Guidance

Ofqual regulation of Apprenticeship End-Point Assessment: a guide for awarding organisations

Published 5 April 2023

Applies to England

Foreword from the Chief Regulator

Ofqual regulates on behalf of students of all ages and apprentices. Ofqual focuses its regulatory activity, research and engagement on making sure that qualifications, including Apprenticeship End Point Assessments (EPAs), are good quality, as fair as they can be and that they meet the needs of employers.

Apprenticeships are unique as they are taken by employees who are learning in the workplace alongside any off-the-job training. The End Point Assessment is the final assessment taken by apprentices before qualifying. It signifies that an apprentice has demonstrated the skills, knowledge and behaviours set out in the apprenticeship standard. It’s crucial, therefore, that the EPA tests the right things in the right way, to demonstrate occupational competence.

Ofqual works with the Institute for Apprenticeships and Technical Education (IfATE) to uphold quality in apprenticeships. IfATE works with employers to develop, approve, review and revise apprenticeships. Ofqual regulates the Awarding Organisations (AOs) offering End Point Assessments.

Effective regulation means that apprentices can be confident they are being assessed fairly. It means that EPAs are delivered securely and are valid: they meet their stated aims, they support progression, and their standards are maintained over time.

This document is designed to support Awarding Organisations understand what to expect from Ofqual as the regulator. Ofqual’s regulation of End Point Assessments is in line with our overall regulatory approach, which is risk-based. It has some specific characteristics which are tailored to the risks we see in the apprenticeships market. This document should be considered alongside Ofqual’s General Conditions of Recognition and the EPA Qualification Level Conditions and guidance. I hope you find it a useful guide.

Introduction

The EPA is the final assessment stage in an apprentice’s journey. It is an independent assessment delivered by an Awarding Organisation which assesses an apprentice’s skills, knowledge and behaviours as outlined in the apprenticeship standard. IfATE works with groups of employers, known as trailblazers, to develop apprenticeship standards and assessment plans. Awarding Organisations use the assessment plan as a blueprint to develop their EPA.

Ofqual regulates Awarding Organisations that provide regulated EPAs. Integrated higher and degree apprenticeships offered by higher education institutions are regulated by the Office for Students (OfS). Regulated EPAs are listed publicly on the Register of Regulated Qualifications (the register).

A small number of EPAs are regulated by third parties, other than Ofqual and OfS. These usually relate to occupations where there are statutory or professional bodies responsible for access to the profession. IfATE provides information on the EPAs that fall into this category.

Ofqual’s regulatory approach

Ofqual takes a targeted, proportionate approach to regulation of all qualifications and EPAs, focusing resources and expertise to manage the risks that pose the greatest potential harm to apprentices and students.

Regulation requires Awarding Organisations to deliver assessments that are designed well, delivered securely, and awarded in a way that maintains standards.

Ofqual does this by:

• controlling entry to the regulated market
• creating and maintaining the rules AOs must follow
• targeting our regulatory resources appropriately
• investigation and enforcement activity

Awarding Organisations are expected to consider how they demonstrate quality at each stage in the development and delivery of an assessment.

Figure 1: Qualifications and assessments lifecycle.

Ofqual reviews its regulatory approach to assess the impact of regulation, and to make sure that Awarding Organisations are not subject to unnecessary burden.

Ofqual reports findings from regulatory activity on an annual basis.

Ofqual’s rules (the General Conditions of Recognition)

Ofqual regulates Awarding Organisations through the General Conditions of Recognition. These conditions are the rules all Awarding Organisations must comply with, regardless of the type(s) of qualification(s) they offer.

Some qualifications have characteristics that require Ofqual to apply additional rules and guidance. The EPA qualification-level conditions and requirements provide specific rules for AOs delivering EPAs.

The conditions require Awarding Organisations to have the right capability, capacity and controls to safely deliver the qualifications and assessments for which they are recognised. The conditions also set out requirements regarding the design and development, delivery, awarding, evaluation and quality improvement of qualifications and assessments. Compliance with the conditions should be evident in the day-to-day activities of an Awarding Organisation.

Recognition process

Any organisation wishing to deliver a regulated qualification or regulated EPA must gain Ofqual recognition. Gaining Ofqual recognition is a legal undertaking which will bring the applicant organisation into statutory regulation.

