Regulation, compliance, policy and regulatory documentation services

AlphaPlus has a track record of working with awarding organisations on policy, processes and regulatory compliance.

We help with developing, defining and mapping processes, ensuring that compliant policies are created and followed, and creating customised accurate documentation as evidence.

Throughout this, we remain practically minded, aware that awarding organisations have to remain competitive in a fast changing market. We don’t claim to have all the answers, but our breadth of experience often provides an alternative view of the possibilities.

Fit-for-purpose policies and processes?

There is a mandatory requirement set out within the General Conditions for AOs to establish, maintain and comply with an up-to-date, written:

  • Conflict of interest policy
  • Contingency plan, which must be of sufficient detail and quality to allow the awarding organisation to mitigate, as far as possible, the Adverse Effect of any incident which has been identified by the awarding organisation as having a risk of occurring
  • Procedures relating to malpractice and maladministration
  • Complaints procedure(s) 
  • Invoicing policy
  • Reasonable adjustments arrangements and policy
  • Special consideration arrangements and policy
  • Appeals process and policy

We can help you develop and review these mandatory documents, enabling you to ensure the policies and processes work for your AO, but are also compliant, and draw on good practice from across the sector.


Services to support AO regulatory compliance, policy and process documentation

Regulator requirements

Ofqual 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 has 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 asks AOs to describe the systems, processes, controls and other arrangements that enable objective and critical evaluation of compliance with the Conditions.

“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.