developments in enforcement matthew humphrey associate director, legal moderation and enforcement

Developments in enforcementMatthew HumphreyAssociate Director, Legal Moderation and Enforcement

In this session

Why What How Key messages

Why

Rule-writing regulator 4 qualifications objectives, set by parliament:

• Secure standards• Promote public confidence• Promote awareness• Secure efficiency

Minimum interference to achieve objectives

Why

Parliament decided awarding organisations must comply Most awarding organisations do comply Some incentives not to comply Fairness

What

Direction Monetary penalty Withdraw recognition Others

Direction

Failure to comply with a Condition – actual or potential Specified steps to secure compliance Removal of autonomy Publication Costs Court order

Monetary penalty

Failure to comply Impact Appropriate amount (up to 10% of turnover) Costs

Other options

Undertaking Special Conditions No further action

How

Organisational change Separation of functions Commissioning and referral process Checks and balances

How

Legal moderation and enforcement Referral from standards teams Their case – full disclosure Advisory

How

Gateway Credible and robust enforcement case Proportionality – fairness Turn cases down

How - procedure

Notification of referral Notification of decision whether to proceed Notification of timetable

How - procedure

Opportunity to make representations before final decision Disclosure of all relevant evidence Opportunity to make representations before publication

How – decision making

Must be made by Ofqual Independent – fresh pair of eyes Single decision-maker or an enforcement committee Training Reasons for decisions – facts, Conditions, impact, proportionality, burden

Key messages

Enforcement levels the playing field – for awarding organisations and learners Enforcement process embeds independence, fairness and transparency You will always have the opportunity to put your case