Regulatory Compliance Audits

Helping awarding organisations evidence compliance with confidence

We regularly support our awarding organisation clients with reviews of their policies and processes to help them ensure ongoing compliance with requirements from regulators such as Ofqual, Qualifications Scotland and Qualifications Wales. This process can be valuable in providing meaningful evidence for audits or annual statements of compliance processes.

This case study demonstrates how our approach works in practice, but we always work to tailor our methods to the specific needs of the client.

Client overview

A leading UK-based awarding and assessment organisation, specialising in vocational and technical qualifications across a wide range of sectors, offering over 500 qualifications in 32 subject areas. It is also an approved End-Point Assessment Organisation (EPAO) and works closely with employers and training providers to ensure its qualifications meet evolving industry standards

The challenge

The client's request was to review information contained within their compliance systems, including control summaries and evidence against Ofqual Conditions of Recognition and provide a report to inform the annual statement of compliance. The audits broadly followed the key lines of enquiry that Ofqual would follow for their annual statement of compliance, which included malpractice, appeals, reasonable adjustment and special consideration, Centre Assessment Standards Scrutiny (CASS), end point assessment (EPA).

Our approach

We deployed a member of our team who is an expert in awarding organisation compliance to conduct the audits. Our methodology included:

Desk-based research

A review of the client’s systems and documentation to evaluate their levels of compliance with Ofqual General Conditions of Recognition.

Stakeholder interviews

Discussions with staff and other relevant stakeholders, e.g. external QAs or centre staff, to enable a deeper dive into areas of interest.

Final report

Production of a final report which documented all the audit activities, findings and recommendations for corrective actions.

The outcome

Our audits meant the client could respond confidently and accurately to the Ofqual Statement of Compliance based on evidence provided from an external expert review. They were able to demonstrate to the regulator that they have conducted an independent critical assessment of their adherence to the General Conditions of Recognition and provide a statement of their compliance levels and outline steps they have taken to address areas of non-compliance.

Why it matters

Maintaining regulatory approval is business-critical for awarding organisations. It is a requirement for government-funded qualifications, and many end users demand it as a demonstration of the validity and reliability of the qualification.

Using external support for process reviews can be extremely helpful, offering a fresh perspective from outside the organisation. The self-assessment process through the statement compliance activity promotes transparency, accountability, and proactive regulatory engagement, helping regulators maintain the integrity and quality of qualifications across the UK.

If you think a regulatory compliance audit would be helpful for your organisation, then get in touch with Fraser Talbot, our Business Development Lead – UK, for an informal conversation about your needs.

Get in touch

We know that meeting regulatory requirements can be challenging, especially when organisations are managing competing priorities and responding to change. Our role is to support awarding organisations with independent input that helps them work through challenges, strengthen their approach and move forward with greater clarity and assurance.

If you think a regulatory compliance audit would be helpful for your organisation, then get in touch with Fraser Talbot, our Business Development Lead – UK, for an informal conversation about your needs.