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Stepping up to the challenge: the government's response to the Tackling Worklessness : a review of the contribution and the role of English local authorities and partnerships

CONSULTATION ON DRAFT REGULATIONS UNDER THE DISABILITY DISCRIMINATION ACT 1995 (AS AMENDED BY THE SPECIAL EDUCATIONAL NEEDS AND DISABILITY ACT 2001)


Need for regulations

The Department is seeking views on draft regulations under the Disability Discrimination Act (DDA) 1995 as amended by the Special Educational Needs and Disability (SEND) Act 2001.

The new provisions in the Disability Discrimination Act give the Secretary of State the power to make regulations in number of areas.  This consultation seeks views on the Secretary of State’s proposals for regulations in four of those areas.  It also explains why the Secretary of State is not proposing to make use of her powers in one of those areas in the short term.  Information about the individual regulations and questions seeking your views are set out in the attached annex and questionnaire together with a copy of the draft regulations.  

If you would like further copies this document please contact Josephine Fagan 0207 9256346.
The draft regulations and questionnaire are also available on the internet at:
www.dfes.gov.uk/consultations/ (​http:​/​​/​www.dfes.gov.uk​/​consultations​/​​) and www.ukonline.gov.uk/online/citizenspace/default.asp (​http:​/​​/​www.ukonline.gov.uk​/​online​/​citizenspace​/​default.asp​) 

The documents are available in English and Welsh and in alternative formats including Braille and large type.

Background

The Disability Discrimination Act 1995 places requirements on employers and service providers not to discriminate against disabled people but did not originally include similar requirements for education. The Special Educational Needs and Disability Act 2001 amends the Disability Discrimination Act 1995. The new post-16 sections of the Disability Discrimination Act deal specifically with post-16 education and with related services such as, in England and Wales, the statutory youth service.  From the implementation of this legislation, bodies responsible for the provision of education and other related services are required not to discriminate against disabled students and other disabled people.  The principle behind this legislation is that disabled people should have the same opportunities as non-disabled people to benefit wherever possible from whatever education or other related provision is available.

The new duties are being introduced in three stages:
	the main new sections of the Act will be implemented from 1 September 2002. From this date it will be unlawful to discriminate against disabled people or students by treating them less favourably than others. In addition, responsible bodies will be required to provide certain types of reasonable adjustments to provision where disabled students or other disabled people might otherwise be substantially disadvantaged;
	from 1 September 2003 responsible bodies will also be required to make adjustments that involve the provision of auxiliary aids and services; and
	from 1 September 2005 responsible bodies will be required to make adjustments to physical features of premises where these put disabled people or students at a substantial disadvantage.




Draft Code of Practice

The Disability Rights Commission (DRC) is currently carrying out a consultation on a Code of Practice which gives practical guidance on how to avoid discrimination against disabled people and students wanting to access education or other related provision. It describes the duties on the bodies responsible for this provision. The Code also helps disabled people to understand the law and what they can do if they feel they have been discriminated against. 

The DRC is preparing and issuing this Code under the new legislation. It applies to the post-16 sections of the legislation, and to England, Wales and Scotland. The pre-16 sections of the legislation are not covered in this Code, but in a separate Schools code.  For more information about the consultation on the Code please contact the Disability Rights Commission:

Telephone		08457 622 633
Textphone		08457 622 644
Faxback service	08457 622 611

The Code is also available on the internet from:  www.drc-gb.org 

In order for your comments to be taken into account they should reach us by 22 October 2001. We look forward to hearing from you







PETER MUCKLOW

Divisional Manager
LSCP Division



2








Consultation on draft regulations under the Disability Discrimination Act 1995 (as amended by the Special Educational Needs And Disability Act 2001)

