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BWYQ 001 Corporate Governance Manual Revised March 2016 of 48

Corporate Governance Manual BWYQ

Reviewed June 2015 Re-formatted/ revised March 2016

BWYQ is currently undergoing a phased withdrawal of Ofqual Awarding Organisation (AO) status, with a proposed surrender date of November 2017. This document has been revised in order to

support BWY/Q Directors in ensuring that BWYQ quality standards are maintained and that the AO is compliant with Ofqual regulation up to this point.


Contents Contents .......................................................................................................................................... 2

Introduction .................................................................................................................................... 4

Policy Grid and Ofqual GCOR ...................................................................................................... 4

The Structure of BWYQ ................................................................................................................... 7

BWYQ Qualifications ................................................................................................................. 10

Ofqual recognition and regulation................................................................................................ 11

Recognition................................................................................................................................ 11

Regulation ................................................................................................................................. 11

Governance and suitability for continued recognition by the regulators .................................... 13

Company details ........................................................................................................................ 13

Overview of the governance lines within BWYQ .......................................................................... 14

The Responsible Officer ................................................................................................................ 17

Change in Control ...................................................................................................................... 18

Senior staff declarations ............................................................................................................... 19

Conflict of Interest ..................................................................................................................... 20

BWYQ annual statement of compliance and self-evaluation arrangements ............................... 21

IT Arrangements ........................................................................................................................... 23

The Creatio ‘Wheel Online’ System .......................................................................................... 23

Governance ............................................................................................................................... 23

Centre management ................................................................................................................. 23

Qualification development........................................................................................................ 23

Registration and certification .................................................................................................... 24

Managing External Suppliers (3rd parties) ................................................................................... 25

Arrangements with Centres .......................................................................................................... 28

Identification and Management of Risks ...................................................................................... 28

Malpractice and Maladministration ............................................................................................. 29

Dealing with Adverse Effects ........................................................................................................ 30

Enquiries, complaints and appeals ............................................................................................... 33

Ensuring BWYQ Market Correctly ................................................................................................. 34

Endorsement arrangements ......................................................................................................... 35

Appendix 1 – Terms of Reference ................................................................................................. 36

Terms of reference for the BWYQ Board of Directors: ............................................................. 36

Terms of Reference for the Senior Management Team ........................................................... 37


The BWY NEC ............................................................................................................................. 38

Terms of reference of the Quality Assurance Committee: ....................................................... 39

Terms of reference of the Complaints and Appeals Panel: ...................................................... 40

Appendix 2 – Roles and Responsibilities ....................................................................................... 41

RESPONSIBLE OFFICER .............................................................................................................. 41

BWYQ DIRECTOR ....................................................................................................................... 41

Appendix 3 – Staff recruitment and training – summary approach ............................................. 42

Summary recruitment approach ............................................................................................... 42

Summary training approach ...................................................................................................... 43

Appendix 4 – Annual senior staff declaration template ............................................................... 45


Introduction This document outlines the BWYQ Corporate Governance arrangements and is primarily intended for use by BWYQ senior staff, officer and BWY/Q directors; although it may from time to time be provided to the regulatory authorities to satisfy them of BWYQ’s ability to comply with various regulatory requirements. The following BWYQ Policy grid has been mapped to the Ofqual General Conditions of Recognition (GCOR) which are further explained on page 6. This handbook primarily concerns the Governance of BWYQ as an Awarding Organisation (AO) and as such the information contained here refers to Part 1 of the Ofqual GCOR; The Awarding Organisation. Directors, Governors and staff are advised to familiarise themselves with the Governance related policy documents, identified in green below, alongside the information set out in this handbook. BWYQ operational policy guidance related to Part 2 of the Ofqual GCOR; The Regulated Qualification, are considered in various curriculum focussed documents. Some documents span across both parts of the Ofqual GCOR and are relevant to Governance and Curriculum Operations; the notes in the right hand column provide further information. The policies identified in blue are those that are related to Equalities Law and should be read by all BWY/Q members of staff.

Policy Grid and Ofqual GCOR Reference BWYQ Document Ofqual General Conditions of Recognition Section/ reference

BWYQ 002

Business Plan Linked to BWYQ 003

Part 1: The Awarding Organisation Conditions A4: availability of adequate resources and arrangements

BWYQ 003

Business Continuity and Contingency Plan Linked to BWYQ 002

Part 1: The Awarding Organisation Conditions A4: availability of adequate resources and arrangements

BWYQ 004

Qualification Development Manual Linked to BWYQ 005

Part 2: The Regulated Qualification Section D General Requirements for Regulated Qualifications Section E: Design and Development of Qualifications

BWYQ 005

QUALIFICATION DELIVERY MANUAL Linked to BWYQ 007

Part 2: The Regulated Qualification Section D General Requirements for Regulated Qualifications Condition E4: Ensuring assessment is fit for purpose and can be delivered Section G: Setting and Delivering the Assessment Section H: From Marking to Issuing Results Section I: Appeals and Certificates

BWYQ 006

Centre Recognition Documentation 2016 Linked to BWYQ 007

Part 1: The Awarding Organisation Section C: Third Parties Condition C1 Arrangements with Third Parties and C2 Arrangements with Centres

BWYQ 007

BWYQ CENTRE HANDBOOK Linked to BWYQ 005

Part 1: The Awarding Organisation Section C: Third Parties Condition C1 Arrangements with Third Parties and C2 Arrangements with Centres Part 2: The Regulated Qualification Section D General Requirements for Regulated Qualifications Section G: Setting and Delivering the Assessment Section H: From Marking to Issuing Results Section I: Appeals and Certificates

Reference BWYQ Document Ofqual General Conditions of Recognition Section/ reference



BWYQ 008

BWYQ Equality and Diversity Statement Linked to BWYQ 009 and 010

Part 1: The Awarding Organisation Condition A1.2: Suitability of continuing recognition Condition B2: The role of the Responsible Officer Condition C2: Arrangements with Centres Part 2: The Regulated Qualification Section D General Requirements for Regulated Qualifications Condition D2: Accessibility of qualifications Section G: Setting and Delivering the Assessment (G6)

BWYQ 009

BWY E & D POLICY Linked to BWYQ 008 and 010

As above

BWYQ 010

BWY SAFEGUARDING POLICY Linked to BWYQ 008 and 009

As above

BWYQ 011

Whistleblowing Policy Linked to BWYQ 002 and 003

Part 1: The Awarding Organisation Section A: Governance Section B: The Awarding Organisation and Ofqual

BWYQ 012

REASONABLE ADJUSTMENT POLICY Linked to BWYQ 013

Part 2: The Regulated Qualification Section G: Setting and Delivering the Assessment (G6)

BWYQ 013

SPECIAL CONSIDERATION POLICY Linked to BWYQ 012

Part 2: The Regulated Qualification Section G: Setting and Delivering the Assessment (G7)

BWYQ 014

CONFLICT OF INTEREST POLICY Linked to BWYQ 002 and 003

Part 1: The Awarding Organisation Section A: Governance Condition A4: Conflict of Interest

BWYQ 015

RISK MANAGEMENT POLICY & RISK LOG Linked to BWYQ 002 and 003

Part 1: The Awarding Organisation Section A: Governance Condition A6: Identification and management of risks Condition A7: Management of Incidents

BWYQ 017

MALPRACTICE AND MALADMINISTRATION POLICY Linked to BWYQ 005,006 and 007

Part 1: The Awarding Organisation Section A: Governance Condition A7: Management of Incidents Condition A8: Malpractice and Maladministration

BWYQ 018

SANCTIONS POLICY Linked to BWYQ 005,006 and 007

Part 1: The Awarding Organisation Section A: Governance Condition A7: Management of Incidents Condition A8: Malpractice and Maladministration

BWYQ 019

COMPLAINTS POLICY & Procedure Linked to BWYQ 020

Part 2: The Regulated Qualification Section D General Requirements for Regulated Qualifications Condition D4: responding to enquiries and complaints procedures Condition I2: Compliance with Ofqual’s appeals and complaints process

BWYQ 020

APPEALS POLICY Linked to BWYQ 019

Part 2: The Regulated Qualification Section I: Appeals and certificates Condition I1: Appeals Process Condition I2: Compliance with Ofqual’s appeals and complaints process



BWYQ 021

CUSTOMER SERVICES STATEMENT Linked to BWYQ 019

Part 2: The Regulated Qualification Section D General Requirements for Regulated Qualifications Condition D4: responding to enquiries and complaints procedures Condition I1: Appeals Process Condition I2: Compliance with Ofqual’s appeals and complaints process

BWYQ 022

Fees and Invoicing Policy Linked to BWYQ 002

Part 2: The Regulated Qualification Section F: Condition F1 Information on fees and features of a qualification Condition F3: Invoicing

BWYQ 025

RPL Guidance Linked to BWYQ 005,006 and 007

Part 2: The Regulated Qualification Condition E10: Recognition of Prior Learning

BWYQ 026

Plagiarism Guidance Linked to BWYQ 005,006 and 007

All policies are available on Creatio ‘Wheel Online’ or can be requested from the BWYQ Operations Coordinator. The content of this document is, unless otherwise indicated, © The British Wheel of Yoga Qualifications (BWYQ) and may not be copied, reproduced or distributed without prior written consent. Every effort has been made to ensure that the information contained in this publication is true and correct at the time of going to press. However, BWYQ products and services are subject to continuous development and improvement and the right is reserved to change products and services from time to time. BWYQ cannot accept liability for loss or damage arising from the use of information in this publication. The document and associated arrangements will be kept under continuous review by BWYQ to ensure appropriateness and effectiveness. In particular a formal review of these arrangements will be carried out at least annually as part of the BWYQ self-evaluation activities, with the outcomes reported to relevant regulatory authorities accordingly. N.B: BWYQ is currently undergoing a phased withdrawal of Ofqual recognition and Awarding Organisation status. Under such circumstances, and in keeping with Ofqual condition D7, regulated courses are expected to run to their proposed completion date with the same high quality standards afforded and expected from Ofqual recognition and the interests of all BWYQ learners will be protected. Registration on to regulated BWYQ courses ceased on March 31st 2015 and the Ofqual logo has been removed from all BWYQ marketing and promotion. Any queries or concerns should be immediately directed to the BWYQ Operations Coordinator (and Responsible Officer) and/ or BWYQ Chair for further guidance and advice.


The Structure of BWYQ The structure for the BWYQ is outlined below and clearly shows the individuals responsible for maintaining the quality and standards of BWYQ regulated functions and the associated reporting lines.

