A risk-based approach to the assessment and certification business processes at tertiary educational institutions

Ph.D. (Business Management)Abstract: Poisson and Hallak (2007:111) make the statement that “Universities are seen de facto as meritocratic Institutions that can be trusted to provide fair and impartial testing. However, when their testing mechanisms break down (for example, in China) or are subject to corrupt practices (for example, India), their image [reputation] is significantly weakened”. In the South African context, high profile cases like those of Shamim Shaik and Pallo Jordan come to mind. Universities place a high premium on their assessment processes and the qualifications (certificates) issued. However, the assessment and certification processes of these Institutions are exposed to various uncertainties (risks) that can affect the organisations’ right of existence. To circumvent and limit the risks associated with the assessment and certification processes, a management process is required which starts with the design, implementation and continuous monitoring of these processes. This then is the focus of this research, to apply a risk-based approach to the assessment and certification business processes at Universities. The methodology applied in this research is action research. Action research is a systematic research approach that enables individuals and organisations to find effective solutions to everyday problems. This systematic approach provides action research with its scientific base. The research is qualitative in nature and makes use of a pilot study to determine the limitations and gaps in current assessment and certification processes and the risks associated with these processes. A pilot study, which identified the gaps in the assessment and certification business process, provided guidance in the development of the interview schedule that was used in collecting empirical data. The pilot study was based on the assessment and certification processes at the University of Johannesburg (where the problem that needed to be solved was identified). Guided by the pilot study, the population under investigation was interrogated to develop a best practice solution at tertiary education institutions (Universities) in South Africa. Data was collected by means of structured interviews guided by an interview schedule consisting mainly of open-ended questions. The study found that accepted (best practice) business process design and risk management practices are not used or taken into consideration in the design and..