AlphaPlus - Supporting awarding organisations

Awarding organisation regulatory compliance services

Services to support AO regulatory compliance, policy and process documentation


New regulator requirements for 2014

Ofqual’s requirements for the Annual Statement of Compliance 2014 requires recognised AOs to objectively and critically evaluate their levels of compliance with the General Conditions of Recognition including any Special Conditions. To achieve this, AOs should have systems and processes in place to compare “what they do” and “how they do it”, with the requirements of the Conditions.

Ofqual have therefore asked awarding organisations to provide some additional information in the Annual Statement related to their assurance processes. This places increased emphasis on systems of assurance, and documentation is a critical aspect of this. The guidance in the Annual Statement says:

“Please describe your systems, processes, controls and other arrangements that enable you to objectively and critically evaluate your levels of compliance with the Conditions including: full description of your systems and processes for consideration and evaluation of compliance, outlining; who is responsible; how they do it and the quality assurance arrangements."

We can help you with this – ranging from

  • Auditing and recording “what you do” and “how you do it” 
  • Mapping your existing processes against the Conditions, identifying gaps or weaknesses, including in comparison to others in the sector
  • Suggesting practical enhancements, and assisting with preparation of documentation and other evidential requirements


Recurring principles in the General Conditions

Alongside specific new areas of emphasis, there are recurring themes that AOs will want to frequently re-evaluate, particularly as new qualifications and frameworks are introduced, as assessment approaches change, etc.

  • Defensibility - having a sound rationale for the approach taken toward decisions on policies and processes and evidence as to how these are applied. 
  • Risk-based regulation. The General Conditions make it clear that AOs must conduct their own risk assessment of operations. 
  • Prevention of Adverse Effects  i.e. ensuring as far as possible that nothing occurs that leads to learners being disadvantaged and to have policies and procedures in place for dealing with any Adverse Effects that do arise.
We can help you develop and review your approach to these three important areas, by undertaking assessment, evaluation and documentation work for you, and providing capacity development, training and support for your team.


For more information about our Regulatory Compliance services, please contact Giilian Whitehouse:

Email Gillian

Phone: 07881 361718