Ofqual National Regulatory body for qualifications,

examinations and assessments in England and

Northern Ireland.

BWYQ Awarding Organisation

SMT &

Directors

Strategic Direction including Quality Assurance and

Improvement, Awarding, Assessment and Development

BWYQ Operations

Coordinator &

Responsible Officer

Amanda Buchanan

Quality Assurance,

Policy, Procedure and Compliance

External Quality Assurance,

Governance and

Committees

BWY – NE Complaints and

Appeals Panel

Quality Assurance

Committee

BWY Operations Manager with

BWYQ Oversight

VACANCY

Management of BWY Operations

and Administration

Lead IQA

Cathy Ainsworth

Quality Assurance, Assessment,

Awarding and Contact with Centres

Events and Marketing Manager

Jenny King

Financial Accounts

Yvonne Joyce/ Maggs

Chapman

Customer Service

Maggs Chapman

Educational Administration

Marilyn Bawden

Quality Assurance, Registration,

Certification, Customer Liaison

BWYQ Centres

BWYQ Policy and Procedure

Compliance

Assessors/ Tutors

Quality Assurance & Compliance Students – Customer Service

IQAs

Internal Quality

Assurance

Moderation

Standardisation

Safeguarding and Diversity

Manager

Rebecca Morris

Quality Assurance, Complaints

Appeals and Equalities law

compliance


Additional staff are recruited in accordance with the BWYQ recruitment arrangements outlined in Appendix 3. BWY staff support the awarding function of BWYQ and the Responsible Officer, The National Executive Committee (NEC) of the BWY also oversees and scrutinise decisions taken by BWYQ in relation to their AO function. The NEC are sent reports on key developments/issues and detail how BWYQ has come to relevant decisions and outcomes where appropriate. (Terms of reference for the NEC are listed in Appendix 1). The NEC will also review BWYQ’s self-evaluation and advise on any actions identified for improvement in procedures and processes, before making a recommendation to accept/reject the report and findings. Allocated NEC members meet with BWYQ Directors, Senior staff and the Responsible Officer during the summer (July-August) to discuss the annual self-evaluation report and the financial health of the business. As part of the company structure BWYQ draws on various personnel to form a Senior Management Team (SMT) as necessary. The SMT usually consists of the BWY Operations Manager, BWYQ Operations Coordinator, BWY Chair, BWYQ Chair, BWY Treasurer and other members of staff identified in the structure chart (p.9) as appropriate. SMT regularly correspond with regard to AO Operations and meet as necessary to review and manage the day-to-day business; operational, regulatory and resource related issues. See appendix 1 for possible agenda items/ discussion points. All senior managers and appropriate personnel have access to key records/logs in the Creatio Wheel-online system (e.g. risk and issue logs, etc.). Access to which is managed by the BWYQ Operations Coordinator and Responsible Officer. At the time of writing BWY/Q has sufficient capacity and management resources to support the development and delivery activity planned for the forthcoming year and to do so in an efficient manner. BWY/Q have robust budget management and monitoring processes in place to ensure that the workforce level illustrated above is:

Set at the appropriate level, and possess the relevant competence, based on need to enable BWYQ to undertake the development, delivery and award of its qualifications in an effective and efficient manner.

Profiled correctly for the foreseeable future as part of BWYQ business planning arrangements to ensure that BWYQ have sufficient capacity and management resources to deliver on the anticipated and planned level of activity in relation to the take-up of BWYQ qualifications.

Managed and monitored at line manager level so as to avoid wasted resources, effort, time or money and/or unexpected levels of activity - this includes identifying variances (reasons why actual expenditure varies from planned expenditure) including those relating to changes in activities, planned delivery/activity timelines or external influences such as funding or regulatory changes.

Not exceeded as line managers only have authority to commit the resources delegated to them.

Underpinned by clear resource review and recruitment arrangements. The BWYQ Chair is responsible for carrying out regular budget profiling and business plan reviews with the BWY Operations Manager and appropriate members of the NEC and/or SMT. They will assess the progress of spend resources and activity against initial budgets and plans. These meetings will also consider following agenda items as necessary:


progress against the current business plan and budget allocation

details of current income and cash-flow details against projected income and cash-flow forecasts

details of any unplanned activities or trends that have resulted in unintended impact on existing resource and capacity levels

reports and evidence in relation to the performance of various procedures and arrangements and/or staff, team or customer suggestions to improve arrangements and services

the proposed budget allocation and business plan for the forthcoming period

the appropriateness of management, staff, IT and financial resources in light of current and/or planned workloads

current and/or planned developments within teams and/or across the organisation including new systems, services or products that BWYQ plan to introduce and key projects currently in operation.. Discussions will include implementation arrangements that ensure all development plans are effectively resourced, managed and delivered and do not cause an adverse effect

reviews of key risk and issues in accordance with BWYQ risk and issue management policy

reviews of national and regulatory developments that may impact on BWYQ qualifications and operations

reviews of any current policies and/or procedures; details of any planned implementation arrangements, timings and impact of revised policies/procedures.

The meeting attendees will then decide whether to authorise the procurement and/or reallocation of resources and/or the allocation of additional funds to particular teams/functions. Alternatively any risk to BWYQ financial viability due to loss of lack of income (or other unforeseen events) will result in the BWY Chair and BWY Operations Manager agreeing a suitable action plan with the BWYQ Chair, BWYQ Operations Coordinator and Senior Staff/ Officers responsible for ensuring its effective implementation. In addition to the current staffing levels BWYQ uses the Wheel-online software system to support its services and qualification delivery. The BWYQ policy, procedure and guidance documents outlined in this handbook are available via the Creatio ‘Wheel Online’ system. This system also supports logs and records facilitating:

Centre action plan management

Centre monitoring

Centre risk management

Application of sanctions

Malpractice investigations

Enquiries

Appeals

Complaints

Requests for reasonable adjustments and special considerations

Standardisation of BWYQ centre monitoring arrangements

Creatio ‘Wheel Online’ trend reports and statistical data which is produced for internal review and self-evaluation purposes Risk, issue, action and business continuity logs

The system ensures that every user has their own login and password and that all core regulatory based activities – especially engagements with centres – can be recorded automatically, thereby providing robust and un-editable audit trails of the decisions BWYQ make and/or the services BWYQ and its centres provide.


The system is hosted externally and all the data is continually backed up in the system in order to strengthen BWYQ business resilience and continuity arrangements. Further information is available on page 25 and in the Creatio ‘Wheel Online’ User Manuals available from Central Office or from the BWYQ Operations Coordinator and Responsible Officer. In addition, BWYQ uses a recording system to support BWYQ registration and certification arrangements. This system is managed at the BWYQ Central Office by the BWYQ Educational Administrator. Further guidance on registration and certification are available via the curriculum focussed policy and guidance documents as identified in the table on page 4. The systems BWYQ has in place are capable of meeting increased demand and ensure the robust retention of data to support trends and service analysis as well as the maintenance of standards across centres and qualifications. All BWYQ systems and the services BWYQ receive from the IT suppliers, are subject to regular review and underpinned by appropriate contracts with the suppliers.

BWYQ Qualifications BWYQ currently offers two Ofqual regulated qualifications, which can be found on the Ofqual Regulatory IT System or RITS register: QAN 601/0744/3: BWYQ Level 4 Certificate in Yoga Teaching (QCF) QAN 501/0828/1: BWYQ Level 4 Diploma in Teaching Yoga (QCF) (QAN numbers are references to the Ofqual RITs register of qualifications). Ofqual are changing the RITs register to a new Awarding Organisation Portal, which should be available from March 2016. BWYQ regulated qualifications were designed in line with the National Qualification Credit Framework (QCF). The QCF was replaced by the Regulated Qualification Framework (RQF) in 2015. Details concerning the new RQF are available on the Ofqual website: https://www.gov.uk/government/news/ofqual-to-introduce-new-regulated-qualifications-framework As the BWYQ is undergoing phased withdrawal of AO status, BWYQ regulated qualifications have not been revised in line with the new RQF. Further information concerning the QCF and how BWYQ regulated qualifications relate to it can be found on page 6 of BWYQ 007 BWYQ Centre Handbook. Ofqual also revised their GCOR in line with the development of the RQF in September 2015. AOs are expected to align themselves with this new framework by December 2017. BWYQ revised their regulated qualification programme specifications to reflect some of these changes in October 2015. See programme specifications for more information.

https://www.gov.uk/government/news/ofqual-to-introduce-new-regulated-qualifications-framework


Ofqual recognition and regulation

Recognition The British Wheel of Yoga Qualifications (BWYQ) is an autonomous Awarding Organisation (AO) that was approved for regulation by Ofqual (the Office of Qualifications and Examinations Regulation) in November 2008. Ofqual regulates qualifications, examinations and assessments in England and vocational qualifications in Northern Ireland. Ofqual are responsible for making sure that:

regulated qualifications reliably indicate the knowledge, skills and understanding students have demonstrated

assessments and exams show what a student has achieved people have confidence in the qualifications that we regulate students and teachers have information on the full range of qualifications that they regulate

In order to achieve Ofqual recognition BWYQ would have undergone a very thorough, rigorous assessment and review process to ensure that they were capable of delivering the high quality standards expected from an Ofqual regulated Awarding Organisation and their qualifications. Irrespective of plans to surrender recognition, BWYQ is required to maintain the high standards expected of them by Ofqual until the last learner has achieved their regulated qualification and the AO surrenders its status. BWYQ and its recognised centres are required to protect the interests of all BWYQ learners on regulated qualifications until the surrender date (circa November 2017).

Regulation Ofqual provide the General Conditions of Recognition (GCOR), which BWYQ and all centres providing BWYQ qualifications are required to comply with in order to maintain qualification standards and awarding organisation status. Each year the BWYQ Responsible Officer conducts a self-assessment evaluation (detailed on page 36) whereby BWYQ operations and governance are evaluated against the GCOR to ensure compliance. Further detail regarding Ofqual Regulation can be found: https://www.gov.uk/guidance/awarding-organisations-understanding-our-regulatory-requirements The Ofqual General Conditions of Recognition and Guidance to the GCOR can be found: https://www.gov.uk/government/publications/general-conditions-of-recognition All BWYQ staff, Directors and centres offering BWYQ regulated qualifications are required to ensure compliance with the Ofqual GCOR. This guidebook relates to GCOR Part 1 – The Awarding Organisation, which is broken in to the following sections: Section A: Governance Section B: The Awarding Organisation (AO) and Ofqual Section C: Third Parties The BWYQ policy grid provided in the introduction to this handbook maps BWYQ documents to the Ofqual GCOR; including those related to Part 2: The Regulated Qualification. It is important to acknowledge that Ofqual recognition benefits the BWYQ and BWYQ regulated qualifications with a recognised and reputed standard of quality but that in order to meet the requirements of this recognition BWYQ MUST comply with the expectations set out in the General Conditions of Recognition.

https://www.gov.uk/guidance/awarding-organisations-understanding-our-regulatory-requirements

https://www.gov.uk/government/publications/general-conditions-of-recognition


Ofqual GCOR Section B: The Awarding Organisation, Condition B4 stipulates that BWYQ are required to provide Ofqual with accurate information on request, in the prescribed format and within the timescale given (see page 10).

