1. Developments in enforcement Matthew Humphrey Associate Director, Legal Moderation and Enforcement

2. In this session  Why  What  How  Key messages

3. Why  Rule-writing regulator  4 qualifications objectives, set by parliament: Secure standards Promote public confidence Promote awareness Secure efficiency  Minimum interference to achieve objectives

4. Why  Parliament decided awarding organisations must comply  Most awarding organisations do comply  Some incentives not to comply  Fairness

5. What  Direction  Monetary penalty  Withdraw recognition  Others

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

7. Monetary penalty  Failure to comply  Impact  Appropriate amount (up to 10% of turnover)  Costs

8. Other options  Undertaking  Special Conditions  No further action

9. How  Organisational change  Separation of functions  Commissioning and referral process  Checks and balances

10. How  Legal moderation and enforcement  Referral from standards teams  Their case – full disclosure  Advisory

11. How  Gateway  Credible and robust enforcement case  Proportionality – fairness  Turn cases down

12. How - procedure  Notification of referral  Notification of decision whether to proceed  Notification of timetable

13. How - procedure  Opportunity to make representations before final decision  Disclosure of all relevant evidence  Opportunity to make representations before publication

14. 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

15. 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