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Quality Assurance (QA)

Founding Document of HEQC

Section A | Section B

Introduction | 1. Policy and Legislative Basis for the Higher Education Quality Committee (HEQC) |
2. Vision/Mission | 3. Principles/Values | 4. Mandate | 5. Goals | 6. Approach to Quality | 7. Approach to Quality Assurance | 8. Scope of work | 9. Areas of Responsibility | 10. Strategies | 11. The link between quality assurance and funding/accreditation | 12. Governance | 13. Critical Success Factors

Introduction
The institutionalization of quality assurance is firmly on the agenda of higher education in a number of developed and developing countries around the world. The demand for greater accountability and efficiency in respect of public financing, trends towards mass participation in the face of shrinking resources, and greater stakeholder scrutiny of education and training processes and outcomes have led to the increasing implementation of formal quality assurance arrangements within higher education institutions and systems. A quality assurance system is intended to ensure that higher education and training programmes at under-graduate and post-graduate levels are responsive to the needs of learners, employers and society at large.

The development of a national quality assurance system for higher education in South Africa is a critical component of the restructuring of higher education which is currently underway. The quality assurance system is intended to support the achievement of the purposes and goals for higher education identified in the Education White Paper 3: A Programme for the Transformation of Higher Education. Quality is identified as one of the principles that should guide the transformation of higher education, together with equity and redress, democratisation, development, effectiveness and efficiency, academic freedom, institutional autonomy and public accountability. Given the history of discriminatory exclusion in this country, it is important to ensure that the quality assurance system enhances access not simply to higher education but to high standards of provision and their concomitant intellectual and economic benefits.

A new quality assurance system for higher education will have to take into account the following issues of context:

  • The imminent reconfiguration of higher education in terms of size and shape which is likely to require more explicit mission specification and its effective delivery within the context of national needs. This, in turn, will require the development of a more evenly capacitated and resourced higher education system to provide high quality education and training within a range of diverse institutional missions.

  • A clearer delineation of the possibilities as well as challenges for higher education in the construction of the National Qualifications Framework (NQF). This will require taking into account the quality impact of institutional preparation for the interim registration of qualifications with SAQA.

  • An uneven quality assurance landscape with a range of unintegrated iniatives at national, institutional and regional levels.

  • The enhanced role of higher education in delivering knowledge resources and services as well as high level skills and competencies for social and economic development.

  • The role of higher education in facilitating social justice through enhanced participation opportunities in higher education for formerly disadvantaged constituencies.

  • The development of a higher education system whose objectives are delivered by public and private providers in a context of competition and collaboration.

  • The growing role of technology in teaching and learning, the expansion of higher education opportunities through distance and open learning, and increasing arrangements for workplace learning at higher education levels.

The rapid internationalization of higher education and the increasing mobility of graduates and professionals across national boundaries.

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1. Policy and Legislative Basis for the Higher Education Quality Committee (HEQC)

1.1 Report of the National Commission on Higher Education, A Framework for Transformation, 1996.

The focus on quality and the role of quality assurance in a transformed higher education system is flagged prominently in the recommendations of the NCHE. The NCHE made it clear that a “comprehensive, development-oriented quality assurance system is central to the creation of a single co-ordinated higher education system.” (p. 108). The Commission went on to argue that quality assurance mechanisms are “essential to tackle differences in quality across institutional programmes”. It also saw quality assurance as “an important element of the new form of governance proposed for higher education” as well as “one of the ways of drawing private higher education into the new system”.

1.2 Education White Paper 3: A Programme for the Transformation of Higher Education, 1997.

Following on the NCHE report, the White Paper also identified quality as a critical principle for the restructuring of higher education. The White Paper states the following: “The pursuit of the principle of quality means maintaining and applying academic and educational standards, both in the sense of specific expectations and requirements that should be complied with, and in the sense of ideals of excellence that should be aimed at. These expectations and ideals may differ from context to context, partly depending on the specific purposes pursued. Applying the principle of quality entails evaluating services and products against a set standard, with a view to improvement, renewal or progress.” (Government Gazette, No 18207, p12).

The White Paper further proposes the following:

" . . .

2.69 The primary responsibility for quality assurance rests with higher education institutions. However, there is an important role for an umbrella national authority responsible for quality promotion and assurance throughout the system.

