Regulatory Conditions Section J
Reference to In2action - EPA Policy and Procedures
Date last reviewed
Outcome of review (if applicable)
J. Interpretation and definitions
How to interpret our rules, including defined terms
J1.1 In these conditions, the following rules of interpretation shall apply.
J1.2 Unless the context suggests otherwise, in these conditions –
(a) words in the masculine gender are to be read as including the feminine gender (and vice versa),
(b) words in the singular are to be read as including the plural (and vice versa),
(c) references to ‘it’ are to be read as including references to ‘he’ and ‘she’ (and vice versa),
(d) the words ‘including’ and ‘in particular’ indicate a list of examples and should not be read as limiting the scope of the words that occur before them
(e) references to ‘person’ include any body of persons, whether corporate or unincorporated,
(f) ‘awarding organisation’ refers to an organisation which is recognised in accordance with section 132 of the Act,
(g) ‘relevant qualification’ refers to any qualification for which the relevant awarding organisation is recognised or which falls within a description of qualifications for which it is recognised,
(h) references to providing something ‘in writing’ are to include providing it by hand, post, fax, electronic mail or through a submission to the Portal,
(i) a ‘qualification’ means a regulated qualification (and includes any units of that qualification),
(j) references to ‘this condition’ are to be read as references to the condition as a whole (such as Condition B3),
(k) references to an Act of Parliament include any secondary legislation made under that Act of Parliament, and
(l) words have the same meaning as in Part 7 of the Act.
J1.3 If there is an inconsistency between a provision in these conditions, and a provision contained in any document which is referenced in these conditions, these conditions shall prevail and the other document shall have no force and effect to the extent of that inconsistency.
J1.4 Titles and headings in these conditions are for information only and are not to be used for the purposes of interpretation.
J1.5 A person is connected to an awarding organisation if that person undertakes or is involved in any activity undertaken by the awarding organisation.
J1.6 Completion of a qualification by a Learner shall include the completion of any appeals process.
J1.7 Where an awarding organisation is required to publish a document or information, that document or information must be published in a way which is –
(a) clear to its intended audience,
(b) accurate, and
(c) reasonably accessible (including by way of publication on the awarding organisation’s website).
J1.8 In these conditions, the following words shall have the meaning given to them below (and cognate expressions should be construed accordingly) –
The Apprenticeships, Skills, Children and Learning Act 2009
An act, omission, event, incident, or circumstance has an Adverse Effect if it –
(a) gives rise to prejudice to Learners or potential Learners, or
(b) adversely affects –
(i) the ability of the awarding organisation to undertake the development, delivery or award of qualifications in a way that complies with its Conditions of Recognition,
(ii) the standards of qualifications which the awarding organisation makes available or proposes to make available, or
(iii) public confidence in qualifications.
A person who undertakes marking or the review of marking. This involves using a particular set of criteria to make judgements as to the level of attainment a Learner has demonstrated in an assessment.
Associated Learner Fees
Any fee which is –
(a) subject to negotiation, payable to an awarding organisation by a purchaser for an optional service that is directly related to the delivery and award of a regulated qualification to an individual Learner, and
(b) not included in the Standard Qualification Fee.
A process under which evidence generated by a Learner in an assessment is confirmed as having been generated by that Learner (or identified and confirmed as being that Learner’s contribution to group work) and as being generated under the required conditions.
An organisation undertaking the delivery of an assessment (and potentially other activities) to Learners on behalf of an awarding organisation. Centres are typically educational institutions, training providers, or employers.
Centre Assessment Standards Scrutiny
The process through which an awarding organisation –
(a) periodically scrutinises the marking of assessments by a Centre to ensure that it has not deviated from required standards,
(b) considers whether it is appropriate to correct any mark and, if appropriate, corrects that mark (including where changes are required under Condition H2.5(b)),
(c) in line with Condition H6.3(b), considers whether it is appropriate to correct any incorrect result and, if appropriate, corrects that result, and
(d) takes action to prevent such deviation from recurring.
Age, disability, gender reassignment, pregnancy and maternity, race, religion or belief, sex, and sexual orientation, as protected under Equalities Law.
One or more documents of that title or with a title containing those words.
Change of Control
A change of control takes place in relation to an awarding organisation where –
(a) a person obtains control of the awarding organisation who did not, immediately prior to doing so, have control of it, or
(b) the awarding organisation merges with any person.
Where the awarding organisation is a company, sub-sections (2), (3) and (4) of section 450 of the Corporation Tax Act 2010 shall apply for the purpose of determining whether a person has or had control of the awarding organisation.
Generating assessment outcomes that are comparable in standards between assessments within a qualification, between similar qualifications, with other awarding organisations, and over time. Where an assessment has equivalent forms then it is important to ensure comparability of outcomes. There are two reasons for this –
(a) To reach fair comparisons about the attainment of Learners: It is impossible to produce different forms with exactly the same content and statistical specifications (such as the level of difficulty or demand on the Learner). Therefore, a requirement to ensure comparability of outcomes makes sure the level of difficulty or demand of the test forms is taken into account when setting standards so that Learners taking the different forms can be compared fairly, and
(b) To ensure that the outcomes can be used as a measure of standards: Outcomes from different forms of the same test must be comparable if they are to be used to measure standards over time. Both expert judgements and statistical procedures such as test equating can be used to ensure comparability of outcomes from different forms of the same test. It is, however, important to ensure that assessments are not so similar that they become predictable, as this would be a threat to Validity.
