Regulatory Conditions Section B

This table relates the Ofqual Conditions of Recognition to the Policy and Procedures of The Learning Machine Ltd, and records the review dates when the conditions were last checked for compliance. The procedure is for each condition to be independently checked by two Directors.

Links

Part 1 The awarding organisation

 

Go to A. Governance

Go to B. The awarding organisation and Ofqual

Go to C. Third parties

Part 2 The regulated  qualification

Go to D. General requirements for regulated qualifications

Go to E. Design and development of qualifications

Go to F. Providing qualifications to purchasers

Go to G. Setting and delivering  the assessment

Go to H. From marking to issuing results

Go to I. Appeals and certificates

Go to J. Interpretation and definitions

B. The awarding organisation and Qualifications Wales

 Reference to TLM Policy and Procedures Date Reviewed
Condition B1 The role of the responsible officer
B1.1 An awarding organisation must ensure that an individual is at all times appointed to act as its responsible officer.
 Responsible Officer 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B1.2 The awarding organisation must ensure that  OFQUAL/ Qualifications Wales is informed in writing of the name of the person from time to time appointed as its responsible officer.
 Responsible Officer 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B1.3 An awarding organisation must ensure that its responsible officer serves as the authoritative point of contact for OFQUAL/  Qualifications Wales in relation to all activities undertaken by the awarding organisation which are of interest to OFQUAL/Qualifications Wales in accordance with the Act, including in particular –
(a) any matters relating to its compliance with its Conditions of Recognition,
(b) its ability to undertake the efficient development, delivery and award of qualifications,
(c) the standards of qualifications that it makes available or proposes to make available,
(d) any matters which may affect public confidence in qualifications, and
(e) the accessibility of qualifications it makes available, including its compliance with Equalities Law.
 Responsible Officer 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B1.4 An awarding organisation must ensure that, where –
(a) its responsible officer makes a statement to OFQUAL/Qualifications Wales(other than one which is required to be made by the Governing Body), Qualifications Wales will be entitled to rely on that statement as being accurate and made on behalf of the awarding organisation, and
(b) OFQUAL/Qualifications Wales gives to its responsible officer a statement, request, or notice addressed to the awarding organisation, OFQUAL/Qualifications Wales will be entitled to treat that statement, request, or notice as having been given to the awarding organisation.
 Responsible Officer 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Condition B2 The annual statement to Ofqual/Qualifications Wales
B2.1 An awarding organisation must provide to Ofqual /Qualifications Wales an annual statement in accordance with this condition.
 Statement 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B2.2 The statement must specify either –
(a) that the awarding organisation is fully compliant with its Conditions of Recognition at the date of the statement, or
(b) that it is not so compliant, in which case the statement must describe each instance of non-compliance and the date by which the awarding organisation expects to rectify the failure.
 Statement 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B2.3 The statement must also specify either –
(a) that the awarding organisation has no cause to believe that it will be likely to fail to comply with any of its Conditions of Recognition during the period of twelve months immediately following the date of the statement, or
(b) that it does have such a cause for belief, in which case the statement must describe each instance of potential non-compliance, the grounds for believing it to be likely to occur, and the steps being taken by the awarding organisation in relation to it.
 Statement 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B2.4 The statement must be accurate, formally approved by the Governing Body of the awarding organisation, and signed by the chair of the Governing Body and the responsible officer.
 Statement 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B2.5 The statement must be made in any form and on any date as may be notified to the awarding organisation by Ofqual/Qualifications Wales
 Statement 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B2.6 The statement must include a report on how the awarding organisation conducted face-to-face meetings with centres/teachers in Wales in the previous 12 months. (Wales) Centre visits 06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

 
Condition B3 Notification to Ofqual / Qualifications Wales of certain events
B3.1 Notification where an event could have an Adverse Effect
An awarding organisation must promptly notify Ofqual /Qualifications Wales when it has cause to believe that any event has occurred or is likely to occur which could have an Adverse Effect.
 Notification 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Specific examples of events which could have an Adverse Effect 

