Section G – Setting and delivering the assessment

Guidance on Condition G4

You may want to read our guidance on conflicts of interest.

In the guidance below ‘confidential assessment information’ refers to both the contents of assessment materials and information about the assessment in relation to which confidentiality must be maintained under Condition G4.1.

Third party activities covered by Condition G4

An awarding organisation must ensure that it takes appropriate steps to meet the requirements of Condition G4 in relation to its own employees.

Awarding organisations are also likely to contract with a variety of third parties in relation to the development and delivery of assessments, many of whom will have access to confidential assessment information. This will include not only those persons who set questions and quality assure the assessments but also those involved in printing assessments and distributing them to Centres. For online assessments it may also include any third party that hosts the platform through which an assessment is provided.

Condition G4.1 requires an awarding organisation to take all reasonable steps to ensure confidentiality is not breached by anyone during any part of the assessment development and delivery process.

For the purposes of Conditions G4.3 to G4.5, awarding organisations should also remember that the term ‘Teacher’, as defined in Condition J1.8, includes not only qualified teaching staff in schools and colleges, but also covers home-schooling parents, private tutors and employers providing training to Learners in relation to vocational qualifications.

Confidential information

Condition G4.1 refers to confidentiality in respect of:

(a) the contents of assessment materials, and
(b) information about the assessment for a qualification.

This covers any information which, if divulged inappropriately, could impact on the validity and/or reliability of an assessment. Information about when or how particular knowledge, skills or understanding will be assessed will be confidential if the assessment was designed in a way that assumes the Learner will not know that information before taking the assessment.

For some assessments, it might be enough to maintain confidentiality in relation to information about specific questions. For other assessments, knowledge of a broad overview about the topics to be set or the general structure of the paper might compromise the ability of the assessment to measure the Learner’s attainment effectively.

Examples of training that is not prohibited

Provided that confidentiality, as defined by Condition G4.1, is not breached and all other regulatory requirements are met, training for Teachers can be delivered if it:

does not relate to a particular regulated qualification; or
is about a particular regulated qualification but does not involve the presence of anyone with information about that qualification that must not be shared with Teachers and Learners. This could include where the training is attended by persons who:
had sight of the contents of previous assessments that are part of the current specification but have no confidential information on assessments that have yet to be taken; or
had confidential information about assessments for an earlier specification for the same qualification but do not have confidential assessment information in relation to the current specification.

Where a staff member with confidential information about qualification A attends a training event in relation to qualification B, that training will not become prohibited training simply because an attendee asks, or might ask, a question about qualification A. If the answer to the question would involve the staff member breaching confidentiality, he or she should simply decline to answer it, and could refer the questioner to publicly available information.

Condition G4.2 concerns the provision of training. ‘Training’ should be given its ordinary meaning and, in general terms, will usually encompass meetings – attended either in person or remotely – at which attendees are either taught a particular skill or provided with information in relation to a particular regulated qualification, with the aim of better equipping them to deliver that qualification. The obligations in Conditions G4.2 and G4.4 will not, therefore, apply to meetings with Teachers where the purpose is to facilitate the development or design of a particular regulated qualification by an awarding organisation.

However, it is important to note that meetings with Teachers, at which the primary purpose is not to provide training, may incorporate a training element. We expect awarding organisations to consider carefully whether each particular meeting with Teachers will provide training to them and, if so, whether any such training will adhere to the requirements in Conditions G4.2(a) and G4.4.

Likewise, a staff member with confidential information will not automatically be providing prohibited training if he or she takes a telephone call from, or otherwise talks to, a Teacher. However, prohibited training will include one-to-one training where all of the elements of the definition in Condition G4.2 are met. The staff member, therefore, must not disclose confidential information when answering a question.

Pre-recorded training – such as a webinar – from someone with confidential information will not fall within the definition of ‘prohibited training’ under Condition G4.3 because that person would not be ‘present’ under the definition of that term in Condition G4.3(b), which concerns the use of simultaneous electronic communication.
The awarding organisation would, of course, need to comply with Condition G4.2(a) in that the pre-recorded training could not disclose information that would breach Condition G4.1. It must also comply with the obligation under Condition G4.4(c) concerning the publication of training materials.

The above examples are for illustrative purposes only and are not exhaustive.

Training on Centre-marked assessment

Condition G4 allows a distinction to be made between:

(a) information that can be shared with Teachers that they must not then pass on to their Learners (for example, in the context of training on how to conduct Centre-marked assessments); and
(b) information that neither Teachers nor Learners should see because this would breach the requirement of confidentiality in Condition G4.1.

So, for example, if an awarding organisation was to share model answers or exemplar work at a training event where Teachers were being standardised in relation to Centre-marked assessments, this would be permissible under Condition G4.2(b). This is because the event falls outside the definition of ‘prohibited training’.

However, although the disclosure of such information to Teachers would not breach confidentiality as defined by Condition G4.1, an awarding organisation must take all reasonable steps to ensure that such information is not passed on to Learners where this would affect the ability of the assessment to reflect an accurate measure of attainment.

A person can attend a training event if he or she holds only confidential information in relation to the qualification that, if disclosed to Teachers, would not breach the requirement of confidentiality in Condition G4.1. One such example would be if the person held confidential information in relation to the standardisation of marking in Centre-marked assessment only.

