DRAFT Level 2 Technical Occupation Qualifications Qualification Level Conditions
Updated 22 May 2023
Applies to England
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Introduction
About this document
This document is part of a suite of documents which sets out our regulatory requirements for awarding organisations offering Technical Occupation Qualifications at Level 2. These conditions and requirements come into effect at [TBC]
This document sets out the following rules:
- our Qualification Level Conditions for Level 2 Technical Occupation Qualifications, which we have set using our powers under section 134 of the Apprenticeships, Skills, Children and Learning Act 2009, and
- our requirements in relation to assessment strategies.
With respect to all Level 2 Technical Occupation Qualifications, awarding organisations must also comply with:
- our General Conditions of Recognition, which apply to all awarding organisations and qualifications, and
- all relevant Regulatory Documents.
Qualifications to which these rules and guidance apply
These conditions and requirements apply only to Level 2 qualifications that are approved for public funding, after a specified date, by the Secretary of State as a Technical Occupation Qualification (as defined).
Condition TOQ1: Interpretation and Definitions
TOQ1.1
The rules of interpretation and definitions outlined in General Condition J1 shall apply to Level 2 Technical Occupation Qualifications Qualification Level Conditions.
TOQ1.2
Except in the circumstances described in Condition TOQ1.3, the requirements imposed by the Level 2 Technical Occupation Qualifications Qualification Level Conditions apply in addition to the requirements imposed by the General Conditions of Recognition.
TOQ1.3
To the extent that there is any inconsistency between –
- (a) a requirement of a Level 2 Technical Occupation Qualifications Qualification Level Condition and an awarding organisation’s ability to provide either a particular type of Reasonable Adjustment or Special Consideration, such that the awarding organisation is prevented from providing that Reasonable Adjustment or Special Consideration, the awarding organisation may provide that Reasonable Adjustment or Special Consideration and is not obliged to comply with the requirement of the Level 2 Technical Occupation Qualifications Qualification Level Condition,
- (b) in all other cases, a requirement of a Level 2 Technical Occupation Qualifications Qualification Level Condition and a requirement of a General Condition of Recognition, such that an awarding organisation could not comply with both such requirements, the awarding organisation must comply with the requirement of the Level 2 Technical Occupation Qualifications Qualification Level Condition and is not obliged to comply with the requirement of the General Condition of Recognition.
TOQ1.4
In these Conditions, the following words shall have the meaning given to them below (and cognate expressions should be construed accordingly) –
Technical Occupation Qualification
A qualification –
- (a) that the Secretary of State for Education has approved for public funding as a Technical Occupation Qualification in a decision made on or after these Qualification Level Conditions have come into force,
- (b) to which an awarding organisation has assigned Level 2 under Condition E9.1,
- (c) that falls within one of the following categories as defined by the Institute for Apprenticeships and Technical Education –
- (i) Level 2 occupational entry technical qualifications - 16-19 & adult
- (ii) Level 2 additional specialist technical qualifications - 16-19 & adult
- (iii) Level 2 cross-cutting function technical qualifications - 16-19 & adult
- (iv) Level 2 employer-proposed technical qualifications - adult only
This includes a qualification that fell within criterion (a) at any time on or after the date on which these conditions came into effect, but which is no longer publicly funded for any reason.
Level 2 Technical Occupation Qualifications Qualification Level Condition
A Condition of Recognition that applies to a Technical Occupation Qualification, except where that Condition has been disapplied under Condition TOQ4.2, and which uses the numbering format ‘TOQn.n’, where ‘n’ denotes a number.
Condition TOQ2: Assessment strategies
TOQ2.1
In respect of each Technical Occupation Qualification which it makes available, or proposes to make available, an awarding organisation must –
- (a) establish and maintain an assessment strategy for that qualification,
- (b) ensure that the assessment strategy complies with any requirements which may be published by Ofqual and revised from time to time, and
- (c) have regard to any guidance in relation to assessment strategies which may be published by Ofqual and revised from time to time.
TOQ2.2
In particular, an awarding organisation must ensure that the assessment strategy for a Technical Occupation Qualification sets out how the awarding organisation intends to secure, on an ongoing basis, compliance with its Conditions of Recognition in respect of the assessments for that qualification.