The Competition Act 1998, or any legislation in a jurisdiction other than England which has an equivalent purpose and effect.
A discrete part of a qualification which –
(a) focuses on specific areas of the knowledge, skills and understanding assessed for the qualification, and
(b) has a specific set of criteria against which Learners’ performance will be differentiated.
Conditions of Recognition
All conditions to which an awarding organisation’s recognition is subject (including other conditions imposed under section 132(3)(d) of the Act).
Conflict of Interest
A conflict of interest exists in relation to an awarding organisation where –
(a) its interests in any activity undertaken by it, on its behalf, or by a member of its Group have the potential to lead it to act contrary to its interests in the development, delivery and award of qualifications in a way that complies with its Conditions of Recognition,
(b) a person who is connected to the development, delivery or award of qualifications by the awarding organisation has interests in any other activity which have the potential to lead that person to act contrary to his or her interests in that development, delivery or award in a way that complies with the awarding organisation’s Conditions of Recognition, or
(c) an informed and reasonable observer would conclude that either of these situations was the case.
Data Protection Law
The following as they apply in England, and any legislation in a jurisdiction other than England which has an equivalent purpose and effect. –
(a) Regulation (EU) 2016/679 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data.
(b) Any legislation in force from time to time in the United Kingdom relating to privacy and/or the processing of personal data, including but not limited to the Data Protection Act 2018 and the Privacy and Electronic Communications (EC Directive) Regulations 2003.
(c) Any statutory codes of practice issued by the Information Commissioner in relation to such legislation.
A reference in the title of a qualification acknowledging that the Learner is focusing or has focused on one or more particular areas of knowledge, skills and understanding which form part of the qualification (as encompassed in the qualification title). (For instance, in GCSE Art and Design – Textile Design, Textile Design is an Endorsement of GCSE Art and Design.)
The Equality Act 2010, any Act that was a statutory predecessor to that Act, or any legislation in a jurisdiction other than England which has an equivalent purpose and effect.
Where the awarding organisation is a limited company, the board of directors of the awarding organisation. Where the awarding organisation is not a limited company, a person or group of people having the equivalent status within the organisational structure of the awarding organisation.
Where an awarding organisation is a limited company, a group made up of any company which is a holding company of the awarding organisation, a subsidiary of the awarding organisation or a subsidiary of a holding company of the awarding organisation. Where an awarding organisation is not a limited company, a person or group of people having the equivalent status.
The activity of a Learner in being taught or instructed by – or otherwise participating in education or training under the Immediate Guidance or Supervision of – a lecturer, supervisor, tutor or other appropriate provider of education or training.
For these purposes the activity of ‘participating in education or training’ shall be treated as including the activity of being assessed if the assessment takes place under the Immediate Guidance or Supervision of a lecturer, supervisor, tutor or other appropriate provider of education or training.
Immediate Guidance or Supervision
The guidance or supervision provided to a Learner by a lecturer, supervisor, tutor or other appropriate provider of education or training –
(a) with the simultaneous physical presence of the Learner and that person, or
(b) remotely by means of simultaneous electronic communication.
For these purposes, the activity of Invigilation is to be regarded as a form of guidance or supervision.
The supervision by an appropriate person of Learners who are participating in the activity of being assessed for a qualification, where such supervision involves neither any teaching nor the giving of any guidance or direction beyond that which is necessary to convey instructions for the carrying out of the assessment or otherwise for the effective management of the assessment activity.
A person who is registered to take a qualification and to be assessed as part of that qualification.
Level of Demand
The degree of challenge that an assessment presents for the Learner.
One or more documents of that title or with a title containing those words.
Manageability relates to the feasibility of carrying out particular assessment processes. A Manageable assessment process is one which places reasonable demands on Centres and Learners. The evaluation of the reasonableness of the demands will be based on the scale of the assessment process on the participants, balanced by the usefulness of the outcomes. As with the other requirements (Validity, Reliability, Comparability and Minimising Bias), judgements about Manageability must be balanced with considerations around the other requirements.
Mandatory Centre Fees
Any mandatory fee which –
(a) subject to negotiation, an awarding organisation requires a Centre to pay to it in order to undertake the delivery of an assessment to Learners (or any other activities) on behalf of the awarding organisation, irrespective of the number of Learners taking the qualification, and
(b) is not included in the Standard Qualification Fee.
Minimising Bias is about ensuring that an assessment does not produce unreasonably adverse outcomes for Learners who share a common attribute. The Minimisation of Bias is related to fairness to all Learners and is also closely related to statutory equality duties.
A particular form of Centre Assessment Standards Scrutiny through which the marking of assessments by Centres is monitored to make sure it meets required standards and through which adjustments to a Centre’s marking are made, where required, to ensure that results are based on the required standard. Moderation takes place before final results are issued under Condition H6.1.
