Welsh Statement of Compliance

My recent slide set on tackling and communicating self-evaluation and the annual statement of compliance (SoC) for regulators (part of my recent newsletter) emphasised the need for ‘objectively and critically’ evaluating levels of compliance.

Qualifications Wales strategy for this year’s SoC asks for AO’s to account for how things are done (process) and who is involved; also for explanations and evidence against 4 other Conditions.

Here’s a quick summary taken from the guidance video (which is worth a watch) of what QW have asked for:

B2 The annual statement

Explain your process for completing your annual statement; how you objectively and critically evaluate levels of compliance; details of the Governing Body approval process. It’s about your systems, processes and controls.

Evidence ‘should’ include:

• Written policies and/or procedures

• Self-evaluation report

• Any internal audit outcomes

• Minutes of any Governing Body meetings

D4.3 and D4.4 Complaints procedure

How you establish, maintain, publish and comply with the written complaints in an appropriate and timely manner. Say where the policy is published, explain the procedures and timescales for dealing with complaints; and your approach to reviewing your complaints procedure.

Required evidence (you will not be able to submit your return unless this is provided):

• Copy of your complaints procedure 

I1 Appeals process

Your process for dealing with appeals. You need to describe the process, and how it is appropriate and timely. Also explain your process for taking action where you identify a failure in your assessment process. Heather Venis: I would link this to how this might trigger your B3 Notification where an event could have an adverse effect process too.

Say where your process is published, explain the process and timescales that apply for dealing with appeals and your approach to reviewing appeals.

Required evidence (you will not be able to submit your return unless this is provided):

• Appeals process

C2.3 Arrangements with centres – complaints

How you monitor that centres are complying with an effective complaints procedure and make it accessible to learners.

Evidence ‘may’ be included.

E7 Total Qualification Time

Your approach to assigning TQT.

Evidence ‘may’ be included.

There are some options as to whether evidence may or should be included; and two mandatory pieces of evidence to be supplied for D4 and I1.

For B2 I would encourage AOs to include either their written process for completing the self-evaluation and return process, or a high-level schematic/flow chart. Where evidence is optional I would always opt not to include anything!

• I’m providing AOs with audit programmes for the 2017 SoC. If you are interested in having an independent critique of your compliance get in touch.
• If you didn’t get the PowerPoint slides for the ‘Self-evaluation and the annual statement of compliance for Awarding Organisations’ get in touch too.  

 Heather Venis

Principal, Awarding First

E: Heather@awardingfirst.co.uk

T: 0789 479 6262