Education Act 1997

Part VU.K. Supervision of curriculum for schools and external qualifications

Chapter IE+W+N.I. The Qualifications and Curriculum Authority

Establishment of the AuthorityE+W+N.I.

F121 The Qualifications and Curriculum Authority.E+W+N.I.

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Functions of the AuthorityE+W+N.I.

F122 General function of Authority to advance education and training.E+W+N.I.

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F123 Functions of the Authority in relation to curriculum and assessment.E+W

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F124 Functions of the Authority in relation to external vocational and academic qualifications.E+W+N.I.

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F125 Other functions of the Authority.E+W

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F126 Supplementary provisions relating to discharge by Authority of their functions.E+W+N.I.

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F126A Power of Authority to give directionsE+W+N.I.

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Chapter IIU.K. [F2Functions of the National Assembly for Wales]

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F427 The Qualifications, Curriculum and Assessment Authority for Wales.E+W

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Functions of the [F5National Assembly for Wales] E+W

28 General function of [F6National Assembly for Wales] to advance education and training.E+W

(1)The functions conferred on the [F7National Assembly for Wales] by this Part shall be exercised by [F8the National Assembly for Wales] for the purpose of advancing education and training in Wales.

(2)[F9The National Assembly for Wales] shall exercise [F10its functions] under this Part with a view to promoting quality and coherence in education and training in relation to which [F11it has] functions under this Part.

29 Functions of the [F12National Assembly for Wales] in relation to curriculum and assessment.E+W

(1)[F13The National Assembly for Wales] shall have the functions set out in subsection (2) [F14 with respect to—

(a)pupils at maintained schools in Wales who have not ceased to be of compulsory school age,

(b)pupils at maintained nursery schools in Wales, and

(c)children for whom funded nursery education is provided in Wales otherwise than at a maintained school or maintained nursery school.]

(2)The functions are—

(a)to keep under review all aspects of the curriculum for [F15maintained schools or maintained nursery schools] and all aspects of school examinations and assessment;

F16(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F17(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)to publish and disseminate, and assist in the publication and dissemination of, information relating to the curriculum for such schools or to school examinations and assessment;

(e)to make arrangements with appropriate bodies for auditing the quality of assessments made in pursuance of assessment arrangements; F18...

(f)F18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F19(2A)In subsection (2) references to the curriculum for a maintained nursery school include references to the curriculum for any funded nursery education provided as mentioned in subsection (1)(c); and references to assessment in schools include references to assessment in funded nursery education.]

(3)The Authority shall have, in relation to Wales, the function of developing learning goals and related materials for children who are [F20under compulsory school age.]

(4)The Authority shall have, in relation to Wales, the following functions in connection with baseline assessment schemes (within the meaning of Chapter I of Part IV), namely—

(a)if designated by the Secretary of State for the purpose, any function of a designated body under that Chapter; and

(b)any other function which may be conferred on the Authority by the Secretary of State.

[F21(5)In this section—

• “assessment” includes examination and test;

• “funded nursery education” has the meaning given by section 98 of the Education Act 2002;

• “maintained school” means—

  (a)

  any community, foundation or voluntary school, and

  (b)

  any community F22... special school.

(6)In the definition of “maintained school”, the reference to a community, foundation or voluntary school or to a community F23... special school, is a reference to such a school within the meaning of the School Standards and Framework Act 1998.]

30 Functions of the [F24National Assembly for Wales] in relation to [F25relevant] qualificationsE+W

[F26(1)This section applies for the purposes of the following functions—

(a)to keep under review all aspects of relevant qualifications;

(b)to provide support and advice to any person providing courses leading to relevant qualifications with a view to establishing and maintaining high standards in the provision of such courses;

(c)to publish and disseminate, and assist in the publication and dissemination of, information relating to relevant qualifications;

(d)to develop and publish criteria for the recognition of any person who awards or authenticates a relevant qualification;

(e)to recognise in respect of the award or authentication of a specified relevant qualification or description of relevant qualification, any person who meets such criteria and applies to be so recognised;

(f)to determine that a specified relevant qualification or description of relevant qualification is to be subject to a requirement of accreditation;

(g)in respect of relevant qualifications which are subject to that requirement, to develop and publish criteria for the accreditation of particular forms of any such qualifications;

(h)where a relevant qualification is subject to that requirement, to accredit a particular form of the qualification which meets such criteria and is submitted for accreditation by a person recognised under paragraph (e) in respect of the qualification;

(i)to publish and disseminate, and assist in the publication and dissemination of, information relating to persons recognised under paragraph (e);

(j)to make arrangements (whether or not with others) for the development, setting or administration of tests or tasks which fall to be undertaken with a view to obtaining relevant qualifications and which fall within a prescribed description.]