Outcomes from institutional audit: external examiners and their reports

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An introduction to the
role of the nominee
This booklet gives an overview of the role the nominee will play
throughout the inspection process.
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Inspection Toolkit  ı  Pre-inspection pack  ı  An introduction to the role of the nominee 1
Introduction
If you have been selected as nominee, this booklet will give you a brief overview of the
role you will play throughout the inspection process.  You can find more detailed
information about the nominee’s role in the guidance material covering each stage of
the inspection process.
If you have not already done so, you should also read the booklet Choosing a nominee
which gives further information on the knowledge, skills and personal qualities needed
to make the role a success.
We would strongly recommend that you attend one of our nominee conferences. These
events are provided free of charge to help nominees prepare for inspection. It is an
opportunity to talk to inspectors and to hear the ‘dos’ and ‘don’ts’ from a nominee who
has already experienced an inspection. The conference is a chance to network with
other nominees from organisations which are due to be inspected.
What is a nominee?
We believe that inspection is something that we do with providers rather than to them.
It is a collaborative, transparent process in which there should be no surprises.
For this reason we invite one of the provider’s senior managers (known as the nominee)
to the join the inspection team, to hear our evidence, to challenge our emerging
judgements and to have every opportunity to provide additional information.
As the nominee, you will play an important role in ensuring that the inspection team has
access to all relevant evidence and that the inspection runs efficiently and effectively.
As the inspection progresses, the lead inspector will keep you informed of emerging
issues and the evidence used to support inspection judgements. The lead inspector
needs to be sure that, through you, the organisation recognises the picture inspectors
are painting and is able to correct any misinterpretations. You are invited to attend
meetings of the inspection team but will not contribute to decisions on grading.
An introduction to the
role of the nominee
The nominee has two principal responsibilities:
• represent the organisation
• manage the inspection process within the organisation
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2
No two providers are the same so it is difficult to give a job description for a nominee. Most nominees are,
however, likely to experience the following key stages of the inspection process:
What does the nominee have to do?
Before inspection
Nominee’s task What will this involve?
Liaise with the lead inspector before
the inspection about planning
Once your organisation has been notified of inspection, the
lead inspector will make contact to set a date for the inspection
and agree the scope of the inspection.
The date for a planning meeting will be set.
Meet the lead inspector for a planning
meeting
The lead inspector will meet you to discuss the inspection. 
You will need lists of learners and where they are located, 
names of sites, employers or work experience providers.
You will be asked to provide information on recruitment and 
achievement.
You will both plan the schedules for each inspector and 
select the samples of learners and sites to be inspected. 
You will receive information about the inspection team.
You need to allocate a base room for the inspection team.
The lead inspector will answer any questions you may have
about the inspection and your role.
Have a thorough understanding of
your self-assessment
You need a thorough knowledge of your organisation.
You will have been closely involved with self-assessment 
and will have a good feel for the strengths and weaknesses 
and the sources of evidence that support them.
You will need to consider who the inspectors should talk to 
about each aspect of your organisation’s work.
Arrange for all of the evidence to be
collected in advance of the inspection
Following the planning meeting, the inspector will request a
sample of learners to be interviewed and observed. You need
to consider the logistics of this.
You will also need to think about the other sources of evidence
that inspectors will use and make sure that they can be made
available. Inspectors like to meet with people at all levels. They
need to observe lessons, assessments and reviews. Files and
other documents will be examined.
Provide as much evidence as you can and place it in the base
room. The lead inspector will provide guidance on the range
of information required.
Consider nominating a helper during the inspection.
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Inspection Toolkit  ı  Pre-inspection pack  ı  An introduction to the role of the nominee 3
Nominee’s task What will this involve?
Meet with the inspection team on the
first day of inspection
The lead inspector should help to break the ice and make sure
everyone knows what they are doing.
It is common for inspectors to start requesting information
immediately.
It is a good idea to show the inspection team around your
premises and make sure they meet all the key people.
You must give some thought to the health and safety of the
inspection team. Make sure they are informed about your
emergency procedures.
Ask the chief executive to provide a short introduction to the
organisation.
During inspection
Be available throughout the inspection
to clarify matters and provide evidence
After the introductions are made, inspectors are likely to
disperse. This can seem rather strange.  You still need to be
available.
Expect things to go wrong! Appointments get cancelled, people
ring in sick. This is quite normal.
Make sure that everyone is kept informed and that you are
available to deal with problems and make alternative
arrangements. People will want to know how things are going.
You may not have the answers. Discuss things with your
