Guidance

Using the recognition gateway: how-to guide

Published 29 July 2021

Applies to England

Introduction

Welcome to the recognition gateway for awarding organisations that want to apply to be recognised by Ofqual. The gateway is an online system that enables you to communicate with us directly and seek information about what it means, and involves, to be recognised and regulated by Ofqual. You can use the gateway to arrange an initial meeting with us to discuss the recognition process. If you decide to apply, you will complete and submit your application and supporting documents to us via the gateway. Through the gateway you will be able to:

  • manage key information that we hold about you and your organisation
  • arrange a meeting with us to find out what the recognition process involves
  • apply for recognition
  • respond to requests from Ofqual to provide more information to support your application
  • track the progress of your application
  • be informed of the outcome of your application and our decision on whether to recognise you as an awarding organisation

You will receive an email notification to your registered email account from the gateway each time we send you a communication that will prompt you to log in.

If you wish to offer regulated qualifications in Wales or Northern Ireland, you will need to apply to the qualifications regulator in Wales or the qualifications regulator in Northern Ireland

Gateway best practice

  1. Only one person can set up an account in the recognition gateway on behalf of your organisation.
  2. Your recognition gateway account is linked to an email address of your choosing. Please ensure that you have access to this email address for the duration of the application process. Otherwise you will not be able to verify your identity, retrieve email notifications and log into your recognition gateway account.
  3. For security, you will be required to set up multi-factor authentication (MFA) as part of creating an account in the recognition gateway. This is linked to a telephone number. Again, please ensure that you will have access to this device for the duration of the application process. We recommend linking a mobile telephone number so you can retrieve the security code when accessing your gateway account remotely.
  4. If Ofqual decides to recognise your awarding organisation, the recognition gateway account holder will be automatically set up in the Portal (Ofqual’s regulatory IT system) as a Global Admin. This means they are responsible for setting up user accounts, assigning access permissions and general housekeeping activities associated with your user accounts.
  5. You do not need to complete your application in one sitting as you can save your progress and return to it, at a later date, before submitting it to Ofqual.

Please note: after 30 minutes of inactivity, for security reasons your session will time out and your progress will not be saved unless you have clicked ‘save’ at the bottom of each page. We recommend that you:

  • prepare your answers to the questions in a separate document and then copy and paste them into the application form when you are ready
  • regularly click ‘save’ while completing your application
  • ensure that the documents you upload as supporting evidence with your application form are titled correctly – there is no limit to the size of files you can upload with your application
  • do not upload zip files – we cannot accept these due to security concerns

Registration

  • To register for a gateway account, open a new browser (we recommend using Google Chrome or Microsoft Edge. Browsers like Internet Explorer are not fully compatible with our service). We also recommend that you use a dedicated browser profile so that it doesn’t clash with any other Microsoft 365 accounts you already have saved on your device.
  • You can start your application on the Recognition Gateway.
  • You will be presented with the following screen and be required to enter your email address and click ‘send verification code’ to confirm that you have access to the specified email account, you do not need to fill in the other parts of the form at this stage:
  • You will receive an email from Microsoft which will contain a 6-digit verification code:
  • Enter this verification into the field that is displayed on screen and select ‘verify code’:

The verification code will be valid for 5 minutes. If you require a new code then please select ‘send new code’ to generate a new one.

  • Enter the information required in the other fields; ‘new password’, ‘confirm new password’, ‘given name’ and ‘surname’. Then select ‘create’.

Multi-factor authentication

To create your account, you will be required to set up multi-factor authentication (MFA). It is an additional security measure that verifies your identity by requiring multiple credentials before access is authorised. You might use MFA on other GOV.UK services, when requesting services from your GP, for online banking, or when accessing some social media applications.

You will need to verify your identity through MFA to access the gateway and to keep your data secure. We recommend that you use your mobile phone to receive a text message or call when setting-up MFA so you can access your account from any location. The mobile does not need to be a smart phone device and could be your work or personal mobile number. The phone number you provide will only be used by Microsoft to verify your security information and not for any other purpose.