[F27(1A)In subsection [F28(1)(g)]— “criteria” includes criteria that are to be applied for the purpose of ensuring that the number of different accredited qualifications in similar subject areas or serving similar functions is not excessive; and paragraph [F29(h)] of that subsection is to be construed accordingly.]

[F30(1B)The functions set out in subsection (1) are exercisable solely by the Welsh Ministers.]

F31(1C). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F32(1D). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F33(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F34(3)The Authority shall have, in relation to Wales, the following functions with respect to external qualifications, namely—

(a)if designated by the Secretary of State for the purpose, to advise the Secretary of State on the exercise of his powers under section 37 (approval of external qualifications); and

(b)if designated by the Secretary of State for the purpose, to exercise any functions conferred on a designated body by regulations under that section.]

F35(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F36(5)In this Chapter “relevant qualification” means an academic or vocational qualification awarded or authenticated in Wales other than an excluded qualification.

(5A)An excluded qualification is any of the following—

(a)a foundation degree;

(b)a first degree;

(c)a degree at a higher level.

(5B)For the purposes of subsection (5) a qualification is awarded or authenticated in Wales if there are, or may reasonably be expected to be, persons seeking to obtain the qualification who are, will be or may reasonably be expected to be assessed for those purposes wholly or mainly in Wales.

(5C)In this section and sections 32 to 32C a reference to the award or authentication of a qualification includes a reference to—

(a)the award or authentication of credits in respect of components of a qualification, and

(b)the award or authentication of a qualification by a person either alone or jointly with others.]

F37(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F3831 Other functions of the Authority.E+W

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32 Supplementary provisions relating to discharge by [F39the National Assembly for Wales of its functions] .E+W

(1)In carrying out [F40its functions] under this Part [F41the National Assembly for Wales] shall—

F42(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F43(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)so far as relevant, have regard to—

(i)the requirements of [F44section 99 of the Education Act 2002] (general duties in respect of curriculum),

(ii)the [F45reasonable] requirements of industry, commerce, finance and the professions regarding education and training (including required standards of practical competence), and

[F46(iii)the reasonable requirements of persons with learning difficulties.]

(2)In carrying out those functions [F47the National Assembly for Wales] shall in addition have regard to information supplied [F48to it] by [F49Her Majesty’s Chief Inspector of Education and Training in Wales or Prif Arolygydd Ei Mawrhydi dros Addysg a Hyfforddiant yng Nghymru] or by any body designated by the Secretary of State for the purposes of this section.

(3)Where in carrying out any of [F50its functions] under this Part [F51the Assembly [F52recognises any person or] accredits] F53... any qualification, [F54it may] do so on such terms (including terms as to payment) F53... as [F54it may] determine.

[F55(3A)Where in carrying out those functions [F56the National Assembly for Wales [F57recognises any person or] accredits] any qualification, [F58it may], at the time of [F59recognition or of] accreditation or later, impose such conditions on [F60recognition or] accreditation or continued [F61recognition or] accreditation as [F58it may] determine.]

(4)Those conditions may in particular include conditions—

[F62(a)limiting the amount of a fee that can be charged for the award or authentication of, or for the provision of any other service in relation to, the qualification in question;] and

[F63(b)requiring rights of entry to premises and to inspect and copy documents so far as necessary for [F64the National Assembly for Wales] —

(i)to satisfy [F65itself] that the appropriate standards are being [F66maintained by the recognised person in question in relation to the award or authentication of qualifications generally or in relation to the award or authentication of the qualification in question], or

(ii)to determine whether to impose a condition falling within paragraph (a) and if so what that condition should be.]

F67(4A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F68(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F69(6)In this section “persons with learning difficulties” means—

(a)children with special educational needs (as defined in section 312 of the Education Act 1996), and

(b)other persons who—

(i)have a significantly greater difficulty in learning than the majority of persons of their age, or

(ii)have a disability which either prevents or hinders them from making use of educational facilities of a kind generally provided for persons of their age.