Condition B7 requires BWYQ to comply with regulatory documents; such as the GCOR provided by Ofqual and condition B8 requires BWYQ to comply with any undertakings given to Ofqual.

If Ofqual suspect non-compliance they will conduct a review of BWYQ and the ramifications would be wide-reaching should non-compliance be confirmed.


Governance and suitability for continued recognition by the regulators For a full overview of the Ofqual expectations of BWYQ as a regulated AO please read Section A of the Ofqual General Conditions of Recognition.

Company details BWYQ is a private limited company (Registered Company Number is 07371206). The Registered Company Address is: 25 Jermyn Street, Sleaford, Lincolnshire, NG34 7RU.

As an Ofqual Awarding Organisation (AO), BWYQ must not, by means of any act or omission which has or is likely to have an Adverse Effect, render itself unsuitable to continue to be recognised for the award of a relevant qualification. An act or omission may include in particular one which results in the awarding organisation –

being convicted of a criminal offence,

being held by a court or any professional, regulatory, or government body to have breached any provision of Competition Law, Equalities Law, or Data Protection Law,

being held by a court or any professional, regulatory, or government body to have breached a provision of any other legislation or any regulatory obligation to which it is subject, or

becoming insolvent or subject to corporate financial restructuring And which goes on to cause, or is likely to cause an Adverse Effect which Ofqual define as:

giving rise to prejudice to learners or potential learners, or adversely affects:

BWYQ’s ability to undertake the development, delivery or award of qualifications in accordance with Ofqual’s Conditions of Recognition

the standards of the qualifications BWYQ offer or propose to offer, or public confidence in qualifications.

Should such an event occur the BWYQ Operations Coordinator (and Responsible Officer) must inform the regulators in accordance with the steps outlined later in this section under the heading ‘Dealing with adverse effects’. In addition, it is essential that BWYQ must at all times ensure that the company’s registered address is in a member state of the European Union or the European Free Trade Association, or is legally established, or has a substantial presence, in a member state of the European Union or the European Free Trade Association if BWYQ are to stay compliant with Ofqual’s General Condition A2. Responsibility for ensuring BWYQ has the correct company status in accordance with UK law and Ofqual requirements rest with the BWY NEC and BWYQ Directors.


Overview of the governance lines within BWYQ The following table illustrates the key governance lines/responsibilities within BWYQ and builds upon the descriptions provided in ‘The Structure of BWYQ’ section and flowchart in Chapter 1.

Overview of key review/governance arrangements

Stage/Area At team level? At SMT/ BWYQ Board level? BWY NEC Board

Input Output

Proposals to enter into new markets/offer new qualification types

Details developed and reviewed at team level within the training team.

SMT review recommendations and sign-off (or not) on whether to proceed with new developments

They will receive an update on all key commercial plans and/or be required to sanction strategic decisions in relation to the markets BWYQ operate in and/or the qualification types BWYQ offer.

Advice and/or decisions in relation to markets BWYQ operate in and/or the qualification types BWYQ offer.

Qualification development, review and withdrawal activities

Details developed and reviewed at team level within the training team.

SMT review recommendations and sign-off (or not) on whether to sign-off on new developments and/or to confirm the withdrawal of specific qualifications.

Will received regular updates on the range of qualifications BWYQ are offering, withdrawing and/or in the process of developing through a report produced by the chair of the associated training team and SMT. In particular they will be informed should BWYQ propose to (or have) deliver a qualification with an assessment method BWYQ have not previously used before.

Decisions/advice – where a decision/advice is sought – on progress with BWYQ development, review or withdrawal activities and/or any proposal to use a new form of assessment.

Business plan and current market share and take-up details

Aspects of the business plan specific to each team are reviewed; actioned and monitored at team level (e.g. specific teams may be responsible for delivering on key business objectives from the plan.

SMT/ BWYQ Board review recommendations and sign-off on the draft business plan prior to submitting to the Board for approval. SMT/ BWYQ Board will review the business plan and the associated progress on a monthly basis.

They will receive regular updates on progress with regards to BWYQ Business Plan and latest financial state (e.g. income, achievement of targets, costs, etc.). The reports will contain updates on registration and certification numbers (and associated trends) and overall market position based on the quarterly statistical updates produced by Ofqual.

Decisions/advice – where a decision/advice is sought – on amendments to the Business Plan, a new business plan and/or progress with projected income targets and/or management of existing/projected cost base.

Quality assurance updates

Details of planned and completed visits and the associated outcomes will be reviewed including progress with, and associated trends with, centre actions and sanctions.

SMT/ BWYQ Board will receive regular updates on progress with regards to BWYQ quality assurance arrangements. Including: i) Trends/key findings or issues from recent activities (e.g. number and types of visits, actions being assigned/outstanding with centres, the application of sanctions, and the topics and outcomes from standardisation activities). ii) Updates – where relevant – on planned quality assurance

They will receive regular updates on progress with regards to BWYQ quality assurance arrangements. Including: i) Trends/key findings or issues from recent activities (e.g. number and types of visits, actions being assigned/outstanding with centres, the application of sanctions, and the topics and outcomes from standardisation activities). ii) Updates – where relevant – on planned quality assurance

Decisions/advice – where a decision/advice is sought – in relation to BWYQ quality assurance arrangements.




Input Output

activities for the next period. SMT/ BWYQ Board will be asked to inform/make decisions in relation to specific instances of quality assurance/centre risk rating/sanction issues at centres in accordance with the arrangements outlined in BWYQ Sanctions policy and centre risk rating arrangements.

activities for the next period.

Latest position in relation to complaints and appeals (including associated trends where identified).

Complaints and appeals are dealt with by various teams in accordance with the arrangements outlined in these policies and the internal procedures in the qualification delivery manual.

They will receive regular updates on progress/trends with complaints and/or appeals and in particular will get updates on key cases/issues (including notifications to and from the regulators). SMT/ BWYQ Board will be asked to inform/make decisions in relation to specific instances of complaints/appeals where appropriate and in accordance with the arrangements outlined in BWYQ Complaints and Appeals policies.

They will receive regular updates on progress/trends with complaints and/or appeals and in particular will get updates on key cases/issues (including notifications to and from the regulators).

Decisions/advice – where a decision/advice is sought – in relation to how to react to complaint/appeals outcomes and trends.

Latest position in relation to investigations, notifications to the regulators and/or possible/actual adverse effects and emerging trends.

A quality assurance team will take primary responsibility for managing investigations in accordance with the arrangements in BWYQ Malpractice and Maladministration and Whistle-blowing policies and for dealing with the detail of investigations and adherence with BWYQ arrangements; dependent on the nature of the event.

They will receive regular updates on progress with regards to investigations (including trends) and any notifications to and from the regulators. As well as the identification and implementation of lessons learnt. SMT/ BWYQ Board will be asked to inform/make decisions in relation to specific investigations where appropriate and in accordance with the arrangements outlined in Malpractice and Maladministration and Whistle-blowing policies.

They will receive regular updates on progress with regards to investigations (including trends) and any notifications to and from the regulators. As well as the identification and implementation of lessons learnt.

Decisions/advice – where a decision/advice is sought – in relation to key investigations, outcomes and/or notifications with and from the regulators.

Review of key risks and issues.

Each team will be responsible for identifying and managing risks and issues within their team.

They will review BWYQ latest risk and issues log in accordance with the arrangements outlined in BWYQ risk and issues policy.

They will review BWYQ latest risk and issues log in accordance with the arrangements outlined in BWYQ risk and issues policy.

Decisions/advice – where a decision/advice is sought – in relation to how to respond to key risks/issues and/or the identification of new risks and issues.

Regulatory and market updates.

Marketing and publicity personnel alongside the Responsible Officer and BWY operations Manager will be responsible for staying abreast and disseminating regulatory and/or market

They will stay abreast of regulatory and/or market developments and devise appropriate responses. In doing so relevant information will be disseminated to teams for implementation, and/or the

They will receive regular updates on key market and regulatory updates (e.g. consultations from the regulators, changes with funding that affect the business, the emergence of

Decisions/advice – where a decision/advice is sought – in relation to regulatory and market developments.




Input Output

developments to staff within their team and for implementing associated arrangements where required.

Board for information; with SMT/ BWYQ Board responsible for managing and reviewing progress per meeting; escalating issues where required to the NEC.

new competitors or practices in the market).

Self-evaluation updates

Each team will be responsible for ensuring their team is compliant with the General Conditions and for contributing to the self-assessment arrangements as outlined later in this manual.

They will review BWYQ’s on-going level of regulatory compliance and for managing and overseeing BWYQ’s self-assessment arrangements and for producing the draft statement of compliance for the Board to consider and sign-off upon.

They will receive regular updates on progress with regards to internal self-evaluations and/or new requirements from the regulators. They will receive the full self-evaluation reports and draft statements of compliance to review and sign-off on in accordance with the regulator’s end of year submission process.

Decisions/advice – where a decision/advice is sought – in relation to actions (e.g. how and when to implement or how to address any actions that are still outstanding such as the reassignment of additional resources, etc.). As well as the formal review and sign-off on the end of year statement of compliance.

Updates on key Governance areas not covered by the above areas.

Each team will be responsible for managing the following areas in relation to those scenarios that impact their area: i)Business continuity arrangements ii)Identification and management of possible and actual conflicts of interest iii) The recruitment, management and review of third parties.

