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SOUTH AFRICAN QUALIFICATIONS AUTHORITY 
REGISTERED UNIT STANDARD THAT HAS PASSED THE END DATE: 

Apply the principles of corporate governance and ethics in a function 
SAQA US ID UNIT STANDARD TITLE
264400  Apply the principles of corporate governance and ethics in a function 
ORIGINATOR
SGB Generic Management 
PRIMARY OR DELEGATED QUALITY ASSURANCE FUNCTIONARY
-  
FIELD SUBFIELD
Field 03 - Business, Commerce and Management Studies Generic Management 
ABET BAND UNIT STANDARD TYPE PRE-2009 NQF LEVEL NQF LEVEL CREDITS
Undefined  Regular  Level 6  Level TBA: Pre-2009 was L6  5 
REGISTRATION STATUS REGISTRATION START DATE REGISTRATION END DATE SAQA DECISION NUMBER
Passed the End Date -
Status was "Reregistered" 		 2018-07-01  2023-06-30  SAQA 06120/18 
LAST DATE FOR ENROLMENT LAST DATE FOR ACHIEVEMENT
2024-06-30   2027-06-30  

In all of the tables in this document, both the pre-2009 NQF Level and the NQF Level is shown. In the text (purpose statements, qualification rules, etc), any references to NQF Levels are to the pre-2009 levels unless specifically stated otherwise.  

This unit standard does not replace any other unit standard and is not replaced by any other unit standard. 

PURPOSE OF THE UNIT STANDARD 
This Unit Standard is for learners who are already managers of functions or aspiring to become managers of functions. This Unit Standard meets the needs of the sector and of the society by providing competent function managers who, by being able to apply effective corporate governance and ethics in their day-to-day dealings of the function, contribute to the effective management of the function.

The learner successfully completing this Unit Standard will gain essential knowledge and practical skills required to apply the principles and concepts relating to business ethics, formulate and/or refine the ethical code of conduct of the function within the broader parameters set-out by the entity/organisation and apply the acquired ethical framework and competencies to the performance in the function and thereby fulfill the criteria of good governance.

Learners credited with this standard will be able to:
  • Determine own accountability in respect of corporate governance.
  • Develop processes for operationalising the corporate governance policy of the entity within the function.
  • Evaluate the adherence to corporate governance in the function.
  • Develop a plan to improve compliance to corporate governance. 
    		•

    LEARNING ASSUMED TO BE IN PLACE AND RECOGNITION OF PRIOR LEARNING 
    It is assumed that the learner has the following knowledge and skills:
  • Communication at NQF Level 5. 
    		•

    UNIT STANDARD RANGE 
    Function refers to the core task or responsibility carried out by a department, directorate or group within an organisation or entity. 

    Specific Outcomes and Assessment Criteria: 

    SPECIFIC OUTCOME 1 
    Determine own accountability in respect of corporate governance. 

    ASSESSMENT CRITERIA     

    ASSESSMENT CRITERION 1 
    The corporate governance policy of the entity is analysed to determine the levels of accountability at functional management level. 

    ASSESSMENT CRITERION 2 
    Accountability is analysed in terms of alignment with legislation, regulations and the codes relating to corporate governance and ethics within the sector. 

    ASSESSMENT CRITERION 3 
    The importance of good corporate governance is explained with reference to shareholders, directors, employees, consumers and the impact on the economy. 

    SPECIFIC OUTCOME 2 
    Develop processes for operationalising the corporate governance policy of the entity within the function. 

    ASSESSMENT CRITERIA     

    ASSESSMENT CRITERION 1 
    The governance policy of the entity is analysed with a view to identify and derive guidelines to operationalise the governance processes within the function. 

    ASSESSMENT CRITERION 2 
    A code of conduct for the function is developed and aligned with that of the entity to ensure synergy and consistency. 

    ASSESSMENT CRITERION 3 
    The code is discussed with function staff in order to encourage buy-in and compliance with it. 

    ASSESSMENT CRITERION 4 
    The roles, responsibilities and extent of accountability of managers in a function are analysed in relation to governance and ethics. 

    ASSESSMENT CRITERION 5 
    The processes managers a function would need to develop and roll out are analysed so that possible non-compliance can be dealt with. 
    ASSESSMENT CRITERION RANGE 
    Processes include but are not limited to strategies, programmes and skills to foster a particular work ethic.
     

    ASSESSMENT CRITERION 6 
    The consequences of failing to institute governance are explained so that the seriousness of the matter is appreciated. 

    ASSESSMENT CRITERION 7 
    Ethical and moral dilemmas are resolved through consultation and dialogue. 

    SPECIFIC OUTCOME 3 
    Evaluate the adherence to corporate governance in the function. 

    ASSESSMENT CRITERIA     

    ASSESSMENT CRITERION 1 
    Criteria for best practice are developed to measure application and compliance to the governance policy of the entity and the function. 

    ASSESSMENT CRITERION 2 
    Application of governance policy within a function is measured using the best practice criteria developed. 

    ASSESSMENT CRITERION 3 
    The application of fiduciary responsibilities are monitored and accorded particular emphasis during the evaluation process. 
    ASSESSMENT CRITERION RANGE 
    Fiduciary responsibilities include but are not limited to insider trading, executive compensation, discrimination, creative accounting, bribery and whistle blowing.
     

