Regulatory strategy

At the recent Ofqual conference Sally Collier shared a little of Ofqual’s regulatory approach:

o Some more housekeeping – to remove more qualifications from the Register where appropriate

o Oversight on AO risks, looking at:

• centre monitoring

• malpractice - risks and perceptions around

• IT systems

• qualifications that are part of performance tables, and 

• qualifications from legacy frameworks.

At least one of these touches every AO. 

As always I am keen to get AOs to have, or put in place a regulatory (and self-evaluation) strategy. It should help you to be nimbler, should you be asked for any compliance evidence on any of the above, or if you come under audit scrutiny too. 

Getting started on your AO regulatory strategy

6 things that show you are on the way to being on top of compliance:

1. You have an evidence log that shows the AO compliance evidence against each of the Conditions 

2. Your policies and procedures are mapped to the Conditions

3. Senior officers, management and staff know what compliance looks like ie they have a good understanding of the Conditions relevant to their role

4. Your management team regularly meet to discuss and challenge compliance across all areas (over time) with the compliance recording tool/spreadsheet in front of you

5. The risk register is always up to date and management use it as a positive tool to manage the business and compliance

6. Compliance is a regular item on the governing body agenda, irrespective of it being the statement of compliance season, or not.

More thoughts on compliance evidence on 31 March.

Heather Venis

Principal, Awarding First

Heather@awardingfirst.co.uk

If you would like an independent view of your compliance position I can help. Call me on 0789 479 6262 or email heather@awardingfirst.co.uk