To set up MFA, select your country or region from the drop-down list and then enter your telephone number. You can opt to either have a code sent to you by text, or receive a call and press the # key after listening to an automated message from Microsoft:

If you opt to receive the code via text, you will be prompted to enter it on screen:

Microsoft will associate your telephone number with your gateway account so you don’t re-enter it each time you log in. Please submit a request to Portal Support if you need to change the number linked to your MFA, for example, if you no longer have access to the device.

Once you have set up MFA you can then log into the gateway.

Log in

To log into your account, open a new browser (preferably Google Chrome) and visit the Gateway login page. You will be required to enter your email address and password and select ‘sign in’:

Change your password

To reset your password, click the ‘Forgotten your password?’ hyperlink underneath the password text box which will redirect you to the following screen where you will be prompted to enter your email address:

After clicking ‘send verification code’ you will be sent an email containing a 6-digit code which you will need to enter on screen and select ‘verify code’:

You will then be able to set a new password for your account on the next screen:

You will be prompted to log in with your email address and password to access your account.

Organisation details

You will be required to read and accept the data protection and privacy statement and some information on the types of cookies the system uses. Select the ‘I have read and accept the data protection and privacy policy’ button to proceed:

You will be required to enter details about your organisation:

Please note: this information will pre-populate some information on your application form so please ensure it is accurate.

You can amend your details later should you need to, but not whilst an application is under review by Ofqual.

This is the name of your organisation and not the person completing the form.

Acronym

This refers to a shortened version of your organisation name that would generally appear on certificates. If you would not like this to be shortened, and rather it matches your trading or legal name please enter the organisation’s full name in this field. Do not leave this field blank or fill it with ‘N/A’.

Please ensure that the acronym you select is not currently used as this will cause confusion due to similarities with other organisations we regulate

List of Standard Fees URL

This information is mandatory. Please provide a website address for where your standard list of qualification fees is publicly available. If you have not yet published this information, please enter your website home page address or if you don’t have a website, please enter ‘N/A’.

When entering information about your organisation as a legal entity, you can multi-select all that apply. When selecting ‘yes’ you will find that the proceeding field will require further information as it is mandatory.

If you have a registered Companies House number you will need to enter all 8 digits including any zeros at the beginning.

You will be required to add the address and telephone number of your organisation:

The information you enter as part of the registration process will automatically transfer to the relevant fields in the ‘Contact details’ section. You can then add your title, phone number and the (proposed) role you hold within your organisation. Click ‘Save’ upon completion.

Please ensure that the auto-fill feature of your browser has not filled in any fields incorrectly. Your details cannot be amended once your application has been submitted. If you submit your application and these fields are incorrect, you will be asked to withdraw your application. You will then need to resubmit it having made these amendments. Please ensure all contact details and organisation details are correct before you submit.

Upon clicking save, the information will be validated, and you will receive a pop-up notification showing your registration was successful:

The updated status will be displayed in the ‘Responses’ area, to the top-right of your screen and will be date and time stamped:

Responses

You can send and respond to communications from Ofqual using the ‘Responses’ area located at the top-right of the screen – enter your message and click ‘send’. Ofqual will use the ‘Responses’ area to communicate queries about your application, organise meetings and update you on the progress of your application. You can upload documents by clicking the paperclip icon, selecting the required document and clicking ‘send’. Each communication is date and time stamped:

Once you have submitted your details, we will contact you via the ‘Responses’ area to arrange a meeting to discuss what it means to be regulated by Ofqual and what your plans are. We may ask you to complete a questionnaire and return it to us via the ‘Responses’ area before this meeting.

