessed unit of learning with a clearly defined purpose that is, or will be, registered as part of a qualification on the NQF Professional body A (any) body of expert practitioners in an occupational field; and includes an occupational body Professional designation A title or status conferred by a professional body in recognition of a person s expertise and / or right to practise in an occupational field Qualification A nationally registered qualification 5

6 Quality Council One of the three Councils tasked with developing and managing each of the sub-frameworks of the NQF in order to ensure that agreed quality standards are met: CHE for the HEQSF; Umalusi for the GFETQSF; and QCTO for the OQSF Quality Council for Trades and Occupations (QCTO) The Quality Council for Trades and Occupations established in terms of the NQF Act of 2008 tasked to achieve the objectives of the NQF and to develop and manage the OQSF Recognition of Prior Learning (RPL) The principles and processes through which the prior knowledge and skills of a person are made visible, mediated and assessed for the purposes of alternative access and admission, recognition and certification, or further learning and development Recognition of professional bodies A status assigned by SAQA to a statutory or non-statutory professional body for the purposes of the NQF Act of 2008 when it fulfils set criteria, including the registration of its professional designation(s) on the NQF Registered examination centre A registration process undertaken by an assessment body to recognise an institution as having the capacity to conduct an examination Registration of an independent school A process of registration that independent schools must undertake with Provincial Departments of Education in order to operate in South Africa in accordance with the requirements of the Constitution of South Africa and the South African Schools Act, No 84 of Registration of a private provider The inclusion, by the DHET, of a private provider that meets the minimum criteria set by the DHET on a list of providers allowed to operate in South Africa. Private skills development providers are exempt from this requirement. Registration is a pre-requisite for accreditation by the relevant QC Registration of a professional person with a professional body The inclusion of a person on a list of professionals who have met the requirements of a specific professional body for practice in that profession; requirements usually include a specified initial qualification as well as continuing professional development requirements, registration fees and adherence to a code of conduct Registration of a professional designation The approval by SAQA for the inclusion of a professional designation on the NQF, linked to the relevant professional body, as well as to the underlying qualification. 6

7 Registration of a qualification or part-qualification The formal inclusion of a qualification or part-qualification by SAQA on the NQF, with an identification of the relevant sub-framework, when a qualification or part-qualification meets the set criteria and as recommended by the relevant QC South African Qualifications Authority (SAQA) The statutory authority established in terms of the NQF Act of 2008 (which replaced the SAQA Act 1995) to oversee the further development and implementation of the NQF, the achievement of the objectives of the NQF, and the coordination of the three sub-frameworks Sub-framework of the NQF One of the three co-ordinated qualifications sub-frameworks which make up the NQF as a single integrated system: the HEQSF, the GFETQSF and the OQSF Umalusi The Quality Council for General and Further Education and Training established by the GENFETQA Act of In terms of the NQF Act of 2008 it is tasked to support the achievement of the objectives of the NQF and to develop and manage the GFETQSF Verification A process followed by SAQA which includes authenticating the status of institutions, the qualifications offered by institutions, the authenticity of qualification documentation and confirming that the qualification was awarded to the individual in question 7

8 List of acronyms ABET ANA AQP CAS CHE DBE DFQEAS DHA DHET DPSA DQP DRR DTI EO ETQA FET GENFETQA GFETQSF HEQSF HESA IEB NLRD NQF NSC Adult Basic Education and Training Annual National Assessment Assessment Quality Partner Career Advice Services Council on Higher Education Department of Basic Education Directorate Foreign Qualifications Evaluation and Advisory Services Department of Home affairs Department of Higher Education and Training Department of Public Service and Administration Development Quality Partner Directorate: Registration and Recognition Department of Trade and Industry Executive Office Education and Training Quality Assurance Further Education and Training General and Further Education and Training Quality Assurance Act General and Further Education and Training Qualifications Sub-framework Higher Education Qualifications Sub-framework Higher Education South Africa Independent Examination Board National Learners Records Database National Qualifications Framework National Senior Certificate 8

9 OQSF QC QCTO RPL SA SAPS SAQA SC Umalusi Occupational Qualifications Sub-framework Quality Council Quality Council for Trades and Occupations Recognition of Prior Learning South Africa South African Police Services South African National Qualifications Authority Senior Certificate Council for Quality Assurance in General and Further Education and Training 9