TOQ2.3
An awarding organisation must ensure that all assessments for a Technical Occupation Qualification which it makes available, or proposes to make available, are designed, set, delivered and marked in compliance with its assessment strategy for that qualification.
TOQ2.4
An awarding organisation must –
- (a) keep under review its assessment strategy for Technical Occupation Qualifications, and revise it where necessary, so as to satisfy itself that the assessment strategy meets at all times the requirements of Conditions TOQ2.1 and TOQ2.2,
- (b) review its assessment strategy for Technical Occupation Qualifications promptly upon receiving a request from Ofqual to do so, and subsequently ensure that its assessment strategy complies with any requirements that Ofqual has communicated to it in writing, and
- (c) promptly notify Ofqual of any revisions made by it to any assessment strategy.
TOQ2.5
An awarding organisation must –
- (a) upon receiving a request from Ofqual to do so, demonstrate to Ofqual’s satisfaction that it has complied with its assessment strategy for Technical Occupation Qualifications in respect of any particular assessment for that qualification, or provide an explanation to Ofqual as to why it has not so complied, and
- (a) give effect to any recommendation that Ofqual may make in respect of its compliance with its assessment strategy.
Condition TOQ3: Technical Occupation Qualification Review
TOQ3.1
Following any review by Ofqual of a Technical Occupation Qualification which it makes available, or proposes to make available, an awarding organisation must comply with any requirements, and have regard to any guidance, specified to it by Ofqual in relation to the qualification.
Condition TOQ4: Withdrawal of public funding from a Technical Occupation Qualification
TOQ4.1
In respect of a Technical Occupation Qualification which it makes available, an awarding organisation must –
- (a) promptly notify Ofqual where for any reason that qualification will, or is likely to, no longer be approved for public funding by the Secretary of State for Education, and
- (b) provide, as part of the notification, a description of the circumstances in which the need for the notification has arisen.
TOQ4.2
Where Condition TOQ4.1(a) applies –
- (a) Ofqual may decide, upon application by the awarding organisation or otherwise, that the Level 2 Technical Occupation Qualifications Qualification Level Conditions should no longer apply to that qualification, and
- (b) the awarding organisation must comply with any requirements communicated to it by Ofqual in writing as part of that decision.
TOQ4.3
Any decision by Ofqual under Condition TOQ4.2 may include a decision that the Level 2 Technical Occupation Qualifications Qualification Level Conditions shall not apply to the relevant qualification from a particular date.
Assessment strategy requirements
Condition TOQ2.1(a) requires an awarding organisation to establish and maintain an assessment strategy for each Technical Occupation Qualification which it makes available or proposes to make available. Condition TOQ2.2 requires an awarding organisation to ensure that the assessment strategy for a Technical Occupation Qualification sets out how the awarding organisation intends to secure, on an ongoing basis, compliance with its Conditions of Recognition in respect of the assessments for that qualification.
Condition TOQ2.4 requires an awarding organisation to keep its assessment strategy under review, and to promptly notify Ofqual of any revisions made. An assessment strategy should be treated as a live working document which should be updated as necessary, considering evidence from assessment development, delivery and monitoring so qualifications and assessments continue to be fit for purpose.
Condition TOQ2.1(b) requires an awarding organisation to have regard to any requirements in relation to assessment strategies published by Ofqual.
We set out our requirements for the purposes of Condition TOQ2.1(b) below.
Assessment strategy requirements for Technical Occupation Qualifications
General requirements
There are three key properties of effective assessment strategies:
- A coherent and logical narrative
- The use of argument and justification with evidence
- A focus on the fitness for purpose of the qualification
1. A coherent and logical narrative
An assessment strategy must present a coherent and logical narrative demonstrating how an awarding organisation will seek to ensure that the qualification meets the requirements in the Conditions in relation to assessments. The detailed requirements section below sets out the aspects of the qualification that need to be covered within the assessment strategy. However, the assessment strategy should not be presented as a set of discrete responses to the matters set out below, as this approach risks lacking coherence. Rather, it must demonstrate consistency between different justifications and explanations, by –
- linking back to previously referred aspects (for example, the assessment model should be demonstrably consistent with the purpose of the qualification), and
- demonstrating clear consideration and understanding of the consequences of decisions (for example, of the implications of the assessment model used for the approach to setting and maintaining standards).