colleagues. They will often be able to help you with finding
evidence.
Participate in daily meetings with the
inspection team
The lead inspector will convene a meeting, normally at the end
of each day.
Listen carefully to what inspectors are saying.
Take notes. If additional evidence is requested, make sure that
you have noted what it is.
Ask if you are not sure.
Be prepared to challenge things if you believe the inspector
has misinterpreted the evidence.
Make sure that inspectors meet all the people they need to
meet.
Make sure that inspectors have looked at any relevant evidence.
Contribute to the discussion of strengths
and weaknesses
Inspectors often identify strengths and weaknesses that you
have not highlighted in your self-assessment. Listen carefully.
While you may not disagree with identified strengths, you
should still make sure the judgement is accurate.
If an inspector highlights a weakness and you agree, try not
to waste time discussing the details. Move on and discuss
other things.
If you believe that a weakness is wrong, say so - but make
sure you have the evidence.
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Nominee’s task What will this involve?
After inspection
Provide feedback to the ALI on the
inspection process
We aim to continuously improve what we do.
Following the inspection there is a chance for you to comment.
Please do. We value and act on what you have to say.
Prepare an action plan that tackles the
weaknesses that were highlighted
during the inspection and consolidates
the strengths
Even the best providers have weaknesses that need to be
addressed.
You will need to prepare an action plan that states how you
will tackle the weaknesses and consolidate the strengths. The
action plan needs to include timescales and identify who will
be responsible.
You need to consider how you will measure the success of
the action plan.
Nominee’s task What will this involve?
During inspection
Liaise with people in your organisation
and keep them informed
Everyone will be keen to know how things are going. During
meetings with the inspectors you will have taken notes.
Make sure you share these findings, but do this in a positive
way, especially during the early parts of the inspection when
judgements are still being formed.
Try not to cause unnecessary alarm for your colleagues.
Give them an opportunity to talk about their day and let you
know about anything that arose that may have led to a
misconception.
Ask your colleagues to help collect evidence.
Attend the grading meeting The grading meeting takes place on the last morning of the
inspection. All the inspectors will be present.
You can contribute to the debate but once the grading starts
you will not be involved in any decisions about grades.
Each area of learning is discussed and graded in turn. Then
a grade is decided for leadership and management.
Grades at this point are subject to moderation and remain so
until the report is published.
Attend the final feedback meeting The final feedback meeting is held on the last day of the
inspection. This is when the inspection team presents its
findings to your organisation.
The lead inspector will invite representatives of your funding
body.
You will need to decide which members of your organisation
should be there.
You and your colleagues are able to ask questions, but you
will need to make it clear that this is not an opportunity to re-
open discussion about grades or judgements.
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5Inspection Toolkit  ı  Pre-inspection pack  ı  An introduction to the role of the nominee
During report production
Nominee’s task What will this involve?
Be available for any queries and final
accurancy check of the report
The reports of all inspections are on the ALI website
(www.ali.gov.uk). They appear six to eight weeks from the
end-date of an inspection.
A moderation procedure is carried out by an inspection manager.
For quality assurance purposes, the grades awarded are
checked to ensure national consistency in standards. You will
be informed of any changes.
The report is then edited by the ALI reports production
department so that the text matches the ALI house style.
Approximately 10 days before publication, you will be sent a
final draft of the inspection report to check for factual accuracy
along with a covering letter.
The letter will include the publication date, the response date
(four working days) and a contact name in the ALI reports
production department.
This is not an opportunity for you to negotiate inspection
judgements.
You will receive a bound copy of the published inspection
report on or just after the publication date.
Utilise the report to your own advantage
in media, marketing and advertising
campaigns
Some providers use positive results from inspection reports
in media and advertising campaigns.
The pre-publication copy enables you to prepare any publicity
material, but this should be embargoed until the date of
publication on the web site. Contact the ALI’s press and
publicity officer if you need more information.
AND finally
Am I the right person for the job?
I am in a senior position in the organisation.
Senior and junior colleagues trust me.
I have ready access to the chief executive.
I have a good knowledge as to how my organisation works.
I understand my organisation’s quality assurance procedures.
I understand the content of our self-assessment report.
I have the confidence to work with a team of inspectors
I can help inspectors to understand our strengths.
I can accept that some things may be judged weak.
I want to be the nominee!
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PIP/IRN001/1203
Through Excalibur, the Adult Learning Inspectorate aims to build a national
quality community for everyone in the Learning & Skills sector.
© This document is subject to Crown Copyright. Extracts may be reproduced for non-
commercial education or training purposes, as long as the source is acknowledged.
Adult Learning Inspectorate, Spring Place, Coventry Business Park,
Herald Avenue, Coventry CV5 6UB.
Tel: +44 (0) 870 240 7744    Fax: +44 (0) 870 242 1444
Email: enquiries@ali.gov.uk    Website: www.ali.gov.uk


