Higher Education Act, 1997 (Act No. 101 of 1997)RegulationsRegulations for the Registration of Private Higher Education Institutions, 2003AnnexureImportant requirements for completing the application form |
This guide was developed to assist institutions who, wish to apply to the DOE for registration as private higher education institutions. It is important to bear in mind that this document is only a guide and that additional information may be required to support the application.
This guide accompanies an application form (Form APX-01). The guide is linked to the various sections of the application form. Applicants are, therefore, strongly urged to read through the guide carefully before commencing with the completion of the application form. Applicants are also strongly advised to read the guide in conjunction with the Act and the Regulations.
When completing the application form, the following must be borne in mind:
| a) | An application for registration must be lodged with the DOE at least 18 (eighteen) months before the applicant proposes to initiate operations. |
| b) | All sections of the form must be completed fully and in the required format and the form must be submitted to the DOE. The Registrar of Private Higher Education Institutions will not process an incomplete application or an application that does not address the items as required. |
| c) | All application documents must carry the date of submission to the DOE. |
| d) | The application documents can be accessed electronically in Microsoft Word for Windows on the DOE website at: http://education.gov.za/DoE Sites/Higher Education/Registrar. However, all applications must be submitted as hard copies. |
| e) | The application fee must be paid by means of a cheque made out to the DOE. |
| f) | Important supporting documentation in the form of listed annexure’s must be provided as part of the application. |
| g) | The application consists of the following 11 sections: |
Section A: Administrative data (Items 1-6)
Section B: Company registration and governance particulars (Items 7-20)
Section C: Particulars of learning programmes (Items 21 and 22)
Section D: Projected staff and student data (Items 23-25)
Section E: Data on GET and FET programmes (Items 26-28)
Section F: Financial viability reports and legal documents (Items 29-34)
Section G: Quality assurance and monitoring (Items 35-37)
Section H: Inter-institutional agreements and marketing information (Items 38 and 39)
Section I: Admission information and student rules (Item 40)
Section J: Declaration on non-discrimination (Item 41)
Section K. Additional information to be submitted by foreign applicants only (Items 42-44)
An application checklist is provided at the end of this document to help applicants determine whether all the required information is included.
In the spaces provided on Form APX-01, the required information must be provided as explained per item below. Each explanation corresponds to the item on Form APX-01.
Item 1
Supply the legal name of the company that is applying for registration as a private higher education institution. Only companies that are registered or recognised as juristic persons in terms of the Companies Act are eligible to apply.
Item 2
Fill in the name, designation, telephone number, fax number and e-mail address of the authorised contact person for all correspondence to the applicant
Item 3
Fill in the postal address to which all correspondence to the applicant should be mailed.
Item 4
Fill in the physical address and contact details of the applicant's head office. The street number, suburb and city or town must be clearly indicated.
Item 5
If the physical address and contact details of the applicant's main campus are different from those of its head office, the physical address of the main campus must be indicated in the space provided.
Item 6
Fill in the applicant's website address.
Item 7
Supply the legal name in which the applicant was established as a juristic person in terms of the Companies Act. This name should be the same as in Item 1 above.
Item 8
Supply (if applicable) another official trading name, abbreviation, acronym or translation under which the applicant is conducting its business or intends to conduct its business.
Item 9
Indicate the applicant's type of juristic person (e.g. Private company or Association incorporated under section 21).
Item 10
Fill in the company registration number as it appears on the Certificate of incorporation or Certificate of Registration of Memorandum of External Company. The registration number should be written in full, e.g. 2000/123456/09.
Item 11
Indicate whether the applicant is a local or foreign juristic person, as defined in section 1 of the Act.
Item 12
If the applicant is a foreign juristic person, indicate the country of origin
Item 13
If the applicant is a foreign juristic person, please supply, in the spaces provided, the following details of the parent institution in the country of origin:
| a) | Name of the parent institution |
| b) | Name of the head of the parent institution |
| c) | Postal address |
| d) | Physical address |
| e) | Telephone number |
| f) | Fax number |
| g) | E-mail address |
| h) | Website address |
Item 14
This item is divided into (a) and (b).
| a) | In the spaces provided, the following details of the head or Chief Executive Officer of the applicant must be filled in: |
| i) | Name (including initials and surname) |
| ii) | Designation |
| iii) | Identity number (Passport number and citizenship if not South African) |
| iv) | Telephone numbers (including the cellular phone number, if available) |
| v) | Fax number |
| b) | In the spaces provided, the following details of the applicant's directors must be filled in: |
| i) | Surname and initials |
| ii) | Title |
| iii) | Designation in the organisation |
| iv) | Identity number (Passport number and citizenship if not South African) |
Item 15
Fill in the applicant’s physical address and contact details to be used as domicilium citandi et executandi for all purposes arising out of, or in connection with, the application for registration as a private higher education institution.
