In this section...
We aim to ensure that our monitoring activities are transparent, accountable, proportionate and consistent, and targeted towards awarding bodies that pose the highest risk to the qualifications system in Wales. We use a range of monitoring techniques to monitor awarding bodies against the Standard Conditions of Recognition, including:
- regulatory update meetings
- statement of compliance
- statement of compliance follow-up monitoring activities
- regulatory audits
Statement of compliance
The statement of compliance is a key monitoring tool that supports our intelligence led and risk-based approach to regulation. We use the information and evidence collected from statements of compliance, alongside other information and evidence, to monitor awarding bodies’ compliance with our Standard Conditions of Recognition.
All awarding bodies that we regulate are required to complete a statement of compliance each year. We ask awarding bodies to declare whether or not they are compliant with our Standard Conditions of Recognition and whether they are likely to comply for the next 12 months.
If an awarding body declares that they are non-compliant and/or likely to be non-compliant in the next 12 months, then we ask them to submit an action plan outlining the steps that they are taking to become compliant. We also have targeted lines of inquiry and ask awarding bodies to provide us with evidence of compliance with some Standard Conditions of Recognition.
The statement of compliance is based on the awarding body’s self-evaluation of their compliance status against all the Standard Conditions of Recognition. We expect awarding bodies to have an effective process in place to monitor their compliance on an ongoing basis.
Awarding bodies with effective self-evaluation processes in place may identify a current or likely future non-compliance. We expect that all awarding bodies who declare current and / or likely future non-compliance outline the steps that they are taking to become compliant.
Depending on the nature of the non-compliance, this may not be a significant cause for concern if they have a clear plan in place to address the issue and to return to full compliance. We closely monitor awarding bodies’ progress against the actions within their action plan.
Sanctions and enforcement
We will use sanctions and enforcement where necessary to protect learners’ interests but will usually seek other mechanisms to resolve issues before resorting to these actions.
Our Taking Action When Things Go Wrong guide sets out our approach to enforcement and explains:
- actions we can take to prevent the recurrence of a problem and to put matters right
- factors we will take into account when deciding what action to take
Our Regulatory Appeals Policy explains how anybody who has been affected by certain regulatory decisions made by Qualifications Wales can appeal that decision.
If we issue a recognised awarding body with a Monetary Penalty Notice or a Cost Recovery Notice, that awarding body can appeal to the General Regulatory Chamber tribunal against that decision.
Our recent regulatory actions are outlined below.
- IBSL: Special Conditions (9 February 2023)
- IBSL: Notice of Surrender of Recognition (9 February 2023)
- WJEC: Special Conditions (22 July 2022)
- WJEC: Special Conditions (01 July 2022)
- WJEC (Special Condition) (26 April 2021)