An introduction to the role of the nominee

S T A T U T O R Y  I N S T R U M E N T S
2004 No. [   ]
CHILDREN AND YOUNG PERSONS, ENGLAND
SOCIAL CARE, ENGLAND
The Commission for Social Care Inspection (Children’s Rights
Director) Regulations 2004
Made - - - - 2004
Laid before Parliament 2004
Coming into force - -  2004
The Secretary of State for Health, in exercise of the powers conferred upon him by section [195(1)
and (4)] of, and paragraph 5(2) of Schedule [6] to, the Health and Social Care (Community Health
and Standards) Act 2003(a) and of all other powers enabling him in that behalf, hereby makes the
following Regulations:—
Citation, commencement and application
1.—(1) These Regulations may be cited as the Commission for Social Care Inspection
(Children’s Rights Director) Regulations 2004 and shall come into force on 1st April 2004.
(2) These Regulations apply to England only.
Interpretation
2.—(1) In these Regulations—
 “the 1989 Act” means the Children Act 1989(b);
“the 2000 Act” means the Care Standards act 2000(c);
“the 2003 Act” means the Health and Social Care (Community Health and Standards) Act
2003(a);
“national minimum standards” means statements of national minimum standards published
under section 23 of the 2000 Act or section 87C of the 1989 Act(d);
“a Part 2 undertaking” means an establishment or agency in respect of which a person is for
the time being required to be registered by the CSCI(e) under Part 2 of the 2000 Act;
“relevant services” means—
(a) services provided by or in a Part 2 undertaking which are provided, or are to be provided,
in respect of a child;
                                                                                                                                           
(a) 2003 c.[  ], (“the 2003 Act). See section 148 of the 2003 Act for the definition of prescribed.
(b) 1989 c.41.
(c) 2000 c.14.
(d) Section 87C was inserted in the Children Act 1989 (“the 1989 Act”)  by section 107 of the Care Standards Act 2000 (c.14).
(e) See section 42 of the 2003 Act.
2(b) English local authority social services(a) provided in respect of a child (including
services provided for his family where those services are provided with a view to
safeguarding or promoting the child’s welfare(b));
(c) services provided in respect of a person aged 18 or over (“a young person”) pursuant to
sections 23B to 23D and 24 to 24D of the 1989 Act(c);
(d) accommodation provided by a school, or by an institution within the further education
sector (as defined in section 91 of the Further and Higher Education Act 1992(d)), in so
far as it is provided in respect of a child;
 “relevant regulations”, means any regulations made under the 1989 Act or the 2000 Act and
applicable to relevant services.
(2) For the purposes of  regulation 3(1)(i), the person providing relevant services is—
(a) in relation to services provided by or in a Part 2 undertaking, the person who carries on
the establishment or agency concerned;
(b) in relation to accommodation provided by a school or college, the relevant person as
defined in section 87(11) of the 1989 Act(e).
Functions of the Children’s Rights Director
3. The functions of the Children’s Rights Director are—
(a) to secure, so far as possible, that the CSCI in exercising its functions—
 (i) safeguards and promotes the rights and welfare of children and young persons who
are provided with relevant services;
 (ii) gives proper consideration to the views of children and young persons to whom
relevant services are provided and to the views of the parents of such children and
young persons;
(b) subject to paragraph (2), to advise the CSCI as to  —
 (i) the procedure to be followed by the CSCI when considering an application for
registration under section 12 of the 2000 Act in respect of a Part 2 undertaking by or
in which services for children are provided;
 (ii) the methodology to be followed by the CSCI, for inspection by persons authorised
by it in respect of—
(aa) premises used for the purposes of relevant services;
(bb) relevant services provided at such premises;
(c) to monitor and advise the CSCI about the effectiveness of the procedure and methodology
mentioned in sub-paragraph (b);
(d) to advise the CSCI from time to time on the numbers, qualifications and experience of
staff it is likely to require to discharge its functions in relation to relevant services, and to
assist the CSCI in the appointment of such staff;
(e) to monitor action taken by the CSCI to enforce the requirements of the relevant
regulations;
(f) to monitor action taken by the CSCI pursuant to section [81] of the 2003 Act in relation
to relevant services;
(g) to monitor the effectiveness of measures taken by local authorities(f) for the purposes of
safeguarding the rights and welfare of children and young persons;
                                                                                                                                           
