Guidance

Gathering information from awarding organisations

Published 5 January 2018

Applies to England

We require recognised awarding organisations to provide us with information on a regular basis, as detailed in ‘Submitting data to Ofqual’.

We sometimes need to request other information from awarding organisations. This could be for a number of reasons including to inform policy development or regulatory decisions, or as part of an audit.

We will:

• always aim to minimise the burden on awarding organisations
• draw from existing information sources where possible to avoid unnecessary duplication of effort
• liaise with other regulators where appropriate to identify potential opportunities to manage or reduce burden
• follow a number of guiding principles which are set out below

Guiding principles

These principles apply to our approach to requesting information and requiring information under condition B4.

In each case we will:

• clearly define the information we are requesting and the purpose for which we intend to use it
• take steps to ensure the information we request is targeted, proportionate and limited to what is required for the intended purpose
• consider an informal discussion with awarding organisations before requesting information, where appropriate to do so
• consider the timing of an information request, taking into account any other Ofqual activity or intervention the awarding organisation is subject to at that time
• determine the timeframe we set for awarding organisations to submit information by the purpose for which we are requesting the information

Gathering information

Where we need information, we will gather it in one of two ways:

1. By making an information request.
2. By requiring it under condition B4 of our ‘General Conditions of Recognition’. We do this by issuing a formal information notice that requires information to be provided in a specified format and within a certain timescale.

We will always consider whether the information we need can be gathered through an information request. However, in some cases an information notice will be most appropriate. The list below sets out the circumstances in which we will, or will be likely to, require the provision of information under condition B4. This list should not be treated as exhaustive.

1. When we are investigating any breach or suspected breach of the ‘General Conditions of Recognition’.
2. When we are requesting personal information subject to data protection legislation.
3. When an awarding organisation has not responded to an information request and that information is required for the performing of our regulatory functions.
4. Where we determine that provision of the information is time critical in order for us to perform our regulatory functions.

We will be clear in each case about whether we are making a request for information or require the information under condition B4.

Failure to comply with an information notice issued under condition B4 is a breach of the ‘General Conditions of Recognition’ and we may take regulatory action.

There may be circumstances where we do not follow our general approach set out in this document but we will explain the reason for this in each case.

How we will use the information provided to us

All information submitted in response will be held and used within the organisation for regulatory purposes. Where appropriate we may contact an awarding organisation to check that the information is up-to-date and relevant to the context in which we propose to use it.

Personal data will be processed in accordance with data protection legislation.

We are subject to the Freedom of Information (FOI) Act 2000 and we may be asked to disclose information under that Act. Where an awarding organisation indicates that it considers information submitted to us to be commercially sensitive, we will take this into account when considering any FOI request. However, it will be for us to determine whether the information must be disclosed or an exemption applied.

We may share information with other agencies or authorities where appropriate or where required by law.