FAQ's: Assessment
Why introduce an assessment audit?
The second phase of the Quality Mark (QM) has given us the opportunity to review the way in which we manage the QM. A number of QM holders and applicants who completed a DfES questionnaire in November 2003 felt that an audit assessment would be appropriate for applicants, as it will:
- offer additional assurance that the highest standards of recruitment and selection are being maintained
- identify agencies who deviate from their documented procedures
- assist in identifying agencies who provided inaccurate information in their application and have consistently failed to meet the QM standards
Will there be a charge?
The daily rate for the audit is £250 + VAT (£293.75) + expenses. Agencies with more than one branch may require additional site visits to ensure consistency of practice throughout and we estimate 10% of branches will require assessments.
What stage will the assessment visit take place?
The assessment will take place at the final stage of the process once we are in receipt of your completed application. By completed application we mean everything that REC need in order to assess an application in it’s entirety and the provision of this information can take from 3 months to 2 years depending of the level of time that an agency can invest. By carrying out an assessment at this stage it will offer additional assurance that the submitted application and agreed amendments are being applied and that staff are fully aware of their responsibilities and obligations.
How long with the assessment visit take?
One day will be sufficient for each branch.
What will the assessment involve?
We will already be fully familiar with an agencies/LEAs application and the visit will allow the assessor to concentrate on file sampling and gathering evidence that demonstrates compliance, or otherwise.
File sampling is a key area of the assessment process and this will provide evidence of adherence to submitted policies and procedures and subsequently the QM standards. During the sampling the assessor will need access to both your database and written records along with a list of supply teachers that have worked via your agency/LEA within the last 6 months. Please note that the assessor has a wide and varied knowledge of database applications and you can be confident that after an initial introduction to your system, they will be able to locate relevant information without continual assistance.
During the course of the assessment issues will be discussed as and when they arise with the staff concerned. Either during the assessment or at the end, whichever is preferable, the assessor will advise you of any issues along with recommendations for corrective action or improvement to existing systems. It will also give you an opportunity to research the findings and to obtain comments or confirmation on matters of factual accuracy.
In the course of the process the assessors will need access to material covered by the data protection rules.
When looking at records and documents that contain individuals’ personal details, they will be come data controllers in their own right and will thereby carry all the same duties and responsibilities of confidentiality and purpose that the data controllers employed by the agency carry day to day. In short therefore, revealing such details does not entail a breach of the data protection legislation.
What will happen after the assessment visit?
To arrive at an overall opinion the assessors will take into account the degree to which systems and procedures comply with QM standards and reflect your application.
Successful. If all standards are fully met you will receive a letter confirming the award of the QM, conditional upon signing a pledge. Any guidance or recommendations offered will mostly describe enhancements to existing procedures or address issues of a more rerouting nature.
Unsuccessful. Where operational practices do not reflect your documented processes, the severity of non-compliance will be reviewed and REC will either: Make recommendations, supported by guidance, an action plan and a timescale to assist in reaching compliance. It is expected that most recommendations relating to key issues should be implemented within 2 weeks; or
Suspend an application to give an agency time to fully adopt documented procedures and to assess the impact of these on day-to-day basis to ensure they are workable.
The duration of the suspension will be dependant on the severity of deviation. It is likely that a further assessment will be required to ensure standards are being fully met and the cost of this additional visit will need to be met by the applicant.
Thank you for taking the time to read this document and if you have any queries please do not hesitate to contact Andrea Papaconstantinou on 020 7009 2129.