(a)  See section [148]of the 2003 Act for the definition of English local authority social services.
(b ) See Part 3 of the 1989 Act (local authority support for children and families).
(c) Sections 23B to 23D and 24A to 24D were inserted in the 1989 Act, and section 24 substituted, by the Children (Leaving
Care) Act 2000 (c.35), sections 2(4), 3 and 4.
(d) 1992 (c.13).
(e) Section 87 is amended by section 105 of the Care Standards Act 2000.
(f) See section [148] of the 2003 Act for the definition of local authority.
3(h) to ascertain—
 (i) the views of children and young persons about relevant services provided to them;
and
 (ii) where appropriate, the views of their parents about those services,
and to report such views to the CSCI in so far as they are relevant to the discharge by the
CSCI of its functions.
(i) to monitor and review the effectiveness of the arrangements made by the person
providing relevant services in accordance with relevant regulations, any national
minimum standards and any guidance given by a Minister of the Crown in relation to—
 (i) dealing with complaints and representations made by or on behalf of children and
young persons about such services;
 (ii) the raising of concerns by employees of the providers of relevant services about the
safety and welfare of children and young persons using such services;
 (iii) ascertaining and responding to the views and wishes of children and young pesrons
about the services provided to them;
(j) to report, to a police officer or an officer of the local authority for the area in which the
service is provided or situated, any cases where he has reasonable cause to suspect that
any child to whom relevant services are provided is suffering, or is likely to suffer,
significant harm;
(k) to advise the CSCI about its procedures for dealing with complaints received from
children or young persons about relevant services;
(l) to report to the CSCI any significant evidence relating to the rights and welfare of
children and young persons who are provided with relevant services;
(m) to discuss matters relating to the provision of relevant services with such bodies,
including voluntary organisations, as appear to him to be appropriate;
(n) to report to the CSCI about–
 (i) the availability of, and access to, relevant services; and
 (ii) the quality and effectiveness of relevant services;
(o) to report to the CSCI on the effectiveness of the relevant regulations, of any national
minimum standards and of any guidance given by a Minister of the Crown, applicable to
relevant  services;
(p) to publicise the office of Children’s Rights Director and his functions;
(q) to assist the CSCI from time to time in the preparation of reports, including its annual
report, in so far as they concern relevant  services.
(2) The functions set out in paragraphs (b) and (k) are subject to the requirements of
regulations relating to the functions of the CSCI made under the 1989 Act or the 2000 Act(a).
Revocation
4.  The National Care Standards Commission (Children’s Rights Director) Regulations 2002(b)
are hereby revoked.
Signed by authority of the Secretary of State for Health
                                                                                                                                           
(a ) See the National Care Standards Commission (Registration) Regulations 2001, S.I.2001/3969, the National Care Standards
Commission (Fees and Frequency of Inspection) Regulations 2003, S.I. 2003/753 and the National Care Standards
Commission (Fees and Frequency of Inspection) (Adoption Agencies) Regulations 2003, S.I. 2003/368.  See also section
26ZA of the 1989 Act, as inserted by section [116] of the 2003 Act.
(b ) S.I. 2002/1250.
4Minister of State
Date Department of Health
5EXPLANATORY NOTE
(This note is not part of the Regulations)
These Regulations are made under section [195(1] of, and paragraph 5(2) of Schedule [6] to, the
Health and Social Care (Community Health and Standards) Act 2003. They prescribe the
functions of the Children’s Rights Director who is to be appointed by, and to be an employee of,
the Commission for Social Care Inspection.


Consultation on the Draft Commission for Social Care Inspection. (Children's Rights Director) Regulations 2004

 1 
 
 
 
 
 
 
 
 
Information about Enhancement-led 
Institutional Review (ELIR) to accompany  
Outcome Reports  
 
What is the enhancement-led approach? 
 
1 The enhancement-led approach was developed in partnership between the  
Scottish Funding Council, Universities Scotland, representatives of the student body and 
QAA Scotland. This partnership developed a Quality Enhancement Framework which has 
been in place in Scotland since 2003. It has five elements: 
 
 a programme of Enhancement-led Institutional Review (ELIR) involving all  
Scottish higher education institutions being reviewed over a four-year period 
 a comprehensive programme of review at the subject level, managed by the 
institutions, known as institution-led quality review 
 an agreed set of public information about quality 
 a greater voice for students in institutional quality systems, supported by a national 
development service (known as Student Participation in Quality Scotland, sparqs) 
 a national programme of Enhancement Themes aimed at developing and sharing 
good practice in learning and teaching. 
 
What is Enhancement-led Institutional Review? 
 
2 Enhancement-led Institutional Review (ELIR) is an evidence-based method of peer 
review. Each ELIR team comprises: three senior academic reviewers, a student reviewer,  
an international reviewer, and a coordinating reviewer. Each ELIR is managed by a senior 
QAA officer.  
 
3 Each ELIR results in two reports on the institution: an Outcome Report and a 
Technical Report. Outcome Reports contain the key findings from the review and are written 
with a wider public audience in mind. Technical Reports contain the detailed findings from 
the review and are written primarily for the institution reviewed. QAA will also produce 
Thematic Reports to highlight the findings from a number of ELIRs that have been carried 
out at different institutions in the same year. The individual Technical Reports will provide an 
evidence base for those Thematic Reports 
 
What is an overarching judgement? 
 