SMT/ BWYQ Board is responsible for managing and reviewing the company’s: i) Business continuity plan ii) Conflicts of interest policy and its effective implementation and review iii) Ensuring that appropriate third parties are recruited and managed in accordance with BWYQ documented arrangements

Throughout the year the NEC will received updates in relation to other Governance areas such as: i) the appropriateness of BWYQ Business Continuity arrangements; ii) BWYQ arrangements for identifying and managing potential and actual Conflicts of Interests and the associated log of conflicts and their controls; iii) the management of BWYQ third parties and in particular in relation to key contracts that may be about to be tendered and/or are up for review.

Decisions/advice – where a decision/advice is sought – in relation to these Governance activities (e.g. the need to undertake a full test of some/all continuity arrangements, etc.).

Any other business

The IQA and Curriculum Support team(s) will be responsible for applying the reasonable adjustments and special considerations policy and associated arrangements and for dealing with individual cases. All teams will be responsible for applying or Equal Opportunities and Diversity Policy as relevant to their areas of work and responsibility.

Updates – where relevant – on trends or developments in relation to equality and diversity issues, requests for reasonable adjustments and special considerations; changes to key BWYQ policies and processes; key projects /developments, etc.

Updates – where relevant – on trends or developments in relation to equality and diversity issues, requests for reasonable adjustments and special considerations; changes to key policies and processes; key projects /developments, etc.

Decisions/advice – where a decision/advice is sought – in relation to these areas.


The Responsible Officer For a full overview of the Ofqual expectations with regard to the Responsible Officer refer to GCOR Section B: The awarding organisation and Ofqual, Condition B1: The role of the responsible officer The BWYQ Operations Coordinator (and Responsible Officer) will oversee the operation of the awarding organisation function and will carry out the role of the single, named person of responsibility and the authoritative point of contact for Ofqual in relation to all regulated activities undertaken by BWYQ. In particular in relation to:

any matters relating to BWYQ compliance with Ofqual’s Conditions of Recognition,

BWYQ’s ability to undertake the efficient development, delivery and award of qualifications,

the standards of qualifications that BWYQ deliver or propose to deliver and make available,

any matters which may affect public confidence in qualifications, and

the accessibility of BWYQ qualifications, including compliance with Equalities Law

ensuring that no two-year period passes without us awarding a single qualification Due to the importance Ofqual places on the role, BWYQ must immediately inform Ofqual in writing should the Responsible Officer change, for whatever reason. In carrying out this role the BWYQ Operations Coordinator (and Responsible Officer)is responsible, on behalf of BWYQ, for ensuring that any statements made to Ofqual (other than those required by Ofqual from BWYQ’s Governing Board) are accurate, complete and comply with any undertakings/commitments BWYQ makes to the regulators. In addition, should Ofqual issue a statement or notice to, or make a request for information from, the BWYQ Operations Coordinator (and Responsible Officer) it will be considered by Ofqual as being given to/served on BWYQ as a whole, therefore the BWYQ Operations Coordinator (and Responsible Officer) will be responsible for disseminating such information to relevant members of BWYQ in a timely and appropriate manner. Should the BWYQ Operations Coordinator (and Responsible Officer) be absent (e.g. leave) s/he must ensure adequate arrangements are in place for the Senior staff and officers (or the Senior Management Team/ SMT) to pick up and deal with such statements or notices in her/his absence. In relation to this point Ofqual state that a notice issued by them may:

specify the time within which the information is to be provided,

specify a form in which the information is to be provided,

require that the information is accompanied by such supporting documents or data as may be described, and

require BWYQ to provide information whether that information is already in its possession or has to be created or obtained by it.

The BWYQ Operations Coordinator (and Responsible Officer) is responsible for ensuring BWYQ is compliant with the above requirements and any such notice and for ensuring that any information provided to Ofqual is accurate and complete. It is important to note that such information could be classified by Ofqual as including regular data returns in relation to take-up and achievements; hence all staff must ensure that any information being collated for Ofqual purposes is accurate and complete. Finally, the BWYQ Operations Coordinator (and Responsible Officer) will ensure that BWYQ:


provides Ofqual with all reasonable assistance should it undertake an investigation into, or a monitoring activity of, BWYQ organisation activities

complies with regulatory documents that require us to take or refrain from taking action is important to note, should there be a conflict in the requirements of two Ofqual documents then the requirement in Ofqual’s General Conditions of Recognition will take precedence

consider any guidelines or principles of good practice issued by the regulators in relation to the activities of awarding organisations and to do so before BWYQ engage in similar activities

will comply with all written undertakings given to Ofqual (e.g. documented procedures and/or communicated in writing to the regulators).

If the BWYQ Operations Coordinator (and Responsible Officer) was absent for a significant period of time (e.g. long-term sick leave) and unable to fully carry out the role of Responsible Officer, s/he/the Board would appoint a member of the SMT to replace him for the period of absence and would ensure that the regulators are informed of this temporary arrangement.

Change in Control The Ofqual General Conditions of Recognition provide the following definition for a change of control: A3.2 For the purposes of this condition, a change of control takes place in relation to an awarding organisation where – (a) a person obtains control of the awarding organisation who did not, immediately prior to doing so, have control of it, or (b) the awarding organisation merges with any person. A3.3 Where the awarding organisation is a company, sub-sections (2), (3) and (4) of section 450 of the Corporation Tax Act 2010 shall apply for the purpose of determining whether a person has or had control of the awarding organisation

Should a change of control occur in in relation to the ownership of BWYQ (e.g. BWYQ are taken over by another organisation/individual and they have control of BWYQ in accordance with the definition outlined in sub-sections (2), (3) and (4) of section 450 of the Corporation Tax Act 2010, or BWYQ merge with another organisation) the BWYQ Operations Coordinator (and Responsible Officer)will notify Ofqual and in conjunction with the new owners until such as a time as new owners are announced (if appropriate) ensure BWYQ continue to:

take all reasonable steps to ensure that the change of control does not have an Adverse Effect,

put in place a plan designed to ensure that the interests of learners are to be protected Other changes in BWYQ status which must be promptly communicated to Ofqual include:

a material change in BWYQ governance structure or legal status,

a merger between BWYQ and another body, or

any insolvency or bankruptcy proceedings have commenced in relation to BWYQ organisation.

The BWYQ Operations Coordinator will work closely with the senior staff, officers and Directors that are available in establishing an appropriate working group to manage the above expectations and plans to protect the interests of learners.


Senior staff declarations As a regulated awarding organisation BWYQ are required to ensure that senior staff have the relevant skills and experience for the role(s) they carry out and this is covered by recruitment processes summarised in Appendix 3. Regulators also make an explicit requirement of us to ensure that all senior staff are ‘suitable to be engaged in that role’. Therefore every new member of the senior staff team (defined here as Senior Management Team member and member of the BWYQ Board of Directors and associated BWY NEC) will be required to complete a declaration form attached in Appendix 4. For the purposes of this procedure, and using the regulatory authorities’ definition, a member of staff may be deemed unsuitable for their role by virtue of:

any criminal convictions held by him or her – staff will not be required to disclose details of any spent convictions,

any finding by a court or any professional, regulatory, or government body that he or she has breached a provision of any legislation or any regulatory obligation to which he or she is subject,

any proceedings in bankruptcy or any individual financial arrangement to which he or she is or has been subject,

any disqualification from holding the directorship of a company or from public office, or

any finding of malpractice or maladministration, in relation to a qualification (whether a regulated qualification or a qualification which is not regulated) that involved the member of staff,

Should any of the above events occur in relation to a member of BWYQ senior staff, or there is an allegation of this occurring, the BWYQ Operations Coordinator and Responsible Officer must be notified immediately and must instigate and appropriate investigation into the allegation/impact of the situation and take the relevant course of action. This may include:

Referring the investigation to the BWY Operations Manager or NEC Representative (such as the BWY Chair) as the Governing Body authority on these matters

Confirming that the allegation is unfounded and recording the outcome of the investigation for the purposes of any future regulatory audit/request

Reassigning the officer to other roles where appropriate

Instigating disciplinary proceedings, if the allegation has been proven, which may result in the suspension and/or dismissal of the member of staff – again with the outcome of the investigation recorded for the purposes of any future regulatory audit/request

Inform, if appropriate, the regulators in accordance with the steps outlined below in the sub-section “Adverse Effects” (e.g. alongside details of the actions BWYQ have taken in light of the situation)

In addition BWYQ will undertake an annual check with each staff/Board member to proactively check and identify any new developments that may affect their suitability that may have emerged in the interim period (e.g. ask them to resign the declaration statement). All managers therefore sign the declaration.


Below is a summary chart to illustrate this process with regard to new senior managers or to the investigation into occurrences that lead to doubt about the suitability of senior managers:

Conflict of Interest Refer to Ofqual GCOR Section A: Governance; Condition A4 – Conflict of Interest The definition used by the regulatory authorities (Ofqual) in relation to conflict of interests relates to BWYQ where:

its interests in any activity undertaken by it, on its behalf, or by a member of its staff have the potential to lead it to act contrary to its interests in the development, delivery and award of qualifications in accordance with the requirements of the regulator’s Conditions of Recognition,

a person who is connected to the development, delivery or award of qualifications at BWYQ has interests in any other activity which have the potential to lead that person to act contrary to his or her interests in that development, delivery or award and impact on our compliance with the requirements of the regulator’s Conditions of Recognition, an informed and reasonable observer would conclude that either of these situations was the case.

BWYQ 014 Conflict of Interest (COI) Policy gives full guidance in how to address such issues. COIs are reported at the outset of any committee meeting and the BWYQ Operations Coordinator maintains a log of COI on Creatio ‘Wheel Online’ and within policy documents and COI logs.

BWYQ Operations Coordinator and BWY Operations Manager Investigate

Allegation unfounded – matter closed

Allegation upheld – staff disciplined; removed and/ or reassigned. Regulators

informed.

NEW MANAGER POST/ BOARD VACANCY BECOMES AVAILABLE

POST ADVERTISED

APPLICANTS SHORT LISTED AND INTERVIEWED

INCIDENT OCCURS THAT LEADS TO DOUBTS ABOUT THE SUITABILITY OF A SENIOR MEMBER

OF STAFF

APPOINTMENT AND DECLARATION SIGNED BY NEW SENIOR STAFF MEMBER


BWYQ annual statement of compliance and self-evaluation arrangements Refer to GCOR Section B: The awarding organisation and Ofqual, Condition B2 – The annual statement to Ofqual Each year BWYQ are required to provide an annual statement of compliance in relation to various regulatory requirements. As an additional measure of reassurance, BWYQ will provide quarterly RO reports to the Board outlining current levels of compliance against regulatory requirements amongst other key performance indicators. Reports will also include details of any actions BWYQ have taken or are planning to take to secure compliance. The statement must be formally approved by BWYQ’s Governing Body/Board, signed by the BWY/Q Chair and sent to the regulatory authorities, in line with their reporting arrangements. The statement must:

Be supported by a summary of a self-evaluation against the Conditions of Recognition that BWYQ are subject to, along with details of any actions BWYQ have taken or are planning to take to secure compliance with its Conditions of Recognition. The regulators expect us to have undertaken this self-evaluation in order to be in a position to provide them with the BWYQ statement of compliance, but it does not require us to submit the full self-evaluation or the evidence that lies behind it, although they reserve the right to ask for this at any time.