Item 16
If applicable, give the name of the applicant’s holding company, or any other organisation to which the applicant is legally, commercially or academically subordinate, or on which it is otherwise dependant such as a trust or religious body.
Item 17
Indicate the relationship between the applicant and its holding company or any other organisation as defined in item 16 above.
Item 18
In the spaces provided, fill in the names, titles and identity numbers of the owners of the company, as reflected in the Memorandum and Articles of Association issued by CIPRO,
Item 19
In (a), fill in the name (of the firm) of the applicant’s auditor, appointed under Chapter X of the Companies Act and registered as an auditor in terms of the Public Accountants’ and Auditors’ Act; 1991 (Act No. 80 of 2991). In (b) the auditor’s practice or registration number, as issued by the PAAB, should be filled in.
Item 20
In this item the following details of the applicant must be filed in:
| a) | Value-Added Tax registration number |
| b) | Income Tax number |
| c) | Business registration number issued by the Metropolitan Council or Local Authority in terms of the Regional Services Council Act, 1985 (Act No. 109 of 1985). |
The accreditation status of programmes with the HEQC is an important requirement of the Act for the registration of private higher education institutions. The registrar must be satisfied that the institution will provide education of a standard not inferior to a comparable public institution, and that it will comply with the requirements of the HEQC.
Item 21
Details of all programmes submitted to the HEQC for accreditation as higher education programmes must be supplied in Table 01.
For the mode of instruction, please choose either (a) contact education or (b) distance education. Each mode is briefly explained below.
| a) | Contact education |
This involves personal interaction with teachers or supervisors through lectures, tutorials, seminars, practicals and supervision, and occurs at the applicant's premises or site(s).
| b) | Distance education |
The interaction between students and teachers or supervisors is undertaken through distance education techniques, such as correspondence or telematic education. There are a number of different forms of distance education, including:
| i) | Correspondence learning |
takes place when there is little or no face-to-face contact between the educator and the learner. The learner works independently with no support services and the learning material is usually delivered by post or electronically.
| ii) | Open learning |
is a form of distance education, which combines face-to-face and other support services such as print materials and telematics.
Item 22
"Site" refers to any learning site, such as a campus, satellite campus or learning centre, controlled and administered by the applicant. All learning sites where higher education programmes are delivered must be accredited. Only accredited programmes and sites of delivery for which the applicant assumes legal and financial responsibility will be registered. In the columns provided in Table 02, the following details of the proposed sites of delivery must be supplied:
| a) | The name and physical address of the site |
| b) | Programmes to be delivered at the site |
Item 23
In Table 03, the headcount staff and student totals must be supplied for the first three years of operation. The data must be supplied in the required format and according to the categories supplied. The data must be for programmes that the applicant proposes to offer as higher education programmes in accordance with the Act.
Before responding to this item, the following explanations must be taken into consideration:
| a) | Headcount student enrolment |
A headcount student enrolment is literally a counting of heads. Students are counted as units, regardless of whether they are full-time or part-time, and regardless of the number of courses for which they are enrolled. For example, students enrolled for 20%, 50% or 100% of a full-time curriculum will all be counted as units in a headcount total.
The headcount totals reported in the tables must be unduplicated ones. In an unduplicated headcount enrolment total a student is counted once only. If a student is registered for more than one qualification, he/she must be counted only for the qualification considered by the applicant to be his/her main qualification.
| b) | Headcount staff totals |
A headcount total of staff is literally a counting of heads. Every applicant should indicate how many of its staff are full-time and how many are part-time.
| c) | Academic/Research staff |
These are the academic members of the applicant’s staff involved in teaching and research.
| d) | Support staff |
These are the members of staff who, either directly or indirectly, support the applicant’s instructional activities. To be placed in this category are members of staff who perform functions such as academic support services, student support services, human resource management, financial management and administration.
| e) | Service staff |
These are members of staff who perform auxilliary services, such as the operation and maintenance of the physical premises, and who work on, for example, building maintenance, garden services, custodial services and security services.