2.70 Accordingly, the Higher Education Act will provide for the co-ordination of quality assurance in higher education through a HEQC which will be established as a permanent committee of the CHE. The establishment of the HEQC, its registration with SAQA and its modus operandi will be determined by the CHE within the framework and procedural guidelines developed by SAQA.

2.71 The functions of the HEQC will include programme accreditation, institutional auditing and quality promotion. It should operate within an agreed framework underpinned by:

  • the formulation of criteria and procedures in consultation with higher education institutions
  • a formative notion of quality assurance, focused on improvement and development rather than punitive sanction
  • a mix of institutional self-evaluation and external independent assessment.

. . .” (p.28).

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1.3 Higher Education Act, 1997

Following on the recommendations of the White Paper on higher education, the Higher Education Act of 1997 makes provision for the Council on Higher Education (CHE) to establish a permanent sub-committee, the Higher Education Quality Committee (HEQC), with the mandate to:

(a) promote quality assurance in higher education

(b) audit the quality assurance mechanisms of higher education institutions

(c) accredit programmes of higher education

The Higher Education Act stipulates that the CHE and HEQC must comply with the policies and criteria formulated by SAQA (in terms of Act No 58 of 1995). It also provides for the delegation of any quality promotion and quality assurance functions by the HEQC to other appropriate bodies, with the concurrence of the CHE.

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1.4 SAQA Act, 1995

The HEQC is required to operate within the requirements of the South African Qualifications Authority (SAQA) in its mandate of facilitating the development of the National Qualifications Framework (NQF). The objectives of the NQF are to: "

(a) create an 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;

(d) accelerate the redress of past unfair discrimination in education, training and employment opportunities; and thereby

(e) contribute to the full personal development of each learner and the social and economic development of the nation at large.”

The functions of SAQA are to: "

(a)

(i) oversee the development of the National Qualifications Framework; and

(ii) formulate and publish policies and criteria for

  • the registration of bodies responsible for establishing education and training standards or qualifications; and
  • the accreditation of bodies responsible for monitoring and auditing achievements in terms of such standards or qualifications;

(b) oversee the implementation of the National Qualifications Framework, including

(i) the registration or accreditation of bodies referred to in paragraph (a) and the assignment of functions to them;

(ii) the registration of national standards and qualifications;

(iii) steps to ensure compliance with provisions for accreditation; and

(iv) steps to ensure that standards and registered qualifications are internationally comparable.”

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1.5 SAQA Regulations, 1998 (Government Gazette, No 19231)

Section 14 of the SAQA Act makes provision for regulations governing the accreditation of Education and Training Quality Assurance bodies (ETQAs). ETQAs are a part of the NQF quality management system. In seeking accreditation from SAQA to be an ETQA in the HET band, the CHE will have to meet the criteria and guidelines laid down by SAQA. In the regulations, the functions of the ETQA are described as “

(a) accredit constituent providers for specific standards or qualifications registered on the National Qualifications Framework;

(a) promote quality amongst constituent providers;

(b) monitor provision by constituent providers;

(c) evaluate assessment and facilitation of moderation amongst constituent providers;

(d) register constituent assessors for specified registered standards or qualifications in terms of the criteria established for this purpose;

(e) take responsibility for the certification of constituent learners;

(f) co-operate with the relevant body or bodies appointed to moderate across Education and Training Quality Assurance Bodies including but not limited to, moderating the quality assurance on specific standards or qualifications for which one or more Education and Training Quality Assurance Bodies are accredited;

(g) recommend new standards or qualifications to National Standards Bodies for consideration, or modifications to existing standards or qualifications to National Standards Bodies for consideration;

(h) maintain a data-base acceptable to the Authority;

(i) submit reports to the Authority in accordance with the requirements of the Authority; and

(j) perform such other functions as may from time-to-time be assigned to it by the Authority. "

The addendum to the Criteria and Guidelines for ETQAs states the following:

“….. it is appropriate for the CHE, through the HEQC, as the ETQA of primary focus for higher education i.e. universities, technikons, colleges and private higher education institutions, in terms of the ETQA regulations, to perform the co-ordinating function to enable the establishment of the required partnerships with other ETQAs working in the band. The CHE then will:

  • Facilitate a common interpretation of quality assurance policy for the HET band by ETQAs operating in the band;

  • Co-ordinate the establishment of a common set of ground rules for the practice of quality assurance including the inter-relationship between quality assurance promotion, institutional audits and programme assessment;

  • Provide a platform together with SAQA for regular discussion on quality assurance policy and implementation issues by ETQAs in the HET band;

  • Co-ordinate and facilitate discussions to enable the required agreements between ETQAs to be established;

  • Set up in consultation with the other relevant ETQAs, co-ordinated timeframes for quality assurance visits to providers and facilitate other administrative quality assurance measures common to all ETQAs.”

