Apprenticeships, Skills, Children and Learning Act 2009

Recognised bodies: monitoring and enforcementE+W+N.I.

149Review of activities of recognised bodiesE+W+N.I.

(1)Ofqual may keep under review any connected activities of a recognised body.

(2)An activity of a recognised body is a connected activity if Ofqual considers that it is connected or otherwise relevant to—

(a)the body's recognition (including, in particular, the compliance by the body with the conditions to which the recognition is subject), or

(b)the award or authentication by the body of any qualification in respect of which it is recognised.

150Investigation of complaintsE+W+N.I.

(1)Ofqual may investigate, or make arrangements for the investigation of, complaints in relation to the award or authentication of a regulated qualification.

(2)Arrangements made under subsection (1) may in particular include arrangements for the referral of complaints to an independent party.

(3)“An independent party” means—

(a)an individual who is not a member of Ofqual or Ofqual's staff, or

(b)a body none of whose members is a member of Ofqual or Ofqual's staff.

151Power to give directionsE+W+N.I.

[F1(1)Subsection (2) applies if it appears to Ofqual that a recognised body has failed or is likely to fail to comply with a condition to which the recognition is subject.]

(2)Ofqual may direct the recognised body to take or refrain from taking specified steps with a view to securing compliance with the condition.

(3)Before giving a recognised body a direction under this section Ofqual must give notice to the body of its intention to do so.

(4)The notice must—

(a)set out Ofqual's reasons for proposing to give the direction, and

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

(5)Ofqual must have regard to any representations made by the recognised body during the period specified in the notice in deciding whether to give a direction to the body.

(6)A recognised body must comply with a direction given to it under this section.

(7)A direction under this section is enforceable, on the application of Ofqual—

(a)in England and Wales, by a mandatory order, F2...

F2(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8)A direction given under this section may be amended or revoked by Ofqual; and subsections (3) to (5) apply to the amendment of a direction as they apply to the giving of a direction.

[F3151APower to impose monetary penaltiesE+W+N.I.

(1)Subsection (2) applies if it appears to Ofqual that a recognised body has failed to comply with a condition to which the recognition is subject.

(2)Ofqual may impose a monetary penalty on the recognised body.

(3)A “monetary penalty” is a requirement to pay to Ofqual a penalty of an amount determined by Ofqual in accordance with section 151B.

(4)Before imposing a monetary penalty on a recognised body, Ofqual must give notice to the body of its intention to do so.

(5)The notice must—

(a)set out Ofqual's reasons for proposing to impose the penalty, and

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

(6)The period specified under subsection (5)(b) must not be less than 28 days beginning with the date on which the notice is received.

(7)Ofqual must have regard to any representations made by the recognised body during the period specified in the notice in deciding whether to impose a monetary penalty on the body.

(8)If Ofqual decides to impose a monetary penalty on the body, it must give the body 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.

151BMonetary penalties: amountE+W+N.I.

(1)The amount of a monetary penalty imposed on a recognised body under section 151A must not exceed 10% of the body's turnover.

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

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

151CMonetary penalties: appealsE+W+N.I.

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

(a)a decision to impose a monetary penalty on the body under section 151A;

(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 Ofqual 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 Ofqual.

151DMonetary penalties: interest and recoveryE+W+N.I.

(1)This section applies if all or part of a monetary penalty imposed on a recognised body 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 body may make an appeal under section 151C in respect of the penalty, if no such appeal is made;

(b)if an appeal under section 151C 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)Ofqual may recover from the body, as a civil debt due to it, the unpaid amount of the penalty and any unpaid interest.]

152Power to withdraw recognitionE+W+N.I.

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

[F4(2)Ofqual may withdraw recognition from the recognised body in respect of the award or authentication of—

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

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

(3)Before withdrawing recognition from a recognised body in any respect Ofqual must give notice to the body of its intention to do so.

(4)The notice must—

(a)set out Ofqual's reasons for proposing to withdraw recognition from the recognised body in the respect in question, and

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

(5)Ofqual must have regard to any representations made by the recognised body during the period specified in the notice in deciding whether to withdraw recognition from the body in the respect in question.

(6)If Ofqual decides to withdraw recognition from a recognised body Ofqual—

(a)must give notice to the body of its decision and of the date on which the withdrawal is to take effect, and

(b)may make saving or transitional provision.

(7)At any time before a withdrawal takes effect Ofqual may vary the date on which it is to take effect by giving further notice to the recognised body.

(8)Ofqual must establish arrangements for the review, at the request of a recognised body, of a decision to withdraw recognition under this section.

(9)The arrangements established under subsection (8) must require the decision on review to be made by a person who is independent of Ofqual.

(10)A person is independent of Ofqual for the purposes of subsection (9) if the person is—

(a)an individual who is not a member of Ofqual or Ofqual's staff, or

(b)a body none of whose members is a member of Ofqual or Ofqual's staff.

[F5152ACosts recoveryE+W+N.I.

(1)Ofqual may, by notice, require a recognised body on which a sanction has been imposed to pay the costs incurred by Ofqual 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 151;

(b)imposing a monetary penalty under section 151A;

(c)withdrawing recognition under section 152.

(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 body 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 body may require Ofqual to provide a detailed breakdown of the amount specified in the notice.

152BCosts recovery: appealsE+W+N.I.

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

(a)a decision under section 152A(1) to require the body 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 Ofqual 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 Ofqual.

152CCosts: interest and recoveryE+W+N.I.

(1)This section applies if all or part of an amount of costs that a recognised body is required to pay under section 152A(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 body may make an appeal under section 152B in respect of the costs, if no such appeal is made;

(b)if an appeal under section 152B 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)Ofqual may recover from the body, as a civil debt due to it, the unpaid amount of the costs and any unpaid interest.]

153Qualifications regulatory frameworkE+W+N.I.

(1)Ofqual must prepare and publish—

(a)a statement of how Ofqual intends to perform the monitoring and enforcement functions, and

(b)guidance to recognised bodies in relation to the award and authentication of qualifications in respect of which they are recognised.

(2)The statement and guidance mentioned in subsection (1) are together referred to in this section as “the qualifications regulatory framework”.

(3)Guidance under subsection (1)(b) must include guidance for the purpose of helping to determine whether or not behaviour complies with the general conditions to which a recognition is subject (see section 134).

(4)The guidance may in particular specify—

(a)descriptions of behaviour which Ofqual considers complies with a general condition;

(b)descriptions of behaviour which Ofqual considers does not comply with a general condition;

(c)factors which Ofqual will take into account in determining whether or not a recognised body's behaviour complies with a general condition.

(5)Ofqual—

(a)may revise the qualifications regulatory framework, and

(b)if it does so, must publish the revised version.

(6)Before publishing the qualifications regulatory framework or a revised version of it, Ofqual must consult such persons as it considers appropriate.

(7)A recognised body must have regard to guidance under subsection (1)(b) in awarding or authenticating a qualification in respect of which it is recognised.

(8)In subsection (1) “the monitoring and enforcement functions” means—

(a)Ofqual's power under section 132(3)(d) (power to impose other conditions);

(b)Ofqual's functions under sections 132(4) and 134 (functions in relation to general conditions);

(c)Ofqual's functions under an entry and inspection condition to which a recognition is subject (see section 135);

(d)Ofqual's functions under section 138(1) (power to determine that a qualification is subject to the accreditation requirement);

(e)Ofqual's functions under sections 149 to [F6152C] .