7. Audit Policy and Procedure
This Audit Policy and Procedure is established to ensure the effective and transparent management of audits and compliance within SCL Education Group. The Policy outlines the framework for conducting regular audits and reporting of findings promptly for resolution by each provision. Scope: This Policy applies to all employees, subcontractors, and relevant stakeholders engaged in activities within our funded provisions. Compliance is an integral aspect of our culture within SCL Education Group, and it is the collective responsibility of everyone to oversee and uphold.
Audit process overview
• Funding Assurance Audits (Internal and External)
SCL internal Auditing templates have been aligned with ESFA funding assurance requirements and guidelines, ensuring we align with external audits with the regulatory body. Where the ESFA have not released working papers for us to utilise, a temporary audit template will be created utilising the evidence requirements within the relevant contract year funding rules. Internal audits will be completed by the SCL internal Compliance team, under the directive of Kate Lou (Director of Quality & Curriculum). The compliance team are not responsible nor accountable for any risk or errors found, whilst the team can be consulted, they are to remain outside of handling of learner data for any error resolution. SCL Education Group will engage external auditors biannually to conduct audits in accordance with ESFA funding assurance. This external review will encompass assessments of our provisions, enhancing the robustness of our audit policy and incorporating external perspectives. Each provision is to assist in the collection of learner evidence for auditors and resolving any errors or risks found.
The remainder of the audit process review section relates to internal audits only.
Regular Audit Schedule A rolling 6 weekly audit schedule has been established that covers all our funded provisions, including subcontracted areas, to maintain compliance integrity and identify potential risks promptly. The audit will cover the below volume per provision:
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Regular reviews will be conducted with the Compliance team management to assess the need for additional resources as the number of provisions learners continues to increase throughout the contract year. Risk Reduction and error rating The aim of internal audits is to identify, assess, and mitigate risks within compliance across all funding streams and ensure compliance with funding regulations. Where risk has been identified, all funding for the learner will be placed at risk and an error rating will be provided for each provision after each 6 weekly audit period.
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