Item 24
In Table 04, the details of programmes the applicant proposes to offer as higher education programmes in accordance with the Act must be supplied The following explanation must be taken into account before responding to this item:
NQF fields
In terms of Government Gazette No. 20234, of 25 June 1999, SAQA has determined the following fields and sub-fields for purposes of registering qualifications with the NQF.
"Qualifications" refers to degrees, diplomas and certificates that an applicant proposes to award to students on successful completion of a programme of study. Before completing the form, it is important to check in which field your learning programme belongs.
Primary and secondary agriculture, nature conservation, forestry and wood technology, horticulture.
Design studies, visual and performing arts, cultural studies, music, sport, film, television and video.
Finance, economics and accounting, generic management, human resources, marketing, procurement, office and public administration, project management, public relations.
Communication and information studies, language, literature.
Schooling, higher education and training, early childhood development, adult learning.
Engineering and related design, manufacturing and assembly, fabrication and extraction.
Environmental relations, general social science, industrial and organisational governance and human resource development, people-/human-centred development, public policy, politics and democratic citizenship, religious and ethical foundations of society, rural and agrarian studies, traditions, history and legacies, urban and regional studies.
Safety and justice in society, sovereignty of the state.
Preventive health, promotive health and development services, curative health, rehabilitative health services.
Mathematical, physical, life, information technology and computer, earth and space and environmental sciences.
Hospitality, tourism, travel, gaming and leisure, transport, operations and logistics, personal care, wholesale and retail, consumer services
Physical planning, design and management, building construction, civil engineering construction, electrical infrastructure construction.
NQF levels
While the development of level descriptors is still being finalised by SAQA, the following is a guide for purposes of completing Form APX-01:
NQF level 5 broadly refers to certificates and diplomas.
NQF level 6 generally includes all first-degree qualifications.
NQF level 7 refers to postgraduate qualifications at honours and master's degree levels.
NQF level 8 refers to doctoral degrees.
Item 25
In Table 05, the details of higher education programmes for which the applicant offers support, such as tuition, on behalf of another institution must be supplied. Certifying institution refers to the institution that is responsible for issuing certificates and awarding degrees and diplomas to successful students at the end of a programme of study.
Item 26
| a) | By means of a Yes or a No, indicate whether you offer programmes in the GET band. |
| b) | If Yes, the registration number as an independent school or an ABET centre must be supplied. The number is assigned by the Provincial Education Department. |
Item 27
By means of a Yes or a No, please indicate whether you offer programmes in the FET band.
If applicable, the GET and FET student and staff data for the current year must be supplied in Table 06, in the requited format and according to the categories indicated.
Item 29
Annexure A(1)
Audited annual financial statements OR Audited three-year financial forecasts
| a) | Audited annual financial statements |
An applicant that is already operating in the GET and/or FET band(s) or any other business, but wants to extend its operations to higher education, must submit its most recent audited annual financial statements for the existing business and a business plan for the proposed higher education operations. For purposes of applying for registration as a private higher education institution, the applicant’s directors must prepare and submit the audited annual financial statements for the previous financial year. The preparation and presentation of the financial statements must comply with the requirements of the Higher Education Act; 1997 (Act No. 101 of 1997, the Companies Act, 1973 (Act No. 61 of 1973) and the Statements of GMP. The financial statements must include the following:
| • | Auditor’s report |
| • | Directors ’ report |
| • | Balance sheet |
| • | Income statement |
| • | Cash-flow statement |
| • | Statement of changes in equity |
| • | Summary of accounting polices |
| • | Notes to the financial statements |
The auditor’s report referred to above must comply with requirements as explained in the following section:
| i) | The auditors report |
In terms of the Act, the auditor’s report must be issued by a registered independent auditor. In terms of form and content, the auditor’s report must conform to the SAAS 700 issued by the SAICA. The auditor’s report must be issued on the auditor’s official letterhead. In the report, the auditor must express his/her opinion on the appropriateness of the management‘s use of the going concern assumption in their preparation of the applicant’s financial statements. In terms of section 56(1)(b) of the Act, the auditor’s report must be available for public scrutiny. Further, the auditor must indicate whether or not he/she concurs with the directors’ Financial Viability statement referred to below.
| ii) | Directors’ report |
Any matter not dealt with in the balance sheet, statement(s) of changes in equity, income statement, cash-flow statement or notes thereto, must be dealt with in the directors’ report. Any post-balance-sheet event that is material to the appreciation of the financial position of the applicant, its changes in equity, and the results of its operations and cash flows must also be tabled in the directors’ report.