Email notifications

An email notification will be generated to alert you when Ofqual has sent you a communication in the ‘Responses’ area, and when an action or update has happened on your application – for example, to inform you of the outcome of your application for recognition. Email notifications will be sent to the email address you provided as part of your registration.   ##Apply

Following a meeting with Ofqual, you will need to inform us if you wish to proceed with an application for recognition. An email notification will prompt you to log into your gateway account when the application form has been released. The status will update in the ‘Responses’ area and is date and time stamped:

Once released, the application form can be accessed from the navigation pane to the left-hand side of the screen:

Introduction

At the start of your application, you will be required to confirm that the information you submit to us is accurate and that you have read and accept the privacy statement. To agree to those terms, select the check box and then select ‘save and continue’.

You can save your progress and continue with your application at any point by clicking ‘Save and continue’ at the bottom of any page of the application form. We recommend that you save your progress regularly and at least every 30 minutes. You can return to the previous pages of the application form by selecting ‘previous’.

What do you want to be recognised by Ofqual for?

Please consider the type of qualifications you are applying for recognition for. If you are interested in apprenticeship end-point assessments (EPAs), please list each apprenticeship standard you want to offer.

There are 3 qualification types. These are:

  1. Qualifications subject only to the ‘General Conditions of Recognition’. These will be defined by the level and sector subject area you assign to them.
  2. Qualifications which must comply with additional regulatory requirements. These are allocated a formal ‘type’, for example GCSE (9 to 1), EPA, or advanced extension award.
  3. Qualifications that are defined by a description. These are bespoke to each organisation and do not fit into the above types.

If you are applying for a qualification subject only to the General Conditions of Recognition, please select ‘other’. Please read Ofqual’s rules for the different qualifications that are regulated to determine what you are applying for.

Contact details

This section is prepopulated using the information that was entered from when the gateway account was created. Should you need to edit this information, select the ‘Organisation Details’ page on the navigation pane to the left of the screen.

This part of the application form is pre-populated using the information you provided when you created your recognition gateway account. Should you need to amend any of the details entered please do so by returning to the ‘Organisation Details’ page.

Company number or charity number

As before, this part of the application form is pre-populated using the information you provided when you created your recognition gateway account:

If you select ‘yes’ to your organisation being another kind of legal entity in the UK, you will be prompted to select an option in the preceding field – ‘Further or Higher Education Institution’ or ‘Public Body’:

If you are registered in another country please select ‘yes’ and you will be required to select from a list, the main country of registration and then enter the registration number your organisation holds in that country:

You will be required to indicate whether your organisation is a sole trader or partnership and whether you are intending to, or already deliver apprenticeship end-point assessments:

Date of incorporation

Please note: this should be either the date of when you registered with Companies House (if that applies) or the date your company was formed. Select ‘save and continue’ to proceed with your application.

Criteria A: Identity, constitution and governance

Please provide a brief summary of how you believe you meet each criterion and provide a well referenced list of the documents where the evidence to support this can be found. There is a 499 word or 3000 character limit.

A.4 Organisation and governance

The applicant is organised and governed in such a way that will provide appropriate support for its activities as a recognised awarding organisation.

Please summarise how you meet Criterion A.4 and list the documents that support this:

A.5 Conflicts of Interest

The Applicant has in place appropriate arrangements to secure that it will be able to –

(a) identify and monitor any Conflict of Interest which exists in relation to it, and

(b) manage any Conflict of Interest which relates to it, to ensure that the Conflict of Interest does not give rise to prejudice to Learners or potential Learners or adversely affect –

  • the ability of the Applicant to undertake the development, delivery or award of qualifications in accordance with its Conditions of Recognition,
  • the standards of qualifications which the Applicant may make available as a recognised awarding organisation, or
  • public confidence in qualifications.

Please summarise how you meet Criterion A.5 and list the documents that support this:

A.6 Governing Body oversight

Where the Applicant is not an individual, it has in place appropriate arrangements to ensure that its Governing Body will have continuing oversight of, and be directly accountable for –

(a) the performance of its activities as a recognised awarding organisation, and

(b) its compliance with its Conditions of Recognition.

