The new regulatory arena

1. The new regulatory arena Sue McGlynn William Blacklock

2. Self Evaluation • We’ve reached ‘the end of the beginning’ • Next step • address any outstanding issues • complete any action plans due to the regulator • Step after that • ensure on-going compliance • be prepared to supply evidence to Ofqual at short notice and respond promptly when asked

3. How to be prepared • 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

4. Continual self-evaluation • 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

5. New conditions • 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

6. Risk-based regulation • 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’

7. Whose risk? • 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

8. Regulation of other qualifications • 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)

9. Indicators of high risk for AO • 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

10. Response to identification of risk • End to end audit of ways of working • Full forensic audit • Focused investigation by Ofqual team • Requirement for analysis of extra data and information

11. Taking Regulatory Action • 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

12. Risks of ‘risk-based’ regulation • 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!