Applications for recognition are assessed against the Criteria for Recognition (Figure 2). Figure 2 shows the 4 areas of Ofqual’s recognition criteria. The first is ‘identity, constitution and governance’, which includes how your organisation is set up and run, who is accountable for decisions, and how you identify and mitigate conflicts of interest. The second is ‘integrity’ which includes demonstrating the integrity and suitability of your organisation and senior officers. The third is ‘resources and finances’ which includes showing how your systems, processes, and financial and organisational resources are established and operate. The fourth is ‘competence’ which includes how you will develop, deliver and award qualifications or EPAs, and these adhere to equalities law. The word ‘how’ is emboldened throughout.

Figure 2: Ofqual criteria for recognition.

To meet the criteria, organisations must demonstrate that they have the occupational and assessment capability, and capacity, to develop and deliver the EPAs they wish to offer. Organisations must also demonstrate that they have the appropriate governance and organisational integrity, needed to operate in a regulated market, and they have the required resources and finances in place to deliver EPA.

The size, scope and business models of organisations can vary greatly. There is no prescribed approach, therefore, for how organisations should meet the recognition criteria, nor is any given approach or model preferable. It is for the applicant to demonstrate that their organisation and its approach meet the criteria.

Once the criteria are met, the organisation is recognised by Ofqual to deliver the regulated qualifications in its scope of recognition. Awarding Organisations must add their qualifications and assessments to the Ofqual Register of Regulated Qualifications.

There may be cases where despite satisfying the criteria, there are some areas where additional assurance is required or there remain risks to compliance with the General Conditions of Recognition. Where that occurs, Ofqual has the flexibility to use Special Conditions: additional conditions placed on an individual Awarding Organisation. These are tailored to support organisations post-recognition and to safeguard an assessment’s quality and delivery. A Special Condition could, for example, limit the number of assessments that may take place in a specified period to ensure demand does not compromise an Awarding Organisation’s capacity and capability to deliver.

Once recognised, an Awarding Organisation may wish to expand the number and range of EPAs or qualifications it offers. To do this, the Awarding Organisation must apply to expand its scope of recognition. Expansion applications are also assessed against the Criteria for Recognition, which means the Awarding Organisation’s capacity and capability is revisited before it can offer each additional EPA or qualification.

Monitoring End-Point Assessments

Ofqual monitors an Awarding Organisation’s overall capacity, capability and governance, drawing on what has been learnt about an organisation through the recognition process. Ofqual also monitors Awarding Organisations’ qualifications and assessments, with their delivery checked at multiple points. Ofqual undertakes thematic monitoring: identifying risk at an early stage through intelligence gathering and sharing, including through engagement with apprentices, centres (schools, colleges, training providers and employer providers), employers and other stakeholders. Ofqual’s key approaches to monitoring End Point Assessments are set out below.

Apprenticeship standard and assessment plans

The apprenticeship standard and assessment plan sets out the requirements from employers that apprentices are expected to meet. The full list of apprenticeship standards are held on IfATE’s website . The assessment plan provides the basis on which Awarding Organisations build their assessment. If an Awarding Organisation does not develop assessments in line with the assessment plan, it may be non-compliant with its Conditions of Recognition.

Ofqual works with IfATE to ensure outcomes from regulation inform IfATE’s assessment plan review cycles. This helps to improve quality in the EPA market. Ofqual brings together Awarding Organisations, often in partnership with IfATE and employer groups, to enable them to agree a consistent interpretation of assessment plan requirements and valid, comparable assessments.

Where an AO requires clarification on an aspect of a live assessment plan, the Awarding Organisation can approach Ofqual. Queries typically relate to how the requirements of an assessment plan should be interpreted, whether a particular approach is permissible and specific unforeseen situations or challenges that have arisen during delivery.

Ofqual works with IfATE to explore approaches to mitigating any risks to validity, reliability, delivery and/or regulation.

Technical evaluation

Technical evaluation is a review by Ofqual of an Awarding Organisation’s EPA materials. Technical evaluations are conducted to test risks to validity or delivery or as part of our planned ongoing monitoring. Reviews are carried out in conjunction with subject matter specialists who have experience and knowledge in a subject or sector area. Specialists provide their advice on assessment materials to judge, for example, the level of demand and relevance to the sector.