4 Each ELIR identifies positive practice and areas for development at the institution. 
In addition, each ELIR results in an overarching judgement on the current and likely future 
effectiveness of the institution's arrangements for managing academic standards and 
enhancing the quality of the student learning experience.  
 
 2 
 
5 It is possible for the overarching judgement to be expressed in three levels which 
indicate that the institution's arrangements are:  
 
 effective 
 of limited effectiveness 
 not effective. 
 
6 Effectiveness indicates there is evidence that overall:  
 
 the institution has rigorous arrangements, in line with sector expectations, for 
assuring and enhancing the quality of the student learning experience and for 
securing the academic standards of its awards, and is using these arrangements 
systematically, and  
 the institution has the capacity and commitment to identify and address situations 
that have the potential to threaten the academic standards of its awards or the 
quality of the student learning experience, and  
 the institution is meeting sector expectations in having a clearly identified, strategic 
approach to enhancing the student learning experience which it is implementing 
systematically, drawing on student views and external reference points to inform 
strategy formulation, implementation and evaluation.  
 
7 Limited effectiveness indicates there is evidence that:  
 
 the institution's arrangements for managing the quality of the student learning 
experience and/or securing the academic standards of its awards are limited 
currently or are likely to become limited in the future, such that the quality of the 
student learning experience and/or the academic standards would be placed at risk 
if the institution did not take action, and/or  
 the institution's capacity and/or commitment to identify and address potential risks 
to the quality of the student learning experience or the academic standards of its 
awards is limited, or is likely to become limited in the future. The limitation may 
relate to the identification of weaknesses in the institution's procedures or in the 
implementation of the procedures, and/or  
 the institution is not meeting the full range of sector expectations in relation to 
having a clearly identified strategic approach to enhancing the student learning 
experience, and/or the arrangements in place for implementing its strategic 
approach are not fully systematic such that the institution's capacity or commitment 
to enhance the quality of the student learning experience is limited.  
 
8 Not effective indicates there is evidence that:  
 
 there are serious and fundamental weaknesses in the institution's arrangements for 
managing the quality of the student learning experience and/or securing the 
academic standards of its awards such that quality and/or academic standards are 
at immediate risk, and/or  
 the institution does not have the capacity and/or the commitment to identify and 
address risks to the quality of the student learning experience or the academic 
standards of its awards. There are likely to be serious absences or flaws in the 
institution's procedures themselves and/or serious weaknesses in their 
implementation, and/or  
 the institution does not meet sector expectations in relation to having a clearly 
identified strategic approach to enhancing the student learning experience, and/or 
does not have systematic arrangements in place for implementing its strategic 
 3 
 
approach such that the institution does not have the capacity or commitment to 
enhance the quality of the student learning experience.  
 
Priority action 
 
9 Where there is an overarching judgement in the effective category, it will be 
possible for the ELIR team to identify priority action which it considers the institution should 
take. This will be identified alongside the overarching judgement.  
 
Scottish Funding Council response to judgements 
 
10 If the overarching judgement is effective, the Scottish Funding Council (SFC) will 
expect the institution to engage with QAA as appropriate, and, one year after the publication 
of the review reports to provide a report, endorsed by its governing body setting out its 
response to the review.  
 
11 If the overarching judgement is limited effectiveness or not effective  
SFC will require the institution to prepare and fulfil an action plan to address the 
shortcomings identified.  
 
12 QAA will provide advice to SFC on the adequacy of the action plan and on how it is 
being implemented. SFC, taking in to account any advice from QAA, will normally require a 
formal follow-up review at an appropriate time, usually within no more than two years. 
 
13 The relevant SFC guidance is SFC/14/2012 Council guidance to higher education 
institutions on quality from August 2012.1  
 
Further information 
 
14 The QAA website gives more information about QAA and its mission.2 A dedicated 
page of the website explains the method for Enhancement-led Institutional Review of higher 
education institutions in Scotland and has links to the ELIR handbook and other informative 
documents.3 
 
15 University sector institutions in Scotland also engage in systematic Enhancement 
Theme activity. Further information about that work, which has a sector-wide and institutional 
focus, can be found on the Enhancement Themes website.4  
 
16 Visit the Scottish Funding Council website for further information about the SFC.5 
 
 
 
 
 
© The Quality Assurance Agency for Higher Education 2013,  
Southgate House, Southgate Street, Gloucester GL1 1UB.  
Registered charity numbers 1062746 and SC037786 
                                               