B3.2 For the purposes of this condition, such events may in particular include those where –
(a) there is a substantial error in the awarding organisation’s assessment materials,
(b) there has been a loss or theft of, or a breach of confidentiality in, any assessment materials,
(c) the awarding organisation cannot supply assessment materials for a scheduled assessment date,
(d) there has been a failure in the delivery of an assessment which threatens Assessors’ ability to differentiate accurately and consistently between the levels of attainment demonstrated by Learners,
(e) the awarding organisation will be unable to meet a published date for the issue of results or the award of a qualification,
(f ) the awarding organisation has issued incorrect results or certificates,
(g) the awarding organisation believes that there has been an incident of malpractice or maladministration, which could either invalidate the award of a qualification which it makes available or could affect another awarding organisation,
(h) the awarding organisation has (for any reason, whether inside or outside its control) incurred an increase in costs which it anticipates will result in an increase in its fees of significantly more than the rate of inflation,
(i) the awarding organisation is named as a party in any criminal or civil proceedings or is subjected to a regulatory investigation or sanction by any professional, regulatory, or government body, or
(j) a Senior Officer of the awarding organisation is a party to criminal proceedings (other than minor driving offences), is subject to any action for disqualification as a company director, or is subject to disciplinary proceedings by any professional, regulatory, or government body.
 Notification 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B3.3 An awarding organisation must promptly notify Ofqual/Qualifications Wales if it is, or if it has cause to believe that it is likely to be, subject to –
(a) a material change in its governance structure or legal status,
(b) a change of control,
(c) a merger between it and another body, or
(d) any insolvency or bankruptcy proceedings.
 Notification 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)

 
B3.4 An awarding organisation must promptly notify Ofqual /Qualifications Wales if it proposes to make available a qualification which is substantially different in type or content to any which it has previously made available.
 Notification 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Further requirements on the timing of notifications 

B3.5 When it notifies Ofqual/Qualifications Wales of an event in accordance with this condition, or as soon as possible afterward, an awarding organisation must also notify Ofqual /Qualifications Wales of any steps that it has taken or intends to take to prevent the event having an Adverse Effect or to correct or mitigate that Adverse Effect if it occurs.
 Notification 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
 

B3.6 An awarding organisation must not delay making a notification to Ofqual/Qualifications Wales in accordance with this condition because relevant information is unavailable, but must notify based on all the information that it has and provide further information to Ofqual/Qualifications Wales once it becomes available.
 Notification 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Condition B4 Notice to provide information to Ofqual/Qualifications Wales
B4.1 Where Ofqual/Qualifications Wales serves a written notice on an awarding organisation requiring the awarding organisation to provide it with any information that it seeks for the purpose of performing its functions, the awarding organisation must comply with the terms of that notice.
 Information 12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B4.2 For these purposes a notice given by Ofqual/Qualifications Wales may –
(a) specify the time within which the information is to be provided,
(b) specify a form in which the information is to be provided,
(c) require that the information is accompanied by such supporting documents or data as may be described, and
(d) require an awarding organisation to provide information whether that information is already in its possession or has to be created or obtained by it.
 Information 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B4.3 An awarding organisation must ensure that all information provided to Ofqual/Qualifications Wales accordance with this condition is accurate and complete.
 Information 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Condition B5 Representations regarding qualifications
Statements regarding qualifications which are not regulated qualifications 

B5.1 An awarding organisation must not (and must take all reasonable steps to ensure that any person connected with it does not) make any statement that would be likely to lead users of qualifications to believe that a qualification it makes available is a regulated qualification when it is not a regulated qualification.
 Representation 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Advertising and promotion of qualifications

B5.2 An awarding organisation must not (and must take all reasonable steps to ensure that any person connected with it does not) advertise or promote its qualifications in a manner that is likely to be misleading to Users of qualifications.
 Representation 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B5.3 An awarding organisation must ensure that its use of Ofqual’s /Qualifications Wales Logo complies with Logo Requirements and Certificate Requirements which may be published by Ofqual/Qualifications Wales and revised from time to time.
 Logo 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Condition B6 Cooperation with Ofqual / Qualifications Wales
B6.1 An awarding organisation must provide Ofqua/Qualifications Wales with all such assistance as it may request for the purpose of undertaking, in accordance with its functions, an investigation into, or other monitoring in relation to, the activities of that awarding organisation.
 Cooperation 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Condition B7 Compliance with Regulatory Documents
B7.1 Where a Regulatory Document requires an awarding organisation to take or to refrain from taking any action, the awarding organisation must comply with that requirement.
 Documents 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B7.2 Where a Regulatory Document sets out guidelines or principles of good practice in relation to any behaviour on the part of an awarding organisation, the awarding organisation must have regard to those guidelines or principles before it engages in that behaviour.
 Documents 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Condition B8 Compliance with undertakings given to Ofqual/Qualifications Wales
B8.1 An awarding organisation must comply with the requirements of any relevant undertaking.
 Compliance 28th September 2011 (IL)

12/03/2012(SE)

14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
B8.2 For the purposes of this condition, a relevant undertaking is an undertaking which –
(a) has been given to Ofqual/Qualifications Walesby the awarding organisation,
(b) is in writing, and
(c) states that it is an undertaking given in accordance with this condition.
 Compliance 28th September 2011 (IL)

12/03/2012(SE)14/03/2013 (IL)

06/05/2014 (IL)

27/03/2015 (SE)

28/08/2016 (JK)

22/8/17 (JK)

15/1/18 (JK)

07/08/18 (PT)
Go to C. Third Parties