Technical evaluation reviews whether an Awarding Organisation’s EPA assesses the knowledge, skills and behaviours specified in the assessment plan consistently and accurately. This includes the assessment material and the material which supports, for example, guidance for assessors and apprentices, and the policies and procedures that assessors need to follow.

When undertaking technical evaluation, Ofqual considers whether the EPA can:

• reliably test the knowledge, skills and behaviours specified in the assessment plan
• be graded in line with the assessment plan
• enable results to be trusted as a measure of what an apprentice knows and can do.

Findings from technical evaluation contribute to Ofqual’s analysis of risks across and within apprenticeships standards and identify emerging trends. It can help Awarding Organisations improve the quality of their materials. It may also identify serious issues that the Awarding Organisation is expected to address.

Live observations

Ofqual also observes Awarding Organisations’ delivery of EPA assessments live in the field, and/or remotely through recordings. Observations are supported by discussions with the Awarding Organisations regarding their approach to delivery. These observations and discussions may be supported by a subject matter specialist.

This proactive monitoring enables Ofqual to maintain regulatory oversight of AOs’ capability and capacity, their approach to the design, delivery and awarding of EPAs, their compliance with the conditions, and their adherence to the assessment plan.

EPA forums

Ofqual brings together groups of Awarding Organisations offering a specific EPA, or groups of similar EPAs – those with closely related content, or content relevant to a specific occupational route or sector and/or the same assessment methodologies.

The aim of an EPA forum is to achieve consensus across AOs to support consistency and establish greater comparability. Ofqual convenes Awarding Organisations so they can find solutions to issues (within the parameters of the assessment plan) such as interpretation of grading, judgement criteria or assessment requirements. Where appropriate, subject matter specialists may support with this.

EPA forums help AOs to align and improve comparability over time.

Information and data collections

Ofqual collects a wide range of data about regulated qualifications, to inform its regulatory activity. Data is used to inform Ofqual’s risk assessments, produce official reports, which can be used to raise awareness and understanding, improve confidence in regulated qualifications and assessments, and inform day-to-day regulatory activities.

Typically, data is collected every quarter. In addition, all Awarding Organisations with EPAs on the register are required to provide outcome data once a year. This includes failures, resits or retakes and EPA results at apprenticeship standard and assessment method level.

Data is sometimes collected from all AOs as part of routine collection and sometimes from a smaller sample of AOs, for example those delivering EPA in a specific sector. This enables Ofqual to address specific thematic risks.

Statement of compliance

Each year Ofqual requires all Awarding Organisations to submit an annual Statement of Compliance. This annual statement provides assurance of AOs’ levels of compliance with the General Conditions of Recognition, and any Special Conditions that apply. AOs are given advance notice about the format and timing of this activity.

Audit work

Ofqual may conduct audits to gather information on thematic risks, such as assessor capability, or respond to findings identified through other regulatory activity. An audit is a detailed review of documents and processes, involving both desk-based analysis and in-person meetings. AOs will be given advance notice if they are going to be included in any audit. The outcome of an audit is a determination of how effectively an AO is managing a specific risk to compliance.

Communications

Ofqual regularly communicates with AOs and shares regulatory information to increase understanding, support continuous improvement and help AOs to understand and comply with Ofqual regulation. One such example is the 2020 findings from Ofqual’s technical evaluation of EPA materials.

Ofqual brings AOs together through a variety of channels, to share their experiences and best practice. This also helps Ofqual to identify any risks to EPA delivery.

Ofqual’s main communication channel to AOs is via a secure online portal, which contains information and updates such as monthly EPA round-ups. All regulated AOs are also invited to the VTQ Regulator’s Briefing, which takes place every 2 months. This is a virtual briefing session at which AOs hear updates from across Ofqual, including on EPA.

Taking regulatory action

Should Ofqual find an indication of non-compliance with the Conditions of Recognition, further investigation and/or regulatory action may follow. Further information can be found in the taking regulatory action guidance.

Additional information

Regulated AOs can contact Ofqual through the Portal (secure site).

Organisations interested in offering regulated EPAs and/or other regulated qualifications should register on the Recognition Gateway to arrange an initial meeting with Ofqual to discuss the recognition process.

Any general enquiries from other users of EPAs can be directed to Ofqual’s Public Enquiries team.

Public enquires phone line: 0300 303 3344. The phone line is normally open from 9am to 5pm on weekdays.