 
1
 SFC/14/2012: www.sfc.ac.uk/newsinformation/Circulars/2012/SFC1412.aspx  
2
 Further information about QAA: www.qaa.ac.uk/aboutus 
3
 Further information about ELIR: www.qaa.ac.uk/institutionreports/types-of-review/pages/elir.aspx 
4
 Enhancement Themes website: www.enhancementthemes.ac.uk 
5
 Scottish Funding Council website: www.sfc.ac.uk 


Information about Enhancement-led Institutional Review (ELIR) to accompany Outcome Reports

  
 
Conclusions on Pearson Education’s business 
separation measures – awarding and 
publishing  
Erratum notice, 13th August 2013 
 
 
This notice corrects information that was provided in Conclusions on Pearson 
Education’s business separation measures – awarding and publishing on page 5.  
In section 4, ‘Evidence review’, measures and policies put in place are explained 
against each risk.  
Under the risk ‘Adequacy of business separation measures to protect 
qualification standards from commercial pressures’, the second bullet point 
should read: 
 Other organisational structural changes have split a team previously 
responsible for the product management of qualifications and resources into 
separate teams. 
 


Conclusions on Pearson Education’s business separation measures : awarding and publishing

Henehan, Kathleen

Uneven steps: Changes in youth unemployment and study since the onset of Covid-19