10 Section one: Introduction South Africa (SA), as a developing country, is under pressure to both reduce unemployment and to ensure that the skills supply available from its citizens can contribute positively to the country s economy. This implies firstly, a focus on ensuring the development of qualifications that are able to cater to current and future labour market demands within the country. Secondly, there must be available people to meet the labour market needs. Two sources are identified for attracting skilled labour namely employing South Africans with the needed skills or importing these skills from foreign countries. The sectors currently experiencing a shortage of skilled people include engineering and the built environment; health; financial management; city planning; law; IT / ICT; the natural sciences; general management; education and transport. There is also a great shortage of artisans. These shortages provide an environment where there is strong competition for competent and skilled people. The problem of unemployment, and having a skills shortage at the same time, poses serious challenges for our society. The environment of competition both for internal and external people and institutions, with little opportunity, creates a conducive situation for fraud to flourish. The ability to distinguish between a genuine South African qualification and a fake requires some knowledge of the regulatory system for qualifications in South Africa. The South African Qualifications Authority (SAQA), as custodian of the South African National Qualifications Framework (NQF) plays an oversight role with regard to quality-assuring SA qualifications and keeps records of all national qualifications, learner achievements and providers of qualifications. Within this regulatory context and with access to all qualifications information in SA, SAQA is able to provide a service through which the public can access accurate information, understand the laws governing qualifications in SA, verify the authenticity of providers and the qualifications they offer, and report unscrupulous practices in the education and training sector. The overall purpose of this paper is to outline how the NQF promotes genuine qualifications by providing an insight into the authenticity of South African and foreign qualifications for the purposes of immigration, academia, professional licensing and employment, and to report on SAQA s regulatory role within this context. With this in mind, this paper will: Provide an integrated view of SAQA s statutory role regarding national and foreign qualifications; Demonstrate how SAQA works with the public to collectively combat qualification fraud; and Describe SAQA s fraud-combating strategy and plans for the future. 1.1 Organisation of the paper The paper comprises five sections namely: Section A: Introduction; Section B: The regulatory role of SAQA; Section C: NQF information available to the public; Section D: Verification of national and foreign qualifications; and Section E: Concluding comments. Section A describes the labour market conditions in South Africa. The competitive context for different types of learning is contextualised. The capacity of the SAQA to regulate learning in South Africa, as well as keep records of learning, is introduced here. Section B elaborates on the regulatory framework for South African qualifications and the mandate of SAQA. The key laws governing qualifications and their providers are described. There is some discussion on accreditation, registration and certification. 10

11 Section C introduces the NQF services available to the public. This section is supplemented with data from two directorates within SAQA namely the National Learners Records Database (NLRD) and the Career Advice Services (CAS) Helpline. Some examples of unscrupulous practices are given. The section closes with a description of SAQA s fraud reporting procedures. Section D provides information on the verification services that are available to the public. This includes verification of national qualifications and evaluation of foreign qualifications. The information is supplemented with data from the NLRD and the Directorate Foreign Qualifications Evaluation and Advisory Services (DFQEAS) within SAQA. Section E outlines some key challenges that SAQA faces in ensuring genuine national qualifications. SAQA s future plans are presented as closure to the paper. Section two: the regulatory role of SAQA South African qualifications are represented in the South African National Qualifications Framework (NQF) as encapsulated in the NQF Act, Act 67 of 2008 (Republic of South Africa 2008). The NQF Act states that it applies to all learning programmes that lead to qualifications and part-qualifications offered within the Republic of South Africa, by education institutions and skills development providers and professional bodies. This means that every qualification and part-qualification offered in the Republic must be registered on the NQF in accordance with the Act. A genuine qualification is thus a qualification that meets the above mentioned requirement of being registered. In order to understand the history of the qualification and quality assurance system in South Africa it is important to understand the transition between the SAQA Act and the NQF Act and the roles that the different structures played and are playing. This is briefly outlined below: The NQF Act was preceded by the SAQA Act, Act 58 of 1995 (Republic of South Africa 1995) which led to the establishment of SAQA. The replacement of the SAQA Act with the NQF Act strengthened the role of SAQA and included the following innovative transformations: The 33 Education and Training Quality Assurance (ETQA 2 ) Bodies were replaced by three Quality Councils (QCs); The responsibility for qualification development is allocated to the three Quality Councils; All qualifications are allocated to three sub-frameworks of the NQF, each managed by a Quality Council; and Executive responsibility for the quality assurance of qualifications is now located with the QCs. The mandate of SAQA, as per the NQF Act, is to: Advance the objectives of the NQF; Oversee the further development and implementation of the NQF; and Co-ordinate the sub-frameworks of the NQF. The objectives of the South African NQF are to: Create a single integrated national framework for learning achievements; Facilitate access to, and mobility and progression within, education, training and career paths; Enhance the quality of education and training; and 2 The ETQAs were accredited by SAQA. They comprised Sector Education and Training (SETA) ETQAs, Professional Body ETQAs, Umalusi and the CHE. Some SETAs are used by the QCTO as development quality partners (DQPS) and/or assessment quality partners (AQPs). 11