Many decisions entail trade-offs (for example, between Comparability and Manageability in tasks where Centres might have a choice of task depending on their access to resources). These should be addressed as appropriate, so that the thinking behind the key decisions that the awarding organisation has made in developing the qualification is clear.
2. The use of argument and justification with evidence
In an assessment strategy, all statements that may have implications for the fitness for purpose of the qualification should be underpinned with clear and concise argument and evidence. Such statements should not constitute only assertion. For example, the following statements provide no evidence or justification to support the assertions that they make –
-
The two external assessments will comprise only multiple-choice questions. This question type aligns best with the type of content we are assessing in this qualification.
-
The types of evidence produced by the assessments lends itself to internal marking.
The reasoning and evidence behind such assertions must be provided. An awarding organisation should focus on the inclusion of material that supports its arguments for the fitness for purpose of the qualification.
For example, an awarding organisation should not include descriptions of processes or include or refer to pre-existing process documentation if the relevance of this content to the Validity and fitness for purpose of the assessments has not specifically been drawn out.
3. A focus on the fitness for purpose of the qualification
The purpose of an assessment strategy is to explain the choices that have been made in the development of the qualification and the approach to its ongoing monitoring will help ensure that the qualification meets the Conditions and is thus Valid and otherwise fit for purpose.
Assessment strategy structure
It is up to an awarding organisation to decide how to structure its assessment strategy. The assessment strategy is a live document that will be used and updated throughout the lifetime of the qualification. The awarding organisation should structure it in a way that supports this.
In doing this, an awarding organisation may, for example, choose to develop separate parts of its assessment strategy that:
- reflect aspects that are common to all qualifications that are in scope
- reflect aspects that are specific to individual qualifications
The separate parts of the assessment strategy could be submitted as separate documents, or as a main document with annexes. An awarding organisation should explain clearly how any separate parts of an assessment strategy relate to each other. It should also explain how each of these separate parts will be kept under review, and revised where necessary, in light of the others. Taken together, such parts should form a coherent and integrated whole.
Detailed requirements
We set out below our detailed requirements on the specific information and evidence an awarding organisation must include in its assessment strategy. The requirements are set out in eight sections, as shown below. These sections are intended to represent the key stages in the lifecycle of a qualification, and an awarding organisation’s assessment strategy must be structured so as to reflect them. Depending on the approach to structuring its assessment strategy, an awarding organisation may find it useful to cover content from these sections in both an overarching document that covers its approach to a suite of qualifications and a document specific to an individual qualification.
- Qualification purpose
- Content
- Assessment design
- Assessment delivery
- Marking/assessing performance and standardisation
- Attainment and reporting
- Standard setting and maintenance
- Qualification monitoring
For each of the eight sections, indicative content is provided within a table that includes subheadings, corresponding questions, an explanation of the importance of those questions, and the Conditions to which they relate. In many cases, the column explaining the importance of information will also make clear where links should be made to other aspects of the qualification to aid the coherence of the document.
The subheadings, key questions and explanations in each section have been specifically written to reflect the key areas of qualification development that should be addressed and to reflect their approximate sequence as part of the qualification lifecycle. Assessment strategies must address the subheadings and questions contained in them. They may be structured according to the sections in the table. However, they must also reflect the need for decisions to be linked back appropriately to previous sections and must demonstrate clear consideration and understanding of their consequences (see general requirements under ‘A coherent and logical narrative’ above). Depending on the nature of a particular qualification, there may also be additional areas that require focus. Similarly, some areas covered in the table may require more extended focus, while other areas may not be applicable.
Assessment strategies should refer, as appropriate, to the proposed or existing assessment materials (for example, questions, tasks and mark schemes) to exemplify any points or arguments made within the document. Assessment strategies should also refer, as appropriate, to existing policies or procedures to support the awarding organisation in demonstrating how it will seek to ensure that the qualification meets the requirements in the Conditions in relation to assessments (for example, Centre Assessment Standards Scrutiny strategies).