    ASSESSMENT CRITERION 4 
    Statements, codes and policies in an organisation are analysed for comparison to principles of governance and the de facto application in an organisation. 

    SPECIFIC OUTCOME 4 
    Develop a plan to improve compliance to corporate governance. 

    ASSESSMENT CRITERIA     

    ASSESSMENT CRITERION 1 
    Anomalies and deviations pertaining to the operationalisation of governance are analysed in order to develop counter re-occurrence strategies. 

    ASSESSMENT CRITERION 2 
    Areas in a function where there is scope for improvement are analysed so that suggestions can be offered to enhance good governance. 

    ASSESSMENT CRITERION 3 
    The strategies and suggestions for improving corporate governance are used to develop a comprehensive plan to maintain governance. 


    UNIT STANDARD ACCREDITATION AND MODERATION OPTIONS 
  • An individual wishing to be assessed (including through RPL) against this Unit Standard may apply to an assessment agency, assessor or provider institution accredited by the relevant ETQA, or an ETQA that has a Memorandum of Understanding with the relevant ETQA.
  • Anyone assessing a learner against this Unit Standard must be registered as an assessor with the relevant ETQA or with an ETQA that has a Memorandum of Understanding with the relevant ETQA.
  • Any institution offering learning that will enable achievement of this Unit Standard or assessing this Unit Standard must be accredited as a provider with the relevant ETQA or with an ETQA that has a Memorandum of Understanding with the relevant ETQA.
  • Moderation of assessment will be conducted by the relevant ETQA at its discretion. 
    		•

    UNIT STANDARD ESSENTIAL EMBEDDED KNOWLEDGE 
  • Best practices in the sector/industry pertaining to corporate governance.
  • Codes of conduct. 
    		•

    UNIT STANDARD DEVELOPMENTAL OUTCOME 
    N/A 

    UNIT STANDARD LINKAGES 
    N/A 


    Critical Cross-field Outcomes (CCFO): 

    UNIT STANDARD CCFO IDENTIFYING 
    Identifying and solving problems in which responses display that responsible decisions using critical and creative thinking have been made when:
  • Developing processes for operationalising the corporate governance policy of the entity within the function.
  • Evaluating the adherence to corporate governance in the function.
  • Developing a plan to improve compliance to corporate governance. 
    		•

    UNIT STANDARD CCFO WORKING 
    Working effectively with others as a member of a team, group, organisation, and community during:
  • The develop processes for operationalising the corporate governance policy of the entity within the function. 
    		•

    UNIT STANDARD CCFO ORGANISING 
    Organising and managing oneself and one's activities responsibly and effectively when:
  • Developing processes for operationalising the corporate governance policy of the entity within the function.
  • Evaluating the adherence to corporate governance in the function.
  • Developing a plan to improve compliance to corporate governance. 
    		•

    UNIT STANDARD CCFO COLLECTING 
    Collecting, analysing, organising and critically evaluating information to better understand and explain:
  • Own accountability in respect of corporate governance. 
    		•

    UNIT STANDARD CCFO COMMUNICATING 
    Communicating effectively using visual, mathematical and/or language skills in the modes of oral and/or written persuasion when:
  • Developing processes for operationalising the corporate governance policy of the entity within the function.
  • Evaluating the adherence to corporate governance in the function.
  • Developing a plan to improve compliance to corporate governance. 
    		•

    UNIT STANDARD ASSESSOR CRITERIA 
    N/A 

    REREGISTRATION HISTORY 
    As per the SAQA Board decision/s at that time, this unit standard was Reregistered in 2012; 2015. 

    UNIT STANDARD NOTES 
    N/A 

    QUALIFICATIONS UTILISING THIS UNIT STANDARD: 
      ID QUALIFICATION TITLE PRE-2009 NQF LEVEL NQF LEVEL STATUS END DATE PRIMARY OR DELEGATED QA FUNCTIONARY
    Core  80686   National Diploma: Supply Chain Management: Sensitive Consumer Products  Level 6  NQF Level 06  Passed the End Date -
    Status was "Reregistered"     		 2023-06-30  FOODBEV 
    Elective  59201   National Certificate: Generic Management  Level 5  Level TBA: Pre-2009 was L5  Passed the End Date -
    Status was "Reregistered"     		 2023-06-30  As per Learning Programmes recorded against this Qual 


    PROVIDERS CURRENTLY ACCREDITED TO OFFER THIS UNIT STANDARD: 
    This information shows the current accreditations (i.e. those not past their accreditation end dates), and is the most complete record available to SAQA as of today. Some Primary or Delegated Quality Assurance Functionaries have a lag in their recording systems for provider accreditation, in turn leading to a lag in notifying SAQA of all the providers that they have accredited to offer qualifications and unit standards, as well as any extensions to accreditation end dates. The relevant Primary or Delegated Quality Assurance Functionary should be notified if a record appears to be missing from here.
     
    NONE 


    All qualifications and part qualifications registered on the National Qualifications Framework are public property. Thus the only payment that can be made for them is for service and reproduction. It is illegal to sell this material for profit. If the material is reproduced or quoted, the South African Qualifications Authority (SAQA) should be acknowledged as the source.