In terms of format and content, the directors’ report must comply with section 299 and Part III of Schedule 4 of the Companies Act. It must, therefore, include, but not be limited to, the following aspects:
| • | Directors and secretary |
| • | Principal activities/Nature of business |
| • | Directors’ responsibilities |
| • | Going concern assessment |
| • | Operating results |
| • | Dividends |
| • | Review of operations – |
| o | Revenue |
| o | Profit before tax |
| o | Extraordinary items |
| • | Share capital |
| • | Post-balance-sheet events |
| • | Financial viability statement |
The following verbatim statement must constitute the Financial Viability Statement referred to in the list above:
The Chief Executive Officer, or an official of similar standing, must s i g n the directors’ report.
| b) | Audited three-year financial forecasts |
A new applicant who has not previously operated in any form whatsoever, must submit an audited three-year financial forecast. The three-year financial forecast must consist of the following:
| i) | Auditor’s report |
| ii) | Detailed assumptions |
| iii) | Balance sheet |
| iv) | Pro foma income statements for three years |
| v) | Pro foma cash flow statements for three years |
| vi) | Explanatory notes to the financial forecasts |
| (aa) | Detailed assumptions |
These assumptions should serve as the basis for all the figures and calculations done in the pro forma statements.
| ) | Balance sheet |
This statement, must, on analysis, be in a position to provide answers to the following
| - | What assets does the applicant own? |
| - | How much does the applicant intend investing in the proposed operations? |
| - | What are the applicant’s sources of fun? |
| - | What is the proportion of debt to be incurred vis-a-vis own capital/equity? |
| ) | Pro forma income statements |
These statements must, on analysis, be able to show all the sources of the applicant’s income and the amounts to be generated from each source. They must further indicate how the applicant is to meet the following funding requirements (start-up expenditure line items):
| - | Capital costs |
| - | Student accommodation |
| - | Laboratory and/or workshop equipment |
| - | Library facility |
| - | Student support services |
| - | Student financial aid |
| - | Research |
| - | Quality assurance and quality promotion |
| - | Professional fees (legal financial, etc.) |
| - | Costs for developing operational policies |
| - | Systems design, purchase and implementation |
| - | Promotion/Advertising/Marketing Costs |
| - | Furniture |
| - | Electronic equipment (teaching and Iearning) |
| - | Vehicles |
| - | Staff recruitment |
| - | Staff salaries |
| - | Rent |
| - | Travel |
| - | Recreation |
| - | Telecommunications |
| - | Office consumables, etc. |
| ) | Pro foma cash flow statements |
These statements must indicate how much, during the first three years of operation, the applicant expects to -
| - | generate for/from operating activities; |
| - | generate for/from investing activities; and |
| - | generate for/from financing activities. |
| ) | Explanatory notes |
Aspects that have not been dealt with as part of Assumptions, should be clearly explained in this section. Where applicable, this section should include, but not be limited to, the explanation of the following:
| - | Dividend policy (if any) |
| - | Financing terms and conditions |
| - | VAT treatment, etc. |
Item 30
Annexure A(2): Business plan
The audited three-year financial forecast or audited annual financial statements to be submitted to the Registrar of Private Higher Education Institutions must be accompanied by a detailed three-year business plan containing the following headings:
| 1) | Executive Summary of the Business Plan |
| 2) | Vision, Mission and Organisation Objectives |
| 2.1) | Vision |
| 2.2) | Mission |
| 2.3) | Objectives |
| 3) | Scope of operations |
| 3.1) | Description of infrastructure to be used and its suitability for the proposed programmes. |
| 3.2) | Nature and level of research to be conducted. |
| 3.3) | Areas in which expansion is contemplated within the last three years. |
| 4) | Planned structure of the organisation |
By means of an organogram, the planned structure of the organisation must be indicated. The organogram must depict all the organisational divisions and their management. It must also show the number of academic and support staff in each academic division. (As an example, see the diagram below).