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2. Vision/Mission

The HEQC is committed to a quality driven higher education system that contributes to socio-economic development, social justice and innovative scholarship in South Africa. To achieve this end, the HEQC will support the development, maintenance and enhancement of the quality of public and private higher education provision in order to enable a range of stakeholders to benefit from effective higher education and training. The central objective of the HEQC is to ensure that providers deliver high quality, cost effective education and training, and research which produces socially useful and enriching knowledge and skills as well as employable graduates. The policies and programmes of the HEQC will be guided by the above commitments and objectives.

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3. Principles/Values

3.1 The quality assurance system of the HEQC will seek to advance the related purposes and goals of the White Paper on higher education.

3.2 The quality assurance system of the HEQC will contribute to the role of higher education in the building of the NQF.

3.3 The HEQC will link the achievement of quality to equity and the fostering of innovation and diversity in higher education in order to ensure that quality requirements do not constrain higher participation rates or inhibit creativity and variety in higher education provision. The pursuit of excellence in relation to specified mandate and mission is assumed to be an imperative for all provision.

3.4 The HEQC will uphold the accountability requirements of higher education provision within the context of a strong developmental/formative approach to quality assurance. However, the HEQC will not hesitate to expose and act against persistent and unchanging poor quality provision.

3.5 The HEQC is committed to independence, objectivity, fairness and consistency in all its quality assurance activities. In the interest of transparency, evaluation reports will be available in the public domain, subject to the agreement of the HEQC.

3.6 The HEQC will work in a consultative and cooperative mode with partners and stakeholders in the attempt to develop a principled consensual or negotiated approach to quality and quality development.

3.7 The HEQC will strive to complement and enhance the internal quality development initiatives of providers in order to encourage and support their search for continuous performance achievement.

3.8 The HEQC will seek to facilitate the delivery of high quality education and training in relation to the relevant values and objectives of policy frameworks like the White Paper on Transforming Public Service Delivery (Batho Pele White Paper).

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4. Mandate

In accordance with the Higher Education Act, 1997, and the ETQA responsibilities of the CHE, the HEQC will:

4.1 Promote quality among constituent providers in higher education.

4.2 Audit the quality assurance mechanisms of higher education institutions and accredit them as providers of programmes leading to one or several NQF-registered qualifications.

4.3 Accredit programmes of higher education by certifying that providers have the systems and capacity to offer programmes leading to particular NQF-registered qualifications.

4.4 Co-ordinate and facilitate quality assurance activities in higher education within a partnership model with other ETQAs.

The above functions will be conducted within the framework and requirements of SAQA’s Criteria and Guildelines for ETQAs. The primary responsibility of the Council on Higher Education as an ETQA will be to ensure that the quality of qualifications in higher education is maintained and enhanced through evaluating and monitoring the capacity of higher education providers to deliver those qualifications effectively and efficiently. This will include looking at the quality assurance systems and processes of providers, their arrangements for assessment and moderation as well as the responsiveness, relevance and coherence of their qualifications in relation to their specified institutional mandates and missions.

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5. Goals

5.1 A more coordinated and diversified public higher education system is under construction in South Africa. The requirement to demonstrate the quality of provision measured against institutional mandate and mission will be common to all higher education institutions.

The HEQC will put in place a framework to support quality provision across a differentiated higher education landscape in order to ensure that mission specification is accompanied by quality improvements in the whole system. The framework will include a developmental approach to the quality requirements of mission achievement where appropriate and affordable. The implications and pre-requisites of such an approach for public and private providers will be addressed in further consultations.

5.2 A comprehensive accountability framework for quality assurance is also under construction in the country. This requires concurrent responsiveness by higher education institutions to the quality demands of SAQA and its structures, professional councils, Sector Education and Training Authorities (SETAs) as well as the HEQC. Meeting the quality demands of these bodies should not be confusing and unnecessarily burdensome for providers.