However, a person could not attend such training if he or she holds confidential information in relation to external assessment for that qualification as that information, if disclosed to Teachers, would breach the requirement of confidentiality in Condition G4.1.

Examples of ‘positive indicators’ that would suggest an awarding organisation is likely to comply

The awarding organisation:

is clear which assessment materials and information are confidential;
monitors who has had access to confidential assessment information and the extent to which this is the case (for example if they have seen entire assessments or parts or assessments), for each of its qualifications;
trains relevant staff about how to protect confidential assessment information, including during interactions with Teachers;
puts in place and monitors the application of confidentiality policies and processes for its staff and third parties, which include –
details on how to maintain confidentiality during interactions with Teachers; and
provision in relation to the protection of confidentiality by staff and third parties who have access to confidential assessment information through the assessment development process, including quality assurance (in relation to which, see our overarching guidance on safeguarding confidentiality where Teachers are involved in developing assessments);

makes sure that, where it provides training to Centres about how to set, deliver or mark assessments, the Centre is trained on how to protect confidential assessment information and maintain confidentiality, and the training itself is designed and delivered to minimise the risk of a breach of confidentiality by the future disclosure of materials provided in connection with the training;
monitors the training and training materials that it delivers to make sure confidential information is not shared at events, for example by:
reviewing training materials before they are used;
reviewing recordings of training events;
sending observers to monitor samples of training events;

requires all current (and former) staff and third parties who have had access to confidential assessment information in relation to a particular qualification to apply in writing for the awarding organisation’s permission before providing, endorsing or attending any Teacher training events in respect of that qualification, and only gives permission where doing so would not lead to prohibited training taking place;
puts all presentations and other training materials used at its Teacher training events on its website (or in a secure area of its website accessible to all Teachers for the qualification), clearly linked from the pages containing the relevant qualification specifications;
has on record clear terms of reference for the investigations it has undertaken into suspected or alleged breaches of confidentiality;
has on record a log of all allegations of breaches of confidentiality, including those that were not investigated, that it can cross-reference if new information is provided.

The awarding organisation:

takes all reasonable steps to ensure that resources designed to support the preparation of Learners which are prepared by current (and former) staff and third parties who have confidential assessment information in relation to that qualification do not compromise the confidentiality of assessments for that qualification;
trains relevant staff about how to protect confidential assessment information, including during the preparation of any resources designed to support the preparation of Learners, for a qualification in respect of which they have access to confidential assessment information;
requires all current (and former) staff and third parties who have confidential assessment information to notify the awarding organisation promptly of all instances in which they have been, or are currently, involved in the preparation of a resource designed to support the preparation of Learners for a qualification in respect of which they have access to confidential assessment information. This does not apply to the preparation of teaching resources or materials by a current (or former) third party exclusively for Learners that he or she teaches;
monitors assessments set by all current (and former) staff and third parties who are, or have been, involved in the preparation of a resource designed to support the preparation of Learners for assessments for the same qualification in respect of which they have confidential assessment information, to ensure that the confidentiality of those assessments has not been compromised by that resource. This does not apply to the preparation of teaching resources or materials by a current (or former) third party exclusively for Learners that he or she teaches.

Examples of ‘negative indicators’ that would suggest an awarding organisation is not likely to comply

The awarding organisation:

does not make sure its confidentiality policies and processes for staff and third parties are up to date and followed;
does not ensure that its conflict of interest records maintained under Condition A4.3 are up to date and contain details of all relevant conflicts in relation to staff and third parties who hold confidential assessment information;
provides Teacher training events where current (or former) staff or third parties are present in the audience who have had access to assessment information in relation to that qualification which is still confidential
provides material information about an assessment to Teachers at a training event that is additional to, or contradicts, its published information regarding the relevant qualification, without publishing that information as soon as reasonably practicable after the training event;
does not take all reasonable steps to establish whether its staff or third parties with access to confidential assessment material provide, or intend to provide, Teacher training relating to the qualification (whether privately or through another organisation);
has not properly considered evidence collected during an investigation into a suspected or alleged breach of confidentiality;
has not contacted relevant parties that are critical to an investigation into a suspected or alleged breach of confidentiality, or to the outcomes of that investigation;
has not kept records and documents relating to the breach of confidentiality and the investigation for an appropriate period
does not make sure its confidentiality policies and processes for staff and third parties are up to date and followed;
does not ensure that its conflict of interest records maintained under Condition A4.3 are up to date and contain details of all relevant conflicts in relation to staff and third parties who hold confidential assessment information;
provides Teacher training events where current (or former) staff or third parties are present in the audience who have had access to assessment information in relation to that qualification which is still confidential
provides material information about an assessment to Teachers at a training event that is additional to, or contradicts, its published information regarding the relevant qualification, without publishing that information as soon as reasonably practicable after the training event;
does not take all reasonable steps to establish whether its staff or third parties with access to confidential assessment material provide, or intend to provide, Teacher training relating to the qualification (whether privately or through another organisation);
has not properly considered evidence collected during an investigation into a suspected or alleged breach of confidentiality;
has not contacted relevant parties that are critical to an investigation into a suspected or alleged breach of confidentiality, or to the outcomes of that investigation;
has not kept records and documents relating to the breach of confidentiality and the investigation for an appropriate period.
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