Please summarise how you meet Criterion A.6 and list the documents that support this:

Criteria B: Integrity

Please note: Where you identify relevant matters relating to the applicant organisation or a senior officer please ensure you provide evidence of how you will manage and mitigate the risks.

B.1 Integrity of the Applicant

The Applicant must be a suitable person to be recognised for the award of the relevant qualifications, having regard in particular to

(a) any criminal convictions held by it,

(b) any finding by a court or any professional, regulatory, or government body that it has been in breach of any provision of Competition Law, Equalities Law, or Data Protection Law,

(c) any finding by a court or any professional, regulatory, or government body that it has been in breach of a provision of any legislation or any regulatory obligation to which it is subject, and

(d) any instance of insolvency or corporate financial restructuring to which it is or has been subject Please select an option below:

  • On behalf of the Applicant I declare that I have made diligent enquiry, including having had regard to the matters specified in this criterion, and have identified no concerns relating to the integrity of the Applicant. I am aware that Ofqual may conduct its own enquiries in this regard and should it discover I have provided false information this may cause it to reject the application for recognition or, should such information be discovered following recognition, to take enforcement action.
  • Having made diligent enquiry, I have identified matters likely to be of concern in respect of the integrity of the applicant and I provide full details of those concerns and an explanation how the attendant risks will be mitigated with the application.

B.2 Integrity of Senior Officers

Each of the Senior Officers of the Applicant must be a suitable person to be engaged in that role in an awarding organisation that is recognised for the award of the relevant qualifications, having regard in particular to –

(a) any criminal convictions held by him or her,

(b) any finding by a court or any professional, regulatory, or government body that he or she has breached a provision of any legislation or any regulatory obligation to which he or she is subject,

(c) any instance of bankruptcy or any individual financial arrangements to which he or she is or has been subject,

(d) any occasion on which he or she has been disqualified from holding the directorship of a company or from public office, and

(e) any finding of malpractice or maladministration, in relation to a qualification (whether a regulated qualification or a qualification which is not regulated), to which he or she is or has been subject.

Please select an option below:

  • On behalf of the Applicant I declare that I have made diligent enquiry, including having had regard to the matters specified in this criterion, and have identified no concerns relating to the integrity of the proposed Senior Officers. I am aware that Ofqual may conduct its own enquiries in this regard and should it discover I have provided false information this may cause it to reject the application for recognition or, should such information be discovered following recognition, to take enforcement action.

  • Having made diligent enquiry, I have identified matters likely to be of concern in respect of the integrity of one or more of the Senior Officers and I provide full details of those concerns and an explanation how the attendant risks will be mitigated with the application

Criteria C: Resources and financing

Please provide a brief summary of how you believe you meet each criterion and provide a well-referenced list of the documents where the evidence to support this can be found.

C.1 (a) Systems, processes and resources

The Applicant has, or has appropriate arrangements in place to ensure that it will have –

(a) the systems, processes and resources to enable it to undertake, in accordance with its Conditions of Recognition, the development, delivery and award of any qualification which it may make available as a recognised awarding organisation.

Please summarise how you meet Criterion C.1 (a) and list the documents that support this:

C.1 (b) Financial resources and facilities

The Applicant has, or has appropriate arrangements in place to ensure that it will have –

(b) the financial resources and facilities to enable it to undertake, in accordance with its Conditions of Recognition, the development, delivery and award of any qualification which it may make available as a recognised awarding organisation.

Please summarise how you meet Criterion C.1 (b) and list the documents that support this:

Criteria D: Competence

D.1

The Applicant’s understanding of, commitment to, and approach to the development, delivery and award of qualifications is sufficient, having regard to the need to ensure that –

(a) it will be able to undertake, in accordance with its Conditions of Recognition, the development, delivery and award of any qualification which it may make available as a recognised awarding organisation

The Applicant’s understanding of, commitment to, and approach to the development, delivery and award of qualifications is sufficient, having regard to the need to ensure that:

It will be able to undertake, in accordance with its Conditions of Recognition, the development, delivery and award of any qualification which it may make available as a recognised awarding organisation.