(7)But a person is not to be taken to have a learning difficulty solely because the language (or form of language) in which the person is or will be taught is different from a language (or form of language) which has at any time been spoken in the person's home.]

[F7032ZAQualifications functions of Welsh Ministers: co-operation and joint working etc.E+W

(1)The Welsh Ministers may co-operate or work jointly with a relevant authority where it is appropriate to do so in connection with the carrying out of any of their qualifications functions.

(2)The Welsh Ministers may provide information to a relevant authority for the purpose of enabling or facilitating the carrying out of a relevant function of the authority.

(3)Subject to subsection (4), the Welsh Ministers and any other relevant authority may establish a committee jointly, and any committee so established may establish sub-committees.

(4)The Welsh Ministers may only exercise the power in subsection (3) if they consider it appropriate to do so for the purpose of the carrying out of any of their qualifications functions.

(5)In this section a committee established under subsection (3) is referred to as a “joint committee” and a sub-committee established under that subsection is referred to as a “joint sub-committee”.

(6)A joint committee and a joint sub-committee must include at least one member of staff of the Welsh Assembly Government.

(7)A joint committee may regulate—

(a)its own procedure (including quorum), and

(b)the procedure (including quorum) of any sub-committee established by it.

(8)The validity of proceedings of a joint committee or a joint sub-committee is not affected by—

(a)a vacancy, or

(b)a defective appointment.

(9)The Welsh Ministers may delegate any of their qualifications functions to a joint committee to the extent and on the terms that they determine.

(10)A joint committee may delegate any of its functions to a sub-committee established by it to the extent and on the terms that the joint committee determines.

(11)The powers of a joint committee under subsection (10) are subject to the power of the Welsh Ministers and any other person with whom they established the joint committee to direct (acting jointly) what the committee may and may not do.

(12)Nothing in subsection (2)—

(a)affects any power to disclose information that exists apart from that subsection, or

(b)authorises the disclosure of information in contravention of any provision made by or under any Act which prevents disclosure of the information.

(13)In this section—

• “qualifications functions” means functions in connection with relevant qualifications;

• “relevant authority” means any person who carries out a function (whether or not in the United Kingdom) which is similar to any of the qualifications functions of the Welsh Ministers;

• “relevant function” means a function which is similar to any of the qualifications functions of the Welsh Ministers.]

[F7132A Power of Welsh Ministers to give directionsE+W

[F72(1)Subsection (1A) applies if it appears to the Welsh Ministers that a recognised person has failed or is likely to fail to comply with a condition subject to which the recognition has effect.

(1A)The Welsh Ministers may direct the recognised person to take or refrain from taking specified steps with a view to securing compliance with the conditions subject to which the recognition has effect.

(2)Subsection (2A) applies if it appears to the Welsh Ministers that a recognised person who awards or authenticates a qualification accredited by them has failed or is likely to fail to comply with a condition subject to which the accreditation has effect.

(2A)The Welsh Ministers may direct the recognised person to take or refrain from taking specified steps with a view to securing compliance with the conditions subject to which the accreditation has effect.]

(3)It shall be the duty of the recognised person to comply with any direction under this section.

(4)Any direction under this section is enforceable, on the application of the Welsh Ministers, by a mandatory order.

(5)In this section [F73and sections [F7432AA to] 32C] “recognised person” means a person recognised by the Welsh Ministers.

F75(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

[F7632AAPower of Welsh Ministers to impose monetary penaltiesE+W

(1)Subsection (2) applies if it appears to the Welsh Ministers that a recognised person has failed to comply with a condition subject to which the recognition has effect.

(2)The Welsh Ministers may impose a monetary penalty on the recognised person.

(3)Subsection (4) applies if it appears to the Welsh Ministers that a recognised person who awards or authenticates a qualification accredited by them has failed to comply with a condition subject to which the accreditation has effect.

(4)The Welsh Ministers may impose a monetary penalty on the recognised person.

(5)A “monetary penalty” is a requirement to pay to the Welsh Ministers a penalty of an amount determined by them in accordance with section 32AB.

(6)Before imposing a monetary penalty on a recognised person, the Welsh Ministers must give notice to the person of their intention to do so.

(7)The notice must—

(a)set out their reasons for proposing to impose the penalty, and

(b)specify the period during which, and the way in which, the recognised person may make representations about the proposal.

