The disciplinary framework for SAQCC-registered training providers, assessors and moderators. Revision 9 · September 2023.
This procedure sets out how SAQCC handles misconduct by, or a complaint against, any registered Accredited Training Provider (SDP), Registered Assessor or Registered Moderator. SAQCC is authorised by the Department of Employment and Labour (DoEL) and the relevant SETAs to execute disciplinary policy and procedure for non-compliance with the Occupational Health and Safety Act, the Mine Health and Safety Act, the Driven Machinery Regulations and the National Code of Practice for Lifting Machinery.
Every SAQCC-registered provider, and every assessor and moderator it uses, must comply with the Code of Good Practice — the standards of conduct set by the QCTO, the relevant SETA and SAQCC, read together with the QCTO accreditation conditions and the relevant Acts and Regulations. Where a registered party acts in breach of the Code, a disciplinary process — including audit, verification and moderation — will be initiated.
The procedure exists so that fair, prompt, firm and consistent action can be taken whenever the conduct or performance of a registered party falls short of the Code. It is built on the following principles:
The tables below detail the most severe penalty for each listed offence. Each case is judged on its own merits, so a lesser sanction — or none — may apply depending on the circumstances. All cases are subject to investigation through a proper disciplinary process and the observance of full procedural fairness.
The following offences are serious enough that, on a first offence, they are referred directly to a SAQCC Disciplinary Hearing and may result in de-registration from the national database.
| Offence | Maximum sanction |
|---|---|
| Fraud — the intentional act of deception intended to secure an unfair advantage or wrongful gain, involving misrepresentation, concealment or omission of the truth for financial benefit. | SAQCC Disciplinary Hearing — De-registration |
| Dishonesty and misrepresentation of facts. | SAQCC Disciplinary Hearing — De-registration |
| Actual or attempted bribery. | SAQCC Disciplinary Hearing — De-registration |
| Failure to observe safety procedures and drills where such failure may cause damage to property or injury to any person (including self). | SAQCC Disciplinary Hearing — De-registration |
| Falsification of any document to mislead by misrepresenting facts, including non-disclosure of a conflict of interest. | SAQCC Disciplinary Hearing — De-registration |
| Working outside the scope of registration. | SAQCC Disciplinary Hearing — De-registration |
| Issuing, or causing the issue of, a competency certificate to a learner who has not been properly trained and assessed as competent against the registered unit standard or skills programme. | SAQCC Disciplinary Hearing — De-registration |
| Delivering training or issuing competency certificates while not registered with SAQCC, or after registration or accreditation has lapsed, been suspended or withdrawn. | SAQCC Disciplinary Hearing — De-registration |
| Unauthorised use or forgery of another registered provider's, assessor's or moderator's name, signature, registration number, or of a certificate serial number. | SAQCC Disciplinary Hearing — De-registration |
| Contravention of one or more clauses of the "Code of Good Practice for Accredited Training Providers". | SAQCC Disciplinary Hearing — De-registration |
The following offences are ordinarily dealt with first by the relevant SETA Association through a warning. They escalate to a SAQCC Disciplinary Hearing if they are repeated or are part of an ongoing pattern.
| Offence | Sanction |
|---|---|
| Negligence of proper procedures and performance of duties, or carelessness. | Association Hearing — Written Warning |
| Misrepresenting facts on any document, including non-disclosure of required information. | Association Hearing — Written Warning |
| Disclosure of confidential or sensitive information to any party not authorised to receive it. | Association Hearing — Written Warning |
| Bringing SAQCC, a SETA or another registered provider into disrepute through media platforms, or making false or defamatory statements about them. | Association Hearing — Written Warning |
| Non-payment of registration, verification or other fees owed to SAQCC. | Written Warning — escalating to suspension or de-registration on continued non-payment |
Minor offences are administrative or procedural lapses that do not involve dishonesty, a safety risk or harm to a learner. They are addressed first through counselling or a corrective notice; a minor offence that is not corrected, or that is repeated, escalates to a written warning.
| Offence | Sanction |
|---|---|
| Late or incomplete submission of learner uploads, or of the monthly Statement of Results. | Verbal Warning / Corrective Notice |
| Failure to keep contact, accreditation or registration details current on the SAQCC database. | Verbal Warning / Corrective Notice |
| Missing a moderation or verification deadline without prior arrangement. | Verbal Warning / Corrective Notice |
| Failure to report observed non-compliance by another provider, assessor or moderator. | Verbal Warning / Corrective Notice |
| Failure to produce the SAQCC registration or supporting documents when reasonably requested during an audit. | Verbal Warning / Corrective Notice |
| Not using the prescribed SAQCC forms or templates for uploads, applications or site approvals. | Verbal Warning / Corrective Notice |
A minor offence is dealt with through the informal route by the relevant SETA Association. An uncorrected or repeated minor offence is escalated to a written warning and dealt with as serious misconduct.