Section 1: Qualification Purpose
This refers to the initial approach to scoping the specification, including clearly defining the purposes of the assessment.
| Subheading | Key questions | Why this is important and what must an awarding organisation include in its assessment strategy? | Examples of relevant conditions |
|---|---|---|---|
| Purpose | How does the qualification fulfil the relevant category purpose set out by the Institute for Apprenticeships and Technical Education? Does the qualification have any further specific purposes? If so, how does the qualification fulfil those specific purposes and ensure their coherence with the relevant category purpose set out by the Institute for Apprenticeships and Technical Education? Where there are competing specific purposes, what trade-offs have been considered, and how have these been resolved? |
Key aspects of the qualification, including the content and assessment structure, must be designed to be consistent with the qualification purpose. A clear purpose will ensure that Users of the qualification are not misled. A qualification typically has a number of different purposes that it is seeking to fulfil. When defining the purposes of a qualification, awarding organisations should consider them from different perspectives. These include the following: • The expertise that Learner will acquire through participation in the qualification, and the nature of that expertise. For example, a qualification may develop understanding of a broad body of knowledge, skills and understanding in a particular area, or it may support the mastery of specified skills relevant to a defined discipline. • The use to which the qualification outcomes will be put. The results of a qualification are likely to be used in different ways by a range of potential Users. For example, results for individual Learners may be used to identify appropriateness for recruitment to employment or further study, to signify licence to practise, and/or by the Learner to make decisions regarding their own future. Results may also be used in aggregate from across Learners. For example, results may be combined across Learners taking qualifications within a Centre for measures used to hold that Centre to account. •The role participation in the qualification plays in engaging Learners. The existence of a qualification and the assessment(s) it contains will play a role in engaging Learners. That may be engaging Learners in education and/or training in general or be in relation to the specific area to which the qualification is relevant. For example, some qualifications may have the specific purpose of seeking to (re)engage Learners likely to have particular previous experiences or reflect a particular context within which the qualification will be encountered. Defining the purposes of a qualification in these terms, and considering their relative importance – including in terms of any intended priority order set out by the Institute for Apprenticeships and Technical Education – is likely to aid an effective qualification design process by informing the range of trade-offs required when making design decisions. These trade-offs and design decisions should be documented in the assessment strategy. |
Condition E1.1 and E1.2 |
Section 2: Content
This refers to the skills, knowledge and understanding to be taught and assessed in the qualification.
| Subheading | Key questions | Why this is important and what must an awarding organisation include in its assessment strategy? | Examples of relevant conditions |
|---|---|---|---|
| Structure | How has the content been developed with reference, as appropriate, to the qualification category, and to the relevant employer-led occupational standard(s) published by the Institute for Apprenticeships and Technical Education? Where there is no such standard, how has suitable content been established? How are the relevant knowledge skills and behaviours represented in the specification? Refer to the key elements of the specification content where applicable, such as: •learning outcomes •topics (and their weightings) •content statements •performance criteria |
Poorly defined content can lead to: •Learners being insufficiently prepared for assessments •the development of assessments and assessment criteria or mark schemes that fail to appropriately target the content in a way that is fair and/or transparent •the qualification failing to meet one or more of its purposes. An awarding organisation may draw as necessary on the detailed information it provides to the Institute for Apprenticeships and Technical Education to give an overview of the content structure and how this has been developed. This may include, as appropriate, references to the mapping of relevant knowledge, skills and behaviours, evidence of employer engagement, and further specific information and/or rationale about how content has been developed in cases where there is no existing standard. |
Condition D1 |
| Qualification Size | What is the size of the qualification and what is the rationale for this? | An awarding organisation must justify the Total Qualification Time and number of Guided Learning Hours in relation to the purposes, content, level and target group(s) of the qualification. | Condition E7 |
| Demand | What steps were taken to ensure that the demand of the qualification content is set appropriately? | An awarding organisation must demonstrate that they have considered the demand of the qualification content, in relation to the relevant occupational standard(s) as applicable. | Condition D1 |
| Optional content | Is there any optional content in the qualification? Where there is content that is intended to be optional, how have you ensured that the content for optional routes is appropriate and comparable? | The presence of optional routes may have implications for content coverage (for example, where one or more routes may omit key elements of the content). Where they are included, an awarding organisation must explain its rationale for including optional routes and how it has determined the content for each optional route. This may include how different routes reflect expectations of competence in Technical Occupation Qualifications. |
Condition G1.2(a) |
Section 3: Assessment design
This refers to all aspects of the structure and development of the assessments.