(8)The period specified under subsection (7)(b) must not be less than 28 days beginning with the date on which the notice is received.

(9)The Welsh Ministers must have regard to any representations made by the recognised person during the period specified in the notice in deciding whether to impose a monetary penalty on the person.

(10)If the Welsh Ministers decide to impose a monetary penalty on the person, they must give the person a notice containing information as to—

(a)the grounds for imposing the penalty,

(b)how payment may be made,

(c)the period within which payment is required to be made (which must not be less than 28 days),

(d)rights of appeal,

(e)the period within which an appeal may be made, and

(f)the consequences of non-payment.

32ABMonetary penalties: amountE+W

(1)The amount of a monetary penalty imposed on a recognised person under section 32AA must not exceed 10% of the person's turnover.

(2)The turnover of a person for the purposes of subsection (1) is to be determined in accordance with an order made by the Welsh Ministers.

(3)Subject to subsection (1), the amount may be whatever the Welsh Ministers decide is appropriate in all the circumstances of the case.

32ACMonetary penalties: appealsE+W

(1)A recognised person may appeal to the First-tier Tribunal against—

(a)a decision to impose a monetary penalty on the person under section 32AA;

(b)a decision as to the amount of the penalty.

(2)An appeal under this section may be made on the grounds—

(a)that the decision was based on an error of fact;

(b)that the decision was wrong in law;

(c)that the decision was unreasonable.

(3)The requirement to pay the penalty is suspended pending the determination of an appeal under this section.

(4)On an appeal under this section the Tribunal may—

(a)withdraw the requirement to pay the penalty;

(b)confirm that requirement;

(c)vary that requirement;

(d)take such steps as the Welsh Ministers could take in relation to the failure to comply giving rise to the decision to impose the requirement;

(e)remit the decision whether to confirm the requirement to pay the penalty, or any matter relating to that decision, to the Welsh Ministers.

32ADMonetary penalties: interest and recoveryE+W

(1)This section applies if all or part of a monetary penalty imposed on a recognised person is unpaid at the end of the period ending on the applicable date.

(2)The applicable date is—

(a)the last date on which the recognised person may make an appeal under section 32AC in respect of the penalty, if no such appeal is made;

(b)if an appeal under section 32AC in respect of the penalty is made—

(i)the date on which the appeal is determined, or

(ii)if the appeal is withdrawn before being determined, the date on which the appeal is withdrawn.

(3)The unpaid amount of the penalty for the time being carries interest at the rate for the time being specified in section 17 of the Judgments Act 1838 (and does not also carry interest as a judgment debt under that section).

(4)The total amount of interest imposed under subsection (3) must not exceed the amount of the penalty.

(5)The Welsh Ministers may recover from the person, as a civil debt due to them, the unpaid amount of the penalty and any unpaid interest.]

[F7732BPower of Welsh Ministers to withdraw recognitionE+W

(1)Subsection (2) applies if a recognised person has failed to comply with any condition subject to which the recognition has effect.

[F78(2)The Welsh Ministers may withdraw recognition from the recognised person in respect of the award or authentication of—

(a)a specified qualification or description of qualification in respect of which the person is recognised, or

(b)every qualification or description of qualification in respect of which the person is recognised.]

(3)Subsection (4) applies if a recognised person who awards or authenticates a qualification accredited by the Welsh Ministers has failed to comply with any condition subject to which the accreditation has effect.

[F79(4)The Welsh Ministers may withdraw recognition from the recognised person in respect of the award or authentication of—

(a)the qualification or a specified description of qualification in respect of which the person is recognised, or

(b)every qualification or description of qualification in respect of which the person is recognised.]

(5)Before withdrawing recognition from a recognised person in any respect the Welsh Ministers must give notice to the person of their intention to do so.

(6)The notice must—

(a)set out the Welsh Ministers' reasons for proposing to withdraw recognition from the recognised person in the respect in question, and

(b)specify the period during which, and the way in which, the recognised person may make representations about the proposal.

(7)The Welsh Ministers must have regard to any representations made by the recognised person during the period specified in the notice in deciding whether to withdraw recognition from the person in the respect in question.

(8)If the Welsh Ministers decide to withdraw recognition from a recognised person they must give notice to the person of their decision and of the date on which the withdrawal is to take effect.

(9)At any time before a withdrawal takes effect the Welsh Ministers may vary the date on which it is to take effect by giving further notice to the recognised person.