The HEQC will seek to develop a sensible accountability regime for providers through partnerships with other quality assurance bodies and the coordination of the quality assurance activities of multiple agencies in higher education.

5.3 South African higher education manifests a legacy of uneven quality in a sector divided along the lines of historically advantaged and disadvantaged institutions, universities, technikons and colleges, contact and distance education institutions, public and private providers, etc. The entry of private providers, both local and foreign, has opened up many new opportunities for learners but also raised concerns about the quality levels of private provision. The delivery of education through new technologies is also challenging traditional forms of quality assurance.

Within the context of the criteria and guidelines of standard setting bodies in higher education, the HEQC will focus on and ensure threshold levels of quality for public and private higher education within a common national framework. The intention is to instill public confidence in the quality of higher education provision, facilitate articulation between higher education institutions and programmes, and provide the foundations for the development and support of excellence at all levels of higher education and training. The identification of threshold levels of quality and their appropriate exit level outcomes will take into account changing notions and expectations of quality.

5.4 The effective functioning of a National Qualifications Framework to enable articulation and progression between the further and higher education bands and within the higher education band requires clear quality specifications for the different levels of qualifications.

The HEQC will seek to ensure that the quality, integrity and appropriateness of qualifications is maintained at all levels of the NQF relevant to higher education in order to guarantee the national and international credibility of South African qualifications. This task will include the evaluation and development of qualifications and appropriate recommendations to the National Standards Bodies and Standards Generating Bodies.

5.5 Debates and initiatives around the transformation of higher education have largely focused on issues of governance, financing, access, etc., and not sufficiently on crucial issues of teaching and learning, research, and knowledge based community service.

The HEQC will develop a quality assurance framework that includes an explicit focus on the quality of teaching and learning activities, research and community service in order to deepen and extend the process of higher education transformation.

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6. Approach to Quality

Despite the often differing conceptualisations and expectations of quality among different stakeholders in higher education, the HEQC intends to signal clearly its understanding of quality in order to:

  • Allow providers to engage with and operationalise such understandings within their own institutional contexts and missions.
  • Provide stakeholders with a framework within which to make judgments about the quality of higher education and training.
  • Enable the HEQC itself to develop the appropriate policy and procedures for the ETQA responsibilities of the CHE.

The HEQC will develop a quality assurance framework and criteria based on:

6.1 Fitness for purpose in the context of mission differentiation of institutions within a national framework.

6.2 Value for money judged not only in terms of labour market responsiveness or cost recovery but in relation to the full range of higher education purposes set out in the White Paper.

6.3 Transformation in the sense of developing the personal capabilities of individual learners as well as advancing the agenda for social change.

External judgments about the achievement of quality in respect of the above will be based on a rigorous but flexible approach which takes into account different degrees of emphasis on the above elements as well as different approaches to their achievement. All of the above will be located within a fitness of purpose framework based on national goals, priorities and targets.

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7. Approach to Quality Assurance

The HEQC supports the view that the primary responsibility for the quality of provision and appropriate mechanisms to assure that quality rests with higher education providers. The role of the HEQC will be to provide external validation of the judgements of providers about their quality levels, based on self evaluation reports. It will also provide a comparative framework for quality judgments across the system.

The HEQC will engage in rigorous external validation through site visits and a judicious/balanced use of peer review and qualitative and quantitative performance indicators. Once the HEQC is satisfied that demonstrable quality assurance capacity has been established across a spectrum of higher education providers, it will use a ‘light touch’ approach to quality assurance, based on an increasing measure of reliance on the self evaluation reports of providers.

Until that point is reached, the HEQC will facilitate the development of the quality assurance capacity of providers, strengthen their ability to engage in rigorous self evaluation and establish and monitor baseline information on the quality assurance systems, targets and achievements of providers. This support is intended to prepare providers to respond to rigorous accountability requirements at the end of the development phase. Private providers are also subject to the quality assurance requirements of the HEQC. Similar arrangements for external validation and self-evaluation will be put in place, and discussions initiated with relevant stakeholders on the capacity development needs and responsibilities of private providers.