| Subheading | Key questions | Why this is important and what must an awarding organisation include in its assessment strategy? | Examples of relevant conditions |
|---|---|---|---|
| Assessment structure | What is the model of assessment used? •How many assessments are there in total and what is the rationale for this? •What different elements of the content are targeted by the different assessments and is there a differential weighting between the assessments? What is the justification for the approach? •What is the overall assessment time, and what is the rationale for this? •What are the theoretical and practical considerations that have been taken into account when determining the best method of assessment to assess a particular construct? •What is the balance between different assessment methods and how has this been determined? •What is the approach to Learners having the opportunity to draw, as appropriate, on outcomes from across a range of qualification content as part of demonstrating occupational competence •How has the awarding organisation taken account of the needs of Learners with particular protected characteristics in designing the assessment model? |
An awarding organisation must justify how the key structural aspects of the assessment have been designed to be: •consistent with the purposes of the qualification •appropriate in relation to the content •conducive to the development of robust standard setting and standards maintenance processes |
Condition D1 Condition E1 Condition E4.2 Condition G1 |
| Assessment development | What is the process for developing assessment materials? •What are the different stages involved? •Who is involved at each stage? How have employer representatives been engaged in the development process? •What is the approach to training individuals who will be responsible for setting assessments, including ensuring security and mitigating any Conflicts of Interest? •Will any assessments be developed by the Centre? If so, what support will be offered to ensure these are Valid and fit for purpose •What steps are taken to identify the risk of any Adverse Effect which may result from the awarding organisation’s approach to developing assessments? |
The process of assessment development must facilitate the development of Valid and fit for purpose assessments. | Condition A4 Condition D1 Condition E4.2 Condition G1 Condition G3 Condition G4 Condition G9.1 – G9.2 |
| Question and task Validity | How does each assessment method seek to maximise Validity? What steps are taken to ensure that assessment tasks elicit the assessment evidence they ought to elicit? For example: •that each task elicits its intended learning outcomes •that Learners understand what each task is asking them to do •that bias and other construct irrelevant factors are minimised •that Learners have sufficient time to complete tasks. |
Poorly designed assessments could impact on their ability to elicit reliable information regarding the proficiency of Learners. It is important that Users of the qualifications, including those in industry, can rely on the evidence generated. | Condition D1 Condition E4.2 Condition G1 Condition G3 |
| Approach to content coverage | What is the approach to covering the content through the assessments? For example, is the content sampled over time or covered in its entirety in an individual assessment or set of assessments? If a sampling approach is used: •how is content sampled •over what period will the full range of content be sampled? •if a sampling grid or equivalent is to be used to track coverage over time, what parameters will this record and what is the rationale for these? |
If a sampling approach is used, the methodology must demonstrate adequate coverage of the full range of content both over time and in relation to individual assessments. Some qualifications aligned to occupational standards may be intended to signal competence. An awarding organisation must consider this in any justification of its approach to content coverage. |
Condition D1 Condition E4.2 Condition G1 Condition G9.3 |
| Assessment methods | What assessment methods are used to assess the content and why? For all assessments: •What question or task types are used and why? •How has the balance between different question or task types been determined? •How are mark schemes or performance criteria designed, and what steps are taken to ensure they support reliable application? •What are the principles and controls that are utilised when articulating assessment criteria, to ensure the reliability of the judgements that are made against the criteria? In addition, for assessments which may be set and marked by Centres: •If the same assessments are used over time, including where the same assessments are available on demand, is predictability a risk to Validity? If so, how will it be ensured that they are not susceptible to issues of predictability and malpractice? •Where assessment briefs are used: •what is the approach taken to determining the narrowness or flexibility of these? •what are the risks or benefits to Validity of the narrowness or flexibility of these |
Assessments methods must be justified in relation to their: •alignment with the purposes of the qualification •effectiveness in assessing the knowledge, skills and behaviours laid out in the content •conduciveness to achieving reliable outcomes for Learners. The use of assessment which may be set and marked by Centres must be justified, with a particular emphasis on: •why this type of assessment is required in order to maximise assessment Validity •what the key threats to Reliability and Validity are, and how these have been mitigated. |
