Developments in enforcement
Matthew Humphrey
Associate 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