Regulatory guidance
Last updated on: 12/03/2008
The regulators publish regulatory guidance, which should be used in conjunction with the statutory regulations and the relevant codes of practice and criteria.
Arrangements for awarding and setting standards in the Diploma
The final report of the Diploma Awarding and Standards Group (DASG) sets out a number of principles and practices to cover the awarding of principal learning and project qualifications and the Diploma.
The report provides the detail needed to translate the high-level principles outlined in the Regulatory arrangements for component and Diploma awarding bodies, recognition criteria and operating rules into consistent practice. As a result, this report should be read in conjunction with the Regulatory arrangements for component and Diploma awarding bodies, recognition criteria and operating rules, version 2.
Some of the recommendations in Chapter 3 of the DASG report are proposals which need to be considered further by Ofqual and QCA. These are indicated in the text of the report. All the other recommendations are being implemented from September 2008.
Aspects of the GCSE, GCE and AEA Code of Practice and The statutory regulation of external qualifications in England, Wales and Northern Ireland are cited within this report.
Regulatory principles for e-assessment
In April 2007 the regulators of external qualifications in England, Wales, Northern Ireland and Scotland published Regulatory principles for e-assessment. These must be used in conjunction with the other relevant codes and criteria wherever technology is used to assist or facilitate the assessment process.
Regulatory principles represent a new approach to regulation. They are designed to be flexible and to promote and encourage developments in qualification and assessment design, as well as facilitate a move towards a more flexible, risk-based and targeted approach to regulation.
More information on the regulatory principles for e-assessment can be found in the 'e-Assessment' section.
Regulatory monitoring and reporting
This document is written primarily for awarding bodies and gives an overall description of the regulators' routine arrangements for monitoring and reporting publicly on accredited qualifications. The booklet is a reissue of Arrangements for monitoring and reporting publicly on external qualifications (2000) (QCA/00/583).
Awarding body self-assessment
Paragraph 37 of the Statutory regulation of external qualifications, 2004 states that 'the awarding body must submit self-assessment reports to the regulatory authorities to an agreed timetable'. Awarding body self-assessment provides guidance for awarding bodies on improving performance and evaluation through self-assessment. The guidance is in line with the regulators' move towards a more strategic approach to regulation, following the government's requirements that regulations be proportionate, accountable, consistent, transparent and targeted.
Awarding bodies should use this guidance to evaluate their own quality development and to support continued improvement in their operations. The regulators will use self-assessment as a starting point for monitoring. They will evaluate self-assessment information, allowing resources and attention to be focused on awarding bodies whose need for improvement is greater. This guidance applies to all accredited qualifications across the UK.
Fair access by design
The regulators have produced the guidance Fair access by design in partnership with the JCQ awarding bodies and representatives of disability groups.
The regulators of external qualifications in England, Wales and Northern Ireland have a duty to ensure there is fair access to external qualifications. The statutory regulation of qualifications supports this with a requirement for awarding bodies to consider the needs of all potential candidates when developing specifications, assessment arrangements and associated materials. Examinations must be designed to minimise any later need to make adjustments for candidates who have particular requirements.
This guidance sets out the principles underlying current good practice and can be used to support wider training and development programmes within awarding bodies and the regulatory authorities.
Delivering accredited qualifications: the roles and responsibilities of centres
Delivering accredited qualifications: the roles and responsibilities of centres is a leaflet for centres that summarises the roles and responsibilities of centres and awarding bodies in the delivery of accredited qualifications.
Further guidance on the roles and responsibilities of centres is available from the relevant awarding body.
Dealing with malpractice
We take the issue of malpractice very seriously to ensure that public confidence in the qualifications system is maintained. We work with awarding bodies to ensure that centres, candidates and parents fully understand the penalties and consequences of malpractice in examinations.
The statutory regulations require all awarding bodies to have procedures for investigating and penalising malpractice by candidates and centres. Centres must report any suspected candidate malpractice to awarding bodies for investigation, and awarding bodies must report significant cases of malpractice to the regulators.
If the regulators suspect deliberate malpractice by centres or awarding bodies, either from complaints from the public or as a result of monitoring activities, they may undertake an investigation or notify the appropriate authorities, such as the government's fraud liaison group or the police.
We have published Dealing with significant cases of suspected malpractice by those involved in the delivery of qualifications. This document, which can be downloaded from this page, offers guidance for awarding bodies that may need to investigate allegations of malpractice made against those involved in the delivery of qualifications.