Transcript The new regulatory arena

Sue McGlynn
William Blacklock
Aspire2
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We’ve reached ‘the end of the beginning’
Next step
 address any outstanding issues
 complete any action plans due to the regulator
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Step after that
 ensure on-going compliance
 be prepared to supply evidence to Ofqual at short
notice and respond promptly when asked
Aspire2
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Involve the staff, management and Governing
Body in all key decisions and keep records
Develop an evidence log against the General
Conditions of Recognition (GCR)
Make sure you have easy access to records
and reliable data
Be open and transparent and publish
information on your website
Aspire2
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Commit to an on-going review process
Assess and capture how processes and
procedures work in practice
Consider GCR when planning new initiatives
Develop active risk management across the
board
Always be proactive – don’t be reactive
Aspire2
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Need to consider compliance with:
 Dealing with inactive organisations
 Issue around guided learning hours (GLH)
 Regulated qualifications must appear on the
Register
 Maintenance of confidentiality
 Fitness of purpose of assessments
Aspire2
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Supports prioritisation of resources
Most concern raised by academic
qualifications because of the danger of
systemic risk
Ofqual will be ‘crawling all over’ the big
AOs
Ofqual characterised as ‘Air Traffic
Controller’ and not ‘Car Crash investigator’
Aspire2
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Learners – performance is not recognised or
is evaluated incorrectly through inadequate
assessment
Standards – the benchmark demanded by a
particular qualification is not aligned with
public expectations
Efficiency – cost effectiveness and value for
money
Public confidence – possibility of damaging
confidence in the whole system
Aspire2
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170 AOs offer ‘other’ qualifications - do
more bodies create greater risk?
Risk rating for most ‘other’ qualifications is
assessed as ‘medium’ or ‘low’ – is this
supportable?
What about Level 3 or Level 4 vocational
qualifications leading to Foundation
Degrees – low risk or high risk?
75% of all ‘other’ achievements come from
8% of qualifications (Ofqual, 2012)
Aspire2
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Indications of lack of resource or of expertise
Evidence of lack of effective management and
governance
Unsatisfactory self-evaluation procedures
Questions around the quality and standards
of qualifications
Perceived lack of cooperation
Aspire2
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End to end audit of ways of working
Full forensic audit
Focused investigation by Ofqual team
Requirement for analysis of extra data and
information
Aspire2
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Tools at Ofqual’s disposal include:
• Imposing conditions of recognition
• Applying accreditation requirements
• Entry and inspection powers
• Giving a direction
• Imposing a fine
• Withdrawing recognition
• Recovering the costs of enforcement
Aspire2
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Temptation to try and ‘fly under the radar’
Confusing ‘risk-based’ regulation with ‘light
touch’ regulation
Minimising risk in some areas of operation
whilst overlooking others
False sense of security
Regulatory resources do not align with needs
of ‘other’ qualifications and their AOs
We have entered the new regulatory arena!
Aspire2