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Research and analysis
2023 maladministration
report
Published 28 March 2024
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Home 2023 maladministration report
Standards
& Testing
Agency
Contents
Introduction
Number of schools participating in assessments
Changes to statutory assessments
Changes to maladministration procedures
Breakdown of maladministration cases
Introduction
The Standards and Testing Agency (STA) has a statutory duty to investigate any
allegation concerning the accuracy of results, relating to the:
reception baseline assessment (RBA)
key stage 1 (KS1) national curriculum tests, including the phonics screening check
and teacher assessment
key stage 2 (KS2) national curriculum tests, including the multiplication tables
check (MTC) and teacher assessment
We investigate any concerns, alongside local authorities, in accordance with the
maladministration investigation procedures.
Maladministration refers to any act that could jeopardise the integrity, security or
confidentiality of the national curriculum assessments. This could refer to a range of
actions, including:
changes made to a pupil’s test script by someone other than the pupil
over-aiding of pupils by test administrators
inflation or deflation of teacher assessment judgements
pupils cheating
test papers incorrectly opened
This report:
details the numbers, sources and types of allegations of maladministration
reported to STA throughout the academic year 2022 to 2023
presents the numbers of amendments and annulments to results made in 2023
provides comparisons with the maladministration data from 2022
Number of schools participating in
assessments
Sources of reported maladministration cases
Breakdown of maladministration allegation types
Annulments and amendments to test results
In the academic year 2022 to 2023, there were:
16,427 primary schools engaged with the RBA portal
16,531 state-funded mainstream primary schools with phonics screening check
results
16,555 state-funded mainstream primary schools with KS1 results
16,371 primary schools that logged into the MTC service
16,390 state-funded mainstream primary schools with KS2 results
Establishments that make up primary schools with results are state schools,
academies, free schools, independent schools, special schools and pupil referral
units.
Changes to statutory assessments
In 2023, the KS2 tests were all moved by one day because the Monday fell on a
bank holiday. They took place in the same order, but from Tuesday 9 May to Friday
12 May.
The final dates on which KS2 tests could be administered with an approved
timetable variation application changed to:
Tuesday 16 May 2023 for English grammar, punctuation and spelling Paper 1:
questions
Tuesday 16 May 2023 for English grammar, punctuation and spelling Paper 2:
spelling
Wednesday 17 May 2023 for English reading
Thursday 18 May 2023 for mathematics Paper 1: arithmetic
Thursday 18 May 2023 for mathematics Paper 2: reasoning
Friday 19 May 2023 for mathematics Paper 3: reasoning
Changes to maladministration
procedures
No changes were made to maladministration procedures in 2023.
Breakdown of maladministration cases
The table below details the number of maladministration cases STA investigated
from 2023, at each key stage, compared with 2022.
Table 1 - Number of cases investigated (% against schools participating)
Year RBA Phonics KS1 MTC KS2 Total
number
2022 0 (0%) 33
(0.2%)
33
(0.2%)
0 (0%) 386
(2.3%)
452
2023 24
(0.1%)
42
(0.2%)
61
(0.3%)
21
(0.1%)
431
(2.6%)
579
Sources of reported maladministration
cases
Cases of alleged maladministration are reported to STA by several different
sources. Table 2 details these sources and their percentages against the total
number of cases received.
Table 2 - Sources of reported cases (% against schools participating)
Assessment Anonymous School* Marker Teacher Local
authority
Parent Other**
RBA 0 (0%) 0 (0%) N/A 0 (0%) 0 (0%) 0 (0%) 24
(0.1%)
Phonics 1 (0.006%) 25
(0.1%)
N/A 2
(0.01%)
14
(0.08%)
0 (0%) 0 (0%)
KS1 6 (0.03%) 43
(0.2%)
N/A 5
(0.03%)
3 (0.01%) 4
(0.02%)
0 (0%)
MTC 3 (0.01%) 13
(0.07%)
N/A 0 (0%) 0 (0%) 4
(0.02%)
1
(0.006%)
KS2 46 (0.2%) 218
(1.3%)
57
(0.3%)
27
(0.1%)
28 (0.1%) 29
(0.1%)
26
(0.1%)
*School’s senior leadership team
**Other sources include:
governing body
parent of another pupil
secondary school
Ofqual
Ofsted
family member of pupil
third party supplier
Breakdown of maladministration
allegation types
The table below gives a breakdown of allegations by type and their percentage
against the total number of cases.
Table 3 - Allegation types (% against schools participating)
Allegation RBA Phonics KS1 MTC KS2
Test administrator over- 7 8 12 7 138
aiding pupils (0.04%) (0.04%) (0.07%) (0.04%) (0.8%)
Inappropriate storage of
tests
0 (0%) 4
(0.02%)
2
(0.01%)
0 (0%) 3
(0.02%)
Coaching of pupils 0 (0%) 3
(0.01%)
3
(0.01%)
0 (0%) 1
(0.01%)
Test security breach 0 (0%) 1
(0.006%)
4
(0.02%)
0 (0%) 4
(0.03%)
Wrongly opened test packs 0 (0%) 5
(0.03%)
21
(0.1%)
0 (0%) 82
(0.5%)
Displays not covered 0 (0%) 0 (0%) 1
(0.006%)
0 (0%) 8
(0.05%)
Unauthorised additional time 0 (0%) 0 (0%) 0 (0%) 0 (0%) 14
(0.09%)
Unauthorised test timetable
variation
0 (0%) 0 (0%) 0 (0%) 0 (0%) 50
(0.3%)
Changes to paper in another
hand
0 (0%) 0 (0%) 1
(0.006%)
0 (0%) 8
(0.05%)
Other* 17
(0.1%)
21
(0.1%)
17
(0.1%)
14
(0.08%)
123
(0.7%)
*Other allegation types include:
incorrect papers given to pupils
inappropriate room for the test or check
over-emphasising the spelling, over-active reader or over-active translator
inappropriate coaching of pupils
mark scheme opened early
Annulments and amendments to test
results
Following an investigation, if STA finds that the accuracy of a pupil’s results is in
doubt, we give the school the opportunity to represent itself. Following this, STA may
take the decision to annul or amend results. STA communicates this decision to the
school.
Where a school believes a pupil has gained an advantage because they have
cheated, the headteacher notifies STA of the incident on the Primary Assessment
Gateway (PAG). In doing this, they agree to either the removal of marks for the
specific questions where the pupil has gained an advantage or the annulment of the
pupil’s paper.
The table below gives a breakdown of annulments by type and their percentage
against the total number of cases. Pupils that gained an advantage because of
cheating are not included in this table.
In some cases, STA may have residual concerns - for example, findings may
suggest potential inappropriate assistance - and will work with local authorities and
schools to help improve test administration processes for the next test cycle.
Table 4 – Annulments (% against schools participating)
Annulments RBA
2022
RBA
2023
Phonics
2022
Phonics
2023
KS1 
2022
KS1 
2023
MTC
2022
MTC
2023
Whole
cohort of at
least one
subject
N/A 0 
(0%)
1 
(0.006%)
1 
(0.006%)
0 
(0%)
1 
(0.006%)
0 
(0%)
0 
(0%)
Individual
pupil in at
least one
subject
N/A 0 
(0%)
2 
(0.01%)
1 
(0.006%)
0 
(0%)
1 
(0.006%)
0 
(0%)
0 
(0%)
Partial cohort
in at least
one subject
N/A 0 
(0%)
1 
(0.006%)
4 
(0.02%)
0 
(0%)
0 
(0%)
0 
(0%)
0 
(0%)
Total N/A 0 4 6 0 2 0 0 
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annulments
to results
(0%) (0.02%) (0.03%) (0%) (0.01%) (0%) (0%)
Pupils that gained an advantage because of cheating are not included in the table
above. We had 24 pupils with annulments or mark removals in KS2 due to
notifications of cheating.
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