Specify that BWYQ are either fully compliant with their requirements or if BWYQ are not in compliance where the non-compliance(s) relate and the date by which BWYQ expect to rectify this failure.

Specify that BWYQ have no cause to believe that BWYQ will be non-compliant during the next 12-month period, or if BWYQ do believe that the AO may be non-compliant BWYQ must specify each instance of potential non-compliance and the grounds for this conclusion and the steps that will be taken to address the potential non-compliance.

To inform the statement the BWYQ Operations Coordinator (and Responsible Officer) will carry out a self-evaluation against each of the Ofqual Conditions of Recognition and may recruit independent external expertise to assist if required. This end of year report will be informed a range of activities. For example:

Reviews of any changes to existing documented procedures per team in particular BWYQ approach to the development, delivery and award of qualifications - all associated policies and procedures will be stored in the ‘regulatory document’ log in the corporate governance part of BWYQ Creatio ‘Wheel Online’ system (which will record details of reviews and updates to the documents automatically ).

Reviews of current levels of activity per team and sample various activities (such as a range of unit and/or qualification developments, learner registration and certification requests and on-going monitoring and standardisation activities) to ascertain if they adhered to documented procedures and if there were any trends or issues emerging (e.g. improvements that could be made to processes or that were not being adhered to and which posed a risk to BWYQ).


Reviews of reports collated by the teams, and/or other credible evidence, which suggest that changes are required in BWYQ approach to the development, delivery or award of qualifications.

Reviews of trend analysis of learner profiles; requests for reasonable adjustments or special considerations; appeals; complaints; and/or centre and learner feedback gathered through various activities.

Analysis of internal governance arrangements within teams (e.g. in relation to robustly identifying and managing risks and issues).

Interviews with various staff within the teams.

Events reported on by the regulators with other organisations which may signal similar issues could occur with BWYQ arrangements and/or which BWYQ could learn from and address to prevent similar issues occurring within BWYQ

The self-evaluation reports, including proposed actions, will be reviewed by the SMT, BWY NEC and the BWYQ Board of Directors. The Chair of the Board and the Responsible Officer will sign off the annual

self-evaluation report prior to making BWYQ annual statement of compliance to the regulators. A process map illustrating the above activities is outlined below:

SMT member identified to conduct self-evaluation audit (the auditor) and briefed (e.g. updated on any specific regulatory requirements/focus in relation to the forthcoming statement of compliance/ specific conditions to focus on)

Evidence and documentation collated and supplied to the auditor to review

Systems and audit trails scrutinised by the auditor including details of stakeholder feedback (e.g. learner/centre feedback). Staff also interviewed by auditor.

Report produced with details of recommendations and actions (if appropriate)

Report presented to SMT and the BWYQ Board of Directors to scrutinise. Amendments made or further investigation initiated. Report revised if necessary.

Report, including any updates from SMT/Advisory panel, presented to the NEC Board

Actions agreed and signed-off. Documents logged in the Corporate Governance system/ Creatio Wheel-online. Progress against actions monitored and reported to SMT, the BWYQ Directors and the NEC Board.

Annual statement of compliance produced by the Responsible Officer and presented to SMT, the BWYQ Directors and NEC Board for review.


IT Arrangements The BWYQ is currently undergoing a phased withdrawal of recognition. IT systems for the BWYQ are supported by facilities at the Central Office for the BWY and further details can be given on request. BWYQs’ IT strategy is based around using current back-office IT solutions to support various AO activities. The SMT and BWY NEC is responsible for ensuring that BWYQ has appropriate IT resources in place at all times to ensure that the BWYQ continue to deliver and award qualifications appropriately.

The Creatio ‘Wheel Online’ System

The Creatio ‘Wheel Online’ system is a bespoke, fully hosted web-based solution that contains four modules that can be configured to meet each AO’s particular needs. The BWYQ have elected to use these modules as outlined below.

Governance

The Creatio ‘Wheel Online’ system supports the BWYQ in addressing a lot of the governance related regulatory requirements (based primarily around the Section A and B of the Ofqual General Conditions of Recognition) such as risk management; conflicts of interest management, incidents, AO notifications, business continuity plans, self-assessment and many other areas.

The BWYQ Operations Coordinator and Responsible Officer manages all of the documentation available via the Creatio ‘Wheel Online’ system to ensure that staff and centres have access to the latest, Ofqual compliant, policies, procedures and guidance. The BWYQ Operations Coordinator and Responsible Officer also manages the risk logs, conflicts of interest records and business continuity items on the Creatio ‘Wheel Online’ system in addition to using the system to monitor quality assurance activities. All senior staff and officers have been issued with email access to the Creatio ‘Wheel Online’ system. Further guidance on using the system can be found through the Creatio ‘Wheel Online’ Centre and Awarding Body User Guides, available from the BWYQ Operations Coordinator and Responsible Officer and BWYQ Central Office.

Centre management

BWYQ centres have their own area on the Wheel Online system which supports the AO in overseeing centre activities and transactions with the exception of learner registration and certification. For example BWYQ and its recognised centres can use Creatio ‘Wheel Online’ to request and report on IQA and EQA activities, complaints, appeals, malpractice investigations, sanctions, centre risk/compliance ratings; assigning actions to centres and managing their completion on time etc. Centre managers are able to log on to Creatio ‘Wheel Online’ and access the document library, which includes the BWYQ approved and Ofqual compliant policies and processes.

Qualification development

This facility supports an AO’s qualification development, review and withdrawal processes and procedures – regardless of qualification type; as well as the development of assessment arrangements and a range of features to support Validity Strategies and reviews. As BWYQ are undergoing a phased withdrawal of recognition the AO is not developing qualifications; this module is therefore not currently used.


Registration and certification

Creatio ‘Wheel Online’ has the facility to cover the end-to-end learner registration and certification process with a built in certificate generation feature for paper based certificates and/or e-certificates. It streamlines traditional learner registration and certification activities and contains a number of innovative features from coherently supporting requests for reasonable adjustments, special considerations and recognised prior learning, to full audit trails in relation to all initial and final grading and results decisions, to a unique way of fully accessing a learner’s record and history at any stage in the registration and certification life-cycle; to automated regulatory data-return reports and real-time take-up and fees dashboards.

BWYQ have underutilised this facility in the past favouring in-house mechanisms for recording student data at the BWYQ central office. As the AO is undergoing a phased withdrawal of recognition, greater use of this facility has not been explored as student enrolments on to regulated qualifications ceased in March 2015.


Managing External Suppliers (3rd parties) Refer to GCOR Section C: Third Parties. Condition C1: Arrangements with third parties Should BWYQ arrange for an outside party (referred to by the regulatory authorities as ‘third parties’) to undertake any part of the development, delivery and award of qualifications BWYQ must ensure that the arrangements which BWYQ establish with that third party enable us to develop, deliver and award qualifications in accordance with the Conditions of Recognition and that BWYQ are able to monitor and enforce such arrangements. All third parties will declare any conflicts of interest they may have and these will be recorded in BWYQ Creatio Wheel-online system in the Conflicts of Interest log. Examples of third parties include:

Consultants used in the development of qualifications (e.g. unit writers)

IT suppliers

Part-time quality assurance staff

External printers

Couriers The BWY Operations Manager and BWYQ Operations Coordinator will be responsible for ensuring BWYQ confidentiality policies and processes for staff and contractors are up to date and followed. It is the responsibility of each and every member of the SMT to manage the 3rd party they are working with and ensure:

that such staff/suppliers are only procured following an appropriate tender/recruitment process (e.g. invite them to respond to a tender/work specification, shortlist relevant responses and interview them before a final selection is made based on the relevant experience, expertise and track record.

contracts are appropriately worded to ensure that third parties comply with BWYQ regulatory obligations and/or stipulate the services they should supply in order to enable them to support us in the effective delivery of BWYQ procedures and associated requirements,

third parties sign appropriate confidentiality and/or non-disclosure agreements as part of their contract or as part of a separate document and which clearly sets out their obligations in terms of: i) confidentiality clauses that aim to ensure that such confidentiality is maintained ii) a clause that ensures they must not provide or endorse any prohibited training, and do

not provide or endorse any prohibited training (or seeks approval/endorsement from BWYQ staff or those connected to BWYQ). ‘Prohibited training’ is training provided to centres/teachers in relation to a qualification at which a number of persons are present (whether physically or remotely by means of simultaneous electronic communication) where someone holds information in relation to the content of assessment materials or information about the assessment for that qualification, and where disclosure of the information to centres/teachers would breach such confidentiality

third parties declare any conflicts of interest in accordance with their duty of confidentiality and/or any other legal duty as outlined in BWYQ conflicts of interest policy.

promptly notifying BWYQ of all instances in which they have been or are currently involved in the preparation of a resource designed to support the preparation of actual/potential learners for the assessment of a BWYQ qualification – especially if they had/have access to confidential


assessment materials/information (this does not apply to the preparation of teaching resources or materials that s/he uses for learners they teach – although they are still bound by the confidentiality clauses of the contract/agreement in relation to confidential information they may have had access too). This requirement will also be applicable to when they leave the employment of BWYQ.

Having assessments they set monitored by BWYQ if they are, or have been, involved in the preparation of a resource designed to support the preparation of actual/potential learners for the assessment of a BWYQ qualification to ensure the fitness for purpose of the assessment has not been compromised by the ‘resource’ – especially if they have/had access to confidential assessment materials/information (this does not apply to the preparation of teaching resources or materials that s/he uses for learners they teach – although they are still bound by the confidentiality clauses of the contract/agreement).

In relation to ensuring that any access they have to confidential information in relation to a qualification does not compromise the confidentiality of assessment materials for the qualification when they design/develop resources designed to support the preparation of actual/potential learners for the assessment of a BWYQ qualification.

