Regulatory activity and analysis for 2022 - 23
We recently identified which of the regulatory principles have generated the most issues and recommendations through our audit and provider monitoring activity. The following regulatory principles were identified:
Regulatory principle 6:
The awarding body must continually review the effectiveness of its services, systems, policies and processes.
The awarding body is responsible for:
- having systems in place which facilitate continual improvement
- undertaking regular and ongoing review and evaluation activity of key business activities
- undertaking regular performance reviews against internal performance indicators
The findings from ongoing review activity should be followed by an annual self-assessment of the awarding body’s operations in relation to SQA Accreditation’s regulatory requirements.
Regulatory principle 9:
The awarding body and its providers must maintain accurate documents, records and data.
The awarding body is responsible for:
- demonstrating that they – and their providers - have systems in place to ensure the relevance and accuracy of information
- specifying the type of records and data that they hold, and their associated retention periods. This is also applicable to the awarding bodies providers.
- ensuring that applicable documents are relevant at the point of use
- having robust arrangements and agreements in place with third parties, and service providers where applicable
- complying with data protection legislation
Regulatory principle 10:
The awarding body must ensure that its systems and processes for the identification, design, development, implementation and review of qualifications and assessments are fit for purpose.
The awarding body is responsible for demonstrating:
- the need or demand for a qualification
- the way in which the qualification is assessed
- how the qualification is quality assured
- how consistently the assessment performs
In addition, where the awarding body has designed its own qualifications and assessments, the awarding body is responsible for demonstrating:
- who the qualification or assessment is designed for
- the intended purpose of the qualification
- what the assessment needs to measure, how it will be measured and how well it measures
- evidence of the assessment’s validity, reliability and comparability
- that the assessment does not measure unintended attributes
- that the assessment is inclusive, free from bias and discrimination
- the expertise of staff involved in qualification and assessment design
Awarding bodies that submit their qualification for SCQF credit rating approval must demonstrate that it has followed SQA Accreditation’s SCQF credit rating methodology and approval process. The awarding body must have a process detailing its role in organising, managing and submitting its proposed SCQF credit rating recommendations to SQA Accreditation.
Regulatory principle 13:
The awarding body and its providers must ensure that they have systems and processes which ensure the effective quality assurance of accredited qualifications.
The awarding body is responsible for:
- demonstrating how the requirements of assessment strategies or methodologies are being met and reviewed over time
- management of provider risk
- the frequency and type of internal and external quality assurance activity
- monitoring and reviewing any conditions of assessment
- reviewing the use of systems and online platforms that support delivery, assessment and quality assurance
- resources (including the roles, responsibilities, and requirements of the staff involved in quality assurance activities, alongside any technical or physical resources required)
- qualifications/competence/CPD requirements of staff involved in quality assurance activities
- how intervention or sanctions are managed, when required
- monitoring and reviewing aspects devolved to providers, such as reasonable adjustments, special considerations and direct claims status
- how conflicts of interest are managed
Regulatory principle 16:
The awarding body and its providers must have open and transparent systems, policies and procedures to manage complaints.
The awarding body and its providers are responsible for demonstrating effective handling of complaints, in line with published procedures and timescales, and without unreasonable delay.
Awarding body staff, providers and learners must be made aware of how and when they can complain to SQA Accreditation and the Scottish Public Services Ombudsman (SPSO), if appropriate.
The awarding body and/or provider should take appropriate, corrective and/or preventative action when a complaint is upheld.
Further analysis of our audit and provider monitoring activity highlighted several common themes, including:
- Inaccurate provider-devised policies that omit key information, such as equal opportunities, complaints, malpractice and maladministration policies.
- Version control of documents didn’t exist or they weren’t being maintained.
- External quality assurance (EQA) visits not being conducted in line with awarding body requirements, for example certain elements were not being reviewed, or visits were not being conducted within allocated timeframes.
Please take time to ensure that your documentation reflect the requirements above.
Should you wish to discuss these in more detail please do not hesitate to contact your regulation manager.