developments in enforcement matthew humphrey associate director, legal moderation and enforcement
DESCRIPTION
Why Rule-writing regulator 4 qualifications objectives, set by parliament: Secure standards Promote public confidence Promote awareness Secure efficiency Minimum interference to achieve objectivesTRANSCRIPT
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