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It endorses clear explanation of how non-compliance is recorded, while opposing routine publication without full context. It discusses limited circumstances for general non-compliance information, the need for evidence before issuing rebukes, publication considerations after rebukes, and argues against excessive fixed penalties. It also supports adding an approach to settlement to speed and clarify enforcement.",{"@graph":69,"@context":121},[70,84,104],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":40,"@type":76,"position":81},"https://docshare.wps.com/document/research-report/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/consultation-response-amending-the-taking-regulatory-action-policy-29-november-2019/619065/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":98,"encodingFormat":97,"isAccessibleForFree":99,"interactionStatistic":100},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/consultation-response-amending-the-taking-regulatory-action-policy-29-november-2019/619065.png","ImageObject",300,407,{"name":92,"@type":93},"Patrick","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-10-20",true,{"@type":101,"interactionType":102,"userInteractionCount":8},"InteractionCounter",{"@type":103},"ViewAction",{"@type":105,"mainEntity":106},"FAQPage",[107,113,117],{"name":108,"@type":109,"acceptedAnswer":110},"Why does AQA agree with Ofqual’s approach to recording non-compliance in the TRA policy?","Question",{"text":111,"@type":112},"AQA agrees because it promotes clarity, transparency, and consistent accountability in how non-compliance is recorded.","Answer",{"name":114,"@type":109,"acceptedAnswer":115},"Does AQA support routinely publishing records of non-compliance?",{"text":116,"@type":112},"No. AQA argues routine publication without full context could damage confidence in the exam system and make the relationship more adversarial.",{"name":118,"@type":109,"acceptedAnswer":119},"What is AQA’s position on adding an approach to settlement in the TRA policy?",{"text":120,"@type":112},"AQA strongly supports it, arguing it enables awarding organisations to go directly to settlement after admitting a breach and accepting a fine, reducing time and resource use and speeding conclusions.","https://schema.org",{"og:url":83,"og:type":123,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":125,"canonical":83},"index,follow",{"doc_id":127,"site_id":62},619065,1792519333,{"code":4,"msg":5,"data":130},{"doc_id":127,"user_id":131,"nickname":92,"user_avatar":132,"doc_module":4,"category_id":39,"category_name":40,"doc_title":65,"doc_description":67,"doc_content":133,"file_id":134,"file_url":135,"file_type":136,"file_size":137,"view_count":8,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":24,"language":138,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":139,"faqs":140,"seo_title":141,"seo_description":67,"update_tm":142,"read_time":143},549758146520,"https://ap-avatar.wpscdn.com/avatar/80002397d8c0411e94?_k=1775819394049821470","Consultation response  \nAmending the Taking Regulatory Action policy  \n29 November 2019  \n1. To what extent do you agree or disagree that we should explain our approach to recording non-compliance in the TRA policy?  \nAQA fully agrees with Ofqual’s arguments for explaining, in the TRA policy, its approach to recording non-compliance, for reasons of clarity, transparency, and ensuring consistency and accountability.  \n2. To what extent do you agree or disagree we should not publish records of noncompliance as a matter of routine?  \nAQA fully agrees that Ofqual should not publish records of non-compliance as a matter of routine, for the reasons stated in the consultation document, i.e. the damaging effects of publishing without full context. We would also note that publishing all non-compliance, however minor, would materially alter the relationship between the regulator and regulated awarding organisation, making it more adversarial and likely to militate against Ofqual’s stated intention to promote transparency. More widely, publishing where it is not necessary has the potential to harm public confidence in the exam system.  \n3. Do you have any comments on whether, and in what circumstances, we should publish general information about the non-compliance we record?  \nIn principle, there may be benefit in Ofqual publishing general information about thenon-compliance it records , without naming the awarding organisation(s) concerned, where this helps other awarding organisations to remain in compliance. However, we feel it would be extremely challenging for Ofqual to consistently determine what is genuinely helpful to the sector as a whole, rather than a punishment in disguise, and without it having unintended consequences.  \n4. To what extent do you agree or disagree that we should add issuing a rebuke to our non-statutory powers?  \nOfqual has offered no evidence in its consultation document to indicate why further penalties are needed, and no data to support an argument that there is a notable increase in non-compliance that requires more severe, public treatment of awarding organisations. Ofqual’s consultation document does note that “the sector we regulate continues to change, both as a result of market pressures and as we develop the way we regulate to better secure our objectives”, which suggests that Ofqual recognises the impact of the market, but not what influences and shapes that market. Ofqual should also guard against the law of diminishing returns as more penalties, in more forms, are issued. AQA would like, however, greater clarity on the circumstances of when an instance of non-compliance becomes a rebuke.  \n5. To what extent do you agree or disagree with our proposals for publication, as set out in para 2.17, if we issue a rebuke?  \nFor a rebuke to serve one of the purposes Ofqual believes it would serve-namely“To promote public confidence by demonstrating that we take non-compliance seriously” -then it would appear logical that any rebuke must be made public.  \nHowever, Ofqual would need to consider very carefully, both in relation to individual cases and over time, whether it is promoting or undermining public confidence.  \n6. To what extent do you agree or disagree that issuing/imposing fixed penalties should, in principle, form part of our response to non-compliance?  \nOfqual’s consultation document makes clear that the regulator already has the power to give “directions, which also demonstrate that we consider the noncompliance to be serious, but that power is not available unless the non-compliance is ongoing or likely to recur”. This appears already to address Ofqual’s argument for fixed penalties being required to deter awarding organisations from thinking that“these breaches are condoned or tolerated which means the risk of repetition”.  \nHaving a strong regulator supports the sector; a proliferation of penalties may not have the same effect.  \nOfqual also already has the power when imposing a fine, as st","cbCaik3dhrNWCh68","https://ap.wps.com/l/cbCaik3dhrNWCh68","pdf",137305,"English","# Consultation response\n## Proposed approach to recording non-compliance\n## Routine publication of non-compliance records\n## Publishing general non-compliance information\n## Adding rebukes to non-statutory powers\n## Publication when issuing a rebuke\n## Fixed penalties and enforcement methods\n## Approach to settlement in the TRA policy","[{\"question\":\"Why does AQA agree with Ofqual’s approach to recording non-compliance in the TRA policy?\",\"answer\":\"AQA agrees because it promotes clarity, transparency, and consistent accountability in how non-compliance is recorded.\"},{\"question\":\"Does AQA support routinely publishing records of non-compliance?\",\"answer\":\"No. AQA argues routine publication without full context could damage confidence in the exam system and make the relationship more adversarial.\"},{\"question\":\"What is AQA’s position on adding an approach to settlement in the TRA policy?\",\"answer\":\"AQA strongly supports it, arguing it enables awarding organisations to go directly to settlement after admitting a breach and accepting a fine, reducing time and resource use and speeding conclusions.\"}]","Consultation response - Amending the Taking Regulatory Action policy - 29 November 2019 | PDF",1792462429,13]