8.1We are committed to meeting the government’s principles of good regulation. These principles, which will guide how we act as a regulator, are:
- proportionality: policy solutions should be appropriate for the perceived problem or risk
- accountability: regulators and policy officials must be able to justify the decisions they make and should expect to be open to public scrutiny
- consistency: rules and standards must be joined up and implemented fairly and consistently
- transparency: regulations should be open, simple and user friendly. Policy objectives, including the need for regulation, should be clearly defined and effectively communicated to all stakeholders
- targeted: regulation should be focused on the problem. Regulators should aim to minimise side-effects and ensure that no unintended consequences will result from the regulation being implemented.
8.2We propose to work openly with all our stakeholders, as we believe that this is the best way to achieve our common objective of ensuring the provision of high quality regulated qualifications and assessment arrangements.
We will:
- hold those responsible for qualifications and assessments accountable for their actions
- avoid the imposition of unnecessary burdens and work to reduce bureaucracy where possible
- make evidence-based and transparent decisions
- regulate in the interest of learners
- take enforcement action where necessary and
- act to eliminate discrimination and promote equality.
Our general duties under the Act will require us to have regard to:
- the need to ensure the number of regulated qualifications available is appropriate, such that there is reasonable choice for learners but the number of different regulated qualifications in similar subjects or serving similar functions is not excessive
- the reasonable requirements of children, pupils and learners, including those who have learning difficulties
- the reasonable requirements of industry, commerce, finance, the professions and other employers regarding education and training (including required standards of practical competence)
- the reasonable requirements of institutions within the higher education sector
- the desirability of facilitating innovation in connection with the provision of regulated qualifications
- the specified purposes of regulated assessment arrangements
- such aspects of government policy as the Secretary of State may direct.
The number of qualifications
8.3We must have regard to the number of regulated qualifications available, such that there is reasonable choice for learners but the number of different regulated qualifications in similar subjects or serving similar functions is not excessive. We propose that conditions placed on awarding organisations will require them to consider and record the rationale and justification for a new qualification and to work with appropriate bodies representing the needs and interests of any sector for which a new qualification is being developed.
8.4We propose to impose conditions on awarding organisations that address the format and content of qualification titles.
8.5In meeting this duty, we will not seek to inhibit competition between awarding organisations as we believe a competitive market will promote efficiency in the provision of regulated qualifications and help improve choices for learners. However, we will seek to avoiding a confusing proliferation of qualifications.
Equality and diversity
8.6In addition to the specific requirements on us to consider the reasonable needs of all learners, including those with a disability, we will be subject to the duties placed on all public authorities to eliminate discrimination and promote equality of opportunity, in current legislation and in the Equality Bill currently before Parliament.
8.7As we develop the policies and procedures that we will use in the future, we will consider whether they might have an adverse impact on any particular groups of people. Where any possible adverse impact is identified we will undertake equality impact assessments.
8.8The proposals we have set out in this consultation paper reflect both our duties and our commitment to promote equality and eliminate discrimination in the context of regulated qualifications, examinations and assessments.
8.9For example, we have built into our draft criteria for recognising awarding organisations a requirement on them to demonstrate that their approach to qualification development and delivery will promote equality and diversity. Similarly, our draft conditions of recognition would require an awarding organisation to collect and analyse data to enable it to identify and address factors in its qualifications or assessment arrangements that might disadvantage particular groups of candidates.
8.10We will be consulting separately on new duties set out for us in the Equality Bill, subject to the passage of that Bill. That consultation will address, in particular, the reasonable adjustments to be made available to disabled learners in relation to general qualifications. The Equality Bill would impose duties on us as a public body and set out requirements in relation to vocational qualifications.
The reasonable requirements of industry, commerce, finance, the professions and other employers regarding education and training
8.11We plan to survey these stakeholder groups, notably Sector Skills Councils (SSCs), to inform our understanding of their sectors' needs and the extent to which they are being met. We will also seek their views on how we should engage with them on an on-going basis.
8.12The proposed conditions on awarding organisations to work with appropriate sector bodies when developing qualifications and to ensure qualifications meet relevant sectors’ needs, as set out by SSCs, will embed consideration of their requirements within the qualifications system.
The reasonable requirements of institutions within the higher education sector
8.13We will also take steps to inform our understanding of the requirements of the higher education sector, for example through surveys.
8.14Where appropriate we will work with national representative bodies and with agencies such as the Higher Education Statistics Agency (HESA), Universities UK and UCAS.
The desirability of facilitating innovation in connection with the provision of regulated qualifications
8.15The use of electronic assessment (e-assessment) is of particular interest to us but innovation in the provision of regulated qualifications need not only be technology-based. We are concerned that approaches to assessment reflect, where appropriate, learners’ experiences as they develop their knowledge, skills and understanding. Increasing use of technology enabled learning should be taken into account as qualifications are designed and assessed.
8.16We intend that the published regulatory principles on e-assessment should be reviewed and refined if necessary. Our recent publication on Principles and Practice of On-demand Testing and a Consensus statement on technical issues in the early stages of using e-assessment in UK general qualifications will inform our future work as we consider innovation in regulated qualifications.
8.17We expect that the responsiveness and investment encouraged by a competitive market should promote innovation, but we will keep this under review. In particular we will evaluate our regulatory requirements to consider whether they are acting as a block or a driver to innovation and whether there is more we should do to drive innovation.
8.18We plan to undertake or commission further research into the take-up and success of innovative features of qualifications and disseminate our findings.
The specified purposes of regulated assessment arrangements
8.19Part 3 of this document addresses our proposed approach to regulating national curriculum and EYFS assessments. The specified purposes of the arrangements will underpin our work in this area.
Regulatory Impact
8.20A regulatory impact assessment was undertaken when the decision was made to establish Ofqual as an independent regulator.
8.21We have considered the impact of the main proposals on which we are consulting. We have considered in particular the costs on organisations seeking recognition and the impact on them of complying with the proposed generic recognition conditions. We have also considered the impact of a risk-based approach to monitoring and accreditation. We will need to keep these under review on an on-going basis in order the fulfil our statutory duty not to impose or maintain unnecessary burdens.
8.22Generally we consider that a well managed awarding organisation that is acting in a way that secures standards and protects learners should be meeting the proposed conditions already. As such, our proposed requirements should not impose significant additional costs. Although there might be costs incurred in gathering together the information to satisfy a recognition application or to inform a monitoring exercise, we would normally expect the information to be at hand. When we consider the costs of regulation we also need to consider the costs that might be incurred if regulation is ineffective. Ineffective regulation could place learners, standards and confidence at risk. It is difficult to place a monetary value on this.
8.23Specific reference is made in a later section to our investigations into the potential impact of increased information requirements necessary to enable us to fulfil our efficiency objective.
Questions:
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