Any logo, design or style in which Ofqual holds intellectual property rights.
Where an awarding organisation only makes a qualification available as part of a package together with other products and services, any notional fee which is -
(a) subject to negotiation, payable to an awarding organisation by a purchaser of the package in respect of each of those other products and services, and
(b) not included in the Standard Qualification Fee.
The information technology system provided by Ofqual to allow awarding organisations to exchange information securely with Ofqual and CCEA Regulation, as it may be varied and replaced from time to time.
To cause or bring about an outcome by care and effort.
An adjustment made to an assessment for a qualification so as to enable a disabled Learner to demonstrate his or her knowledge, skills and understanding to the levels of attainment required by the specification for that qualification.
Recognition of Prior Learning
(a) identification by an awarding organisation of any learning undertaken, and/or attainment, by a Learner –
(i) prior to that Learner taking a qualification which the awarding organisation makes available or proposes to make available, and
(ii) which is relevant to the knowledge, skills and understanding which will be assessed as part of that qualification, and
(b) recognition by an awarding organisation of that learning and/or attainment through amendment to the requirements which a Learner must have satisfied before the Learner will be assessed or that qualification will be awarded.
The register published and maintained by Ofqual in accordance with section 148 of the Act.
A regulatory document, or part of a regulatory document, which features in a document entitled the ‘Regulatory Document List’, which may be published by Ofqual and may be varied and replaced by Ofqual from time to time.
Reliability is about consistency and so concerns the extent to which the various stages in the assessment process generate outcomes which would be replicated were the assessment repeated. Reliability is a necessary condition of Validity, as it is not possible to demonstrate the Validity of an assessment process which is not Reliable. The Reliability of an assessment is affected by a range of factors such as the sampling of assessment tasks and inconsistency in marking by human Assessors.
An individual appointed to act as an awarding organisation’s authoritative point of contact for Ofqual.
A director or senior executive officer of the awarding organisation or, where the awarding organisation is not a limited company, a person holding a position of equivalent status within the organisational structure of the awarding organisation.
Consideration to be given to a Learner who has temporarily experienced an illness or injury, or some other event outside of his or her control, which has, or is reasonably likely to have, materially affected the Learner’s ability to –
(a) take an assessment, or
(b) demonstrate his or her level of attainment in an assessment
Standard Qualification Fee
A fee which, subject to negotiation, is payable to an awarding organisation by a purchaser that represents the sum of all mandatory fees that must be paid in respect of an individual Learner for that Learner to have the opportunity to obtain one of the awarding organisation’s qualifications, including a certificate in relation to it.
This would exclude any Learner pre-requisites clearly set out in the qualification specification, for example prior learning or membership of a professional body.
Where an awarding organisation only makes a qualification available as part of a package, together with other products and services, the Standard Qualification Fee will be the notional fee payable in respect of the qualification only.
Materials provided to the Learner before or at the time of the assessment which facilitate the Learner’s demonstration of his or her knowledge, skills and understanding. Tasks in an assessment may relate directly to the materials and a Learner may make direct reference to the materials in completing the assessment. Such materials may include, for example, charts, diagrams, pictures, quotations or machinery.
A person who prepares any Learner, or any person likely to become a Learner, for assessment for a qualification and who does so –
(a) as a lecturer, supervisor, tutor or other appropriate provider of education or training, or
(b) in circumstances in which that preparation takes place primarily at home.
Total Qualification Time
The number of notional hours which represents an estimate of the total amount of time that could reasonably be expected to be required, in order for a Learner to achieve and demonstrate the achievement of the level of attainment necessary for the award of a qualification.
Total Qualification Time is comprised of the following two elements –
(a) the number of hours which an awarding organisation has assigned to a qualification for Guided Learning, and
(b) an estimate of the number of hours a Learner will reasonably be likely to spend in preparation, study or any other form of participation in education or training, including assessment, which takes place as directed by – but not under the Immediate Guidance or Supervision of – a lecturer, supervisor, tutor or other appropriate provider of education or training.
Total Qualification Time Criteria (or ‘TQT Criteria’)
The TQT Criteria are criteria that are set and published by Ofqual for –
(a) the purposes set out at section 146(1)(b) of the Act, and
(b) the purpose of determining the number of hours of Total Qualification Time that should be assigned to a qualification by an awarding organisation.
The TQT Criteria may be set out in more than one document.
Users of qualifications
Persons who have a legitimate interest in the qualification or type of qualification made available by the awarding organisation, which may include –
(a) Learners and Learners’ representatives,
(d) employers and employers’ representatives,
(e) further and higher education establishments,
(g) government departments and agencies, and
(h) professional bodies.
The extent to which evidence and theory support the interpretation that the assessment outcomes meet their intended uses.
The evaluation of Validity involves the development of a clear argument to support the proposed interpretation of the outcomes and as a consequence the intended uses of the assessment. The Validity argument should be built on statements of the proposed interpretation and supporting evidence collected from all stages of the assessment process.
Persons available for work (including employees, workers and contractors)