12 Accelerate the redress of past unfair discrimination in education, training and employment opportunities. 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. SAQA and the Quality Councils (QCs) must seek to achieve the objectives of the NQF by: Developing, fostering and maintaining an integrated and transparent national framework for the recognition of learning achievements; Ensuring that South African qualifications meet appropriate criteria, and are internationally comparable; and Ensuring that South African qualifications are of an acceptable quality. SAQA s main areas of responsibility include: registering qualifications and professional designations on the NQF; recognising professional bodies; managing information on the education and training system with regard to qualifications and learner achievements; developing and maintaining level descriptors; collaborating with international counterparts on all matters of mutual interest concerning qualifications frameworks; conducting or commissioning investigations on issues of importance to the development and management of qualifications frameworks; developing a national career advice service; and providing an evaluation and advisory service consistent with the NQF Act with respect to foreign qualifications. One of the key roles of SAQA, as can be seen above, is to advance the objectives of the NQF and to further develop the NQF and oversee its implementation. The regulatory role of the NQF, and how it provides a clear framework within which the quality councils and providers need to function, will be explained next. If this role is clearly understood, the different actors will be empowered to function efficiently and effectively to the benefit of all thereby promoting genuine bodies and genuine qualifications. 2.1 The regulatory framework for national qualifications The NQF is a single integrated system for the classification, registration, publication and articulation of quality assured national qualifications (Republic of South Africa 2013b). There are three qualifications sub-frameworks (See Figure 1). SAQA co-ordinates the sub-frameworks and develops overarching policies that ensure that qualifications meet national standards. These include: Policy and criteria for registration of qualifications and part-qualifications (SAQA 2012a); Level descriptors for the South African National Qualifications Framework (SAQA 2012c) ; Policy and criteria for recognising a professional body and registering a professional designation (SAQA 2012b); and Policy for the Implementation of the Recognition of Prior Learning (RPL) (SAQA 2013b). The three co-ordinated qualifications sub-frameworks, each developed and managed by a Quality Council (QC), (see Figure 1) are: 1. The General and Further Education and Training Qualifications Sub-framework (GFETQSF); 2. The Occupational Qualifications Sub-framework (OQSF); and 12

13 Occupational Qualifications Sub-framework (OQSF) Quality Council: QCTO Higher Education Qualifications Sub-framework (HEQSF) Quality Council: CHE General and Further Education and Training Sub-framework (GFETQSF) Quality Council: Umalusi 3. The Higher Education Qualifications Sub-framework (HEQSF) The GFETQSF The GFETQSF covers NQF levels 1 to 4. The quality assurance oversight is provided by the Council for Quality Assurance in General and Further Education and Training (Umalusi). Umalusi is contemplated in the NQF Act and its founding Act, the General and Further Education and Training Quality Assurance (GENFETQA) Act, Act 58 of 2001 as amended in The South African National Qualifications Framework NQF Qualification types Levels 10 Doctoral Degree * Doctoral Degree (Professional) 9 Master s Degree Master s Degree (Professional) * 8 Bachelor Honours Degree Postgraduate Diploma Bachelor s Degree 7 Bachelor s Degree Advanced Diploma Occupational Certificate (Level 8) Occupational Certificate (Level 7) 6 Diploma Advanced Certificate Occupational Certificate (Level 6) 5 Higher Certificate Occupational Certificate (Level 5) 4 National Certificate Occupational Certificate (Level 4) 3 Intermediate Certificate Occupational Certificate (Level 3) 2 Elementary Certificate Occupational Certificate (Level 2) 1 General Certificate Occupational Certificate (Level 1) Figure 1: The South African NQF, its three sub-frameworks and their quality councils The OQSF The OQSF covers NQF levels 1 to 8 and there is potential to develop further qualifications at Levels 9 and 10. The quality assurance oversight is provided by the Quality Council for Trades and Occupations (QCTO). The QCTO is contemplated in the NQF Act and the Skills Development Act, Act 97 of 1998 as amended in