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8. Scope of work

8.1 The needs and interests of a number of stakeholders are served by quality assurance in higher education – learners, educators and researchers, parents, employers, the government and other funders, society at large.

For example, learners want opportunities for personal development as well as certification from high quality providers to enhance progression and employment possibilities.

Higher education providers want an enabling regulatory environment and sensible accountability costs to be able to deliver high quality education and training.

Educators and researchers want an enabling work dispensation which allows them to focus on the core activities of teaching, research and community service and which also allows for their own development.

Employers want flexibly skilled graduates who do not need a long settling in period before they contribute to productivity and competitiveness.

Government and society in general want value for money in terms of an increasingly high skilled work force, economic competitiveness and social development.

The HEQC will have to ensure that the assurance and information needs of these different stakeholders are acceptably addressed through the focus and quality requirements of its work.

Because of the responsibility to accredit providers through the ETQA role of the CHE, the HEQC will focus on providers and their ability to develop and enhance quality in their under-graduate and post-graduate learning programmes leading to NQF-registered qualifications, with the intention that this will serve the quality assurance interests of all major stakeholders. The inclusion of a range of relevant stakeholders on audit and evaluation panels will ensure that providers are addressing the quality assurance interests of different constituencies.

8.2 The quality of research is assumed to be an integral part of the CHE/HEQC’s overall responsibility for quality assurance in higher education. However, the actual assessment of research will be conducted co-operatively with other relevant organizations within the context of a policy framework that is acceptable to the CHE/HEQC.

8.3 The quality of community service programmes is assumed to be an integral part of the CHE/HEQC’s overall responsibility for quality assurance in higher education. Many countries have seen an increase in the inclusion of community service programmes in higher education curricula and in their assessment and certification as part of formal learning processes. The National Skills Authority and its associated Sectoral Education and Training Authorities (SETAs) are committed to the concept of “learnerships” in higher education which provide learners with on-site work experience, education and training. The quality assurance of community service programmes and/or learnerships will be conducted co-operatively with other bodies, such as SETAs, within the context of a policy framework that is acceptable to the CHE/HEQC.

8.4 The NQF is premised on the achievement of a range of competencies as the outcomes of education and training systems. This will require the HEQC to develop appropriate quality assurance measures to validate specified outcomes in relation to the different purposes of higher education. However, within the context of a developmental approach to quality outcomes in the first phase of its work, the HEQC will also address the systems and processes of quality assurance of providers with a view to providing formative support for the successful delivery of outcomes.

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9. Areas of Responsibility

The HEQC will engage in and take responsibility for the following areas of activity, many of them in partnership with institutional and system level role players. The list which follows constitutes a comprehensive and ambitious agenda of work for the HEQC. Priorities and areas of focus among and within them will be established as a matter of urgency, depending on available financing and human resource support. Some programmes in these areas of work will also be introduced in a phased and incremental way. Some areas of work may also be delegated or outsourced to other organizations or agencies.

9.1 Accreditation and Evaluation

(a) The accreditation of public providers to offer stipulated learning programmes leading to NQF-registered qualifications.

(b) The accreditation of private providers to offer stipulated learning programmes leading to NQF-registered qualifications.

(c) Collaboration with professional councils and SETAs on the accreditation/evaluation of professional and workbased programmes leading to NQF-registered qualifications.

(d) The development and implementation of an evaluation framework for learning programmes leading to NQF-registered qualifications which are not covered by professional councils and SETAs.

9.2 Certification

Under current legislation, SERTEC is responsible for the certification of technikon qualifications. The private acts of universities allow them to certify their own qualifications. SAQA regulations assign responsibility for certification to the relevant ETQA, in this case the CHE, with the possibility of delegation. The CHE/HEQC may delegate certification responsibility to providers where appropriate and possible.

9.3 Auditing/Institutional Review

The review of the effectiveness of quality assurance policies and systems of all public and private providers of higher education, with particular emphasis on teaching and learning and research arrangements.

9.4 Capacity Development

The development and implementation of initiatives to build and/or strengthen the capacity for high quality provision at institutional, learning programme and individual levels. Capacity development will be undertaken where appropriate in partnership with relevant national agencies and organizations.

9.5 Quality Promotion

The development of a programme of activities to institutionalise a quality culture in higher education and the commitment to continuous quality improvement.