Condition D1 Condition E4.2 Condition G1 Condition G9.3 Condition A6 |
| Centre adaptation | What approach is taken to whether Centre adaptation of tasks will be permitted? To what extent will Centres be otherwise required to interpret or expand tasks set by the awarding organisation? What is the rationale for the approach? What measures are in place to support Centres in making acceptable and effective adaptations where appropriate? What monitoring is in place to ensure that the awarding organisation has visibility of any modifications and their appropriateness? |
It is important to demonstrate how Comparability is assured in relation to any Centre adaptation (or similar) of assessments set by the awarding organisation. | Condition D1 Condition E4.2 Condition G1 Condition G9 |
| Controls | What are the principles that determine which level of control or configuration of variable is selected for each task? What controls are specified? •Will Learners have access to any assessment materials before the assessment is taken? •Are assessments to be completed within specified time limits? •Are Learners permitted to ask for support? •Are Learners permitted to access resources (for example, class notes or the internet)? •How are Learners supervised? •Is collaboration permitted between Learners? •How is work Authenticated? |
It is important that any controls have been fully considered and specified to ensure assessments are Valid, Reliable, and appropriate for the qualification purpose. | Condition G8 Condition G9 |
| Generating outcomes (assessment level) | What is the approach to generating outcomes for individual assessments? Are outcomes based only on a Learner’s overall attainment within a Component? Alternatively, is there a requirement for some or all aspects of the Component to be attained individually? Linked to this, does the assessment for the Component use numerical marks or an alternative such as grading criteria? |
It is important to ensure that the approach to generating outcomes: •discriminates effectively between Learners of different abilities •enables awarding organisations to monitor and control standards. •is in line with the purposes of the qualification and the aspects of the content that it is assessing. An awarding organisation must justify how their approach will ensure this. |
Condition G1.2(a) |
| Optional assessment | If applicable, what elements of the assessments are optional? How will the Comparability of optional routes be appropriately managed? |
It is important to ensure that standards are maintained when there are optional routes. | Condition G1.2 |
Section 4: Assessment delivery
This refers to the available modes of delivery and the availability of assessments.
| Subheading | Key questions | Why this is important and what must an awarding organisation include in its assessment strategy? | Examples of relevant conditions |
|---|---|---|---|
| Modes of assessment delivery (all assessment) | What modes of assessment delivery are available (for example, paper-based, computer-based)? | The modes of delivery must be: •appropriate for the target group • Manageable for Centres • optimal in terms of eliciting evidence of the knowledge, skills and behaviours described in the content. |
Condition D1 Condition E4.2 Condition G1 Condition G9 |
| Assessment availability | What approach is taken to the availability of assessments, including: •number of assessments to be available •type of assessment (for example, online and/or paper-based) •scheduling of assessments (for example, timetabled or on-demand) What is the approach to permitting Learners to re-take assessments? Is entirely new evidence required from the Learner for the re-take, or are they permitted to re-work evidence where a requirement for new evidence would be unreasonable? In light of the approach to availability, what specific risks have been identified, how these will be mitigated, and how particular challenges will be addressed, including: •ensuring Comparability of assessments •minimising predictability of assessments •ensuring security of assessments |
An awarding organisation must: •justify its approach in relation to the purpose of the assessment. •detail specific risks that have been identified (such as to the Comparability and predictability of assessments), and how these have been mitigated. |
Condition A6 Condition D1 Condition E4.2 Condition G1 Condition G9 |
| Security | What approach is taken to ensuring the secure transmission, distribution and storage (including by Centres) of assessment materials? What approach is taken to ensuring the security of any assessment materials that Learners have access to prior to assessments being taken? |
Inadequate approaches to security can undermine Reliability – if, for example, assessment scores do not accurately reflect Learners’ attainment. | Condition G4 Condition G9 |
| Centre feedback | What approach is taken to ensuring that Centres provide appropriate feedback on Centre marked assessments to Learners? What mitigations are in place to prevent Centre Assessors from providing feedback that is excessively frequent or excessively directive? |
If feedback from Centre Assessors to Learners is provided excessively frequently and/or is excessively directive about what must be included or addressed as part of the assessment, this creates the potential that assessment scores do not accurately reflect Learners’ attainment. | Condition C1 Condition C2 Condition G9 |
Section 5: Marking or assessing performance and standardisation
This refers to the approach taken to the marking of all assessments.