14 2.1.3 The HEQSF The HEQSF covers NQF levels 5 to 10. The quality assurance oversight is provided by the Council on Higher Education (CHE). The CHE is contemplated in the NQF Act and the Higher Education Act, Act 101 of 1997 as amended in 2008 and All national qualifications and part-qualifications are developed by the Quality Councils before they are registered on the NQF. In addition to this, the QCs are responsible for developing policies for their own sectors which includes policies on standards development, policies on quality assurance, and policies on accreditation of providers. 2.2 The regulatory framework for qualification providers and professional bodies Public and private providers Table 1 provides a synopsis of the various roles played by SAQA, the quality councils and departments in registration, accreditation and certification. Table 1: Roles regarding registration, accreditation and certification SAQA Quality Councils Department of Higher Education and Training (DHET) Co-ordinates subframeworks Registers qualifications and professional designations Recognises professional bodies Maintains a database of all national qualifications Manage relevant sub-framework Develop qualifications for their sub-framework Accredit providers Certify qualifications in their relevant subframeworks including trade qualifications Accredit examination bodies Quality assure exams Registers private providers (higher institutions and colleges) Coordinates further education and training (FET) exams including the NC(V) and adult education and training (coordinate related examinations and assessments) Convenes stakeholders forum Department of Basic Education (DBE) and Provincial Departments Registers independent schools offering basic education Coordinates schooling (Annual National Assessment [ANA] and National Senior Certificate [NSC] and Senior Certificate [SC]) examinations and assessments All public providers in South Africa are established by Acts of Parliament. These Acts include: South African Schools Act, Act 84 of 1996; Further Education and Training (FET) Colleges Act, Act 16 of 2006 as amended in 2010 and 2013); Adult Basic Education and Training (ABET) Act, Act 52 of 2000 as amended in 2010); Higher Education Act, Act 101 of 1997 as amended in 2008 and 2010); and Skills Development Act, Act 97 of 1998 as amended in Public providers, since they are established under these Acts, do not require registration. These Acts, however, make provision for the registration of: Higher education private providers who must be registered by the Department of Higher Education and Training (DHET); and Independent schools offering basic education that must be registered with the Provincial Departments in the provinces where they deliver their services. 14

15 In order for private providers / institutions to be registered they must first be accredited by the relevant QC. Skills providers operating within the ambit of the OQSF, however, do not need to be registered but must be accredited by the QCTO (Department of Higher Education and Training 2012). All providers, both public and private, must be accredited if they want to offer learning programmes that lead to qualifications and part-qualifications. The QCs accredit the qualifications providers. Even if providers are registered and accredited, all the national qualifications and part-qualifications that they offer must be registered on the NQF Certification The QCs are responsible for certification of all qualifications and part-qualifications in their subframeworks: Umalusi is responsible for certification of all NQF level 1 to 4 qualifications on the GFETQSF for public and private / independent schools (accredits examination bodies including provincial departments and the Independent Examination Board (IEB); The QCTO is responsible for certification of all NQF level 1 to 8 qualifications on the OQSF; and The CHE is responsible for certification of all NQF level 5 to 10 qualifications on the HEQSF. The CHE has, however, delegated this authority to certain providers who must comply with the requirements regarding certification Professional bodies In all countries it is inevitable that new professions will emerge. To build trust in the South African qualification system, SAQA also recognises professional bodies and registers professional designations. This information is available to the public so they can know which professional bodies are trustworthy. By ensuring very clear regulatory direction and overseeing the further development and implementation of these regulations the NQF is building trust within the policy makers, policy implementers and policy beneficiaries. All the information about the NQF system is made available via the national qualifications framework management information system also known as the National Learners Records Database. By making the information accessible to all, SAQA and the NQF promote genuine providers and genuine qualifications. The next section clearly outlines what kind of information is available and how it can be accessed. Section three: NQF information services available to the public SAQA provides a comprehensive list of all the agencies from schooling to the workplace and keeps records of all national qualifications, accredited providers and learner achievements in SA The Management Information System of the NQF The NQF information managed by SAQA includes registers of learners achievements, accredited/ registered assessors, accredited providers, NQF-registered qualifications and part-qualifications, recognised professional bodies and NQF-registered professional designations. This comprehensive information database is the only database of its kind in the world. The information is managed by a directorate within SAQA, the National Learners Records Database (NLRD) and made available to the public via the SAQA website ( 15