In enforcing the above BWYQ do not place unnecessary, costly or unduly burdensome arrangements on such staff/suppliers. If a senior manager has any doubt about the relevance of the contracts/service agreements underpinning such staff/suppliers, they should contact BWY Operations Manager and BWY Chair, to discuss the matter and agree an appropriate course of action. The work of each third party will be monitored by their line manager to ensure they operate effectively and in accordance with the expectations for the role they have been recruited for and to ensure that if they have an external role outside of their BWYQ activities they do not take any actions that are contrary to interests of BWYQ in the development, delivery or award of BWYQ qualifications (as noted above) or which may cause an Adverse Effect (See section below). Should an issue arise that suggests a conflict of interest and/or breach of confidentiality (including through the loss or theft of confidential assessment materials) is either suspected or alleged by any other person and where there are reasonable grounds for that suspicion or allegation, the insert role will be informed and will investigate that breach rigorously, effectively, and by someone of appropriate competence who have no personal interest in its outcome. The investigation will, so far as possible, establish whether or not a breach of such confidentiality or conflict of interest (COI) has occurred and highlight the action(s) that need to be taken. COI is covered on page 6 and in BWYQ 014 COI Policy.


Below is a flowchart of how BWYQ will manage the recruitment process of 3rd party suppliers:

New/replacement third party required

Bids received and reviewed (including details of any conflicts of interest)

Shortlisted suppliers interviewed

Performance of the supplier is monitored and recorded

Tender/job description/brief produced by relevant senior manager which includes confidentiality expectations (and Escrow and data back-up arrangements if an IT tender)

Tender signed off by BWYQ Chair/ BWY Operations Manager Tender issued

Supplier inducted/trained as appropriate to the nature of the work they have been commissioned for

Contract and supplier details – and the services they have been recruited for - logged on the 3rd

party log in the system. Also the conflicts of interest log will be updated accordingly to reflect any actual/potential conflicts of interest.

Preferred supplier appointed and contracts exchanged.


Arrangements with Centres Refer to Ofqual GCOR Section C: Third Parties; Condition C2 – Arrangements with Centres In 2016 the remaining centres offering BWYQ regulated qualifications, BWYT and CAM Yoga, were required to sign revised BWYQ Centre Recognition documents that set out the formal written agreement between BWYQ as an AO and its recognised centres. This agreement ensures that the centres operate and deliver BWYQ qualifications to the standard expected by BWYQ and its regulators, including Ofqual. Further information is available in BWYQ 006 – Centre Recognition Document and BWYQ 007 – Centre Handbook.

Identification and Management of Risks Refer to GCOR Section A: Governance; Condition A6 the Identification and Management of Risks Condition A7 Management of Incidents The risks that BWYQ faces are continually changing and it is imperative that staff proactively identify and manage risks in order for BWYQ to maximise the opportunities these developments bring and to keep our overall risk capacity at an appropriate level. BWYQ are required by the regulatory authorities (namely Ofqual) to take all reasonable steps to identify, prevent, reduce and/or mitigate risks that could have an be defined by the regulators as having an ‘adverse effect’ as defined by the following General Condition: An awarding organisation must take all reasonable steps to identify the risk of the occurrence of any incident which could have an Adverse Effect. Where such a risk is identified, the awarding organisation must take all reasonable steps to –

(a) prevent the incident from occurring or, where it cannot be prevented, reduce the risk of that incident occurring as far as is possible, and (b) prevent any Adverse Effect that the incident could have were it to occur or, where it cannot be prevented, mitigate that Adverse Effect as far as possible.

BWYQ has a comprehensive Risk Management Policy (BWYQ 015) which gives clear guidelines and procedures for the identification and management of risk. A risk log is maintained on the Creatio ‘Wheel Online’ system and in document copy for regular reporting to the BWYQ Directors and BWY NEC. Refer to BWYQ 015 Risk Management Policy for more information.


Malpractice and Maladministration Refer to GCOR Section A: Governance; Condition A8 Malpractice and Maladministration Ofqual requires awarding organisations to take all reasonable steps to prevent the occurrence of any malpractice or maladministration in the development, delivery and award of qualifications which it makes available or proposes to make available. Where any such malpractice or maladministration is suspected by an awarding organisation or alleged by any other person, and where there are reasonable grounds for that suspicion or allegation, the awarding organisation must conduct an appropriate investigation and ensure that any adverse effects are mitigated. Malpractice is essentially any activity or practice, which deliberately contravenes regulations and compromises the integrity of the internal or external assessment process and/or the validity of certificates. It covers any deliberate actions, neglect, default or other practice that compromises, or could compromise:

the assessment process;

the integrity of a regulated qualification;

the validity of a result or certificate;

the reputation and credibility of BWYQ ; or,

the qualification or the wider qualifications community.

Maladministration is essentially any activity or practice, which results in non-compliance with administrative regulations and requirements and includes the application of persistent mistakes or poor administration within a centre (e.g. inappropriate learner records). BWYQ has a comprehensive Malpractices and Maladministration Policy (BWYQ 017) which clearly outlines the process to be followed should malpractice or maladministration be suspected. Governors, Directors and staff are advised to familiarise themselves with this policy and process.


Dealing with Adverse Effects For a full overview of the Ofqual expectations with regards to the way BWYQ deals with adverse effects please read Section B of the Ofqual General Conditions of Recognition: The warding body and Ofqual. In particular: Condition B3 - notification to Ofqual of certain events – condition B3.2 and B3.3 give a list of example events A flow chart of how BWYQ will deal with an adverse effect is below, due to the seriousness of an adverse effect the BWYQ Operations Coordinator (and Responsible Officer) will instigate an investigation with the BWYQ Directors and the support of the BWY Operations Manager who will keep the BWY NEC informed throughout the process. Details underpinning this process are outlined in this section below the chart.

The regulators require awarding organisations to prevent where possible and/or deal accordingly with instances defined as ‘Adverse Effects’ to mitigate it as far as possible and/or correct it should it have occurred (in doing so giving priority to protecting the integrity of BWYQ assessment and awarding arrangements and the interests of BWYQ learners - in particular assessments which differentiate

Update/final report sent to the regulators. Possible trends monitored and acted upon at SMT/ BWYQ Directors meetings and at NEC Committee

Incident occurs and is identified by, or reported to, BWYQ and escalated to the Responsible Officer if it is, or is suspected of being, an adverse effect

Incident logged on the incident log in the Creatio Wheel-online corporate governance system

An investigation is undertaken by an officer assigned by the BWY Operations Manager or BWYQ Operations Coordinator (RO) and regulators informed if the incident is classified an adverse effect

Regular progress reports are issued and updates are given as appropriate to the regulators, the advisory panel and board – with details of the investigation activities and outcomes recorded in the incident record in the

incident log of the corporate governance system

Final report produced by the investigating officer(s) with details of the findings, cause (if relevant), impact, suggested actions and lessons learnt

BWYQ Operations Coordinator and BWY operations Manager review and sign off on the report and actions with owners assigned as relevant to the action(s) and progress against these are monitored and reported on at SMT/ BWYQ Directors meetings and NEC Committee as appropriate (details of the actions are recorded in the action

log in the Corporate Governance section of the Wheel-online


between learners on the basis of attainment they have demonstrated and ensuring the accurate and timely award of qualifications). The definition of an Adverse Effect is one which goes on to cause, or is likely to:

Cause prejudice to learners or potential learners, or

Adversely affect:

BWYQ’s ability to undertake the development, delivery or award of qualifications in accordance with the Conditions of Recognition

the standards of the qualifications BWYQ offer or propose to offer, or

public confidence in qualifications. Events highlighted by regulators that could lead to Adverse Effects include those where:

by means of any act or omission which has or is likely to have an Adverse Effect, renders BWYQ unsuitable to continue to be recognised for the award of a relevant qualification (Condition A1.1).

There is a change of control in BWYQ organisation - in which case BWYQ must take (and procure that every other relevant person takes) all reasonable steps to ensure that the change of control does not have an Adverse Effect, and put in place a plan designed to ensure that the interests of Learners will be protected during the transition.

BWYQ have a conflict of interest which may cause us to have an Adverse Effect (Condition A4.3)

BWYQ fail to identify, and/or take all reasonable steps to prevent or mitigate, risks that should they occur could be deemed to be have caused an Adverse Effect (Condition A6.1/2)

In addition, specific examples of events given in Condition B3.2 which could have an Adverse Effect include those where –

there is a substantial error in BWYQ assessment materials,

there has been a loss or theft of, or a breach of confidentiality in, any assessment materials,

BWYQ cannot supply assessment materials for a scheduled assessment date,

there has been a failure in the delivery of an assessment which threatens assessors’ ability to differentiate accurately and consistently between the levels of attainment demonstrated by learners,

BWYQ are or will be unable to meet a published date for the issue of results or the award of a qualification,

BWYQ have issued incorrect results or certificates,

BWYQ believe that there has been an incident of malpractice or maladministration, which could either invalidate the award of a qualification which BWYQ make available or could affect another awarding organisation,

BWYQ have (for any reason, whether inside or outside of BWYQ control) incurred an increase in costs which BWYQ anticipate will result in an increase in its fees of significantly more than the rate of inflation,

BWYQ are named as a party in any criminal or civil proceedings or is subjected to a regulatory investigation or sanction by any professional, regulatory, or government body,


a senior member of BWYQ staff is a party to criminal proceedings (other than minor driving offences), is subject to any action for disqualification as a company director, or is subject to disciplinary proceedings by any professional, regulatory, or government body,

an incident has occurred outside of the UK which could have an Adverse Effect - for example, it occurred in the context of the development, delivery or awarding of a regulated qualification taken by Learners in or outside the UK.