| Subheading | Key questions | Why this is important and what must an awarding organisation include in its assessment strategy? | Examples of relevant conditions |
|---|---|---|---|
| Approach to marking or assessing performance (all assessments) | What approach is taken to marking or assessing performance? What steps are taken to identify the risk of any Adverse Effect which may result from the awarding organisation’s approach to marking or assessing performance? |
The approach to marking / assessing performance is key to ensuring that outcomes are as consistent and accurate as possible. An awarding organisation must justify its approach to marking in relation to the qualification purposes and the need for Reliable outcomes. |
Condition A6 Condition D1 Condition H1 Condition H2 Condition H5 |
| Monitoring marking or assessing performance (all assessments) | What processes are in place to monitor accuracy and consistency of marking or assessing performance and issuing of results, and to take remedial action where necessary? | An awarding organisation must justify its approach to monitoring in relation to the need for Reliable outcomes. | Condition H1 Condition H2 Condition H5 Condition H6.1(d) |
| Assessor standardisation (all assessments) | What are the characteristics of reliable Assessors? What steps are being, or will be, taken to recruit such Assessors? What approach is taken to training and standardising Assessors, including details of standardisation procedures and any wider training? |
It is important to clearly articulate the knowledge, skills and experience that Assessors will need in order to ensure the Reliability of the judgements that are made. An awarding organisation must explain the steps it will take to recruit such Assessors. An awarding organisation must describe its approach to training and standardising Assessors (both external Assessors and Centre Assessors). This could include, for example, any specific training for new or senior Assessors, as well as any wider training available. An awarding organisation must describe its standardisation procedures, including, for example, how it will determine whether an Assessor can assess reliably. |
Condition G1.3 Condition H1 Condition H2 Condition H5 |
| Centre Assessment Standards Scrutiny (Centre marking or assessing) | What is the approach to Centre Assessment Standards Scrutiny, and the rationale for this approach? What are the risks with this approach, and how will they be managed? |
An awarding organisation must justify its approach to Centre Assessment Standards Scrutiny in relation to the need for Reliable outcomes. It will be important for an awarding organisation to link to its Centre Assessment Standards Scrutiny strategy in the justification of its approach. |
Condition A6 Condition C1 Conditions C2.1 and C2.3(j) Condition D1 Condition H2 Condition H5 |
| Centre training and monitoring (Centre marking or assessing) | What approach is taken to the provision of guidance and training to Centres around marking or assessing performance? How are Centres monitored? |
An awarding organisation must justify its approach to training in relation to the need for Reliable outcomes. | Condition C1 Condition H1 Condition H5 |
Section 6: Attainment and Reporting
This refers to the identified levels of attainment and the grading structures used to characterise these levels.
| Subheading | Key questions | Why this is important and what must an awarding organisation include in its assessment strategy? | Examples of relevant conditions |
|---|---|---|---|
| Specified levels of attainment | What are the specified levels of attainment (i.e. grading scales) for the qualification? What is the justification for the approach? Where appropriate, what characteristics signal the minimum competence standard? How do the assessments generate Reliable information in line with the proposed grading? If specifying different levels of attainment •what characteristics differentiate Learners who have demonstrated different levels of attainment? •what steps have been taken to ensure that there is sufficient difference between adjacent levels of attainment? |
The characteristics of the minimum competence standard and, if applicable, different levels of attainment identified, must follow clearly from relevant elements of the content. An awarding organisation’s approach to differentiating between adjacent levels of attainment must be justified in terms of the scope to generate Reliable information. |
Condition D1 Condition E4.2 Condition G1.3 |
| Aggregation (qualification level) | What is the approach to aggregation? For example, to what extent do Learners’ results for the qualification reflect their overall attainment across all assessments, or their attainment in particular assessments? What is the justification for the approach? If applicable, what is the approach to scaling marks from individual assessments for the purpose of aggregation? If individuals are permitted to re-take assessments, are there any changes to the aggregation rules in these instances, and what is the rationale for the approach? |
The approach must be justified in relation to the content and purposes of the qualification. An appropriate aggregation method and, if relevant, scaling method is needed to ensure appropriate discrimination between Learners. |
Condition D1 Condition E4.2 Condition H5.4 |
| Reviews and/or Appeals | What steps are taken to ensure that concerns over inaccuracy of assessment results are addressed adequately and appropriately? For example: •that they are investigated fairly, thoroughly and in a timely fashion •that justified concerns over inaccuracy are resolved by following an appropriate process. |
An appropriate process is fundamental to ensuring that appropriate inferences are drawn from results. | Condition I1 |
Section 7: Standard setting and maintenance
This refers to the processes for setting and maintaining standards, and the types of evidence that are used.