16 Table 2 provides an example of the extent of NQF information managed by SAQA and available to the public. Table 2: NQF information available from the NLRD Item Amount Learner achievements 13.1 million Qualifications achieved 11.8 million Part-qualifications achieved 70.8 million Qualifications registered 9920 Part-qualifications registered Accredited providers Recognised professional bodies 55 Registered professional designations 212 Professionals loaded against the designations Data sourced from SAQA s National Learners Records Database (NLRD) With this information at its disposal, SAQA encourages the public to verify whether qualifications are registered and whether providers are accredited and legitimately entitled to operate in SA Assistance in understanding information about national qualifications In addition to managing information on NQF-registered qualifications, SAQA also promotes public access to this information and provides advice. SAQA reaches people through a variety of communication and media channels including radio programmes, media statements, road shows, seminars and conferences, publications, the SAQA annual report, the SAQA website and so on. SAQA has also set up an NQF and Career Advice Services (CAS) Helpline (a flagship project of the Minister of Higher Education and Training) to assist people to access and understand NQF information. The CAS provides multiple channels through which the public can contact SAQA and receives approximately million contacts per year. SAQA can be contacted on Facebook, on Twitter, by , by SMS, by phone, via the website and through the walk-in service at SAQA House in Hatfield, Pretoria. In the financial year alone, a total of cases were logged by the NQF and CAS Helpline. The cases are classified into 29 categories. These can further be categorised into four areas of public interest. These, as shown in Figure 2 are: 1. What must / should / can I do? 2. Are these providers legitimate? 3. Are these qualifications registered? 4. How do I gain access? 1. What must / should / can I do? The majority of calls (38%) are for informed and accurate career guidance and advice on career opportunities. 2. Are these providers legitimate? These callers (20%) usually either want to verify the accreditation of a provider to offer a unit standard / part qualification / qualification; or they are potential providers enquiring about the process involved in acquiring accreditation and registration. 16

17 3. Are these qualifications registered? These enquiries (20%) are for information about, or confirmation of the NQF level of a qualification, part-qualification, or unit standard or about work-based learning that leads to a nationally registered qualification. 4. How do I gain access? These calls (22%) are mainly requests for bursaries and assistance with application for admission What must / should / can I do? Are these providers legitimate? Are these qualifications registered? How do I gain access? Figure 2: Types of enquiries via the NQF and Career Advice Services Helpline ( ) Data sourced from SAQA s Career Advice Services (CAS) Helpline In keeping with its mandate to ensure that South African qualifications are of an acceptable quality, SAQA also encourages the public to report unscrupulous and fraudulent practices by providers of education, training and development programmes. The Helpline personnel are trained to identify possible unscrupulous/fraudulent practices that arise from the queries they receive from the public Investigating and counteracting unscrupulous and fraudulent practices Complaints about unscrupulous practices indicate the following trends in fraudulent practices: 1. Legitimately registered and accredited providers offering qualifications/ part-qualifications that are not registered on the NQF. These providers may use NQF nomenclature in ways that are misleading to the public. In these instances they often use terminology such as NQF-aligned and use credits and levels. They also use the fact that they are accredited for one qualification/part-qualification to imply that they are accredited for everything they offer. 2. Legitimate providers offering registered qualifications that they are not accredited to offer. 3. Illegitimate providers (i.e. not registered and/or accredited) offering qualifications Some examples of cases investigated by SAQA are: Learners complained that a private provider had provided misleading information. They were expecting to complete a Higher Education Diploma in Public Relations but actually received an 17

