24.Ofqual’s regulatory approach has regard to the five principles of regulation established by the government’s Better Regulation Task Force.

1. Transparent: regulators should be open and keep regulations simple and user-friendly. Each year Ofqual publishes its programme for monitoring national assessment arrangements, which sets out the monitoring priorities – see Section 3, 'The regulatory process'.
2. Accountable: regulators must be able to justify decisions and be open to public scrutiny. Ofqual ensures that its decisions are evidence-based. Ofqual reports directly to Parliament. Ofqual also shares information with the relevant government department responsible for education and, as appropriate, appointed responsible bodies.
3. Proportionate: regulators should intervene only when necessary, and intervention should be appropriate to the risk posed. Ofqual’s intervention will be based on the likely impact of the risk posed.
4. Targeted: regulation should not only recognise the weaknesses but also the strengths of a responsible body’s assessment arrangements. However, when issues become evident, Ofqual’s risk management strategy will ensure that regulation is targeted on those issues.
5. Consistent: regulation must be implemented fairly and meet published standards. Ofqual will apply the following five common criteria to the regulation of national assessment arrangements (see Section 2):
1. validity
2. reliability
3. comparability
4. manageability
5. minimise bias.

25.Ofqual will determine the frequency and intensity with which it will monitor a responsible body according to:

• the extent of the responsible body’s remit in the context of National Assessments
• the possible impact of the responsible body failing to deliver all or part of its remit in the context of National Assessments
• Ofqual’s judgement of the level of confidence it has in the responsible body’s arrangements to protect the interests of learners, standards and public confidence.

Ofqual’s judgement will be primarily based on the:

• robustness of the responsible body’s processes and procedures as identified through the responsible body’s self-evaluation and Ofqual’s monitoring activities
• effectiveness of the responsible body’s self-evaluation – the degree to which the responsible body proactively, accurately and comprehensively identifies and resolves problems itself
• need to ensure consistency and standards when new assessment arrangements are being introduced.

26.Where a responsible body has its own remit to keep under review particular national assessment arrangements, as is the case for Qualifications and Curriculum Development Agency (QCDA), in order to avoid duplication of regulatory activity Ofqual will only keep under review the responsible body’s arrangements to meet its remit.

27.Ofqual will seek evidence from the responsible body to confirm that the responsible body is fulfilling its remit to time and to quality. Ofqual will do this by measuring the extent to which the purposes of the assessments result in assessments that meet, or are likely to meet the common criteria – see paragraphs 34–36.

Outcomes of Ofqual’s regulatory approach

28.Ofqual’s regulatory approach is designed to achieve the following outcomes over time:

• assessments are valid, reliable, comparable, manageable and minimise bias⁹
• the content of assessments which comprise knowledge, skills and understanding is fit for the statutory or specified purposes of National Assessments and ensures appropriate coverage of the curriculum and, for the Early Years Foundation Stage, also addresses children’s attitudes and dispositions
• confidence in the reported outcomes of National Assessments
• so far as possible, all pupils should be able to access assessment arrangements on an equal basis
• responsible bodies’ processes lead to continuous quality improvement and ensure valid outcomes at each point of the national assessment delivery process.

Other aspects of Ofqual’s regulatory approach

29.Ofqual may contact schools, suppliers or local authorities directly as part of its programme to deliver its objectives.

30.Ofqual will ensure that its approach to regulation meets its own published Code of Conduct.

31.Ofqual will continue to keep its regulatory framework under review, including conducting impact assessments to ensure that regulation is fit for purpose, transparent, clearly communicated and takes into account the views of stakeholders.