The regulatory programme

42.Ofqual will publish an annual programme of monitoring the national assessment arrangements for each year that will include:

• monitoring the implementation and quality of the assessment arrangements over time
• risk-based monitoring
• additional annual checks.

43.Over time this programme will cover all the stages and activities involved in developing and implementing National Assessments including:

• the development, implementation, marking and reporting of externally assessed tests and internally assessed tasks
• suppliers’ delivery systems
• teacher assessment and the moderation of teacher assessment judgements
• practitioner assessments and the moderation of Early Years Foundation Stage profile judgements
• the evaluation of guidance and training materials
• the use of assessment data outcomes
• all aspects of National Curriculum and Early Years Foundation Stage assessment arrangements
• the role that stakeholders play in conducting and quality assuring the assessment arrangements.

44.Ofqual may re-focus its published programme of monitoring if risks have been identified that threaten the quality or implementation of assessments, or if issues have arisen during a review or additional check of a responsible body, its suppliers or their systems.

45.Each year Ofqual will also carry out specific monitoring exercises focused on a particular theme or key activity. These exercises will be determined by Ofqual at its discretion but based on those areas where risk assessment indicates there is most concern. The evidence from risk assessment will be used to determine the nature, scope and frequency of the monitoring activities and will be informed by consideration of the following factors:

• changes to how the assessment arrangements are conducted
• changes to the processes and systems in relation to the assessment arrangement
• changes to suppliers of assessment products or systems or key personnel
• the issue of new national guidance and support material
• analysis of assessment outcomes data and how data are used
• outcomes of self-assessment undertaken by responsible bodies and Ofqual’s previous monitoring
• complaints Ofqual may have received concerning the assessment arrangements or feedback from Ofsted and other relevant bodies
• the need to ensure Ofqual monitoring activities are appropriately targeted and add value
• research that indicates the need for a monitoring activity
• feedback from stakeholders including parents, guardians or carers, and practitioners.

46.Details of the processes and procedures used by Ofqual in fulfilling its regulatory remit will be published in a handbook – the Monitoring Framework for (year). This handbook will be updated annually.

Requirements of the regulatory process

47.Responsible bodies should:

• maintain a record of all activity associated with the development and implementation of their remit
• keep under review the progress of all such activity to ensure completion to time and to quality
• share their risk register with Ofqual.

48.Ofqual may require responsible bodies to attend accountability meetings at key stages of the assessment development and implementation process.

49.Responsible bodies should provide details of their national assessment development and implementation programmes to Ofqual by an agreed date. The information and documents required are listed in Ofqual’s published handbook – the Monitoring Framework for (year).

50.Ofqual will share the relevant detail of its monitoring programme with each responsible body by an agreed date. Ofqual will provide a rationale or justification for its scheduled monitoring activity. In the event of additional monitoring activity, Ofqual will provide a rationale or justification prior to commencement of that activity.

51.Responsible bodies should provide additional data and management information when requested by Ofqual. Ofqual will set a date for receipt of this information and any justifications or explanations that it requires in order to carry out its regulatory function. If the data are not provided by the deadline Ofqual may request information directly from the supplier where possible.

52.Ofqual will evaluate national assessment materials under development on their potential to meet the five common criteria (see paragraphs 34−36) and the agreed published assessment criteria (see paragraphs 37-41).

53.Responsible bodies should:

• at the commencement of their remit, define and plan each key activity relating to the development and implementation of the assessment
• prior to implementation, quality assure each key activity, with clear mitigations put in place to address identified risks and issues
• on completion, review and evaluate each key activity in order to provide evidence to Ofqual, if requested, and to inform final self-assessment
• ensure that the outcomes of review and evaluations are used to inform continuous quality improvement and self-assessment evaluation in order to deliver structured improvement.

54.Ofqual will review the responsible body’s self-assessment reports and recommendations, and will compare these against evidence from Ofqual’s own sampling programme of the National Assessments.

55.At each stage of the assessment development and implementation process, responsible bodies should inform Ofqual of:

• the operational procedures
• the controls and potential points of failure
• how risks will be minimised and what contingency plans exist
• the evidence of success for each stage of the process.

56.Responsible bodies are subject to equalities legislation, and are responsible for complying with its requirements.

57.Ofqual may carry out additional checks to confirm that processes and systems are fit for purpose, can deliver on schedule and meet the required quality.

58.Following monitoring activitiy, Ofqual will share its findings, including any risks or issues that need to be addressed urgently, with the relevant responsible body.

59.Responsible bodies should confirm that recommendations and highlighted risks or issues, identified by either themselves or Ofqual, have been addressed and what action has been taken.

60.Ofqual will, if requested, advise the Secretary of State on the progress made by responsible bodies towards the delivery of the statutory National Assessments to schedule and to quality.

61.As a result of monitoring, Ofqual will provide feedback to responsible bodies, and publish an annual summary.

62.A flowchart outlining how the regulatory process will work in practice is provided at Annex 1.

Managing risks

63.Responsible bodies and suppliers should each keep active risk registers that are regularly updated and reviewed. The risk registers should address:

• threats to the validity of the assessment and the quality of assessment materials
• threats to the delivery of the assessment
• the performance of new suppliers and any risks that could result in a failure of delivery.

64.Responsible bodies should identify how such risks could be effectively mitigated and have planned contingencies to address each risk.

65.Ofqual will agree with a responsible body the risk tolerances (including timing) outside of which the regulator should be informed. The responsible body should ensure that, within the risk management framework, disaster recovery/business continuity plans are maintained and regularly practised and reviewed to prepare for major incidents that could adversely affect the assessment systems.

66.Ofqual, responsible bodies and the responsible bodies’ suppliers should have clear procedures for escalating risks:

• a responsible body should ensure that its suppliers inform it of any risk to the delivery of its part of the assessment process
• the responsible body should then inform Ofqual of any potential risk to the quality or implementation of the assessments.

67.Ofqual must inform the Secretary of State, of any risks:

• to the validity of the assessments
• to the delivery or the quality of the assessments

that may jeopardise the delivery of the statutory or specified purposes of the assessment.