| Subheading | Key questions | Why this is important and what must an awarding organisation include in its assessment strategy? | Examples of relevant conditions |
|---|---|---|---|
| Approach | What is the approach to setting and maintaining appropriate grading standards within the qualification? For example, are grading standards determined up-front by individual Assessors and applied at the point of assessment or are they determined through an awarding process separate to marking? If standards are determined through an awarding process separate to marking: •Within an individual Component, are the requirements (such as number of marks) to achieve a given grade set out upfront or determined after the assessment(s) have been taken? •What is the process for setting grade boundaries at qualification level? For all approaches, how will the awarding organisation take account of any impact on Learners who share a particular protected characteristic? |
If qualifications include directly graded outcome-based assessments, it is important that the approach to standard setting and maintenance links to marking or assessing performance, standardisation, Assessor training and the approach to Centre Assessment Standards Scrutiny. If standards are determined through an awarding process separate to marking, it is important the approach to standard setting and maintenance follows an appropriate technical methodology. An awarding organisation must set out the technical methodology for determining Component and qualification level grade boundaries. In each case, an awarding organisation must fully justify its approach to effectively setting and maintaining appropriate grading standards within the qualification, both over time and with similar qualifications it makes available. Where possible, an awarding organisation must also demonstrate how it will effectively set and maintain standards with similar qualifications offered by other awarding organisations. |
Condition H3 |
| Evidence | What quantitative and qualitative information is used? How is the weighting of evidence determined when multiple sources of evidence are used? (This may include worked examples, for illustrative purposes, as necessary.) |
It is important that the approach to standard setting and maintaining: •includes full consideration of the strengths and limitations of the different types of available evidence, and the weight given to different evidence •leads to securing fair and Reliable outcomes over time and between Learners. |
Condition H3 |
| Modes of assessment | Where there are multiple modes (for example, paper and computer), how is Comparability of standards maintained? | It is important to ensure that standards are maintained when there are multiple modes of assessment. An awarding organisation must describe how it ensures comparability between different modes of assessment, for example when assessments are set, marked and assessed, including any separate awarding processes. |
Condition D1 Condition E4.2 |
Section 8: Qualification monitoring
This refers to the processes that are applied on an ongoing basis to monitor the Validity of key aspects of the specification, such as its assessments, susceptibility to malpractice and maladministration, and standard maintenance processes.
| Subheading | Key questions | Why this is important and what must an awarding organisation include in its assessment strategy? | Examples of relevant conditions |
|---|---|---|---|
| Approach | Describe the techniques and measures used to monitor all key aspects of the qualification that may affect its Validity. This may include, for example: •reviewing of functioning of previous assessments •security or malpractice issues or incidents •feedback through engagement with Users of the qualification What sources of evidence are evaluated to identify any issues with the ongoing Validity of qualifications? How does the awarding organisation assess whether any aspect of the qualification may be disadvantaging a group of Learners who share a protected characteristic? |
Failure to consider the ongoing Validity of the qualification increases the likelihood of threats manifesting themselves and/or assessment processes ceasing to remain fit for purpose. | Condition A5.2(b) Condition A6 Condition A8.1 Condition D1 Condition D3 Condition E4.2 Condition G1 Condition G4 Condition G9.3 |
| Availability of Data | What data will be collected to monitor the delivery and performance of the qualification? What systems and procedures are in place to ensure that any qualification or Component-level data that may be required by Ofqual can be provided within a reasonable time? |
It is important to demonstrate that this data is used where appropriate by awarding organisations at relevant points in qualification development. | Condition A5.2(b) Condition B4 |
| Reviewing the assessment approach | How is the assessment approach reviewed and, where applicable, refined over time, based on evidence of its effectiveness? What sources of evidence and feedback are included when reviewing the effectiveness of a qualification? |
It is important to have appropriate processes in place to review and evaluate the effectiveness of the qualification to maintain its ongoing Validity. | Condition D3 |