18 FET-level certificate. SAQA intervened and learners were allowed to undergo an RPL assessment for the Diploma. A number of private providers were found to be offering qualifications for which they were not accredited. Some private and public providers were found to be offering qualifications that were not registered on the NQF. A private provider was reported to be issuing false training certificates i.e. for training that was not offered or which no learners attended. This company attracted buyers through a fraudulent qualification I.D. number and the unauthorised use of the SAQA logo. After investigation, the matter was handed over to the South African Police Services (SAPS) and the business was shut down. A bogus institution called the South African University of Excellence was offering honorary doctorates which learners could buy. The fraudulent practice was brought to the attention of the relevant authorities and the institution was shut down Fraud reporting SAQA has a Zero Tolerance approach towards fraud and corruption whether by staff or its clients. Internal policies include fraud prevention and detection policy and fraud reporting procedures; override of internal control procedures policy; receipt of gifts, hospitality and favours policy; and code of ethics and conditions of service. SAQA also has a set of guidelines on dealing with complaints regarding unscrupulous and fraudulent practices by providers of education, training and development programmes. These include communication with the South African Police Service (SAPS), the Department of Higher Education and Training (DHET), Higher Education South Africa (HESA), Department of Home affairs (DHA), Department of Trade and Industry (DTI) and the client involved in the case. In some cases SAQA reports directly to the police; in other SAQA alerts the employer or reports to a forum of education and training stakeholders, including the Department of Higher Education and Training, and they in turn report it to the police that act in accordance with the law. Making information available and providing the opportunity to interact with the regulatory information by the policy makers, education and training providers and the general public is crucial for the role of promoting a genuine system and genuine qualifications. This proactive role, however, is not enough. SAQA s mandate therefore also includes the verification of national and foreign qualifications. The next section outlines this function in some detail. Section four: verification of national and foreign qualifications Verification is a process followed by SAQA to authenticate both national and foreign qualifications. The verification process involves the: 1. Institution / provider; 2. Qualification; 3. Documentation; and 4. Individual claiming the award of the qualification/s. This process includes authenticating the status of institutions and the qualifications offered by them, the authenticity of qualification documentation and confirming that the qualification was awarded to the individual in question. 18

19 4.1.1 Individual verification service 4.1 Verification of national qualifications SAQA is a public entity with access to records of millions of South African learners and thousands of South African qualifications. It is mandated to provide a verification service to anyone who wants to receive a transcript of qualifications recorded against his/ her name. Protection of personal information is taken very seriously by SAQA. Verification can only go ahead once the identity of the inquirer has been verified to ensure that the transcript is given to the right person. As published in the Annual Report (SAQA ), in the financial year alone, the NLRD produced transcripts of achievement for individuals, verified records of achievement of existing employees, and verified records of achievement of applicants to positions in various organisations, including the public service Verification of qualifications of employees in the SA public service In May 2009, SAQA was mandated by Cabinet to verify qualifications of all public service employees, current and prospective, in all the national and provincial government departments. SAQA s verification process is evidence-based. Records are uploaded to the system by providers on a regular basis but if the record is not on the system, SAQA accesses the provider of the qualification to confirm verification. The integrity of the SAQA system is the main reason why the previous Minister of Public Service and Administration (Minister Baloyi) sent out a circular in 2009 and a directive in 2010 to all public service entities, that SAQA (and no other service provider) must verify the qualifications of all public sector employees, future and current. SAQA s foreign qualifications evaluation expertise is employed where the candidate seeking employment in the public service has a foreign qualification. Since the agreement with the national and provincial government departments began, a total of 91 foreign qualifications were verified and no incidents of fraud in foreign qualifications were detected. Overall, within the period that SAQA has been delivering this verification service for high level Cabinet posts, the number of fraudulent submissions by applicants has decreased. The overall level of fraud detected in all pre-appointment verifications completed by SAQA is approximately 1.1% for the financial years. This is down from 1.3% as calculated in Overall only five (5) out of more than 400 letters of verification of high level posts (sent to Cabinet by SAQA) indicated that the applicant had submitted fraudulent qualifications. Further, since SAQA s involvement, there have been no negative reports in the media about highlevel appointments of persons without valid qualifications Trends in verification of national qualifications As demonstrated in Figure 3, the top five qualifications submitted to SAQA for verification are: 1. School leaving certificates (approximately half of the total verifications submitted) 2. Bachelor s Degrees 3. National Diplomas 4. Diplomas 5. Honours Degrees 19

