Download - Developments in enforcement Matthew Humphrey Associate Director, Legal Moderation and Enforcement
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Developments in enforcementMatthew HumphreyAssociate Director, Legal Moderation and Enforcement
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In this session
Why What How Key messages
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Why
Rule-writing regulator 4 qualifications objectives, set by parliament:
• Secure standards• Promote public confidence• Promote awareness• Secure efficiency
Minimum interference to achieve objectives
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Why
Parliament decided awarding organisations must comply Most awarding organisations do comply Some incentives not to comply Fairness
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What
Direction Monetary penalty Withdraw recognition Others
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Direction
Failure to comply with a Condition – actual or potential Specified steps to secure compliance Removal of autonomy Publication Costs Court order
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Monetary penalty
Failure to comply Impact Appropriate amount (up to 10% of turnover) Costs
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Other options
Undertaking Special Conditions No further action
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How
Organisational change Separation of functions Commissioning and referral process Checks and balances
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How
Legal moderation and enforcement Referral from standards teams Their case – full disclosure Advisory
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How
Gateway Credible and robust enforcement case Proportionality – fairness Turn cases down
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How - procedure
Notification of referral Notification of decision whether to proceed Notification of timetable
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How - procedure
Opportunity to make representations before final decision Disclosure of all relevant evidence Opportunity to make representations before publication
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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
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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