(10)The Welsh Ministers must establish arrangements for the review, at the request of a recognised person, of a decision to withdraw recognition under this section.

(11)The arrangements established under subsection (10) may require or permit the decision on review to be made by a person other than the Welsh Ministers.

[F8032BACosts recoveryE+W

(1)The Welsh Ministers may, by notice, require a recognised person on whom a sanction has been imposed to pay the costs incurred by the Welsh Ministers in relation to imposing the sanction, up to the time it is imposed.

(2)The references in subsection (1) to imposing a sanction are to—

(a)giving a direction under section 32A;

(b)imposing a monetary penalty under section 32AA;

(c)withdrawing recognition under section 32B.

(3)“Costs” includes in particular—

(a)investigation costs;

(b)administration costs;

(c)costs of obtaining expert advice (including legal advice).

(4)A notice given to a recognised person under subsection (1) must contain information as to—

(a)the amount required to be paid,

(b)how payment may be made,

(c)the period within which payment is required to be made (which must not be less than 28 days),

(d)rights of appeal,

(e)the period within which an appeal may be made, and

(f)the consequences of non-payment.

(5)The person may require the Welsh Ministers to provide a detailed breakdown of the amount specified in the notice.

32BBCosts recovery: appealsE+W

(1)A recognised person may appeal to the First-tier Tribunal against—

(a)a decision under section 32BA(1) to require the person to pay costs;

(b)a decision as to the amount of those costs.

(2)An appeal under this section may be made on the grounds—

(a)that the decision was based on an error of fact;

(b)that the decision was wrong in law;

(c)that the decision was unreasonable.

(3)The requirement to pay the costs is suspended pending the determination of an appeal under this section.

(4)On an appeal under this section the Tribunal may—

(a)withdraw the requirement to pay the costs;

(b)confirm that requirement;

(c)vary that requirement;

(d)take such steps as the Welsh Ministers could take in relation to the failure to comply giving rise to the decision to impose the requirement;

(e)remit the decision whether to confirm the requirement to pay the costs, or any matter relating to that decision, to the Welsh Ministers.

32BCCosts: interest and recoveryE+W

(1)This section applies if all or part of an amount of costs that a recognised person is required to pay under section 32BA(1) is unpaid at the end of the period ending on the applicable date.

(2)The applicable date is—

(a)the last date on which the recognised person may make an appeal under section 32BB in respect of the costs, if no such appeal is made;

(b)if an appeal under section 32BB in respect of the costs is made—

(i)the date on which the appeal is determined, or

(ii)if the appeal is withdrawn before being determined, the date on which the appeal is withdrawn.

(3)The unpaid amount of the costs for the time being carries interest at the rate for the time being specified in section 17 of the Judgments Act 1838 (and does not also carry interest as a judgment debt under that section).

(4)The total amount of interest imposed under subsection (3) must not exceed the amount of the costs.

(5)The Welsh Ministers may recover from the person, as a civil debt due to them, the unpaid amount of the costs and any unpaid interest.]

32CSurrender of recognitionE+W

(1)A recognised person may give notice to the Welsh Ministers that the person wishes to cease to be recognised in respect of the award or authentication of a specified qualification or description of qualification.

(2)As soon as reasonably practicable after receipt of a notice under subsection (1) the Welsh Ministers must give notice to the recognised person of the date on which the person is to cease to be recognised in the respect in question (“the surrender date”).

(3)At any time before the surrender date the Welsh Ministers may vary that date by giving further notice to the recognised person.

(4)In deciding or varying the surrender date the Welsh Ministers must have regard to the need to avoid prejudicing persons who are seeking, or might reasonably be expected to seek, to obtain the qualification, or a qualification of the description, specified in the notice under subsection (1).]

Chapter IIIE+W+N.I. Provisions supplementary to Chapters I and II

Dissolution of existing bodiesE+W

F8133 Dissolution of existing bodies.E+W

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Transfer of property and staffE+W+N.I.

F8234 Transfer of property.E+W+N.I.

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F8335 Transfer of staff.E+W+N.I.

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Levy on bodies awarding accredited qualificationsE+W+N.I.

F8436 Levy on bodies awarding qualifications accredited by relevant body.E+W+N.I.

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Chapter IVU.K. Control of certain courses leading to external qualifications

F8537 Requirement for approval of certain publicly-funded and school courses leading to external qualifications.E+W

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