20 % % 13% 8% 4% 3% 2% 2% 1% 1% 0% 0% 0 Figure 3: Comparative study of qualifications submitted for verification up to April 2013 Data sourced from SAQA s National Learners Records Database (NLRD) 4.2 Evaluation of foreign qualifications Section 13(1) (m) of the NQF Act provides for an evaluation and advisory service, in respect of foreign qualifications, in line with this Act. The evaluation of a foreign qualification is a process followed by SAQA which include both verification and comparison of foreign qualifications with NQFregistered South African qualifications. On completion of the evaluation, SAQA issues a SAQA Certificate of Evaluation. Evaluation services are required by both South Africans with foreign qualifications and foreigners with foreign qualifications. The latter must further comply with immigration regulations as encapsulated in the Immigration Act, Act 13 of 2002 to obtain a work or study permit (Republic of South Africa 2002). According to Immigration Regulations (Government Gazette no of 2005), a SAQA Certificate of Evaluation is compulsory for quota work permits and general work permits. The SAQA certificate is not a requirement for a study permit but the majority of SA universities (as stipulated in their admission policies) require a SAQA certificate to accompany application for admission when a foreign qualification is being presented. Furthermore, according to the 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 2008 (SAQA 2012b), all foreign qualifications must be evaluated by SAQA and found to be comparable to the underlying South African qualification used to award the professional designation. The public entities / institutions using the SAQA verification of foreign qualifications services are shown in Figure 4. 20

21 Department of Home Affairs (Immigration) SAQA Verification of foreign qualifications Universities (Admission) Professional Bodies (Registration) Figure 4: Where is verification of foreign qualifications required? SAQA also advises the Minister of Higher Education and Training on recognition agreements, in particular, a mutual recognition agreement was signed in 2013 between South Africa and the Russian Federation (Republic of South Africa 2013). Work has started on concluding agreements between South Africa and China, and between South Africa and Malaysia. The strengthening of relationships with these countries provides yet another buffer against fraud, through enhanced access to accurate information. SAQA receives a number of applications for the evaluation of foreign qualifications on a yearly basis. An indication of how the service has grown since 2001 is illustrated in Figure 5. In the past three years: applications were processed in the 2010/2011 period; applications were received in the period (16% growth from the previous year), and in , a total of applications were received. This is a 12% growth since the previous financial year and also indicates that the DFQEAS service (2013) is the highest it has ever been Figure 5: Growth in the foreign qualifications evaluation service ( ) Source: Baseline document of the South African NQF and recognition system (2013) 21

22 Information about foreign qualifications is systematically stored in SAQA s foreign qualification administration system, a database which is maintained and updated through regular research. The current information available includes: Table 3: Foreign qualification information Item Amount Number of foreign countries represented 143 Total number of foreign qualifications evaluated Verified foreign institutions on the database Verified foreign qualifications Foreign qualifications verified for high level positions 91 Unaccredited institutions whose qualifications are not accepted 1261 Data sourced from SAQA s DFQEAS administration system The top five countries from which qualifications are evaluated are Zimbabwe (26.9%) followed by 11% from India, 9.3% from Nigeria, 7.9% from the United Kingdom, and 4.4% from the Democratic Republic of Congo (see Figure 6). SAQA 2013 : 143 countries Zimbabwe (26.9%) applications India (11%) 3 Nigeria (9.3%) 4 United Kingdom (7.9%) 5 Democratic Republic of Congo (4.4%) ) Figure 6: Foreign qualifications statistics Source: Baseline document of the South African NQF and recognition system (2013) A variety of investigative tools is used to verify foreign qualifications. This includes: An examination of all the documents submitted for evaluation to check for obvious signs of fraud; Communication with foreign institutions and authorities as well as access to databases to verify awards; Extensive investigation by the evaluators to check the authenticity of the foreign institutions and the qualifications offered by them; Extensive communication ( s, postal services, faxes and telephone calls) to authorities in the country of origin for information regarding education systems and regulatory frameworks; and Consistent scanning of the international environment for any changes in laws, qualifications, and other relevant information. 22