9.6 Quality Assurance Coordination

Setting up a forum for discussion, exchange of information and joint initiatives among relevant ETQAs and other national agencies in higher education.

9.7 Research

The development of a research programme to stimulate and support quality development in higher education provision. This will include best practice and benchmarking information.

9.8 International Liaison

The development of linkages with international quality assurance organisations and networks in order to share information and best practices as well as participate effectively in international debates and initiatives on quality provision and articulation in higher education across national boundaries.

9.9 Information

The development of a database containing information on higher education providers and the programmes for which they have been accredited. The database will be accessible for public use.

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10. Strategies

The HEQC will seek to support and strengthen the quality of higher education provision through:

10.1 Forming appropriate relationships with higher education institutions and partnerships with national and regional higher education organisations, professional councils, SETAs, and other relevant stakeholders with quality assurance interests. This will also include liaison with quality assurance structures in the Further Education and Training band.

10.2 Coordinating the quality assurance activities of a range of ETQAs in higher education through bilateral and multilateral contractual agreements, exchange of information and setting up a forum for dialogue.

10.3 Facilitating and/or implementing quality relevant capacity development programmes at institutional, programme and individual levels.

10.4 Facilitating the sharing of good and innovative practice in higher education provision from local and international experience in order to foster the achievement of national and international benchmarks.

10.5 The establishment of a system to enable learners and members of the public to raise quality related concerns which could be investigated promptly by the HEQC or taken up during institutional audits.

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11. The link between quality assurance and funding/accreditation

11.1 The HEQC will not, on the basis of its evaluations, make any recommendations on the funding of programmes leading to NQF-registered qualifications, which is a Department of Education responsibility. However, the reports of the HEQC will be available to the CHE and the higher education branch of the Department of Education (DoE) for appropriate advice or action with regard to the funding of programmes of public providers where there are continuing quality problems.

11.2 Learning programmes with quality problems will be referred to their providers for quality improvement within a stipulated timeframe. In the face of persistent and unaddressed quality problems, such providers could lose their accreditation to offer learning programmes leading to the NQF-registered qualifications concerned.

11.3 All programmes leading to NQF-registered qualifications of public providers, irrespective of whether or not they receive DoE funding, will be subject to the quality assurance requirements of the HEQC. All private providers will require accreditation by the HEQC and registration by the DoE in order to operate.

11.4 Incentive funding for quality development, for innovations in quality assurance and for the sustaining of best practices in teaching and learning, research and community service should be available on a competitive basis to public higher education institutions from the DoE higher education budget.

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12. Governance

12.1 The HEQC will be responsible to the CHE in all policy and operational matters.

12.2 The HEQC will operate within the framework of the SAQA Act and regulations, and in accordance with the Criteria and Guidelines for ETQAs. This also makes provision for the monitoring of the work of the ETQA by SAQA. The HEQC will also work closely with the DoE, especially in relation to issues concerning the registration of private providers and regulations around their operation.

12.3 The HEQC will consist of not more than thirteen members who will encompass a broad spectrum of expertise, knowledge and competencies and who will be appointed by the CHE on the basis of an open call for nominations. Members will serve on the HEQC in their own individual capacities. Members will be appointed for a three year term with the possibility of serving one additional three year period.

12.4 The majority of the members will not come from provider institutions.

12.5 The chairperson of the HEQC will be a member of the CHE.

12.6 The Executive Director of the HEQC will be an ex-officio member of the HEQC.

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13. Critical Success Factors

The HEQC’s ability to contribute to the development of an effective differentiated higher education system will depend on:

13.1 Strategic partnerships with key role players at national, regional and institutional levels.

13.2 Identification of priorities and programmatic objectives within stipulated timeframes and in accordance with resourcing capacity.

13.3 The development of clear and user friendly policies, procedures and requirements of the HEQC’s quality assurance system.

13.4 An effective communications strategy around the above.

13.5 Competent professional and administrative staff to carry out a diverse range of activities (The panel which evaluated SERTEC and the former QPU recommends fifteen people including eight to ten professional staff).

13.6 Financial resources adequate to the quality promotion, evaluation and development needs of the higher education system.

13.7 An innovative multipronged capacity development programme.

13.8 The development of an analytical and self-reflective approach to quality assurance, both within the HEQC and the providers which it accredits.

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