Please summarise how you meet Criterion D.1 (a) and list the documents that support this:

D.1 (b)

Any such qualification must, as far as possible, be Valid, Reliable, Comparable, Manageable and Minimise Bias

The Applicant’s understanding of, commitment to, and approach to the development, delivery and award of qualifications is sufficient, having regard to the need to ensure that:

any such qualification must, as far as possible, be Valid, Reliable, Comparable, Manageable and Minimise Bias Please summarise how you meet Criterion D.1 (b) and list the documents that support this:

D.1 (c)

Any such qualification must be compatible with the requirements of Equalities Law

The Applicant’s understanding of, commitment to, and approach to the development, delivery and award of qualifications is sufficient, having regard to the need to ensure that:

any such qualifcation must be compatible with the requirements of Equalities Law

Please summarise how you meet Criterion D.1 (c) and list the documents that support this:

Conditions of application

You will be required to read and accept the terms of application and select the checkbox at the bottom of the page before selecting ‘save and continue’:

Supporting evidence and checklist

To upload the supporting documents that you have referred to throughout your application, go to the ‘upload documents’ heading, then select ‘choose files’. You will be presented with a pop-up window where you can select your documents. The title of each file will be displayed when it is uploaded. Please reference your documents clearly and ensure that the number entered corresponds with the number uploaded. You may find this easier to upload in batches rather than all documents in one go.

Please note: We expect you to upload all documents as well-referenced individual files. Please do not upload Zip files due to the security concerns of these file types and the impact on our retention of documents schedule.

Declaration and submission

Prior to submitting your application, you will be required to confirm that you have understood and agree to two declarations by selecting ‘yes’:

Proposed Responsible Officer

I certify that the information on this application form is complete, true and accurate. I understand that, should Ofqual grant recognition, should I provide information which is found to be untrue or inaccurate, I and/or the organisation may be subject to investigation and possible regulatory action. You are required to provide an electronic signature:

The date field is automatically date and time stamped upon submission. Click ‘submit’ to complete the online application. After pressing ‘submit’, you will receive an acknowledgement that your application has been submitted successfully and the status will be updated in the Responses area. Should Ofqual need to contact you in relation to your application, this will be done via the Responses area and you will be alerted by an email notification to log into your recognition gateway account.

Outcome

Once your application has been submitted, we will use the Responses area to contact you if we need to ask any questions about your application or to invite you to a panel meeting, if you reach this stage of the process. Once a decision is made, your outcome letter will be uploaded to the Responses area which will trigger an email notification to you, to prompt you to log into the gateway. You can download the letter and save it to your device.

Where an application is successful our Standards team will contact you to discuss next steps. You will be assigned a Standards Portfolio Lead and they will be your main point of contact in Ofqual.

Where an application was not successful, we will offer a feedback meeting. We give you 10 working days to request this meeting invitation via the Responses area. Your application will remain open for those 10 working days. If we have not heard from you, or you have said you do not want a feedback meeting, we will then close this application on the gateway.

Closing your application will change the status to ‘reject’. This means this application is closed and you can apply again. All of the information you provided in your previous application will be available to you, including the supporting evidence documentation you uploaded. You can remove documents and upload new ones as you amend and change your application before resubmitting.   ##Support and guidance

The support and guidance page can be found on the navigation pane on the left-hand side of the screen:

Helpful information, guidance and supporting documentation can be found on our website to support organisations applying for recognition. The guidance should help you to understand our recognition requirements.

If you require support please send a message through the ‘Responses’ area on the organisation details page. For technical IT queries email us at portalsupport@ofqual.gov.uk