The regulators have stated that the above lists are only examples and should not be considered an exhaustive list. Staff should therefore use their professional judgement in determining if an event should be reported to the regulators – with the main principle being if staff are in doubt whether an event is an ‘Adverse Effect’ they should urge on the side of caution and notify their line manager and/or the BWYQ Operations Coordinator (and Responsible Officer) immediately and log the details in BWYQ issue/incident log on BWYQ Creatio Wheel-online system. The BWYQ Operations Coordinator (and Responsible Officer), will then ensure an investigation is carried out immediately with updates provided, as appropriate to the BWY NEC and Board of BWYQ Directors. If the breach is classified as an Adverse Effect then the BWYQ Operations Coordinator (and Responsible Officer) must promptly notify Ofqual that it has occurred or is likely to occur – Ofqual have defined ‘promptly’ as meaning ‘without delay’. Ofqual expects there to be no delay in notifying them because relevant information is unavailable – BWYQ should notify them based on all information at the time and keep them informed as new information emerges. When BWYQ notify the regulators of an Adverse Effect they must include details of:

the qualifications, subjects and units affected;

the number of centres and learners affected, with a country location breakdown (if possible);

the nature and cause of the event;

the possible or actual impact of the event on learners, including any impact on the validity of grades or certificates;

how BWYQ became aware of the event;

whether centres, learners, media or other stakeholders are aware;

any corrective actions already taken or planned by us to identify causes and effects (giving priority, where relevant, to the award of qualifications where attainment has been confirmed or is in doubt), and/or to mitigate an adverse effect – including details of who is assigned to lead on resolving/managing the issue; these should be broken down into the following areas:

immediate changes/actions that have been taken to date

details of a full review of the associated procedures and operations (with details of when it will start, if not already, and when it is due to report)

details of planned staff briefing, guidance or training enhancements

identification of how BWYQ will – if not done so already – improve BWYQ risk and issue management arrangements to address any shortcomings and/or to take account of the new situations which have now come to light

planned management/reporting improvements that are likely to be made (e.g. change or enhance the terms of reference for a particular group or the job description of various roles)


Such information should also include details of any reviews BWYQ are/will carry out into, and/or revisions that will be made to the development, delivery and award of qualifications in order to ensure that BWYQ procedures and associated arrangements remains appropriate. The regulator’s response to any Adverse Effects will be determined by the nature of the incident and they may:

consider whether BWYQ have given sufficient assurance that all necessary mitigating actions to protect the interests of learners have been taken;

confirm the timelines for any additional updates from us with regard to any further investigation, implementation of mitigating actions, etc.;

seek assurance that BWYQ have identified any actions required to prevent a repeat of the incident in future;

identify whether the incident is an isolated occurrence or has wider implications regarding the conduct of BWYQ , or for other qualifications and awarding organisations;

simply acknowledge receipt of the notification and take no further action. After an adverse effect has been managed/resolved, the BWYQ Operations Coordinator (and Responsible Officer), will lead on a full review of the circumstances contributing to the adverse effect. He will also review the continued appropriateness of the associated procedures and/or policies, to ensure that any lessons learned are implemented effectively. This will help to prevent the adverse effect from reoccurring. Details will be logged accordingly in the relevant areas of BWYQ Creatio Wheel-online system.

Enquiries, complaints and appeals Whilst these issues are addressed in Ofqual GCOR Part 2: The Regulated Qualification rather than Governance it is important for Governors to be aware of the BWYQ Customer Service Statement (BWYQ 21), Complaints Policy (BWYQ019) and Appeals Policy (BWYQ 020) as per the policy grid on page 4 . All policy documents are available on Creatio ‘Wheel Online’ and on request from the BWYQ Operations Coordinator or BWYQ Chair.


Ensuring BWYQ Market Correctly As a regulated awarding organisation BWYQ is required to comply with the General Conditions in relation to marketing. Therefore the BWYQ Operations Coordinator and BWY Operations Manager are responsible for ensuring that BWYQ, or any persons connected with us (e.g. centres) does not:

make any statements that would be likely to lead users of qualifications to believe that a BWYQ qualification made available is a regulated qualification when it is not a regulated qualification (e.g. attempt to pass off non-regulated qualifications as regulated by Ofqual).

advertise or promote BWYQ qualifications in a manner that is likely to be misleading to users of qualifications.

The BWYQ Operations Coordinator and BWY Operations Manager will ensure that the use of any regulatory logos complies with the owner’s logo requirements and certificate requirements. These are published by the regulators’ and may be revised from time to time. Staff must ensure that all public statements and materials including those on BWYQ website adhere to these key principles and that Publicity and Marketing Manager signs-off on the final designs before they are issued. In addition BWYQ will undertake proactive, periodic web reviews to monitor how their qualifications and company is being promoted on the web and by their centres (e.g. quarterly reviews) and take action if they find any inappropriate marketing details (e.g. enforce the terms of BWYQ centre recognition and/or qualification approval agreement). With a report on this activity being provided to the SMT to review and consider.


Endorsement arrangements BWYQ do not have any agreement in place with publishers to endorse their materials. However should BWYQ ever enter into such an agreement the BWY Operations Manager and Marketing and Publicity Managers will be responsible for ensuring that:

BWYQ take all reasonable steps to ensure the endorsement process does not have an adverse effect.

BWYQ publish the criteria used to decide whether or not to endorse a particular resource.

Any endorsement is signalled in the same way for all endorsed products (through for example the use of BWYQ logo or specified text expressing the endorsement) – including those produced by BWYQ or any affiliated company.

Ensure suitable arrangements are in place with any publishers of endorsed resources to ensure they do not market an endorse resource in a way which implies that the resource contains privileged examiner/assessment insight or that its use is necessary for the successful completion of an assessment or qualification.

For clarification, an endorsement process is where BWYQ endorses resources which are designed to support the preparation of actual/potential learners for the assessment of a current/proposed BWYQ qualification. In order to endorse any learning materials/products BWYQ will need to satisfy itself that the product and supplier meets the following criteria:

It thoroughly covers all the Learning outcomes for the qualification/s

It is set at the appropriate level for the qualification

It thoroughly covers the depth and breadth of the knowledge and skills required to achieve the qualification

It is suitable for inclusion a general resource list for BWYQ qualifications

There is no enticement that learners and or centre’s must use the product

It does not make claims to be the only resource suitable for the qualification/s

It is not misleading in any way to centres or leaners

It is not produced, or has contributions, from anyone who has been involved in the production of BWYQ exams so as to ensure the confidentiality of the exam content

It does not contain any content that would be deemed discriminate against any individuals that share a particular characteristic (e.g. disabilities, race, religious belief)

It does not claim to guarantee a pass for the unit(s) or qualification

Endorsement of one publication does not imply or grant endorsement of other materials – each material/document produced must be submitted to BWYQ for approval before any endorsement can be claimed

Any use of BWYQ name or logo must be in accordance with branding guidelines

Any marketing materials must be submitted to us for approval in advance of being used

Any re-editions must be submitted to us for approval to ensure they still align with the relevant qualification

All engagements with publishers seeking endorsement of their resources are carried out by The BWYQ Operations Coordinator with the BWY Operations Manager and the Marketing and Publicity Manager to ensure that BWYQ deal with them in an effective and regulatory compliant manner.


Appendix 1 – Terms of Reference

Terms of reference for the BWYQ Board of Directors: The decision and policy-making committee of the BWYQ; setting its strategic direction and overseeing its annual self-assessment. This group is responsible for: 1. Setting the strategic direction for the BWYQ; 2. Overseeing the BWYQ annual self-assessment and formulating recommendations for action; 3. Authorising the release of self-assessment reports to the regulatory authorities; 4. Assessing the continuing appropriateness of the legal identity of the BWYQ; 5. Monitoring and evaluating the robustness and transparency of the BWYQ governance, organisation

and management arrangements;

6. Assessing the continuing appropriateness of the point of accountability for maintaining the quality and standards of the BWYQ qualifications in Yoga and associated subjects;

7. Monitoring the continuing avoidance of any potential conflict of interest between the awarding activities of the BWYQ and the training remit of its parent organisation;

8. Monitoring and evaluating the sufficiency of the BWYQ financial, technical and staffing resources; 9. Monitoring the situation in Scotland, Wales and Northern Ireland to be able to identify the demand

for the BWYQ Yoga qualifications to be offered through the medium of Welsh and/or Irish and formulating an appropriate Welsh and/or Irish strategy;

10. Receiving 6 monthly reports from the Quality Assurance Committee and the Development, Examinations and Assessment Committee on all remaining aspects of the BWYQ operations and formulating recommendations for action;

11. Monitoring the Complaints and Appeals Panel Management Committee:

Independent Chair

Up to 5 members in total, with relevant expertise Frequency of meeting of the BWYQ Directors Committee: The BWYQ Directors Committee will meet between 3 and 4 times a year, after the Quality Assurance committee meeting where appropriate as the Quality Assurance Committee minutes and reports will be passed on to the BWYQ Directors Committee to inform its deliberations. The standard agenda for each board meeting will be as follows;

1. Actions from the previous meetings 2. Declarations of any conflicts of interest with the members and the proposed agenda items 3. Review of risk log 4. Review of key issues/incidents 5. Review current state of compliance against the conditions - including self-evaluation status and

report 6. Regulatory and market developments 7. Management Finance Reports (including resources) 8. Any other business


Terms of Reference for the Senior Management Team

A team comprising senior managers that work across BWY and BWYQ overseeing the effective operations of the AO and communication between the AO and the Governing Body (BWY) and the BWYQ Centres. This group is responsible for:

Managing the day to day operations of the BWYQ and ensuring effective communication between the different subsidiaries of BWY and the BWYQ Centres

Reviewing the operational side of the AO for self-assessment purposes

Supporting IT and administration systems that facilitate AO activities

Overseeing student registration, certification and applications for special consideration or reasonable adjustment

Coordinating feedback and reports concerning students, staff, stakeholders and centres including data analysis where appropriate

Operating effective complaints and appeals procedures and providing overarching summary reports

Ensuring centre process compliance and maintaining reporting lines

Overseeing budgetary and financial management and requirements

Identifying risk and ensuring effective mitigation of risk and contingency planning; reporting all actions effectively

The focus of their meetings will be based around the following standard agenda items:

actions from previous meetings

details of current income and cash-flow details against projected sales, income and cash-flow forecasts

the appropriateness of management, staff, IT and financial resources in light of current and/or planned workloads

details of any unplanned activities or trends that have resulted in, or may result in, unintended impact on existing resources and capacity levels

keeping abreast of relevant legislation (e.g. Equality Act and Freedom of Information legislation)

the proposed budget and resource allocation and business plan for the forthcoming period

reports and evidence generated in relation to the performance of various BWYQ procedures and arrangements (e.g. the number and type of complaints, appeals, enquiries, requests for reasonable adjustments and special considerations).

current and/or planned developments (e.g. the introduction of new systems or services) within teams and/or across BWYQ including new services or products BWYQ plan to introduce and key projects currently in operation across the teams – including implementation arrangements and plans to ensure they are effectively resourced, managed and delivered and do not cause an adverse effect


reviews of key risk and issues for each team in accordance with BWYQ risk and issue management policy.

reports/updates in relation to malpractice/maladministration investigations

updates in relation to BWYQ qualification development and review activities

updates in relation to BWYQ quality assurance activities including:

I. analysis of recent and planned centre monitoring activities II. the quality of visit reports and any trends identified through the above analysis of

their reports III. the performance of BWYQ monitoring staff to ensure their judgments and approach

are consistent across centres and qualifications IV. trends/issues in relation to positive and/or negative feedback received from centres

and/or other stakeholders V. number of actions/sanctions in place

VI. review risk rating of centres and identify any actions required

The BWY NEC Terms of reference are available from the BWY Operations Manager at Central Officer. Agendas usually comprise:

Actions from the previous meetings

Declarations of any conflicts of interest with the members and the proposed agenda items

review compliance status

review qualification development/delivery and assessment activities in relation to; validity, reliability, comparability, manageability, minimising bias

review quality assurance and qualification development activities

review risk rating of centres

review of take-up and trends

review internal policy and procedures where appropriate

advise on any corporate governance related issues

reviewing and monitoring BWYQ on-going regulatory compliance status – including self-evaluation reports

provide advice and recommendations, as appropriate, to the Board


Terms of reference of the Quality Assurance Committee: This committee will be drawn together as required to oversee, and ensure quality in, the key awarding organisation functions of quality assurance and control, assessment, awarding and contact with centres. It also oversees external quality assurance processes. The Quality Assurance and Control Committee would be responsible for: 1. Monitoring and ensuring the continuing fitness for purpose and quality of all BWYQ qualifications; 2. Ensuring the relevant QCF unit and qualification checklists are appropriately completed, reviewed

and signed-off to ensure compliance with the relevant QCF criteria 3. Monitoring centre recognition arrangements; 4. Monitoring the work of assessment centres (together with the Examinations and Assessment

committee); 5. Overseeing the training, standardisation and monitoring of the BWYQ External Quality Assurance

(EQA) to ensure consistency of standards across options and centres; 6. Overseeing assessment and external quality assurance carried out by the BWYQ EQA to ensure its

quality; 7. Monitoring and ensuring the BWYQ adherence to the equal opportunities policies in relation to

assessment, including arrangements for reasonable adjustments and special considerations; 8. Monitoring the BWYQ systems for ensuring consistency of standards; 9. Monitoring performance of the BWYQ assessment and awarding personnel and ensuring their

competence; 10. Monitoring the quality of the BWYQ assessment materials and the associated support and guidance; 11. Monitoring the operation of the BWYQ enquiries on complaints and appeals; 12. Monitoring the BWYQ certification arrangements, including audits of the certificates issued; 13. Monitoring the BWYQ malpractice processes as well as incidents of malpractice and, if necessary,

authorising investigations and reporting to the regulatory authorities; 14. Carrying out statistical analyses of assessment results in respect of the Yoga qualifications; 15. Providing 6 monthly updates to the BWY NEC Committee; 16. Ratifying all recommendations for action arising out of the above activities; Composition of the Quality Assurance Committee:

Chair of BWYQ

BWYQ Operations Coordinator

Lead BWYQ IQA Frequency of meetings of the Quality Assurance Committee The Quality Assurance Committee will aim to meet every 6 months


Terms of reference of the Complaints and Appeals Panel: A panel adjudicating on appeals against assessment decisions and other decisions affecting centres and/or candidates. Composition of the Complaints and Appeals Panel

Appeal and Complaints Coordinator

BWY Safeguarding Officer

Any relevant experts Frequency of meetings of the Complaints and Appeals Panel The Complaints and Appeals Panel will meet within a month of a complaint or appeal having been formally submitted to the BWYQ, in line with the BWYQ Complaints, and Appeals procedures. The panel will reconvene after the event has been resolved to review and report on any lessons learnt.


Appendix 2 – Roles and Responsibilities

RESPONSIBLE OFFICER MAIN PURPOSE: As the Awarding Organisation the BWYQ needs to ensure that an individual is appointed to act as its Responsible Officer (RO) to serve as the point of contact for Ofqual in relation to all activities undertaken by the BWYQ which are of interest to Ofqual in accordance with compliance. REQUIREMENTS AND DUTIES:

To serve as the main and authoritative point of contact for Ofqual To serve as the main point of contact for all BWYQ Approved Centres To support the administration and implementation of BWYQ’s ‘annual self-assessment’ Deal with internal and external enquiries in relation to standards of qualifications, and Centre

Approval To liaise with and support the BWYQ Board of Directors To liaise with the British wheel of Yoga (BWY) and subsequent committees Oversee necessary administration resources as necessary

BWYQ DIRECTOR The Directors of BWYQ will provide oversite of the strategic direction, efficient organisation and compliance of BWYQ. The Directors will provide reports as necessary to the funding organisation, BWY. The Director appointed Chair of BWYQ will line manage the Responsible Officer on technical matters relating to the functioning of the AO. THE FOLLOWING JOB DESCRIPTIONS ARE AVAILABLE FROM THE BWY OPERATIONS MANAGER ON REQUEST: BWYQ OPERATIONS COORDINATOR BWY OPERATIONS MANAGER


Appendix 3 – Staff recruitment and training – summary approach

Summary recruitment approach All advertised BWYQ posts will be underpinned by an appropriate job description and person specification that clearly outlines the attributes and experience the post-holder requires and the responsibilities associated with the role. Normally, staff in senior roles will be required to have experience of working in the sector and/or for an awarding organisation delivering various regulatory functions. These arrangements will be implemented in accordance with BWYQ’s recruitment and personnel procedures. In essence the job descriptions and their associated person specification (including details of essential and desirable skills and experiences) will be produced by the relevant line manager and reviewed and signed-off by the BWY Operations Manager prior to being published. This process will also be applied for dealing with the recruitment of consultants (e.g. unit writers, advisory members on BWYQ committees, etc.). Who in summary will be invited to respond to a tender/specification, shortlisted and interviewed before a final selection is made based on the relevant experience, expertise and track record of the unit writers.

Need for new staff member is identified

Discussion with relevant senior managers/ SMT, BWYQ/ BWY Chair and BWY Operations Manager. Recruitment case

reviewed and approved or rejected.

Where decision is agreed, job description is written and post is advertised

Responses are reviewed and shortlisted

Any potential or actual conflict of interest is identified

Background checks are undertaken where necessary e.g. references, CRBs, company house searches

Offer of position is made (referred back to short list of candidates if offer is rejected). If position is accepted then

senior staff declaration is signed.

Contract is signed and exchanged

Any actual/ potential conflicts of interest are logged alongside senior staff declaration.

Staff induction and relevant training undertaken where required

Staff performance managed with regular reviews and appraisals.


Summary training approach This section outlines BWYQ approach to staff training and has been based around good practice recommended by and accepted by the regulators. The image provides a high-level summary illustration of the approach BWYQ take to training with further details provided in the text below.

All staff will be encouraged and supported to undertake any relevant training that is required to meet the objectives of their role. In particular, they will need to ensure – where appropriate and where required - compliance with the CPD arrangements for the Sectors in which BWYQ operates. An induction programme will be in place that results in each new member of staff receiving appropriate guidance and training in relation to:

equality and diversity policy

sector developments (both subject and qualification based) and an overview of relevant SSC strategies, plans and remits

an overview of the regulators and their requirements and expectations

qualification and unit development procedures (including ‘rules of combination’)

assessment, delivery and awarding procedures

core stakeholders and their roles and responsibilities

if appropriate, relevant examples of National Occupational Standards or Qualification Specifications/Syllabi

if appropriate, key aspects of the regulatory criteria relevant to their role Formal training needs for staff are identified as part of BWYQ’s staff appraisal process (which is also used to monitor performance and evaluate the effectiveness and consistency of individual’s work). For example, training may be required for areas that include subject specific knowledge, data protection, equality updates, regulatory and market developments, assessment methods, and unit design writing or delivery methods. In some cases BWYQ may ask external consultants to facilitate such training. BWYQ believes that people learn much from everyday experiences and situations and informal training is therefore an important part of BWYQ work. BWYQ staff have access to such informal training/learning through 1-2-1s and internal/external qualification related meetings/events. For


example, through internal meetings to discuss, review and ensure standardisation of approach in relation to developing and delivering units and qualifications, the discussion of policy developments and/or events organised by the regulatory authorities, Federation of Awarding Bodies (FAB) or various SSCs. BWYQ also holds annual weekend training events for DCTs and staff and take part in congress events for the wider yoga community at BWY. As a progressive and people focused company and awarding organisation all staff are actively encouraged to flag up individual/group training/standardisation needs with their line manager in order to ensure that BWYQ continues to develop and deliver high-quality provision and provide first class services to BWYQ customers. The performance of each member of staff will be reviewed via a staff appraisal scheme. Staff appraisals will be implemented and all BWYQ staff will receive their first review after their probationary period. Once this has been completed they will receive annual reviews. Training needs will be identified and individual training plans will be put in place. All BWYQ staff will receive 1-2-1 meetings with their line managers on a regular basis to review their progress. BWYQ is committed to incorporating specific and appropriate duties in respect of implementing its Equality and Diversity Policy into job descriptions and work objectives, for all staff.


Appendix 4 – Annual senior staff declaration template Each member of senior staff, including Board members, must complete the following template to help ensure BWYQ’s compliance with Ofqual’s General conditions A1.3 and A1.4.

Name Date of Birth Address Any Professional titles held

I (insert name) sign to declare that at the time of this declaration I do not:

have any criminal convictions (noting that any spent convictions need not be declared)

have any finding by a court or any professional, regulatory, or government body against me in relation to a breach of any legislation or any regulatory obligation to which I may have been subject,

have any current proceedings in relation to bankruptcy or any other relevant individual financial arrangement,

have a current disqualification from holding the directorship of a company or from public office,

have had any finding of malpractice or maladministration proven against me in relation to regulated or unregulated qualifications

Notes (if applicable)

Signed

Date

Document History

Date Author Action

July 2015 BWYQ Operations Coordinator and Responsible Officer Amanda Buchanan

Reviewed and revised

July 2015 BWYQ Chair Paul Fox Reviewed,amended approved.

March 2016 BWYQ Operations Coordinator and Responsible Officer Amanda Buchanan

Updated


The British Wheel of Yoga Qualifications Publication 2015 BWYQ - 25 Jermyn Street, Sleaford, Lincolnshire, NG34 7RU

Telephone: 01529 419915 Email: [email protected] www.bwyq.org.uk Registered Charity: 1140717 Company Number: 07371206

mailto:[email protected]

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