23 4.2.1 Trends in forgeries of foreign qualifications Suspected forgeries can only be deemed fraudulent once their status has been confirmed. This confirmation usually comes from information solicited from the issuing body recorded on the documentation supplied by the client. Once fraud is confirmed, the evaluation is suspended. SAQA had 137 confirmed forgeries between July 2012 and June While the total figure of confirmed forgeries appears to be less than 1% of the total evaluations completed, part of the challenge with fraudulent practices is receiving accurate, trustworthy information with which to confirm forgeries. Many suspected forgeries on file with SAQA are still awaiting verification by alleged providers of the qualifications. A case opened on 13 May 2007, for example only received a response on 12 June 2012, over five years later. This response time negatively impacts client relationships and public perception of the efficiency of the service. The availability of information and the response time from organisations differs on a case by case basis. Currently, approximately 10% of files that are suspended are awaiting information on verification of authenticity. Top 10 foreign countries from where forgeries are confirmed Confirmed fraud spans qualifications from 23 foreign countries. The data indicates that the most confirmed forgeries were received from the following countries- in order- 1. Ghana 2. Pakistan 3. India 4. Nigeria 5. Zimbabwe 6. China 7. Cameroon 8. Bangladesh 9. Democratic Republic of Congo (DRC) 10. Zambia Top three foreign issuing bodies confirmed in forgeries The qualifications of 85 issuing bodies in the 23 countries are used fraudulently. The information does not reflect negatively on the countries or institutions. It indicates that individuals forge qualifications purported to be issued by institutions in these countries. The three issuing bodies confirming the most forgeries of foreign qualifications are- in order- 1. University of Cape Coast (Ghana) 2. Board of Intermediate & Secondary Education Gujranwala (Pakistan) 3. Board of Intermediate and Secondary Education (India) A response from the University of Cape Coast reports that a syndicate is issuing the forged certificates. The most prevalent type of forgery certificates from the University of Cape Coast seem to be in the field of teaching, particularly in specialisations of mathematics and science. Trends in qualification types confirmed as forgeries SAQA data shows that nine categories of qualifications feature in confirmed forgeries (See Figure 7). 23

24 Top five forged foreign qualifications (confirmed) The top five forged qualifications as seen in Figure 7 are- in order- 1. School leaving certificates (41%) 2. Degrees (32%) 3. Diplomas (13%) 4. Teaching certificates (5%) 5. Certificates (4%) % 32% 13% 5% 4% 2% 1% 1% 1% Figure 7: Most forged qualifications confirmed by foreign countries Data sourced from SAQA s DFQEAS administration system Trends in specialisations used in forgeries The data on qualifications fraud further show that most forgeries are in specialisations such as mathematics and science, both of which are skills in demand in South Africa. This trend shows that fraudsters analyse the economic needs of a country and study their systems. The South African economy then, while presenting opportunities for learning and jobs, also provides a fertile environment for the growth of fraud. Effective combating of fraud is therefore a collective responsibility of all which includes awareness of and education about qualifications and related legislation, access to information, reporting of suspected cases of fraud and taking action against offenders. SAQA also collaborates with professional bodies and Departments of Education to counteract forged teacher qualifications Verification of the issued SAQA Certificate of Evaluation The process leading to the SAQA certificate includes the verification of authenticity. The certificate provides a means with which foreign qualification holders can access learning and employment opportunities. As such, it is open to abuse from fraudsters. To combat this, SAQA provides a service where it verifies that the SAQA Certificate of Evaluation was indeed issued to the individual in question. An analysis of the data gathered in the financial year showed that a total of 297 verification requests were received. The Department of Home Affairs verified 118 SAQA certificates, the rest (179) were general verification requests from decision-makers. Of the total of 297, a total of 20 (6%) were fraudulent (See Figure 8). 24

25 Fraudulent SAQA certificates 6% Nonfraudulent 94% Figure 8: Percentage of forged SAQA Certificates Data sourced from SAQA s DFQEAS SAQA aims to have a 0% forgery rate and is working towards increasing its security features in future. A more secure certificate and an online verification system will be introduced towards the end of Verification of overseas institutions Higher education has become increasingly international and more and more people are choosing to study abroad and enrol for various courses. However, this has also led to an increasing trend of academic fraud. Given the prevalence of bogus institutions, SAQA encourages people to find out about the authenticity of institutions offering qualifications before embarking on any studies overseas. In that regard, SAQA assists people to make informed decisions by providing an service for the verification of overseas institutions. Various government departments and individuals make frequent use of this service % 59% % No Yes unrelated Figure 9: Accredited vs non-accredited overseas institutions Data sourced from SAQA s DFQEAS Between January and June 2013, a total of 858 queries for verification were received. Of the institutions queried, 38% were found to be not accredited which means that their qualifications cannot be accepted for evaluation purposes by SAQA (Figure 9). Figure 10 shows a breakdown of the number of the most non-accredited foreign institutions. 25