| Outcome | What it means |
|---|---|
| De-register for 1 year, then under mentorship | De-registered on the SAQCC national database. After completing a 1-year mentorship, the party may re-apply to SAQCC for re-registration. |
| De-register but work under mentorship for a fixed period | The party works under a mentor for a fixed period agreed with the Association to fulfil specified requirements, then re-applies on completion of the mentorship period. |
| De-register for life | Permanent de-registration on the SAQCC national database. |
The relevant SETA Association investigates the alleged transgression. Where the breach is minor, the Association is empowered, on behalf of SAQCC, to issue a verbal or written warning and must copy SAQCC accordingly. Where the party is an employee of a company, the employer is also informed in writing. All written warnings are signed by the parties concerned, with a copy supplied to the SAQCC Disciplinary Committee. If the party refuses to sign, two witnesses may testify to that effect and sign the warning themselves.
Where the alleged transgression is of a serious or ongoing nature — or where guilt could lead to loss of registration — the Initiator informs the SAQCC Disciplinary Committee, which convenes a formal Disciplinary Hearing. The Code of Conduct is used as a guideline for laying charges and imposing sanctions; because the list is not exhaustive, the Chairperson applies reasonable discretion in deciding an appropriate sanction.
A complaint may be lodged by a member of the public, an employer, a learner, a SETA or Association, or by SAQCC itself. A complaint must be brought within six months of the event — or within six months of the complainant becoming aware of it, where earlier knowledge was not reasonably possible.
The complaint must be made in writing on the prescribed form and must set out:
Where a complaint is incomplete, SAQCC notifies the complainant of the defect. The complainant then has seven days to correct and resubmit it. A complaint is not referred to a hearing until it is procedurally correct.
Before any hearing is instituted, SAQCC — through the relevant Association — conducts an investigation to establish whether there are sufficient grounds to proceed. One or more investigators are appointed, and where specialist knowledge is needed an independent expert may be engaged. SAQCC may, at its discretion, first remind a party informally that its conduct may lead to a hearing and must be corrected; such counselling is not part of the formal disciplinary proceedings.
The Chairperson of the relevant Association then scrutinises the complaint to confirm that it concerns a permissible offence, was brought within the time limit, and discloses a prima facie case. Only then is the matter referred to a Disciplinary Hearing Panel.
For a hearing to be procedurally fair, the Defendant must:
The Defendant must notify SAQCC, in writing and at least three days before the hearing, of the names of any representative and witnesses. A request for a postponement must reach SAQCC at least five days before the hearing and must set out its merits. The Defendant may object to the impartiality of the Chairperson before proceedings begin; the Chairperson will recuse himself or herself if reasonable grounds exist.
If the Defendant fails to attend without a legitimate reason, or fails to respond to the notice, the hearing may proceed in his or her absence on the basis that the facts and evidence in the complaint are correct, and no representation by the Defendant will be allowed.
At a formal hearing, the Defendant is entitled to:
Costs incurred by the Defendant or his or her witnesses — including travel, accommodation and any representation — are for the Defendant's own account, whatever the outcome of the hearing.
The Disciplinary Hearing Panel may impose one or more of the following sanctions, in proportion to the offence and after considering mitigation and aggravation:
When imposing a sanction the Panel records the grounds on which the Defendant was found guilty and the reason for the sanction. Where a provision of law has been breached, SAQCC may also lay a criminal charge or institute legal proceedings.
A Defendant may appeal a finding or a sanction within 30 days of receiving the outcome, by lodging a written Notice of Appeal with the SAQCC Disciplinary Appeal Committee. The notice must state the grounds of appeal — the substantive or procedural error relied on — and attach all supporting documentation.
The Appeal Committee ordinarily comprises:
Appeals are ordinarily decided on the written record and submissions, although the Committee may call for oral submissions. No new facts may be introduced except in mitigation or aggravation; genuinely new evidence is referred back to the Disciplinary Hearing Panel. The Appeal Committee may uphold, set aside, reduce, alter or — after giving notice and convening a further hearing — increase a sanction, or refer the matter back for re-hearing. The parties are notified of the decision in writing.
If the Defendant remains dissatisfied after the appeal, a further appeal may be made to the Department of Employment and Labour within a further 30 days of receipt of the appeal outcome. The DoEL assesses the appeal and makes its findings known to the Defendant in writing.
SAQCC may publish a record of disciplinary action on the SAQCC national database and website, and may notify the relevant SETAs, Associations and regulatory authorities of any provider, assessor or moderator that has been suspended or de-registered. Any such publication complies with applicable legislation, including the Protection of Personal Information Act. The database is updated so that employers and the public can confirm, at any time, whether a provider's registration is current.