Flowchart left out!
| 5) | Market Research, Assessment and Feasibility |
| 5.1) | Description of the target market. |
| 5.2) | Current and long-term demand of the proposed programme offerings. |
| 5.3) | Degree of concentration of similar programme offerings by other public or private providers in the geographical area of the applicant's proposed location. |
| 6) | Risk Analysis and Management Strategies |
| 6.1) | External risks such as market risks and economic risks. |
| 6.2) | Internal risks such as: |
| a) | Governance/Management/Systems inadequacies/Capacity failure |
| b) | Financial risk |
| c) | Marketing risk |
| d) | Implementation risk |
| 6.3) | Risk management strategies: |
| a) | Implementation and phasing, |
| b) | Risk monitoring indicators |
| c) | Financial risk indicators |
| d) | Risk Management approach |
| 7) | Organisational policies |
| 7.1) | Staffing policy |
| a) | Employment Equity policy as determined by the requirements of the Employment Equity Act, 1998 (Act No. 55 of 1998). |
| 7.2) | Institutional policy dealing with: |
| a) | Student admission policy |
| b) | Language policy |
| c) | Rules relating to assessment, academe credits, progression and qualification |
| d) | Fees and charges, including refund in case of cancellation and withdrawal |
| e) | Student financial aid |
| f) | Student support services |
| g) | Student rules and regulations/Code of conduct |
| h) | Staff and student grievance policies and procedures |
| 7.3) | Occupational health and safety policy. |
| 7.4) | HIV/AIDS policy |
| 8) | Implementation framework |
| 8.1) | Implementation time frames |
| 8.2) | The rationale for these time frames |
| 8.3) | Critical success factors for this projects |
Item 31
Annexure A(3): Surety agreement
In terms of Regulation 13(2), an applicant is required to set up surety or guarantee to ensure that the applicant is able to meet its obligations to students for as long as it remains a registered private higher education institution. As documentary proof to this effect, a signed certified copy of the Agreement must be submitted to the Registrar. In this agreement there must be a clear indication of the following:
| a) | Parties entering into the agreement |
| b) | What is agreed upon |
| c) | Terms |
| d) | Conditions |
| e) | The amount of surety or guarantee |
| f) | How the amount was determined |
| g) | Any other consideration |
The surety agreement must be structured in such a way that it takes into account enrolment fluctuations.
Item 32
Annexure B: Company registration documents
One of the eligibility criteria for registration as a private &her education institution is that the applicant should be a registered or recognised juristic person established in terms the Companies Act. As proof thereof, please submit signed certified copies of the Certificate of Incorporation, Articles of Association and a Memorandum of Association, or a Certificate of Registration of Memorandum of External Company as issued by CIPRO of the Department of Trade and Industry. To be regarded as valid, these documents should bear the official Seal and the signature of the Registrar of Companies.
Item 33
Annexure C: Occupational health and safety audit report(s)
The occupational health and safety compliance audit reports for all sites of delivery must be submitted. The audit reports must be issued by a legally competent health and safety professional or organisation.
Item 34
Annexure D: Business registration certificate
A certified copy of the business registration certificate issued by the Metropolitan Council or Local Authority in terms of the Regional Services Councils Act must be submitted.
The declarations contemplated under this section will bind the institution to the requirements of the Act in terms of subjecting itself to the quality assurance mechanisms as determined by the HEQC.
Item 35
Annexure E: Declaration on application for accreditation
The following verbatim declaration must be submitted by the applicant on its official letterhead and must be dated and signed by the Chief Executive Officer of the applicant or an official of similar standing in the organisation:
| a) | ...................... |
| b) | ....................... |
| c) | ....................... |
The original of this declaration must be submitted.
Item 36
Annexure F: Undertaken on institutional capacity
The original of this declaration must be submitted.
Item 37
Annexure G: Declaration on monitoring and evaluation
The following verbatim undertaking must be submitted by the applicant on its official letterhead and must be dated and signed by the Chief Executive Officer of the applicant or an official of similar standing in the organisation:
The original of this declaration must be submitted.
Item 38
Annexure H: Inter-institutional agreements
If applicable, signed certified copies of agreements with other education institutions, whether South African or foreign, must be submitted. Each agreement must reflect the programmes involved. Copies of letters and membership certificates are not acceptable for this purpose.
Item 39
Annexure I: Student prospectus, calendar or brochure
If available, a copy of your student prospectus, calendar or brochure must be submitted.
Item 40
Annexure J: Enrolment forms, student contracts, rules and regulations
Sample copies of your enrolment form, contract or written agreement with your students and, if applicable, student rules and regulations must be submitted. An indication of admission criteria and a proposed schedule of fees must be attached.
Item 41
Annexure K: Non-discrimination declaration
The following verbatim declaration must be submitted by the applicant on its official letterhead and must be dated and signed by the Chief Executive Officer of the applicant or an official of similar standing in the organisation: