Event notifications

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Awarding organisation event - May 2014
by John Durrant

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Event notifications

  1. 1. Event notifications John Durrant May 2014
  2. 2. Event notifications - volume 43 38 54 39 33 35 34 30 37 23 34 30 43 0 10 20 30 40 50 60 70 Mar-13 Apr-13 May-13 Jun-13 Jul-13 Aug-13 Sep-13 Oct-13 Nov-13 Dec-13 Jan-14 Feb-14 Mar-14 NumberofEventNotificationsreceived
  3. 3. Event notifications - type
  4. 4. What do we do with event notifications? Process – acknowledge – record – assign – ask for more information? Evaluate – are we sufficiently assured AO is mitigating incident/adverse effect? – are we sufficiently assured AO is addressing root cause? – one off or part of a trend? – management of event Escalate – incident management, investigation or regulatory action?
  5. 5. Analysis Analysis to – inform us of areas of concern – build our understanding of the types of event notifications reported – inform understanding of systemic risk and areas for further monitoring and thematic review Entity risk assessment – we also analyse event notifications in the AO risk profiles, taking into consideration the size of an awarding organisation and where we have had no event notifications Reporting – monthly trend reports to Chief Regulator and Ofqual Board
  6. 6. What is an Adverse Effect? Use these questions to judge if your incident could adversely effect: – students – does this incident mean your current or potential learners will be prejudiced? – development, delivery and awarding – will this incident mean you are not meeting the Conditions? – standards – is the standard of your qualification compromised or likely to be compromised? – public confidence – will this situation affect public confidence in your qualification?
  7. 7. Scenarios One scenario per table – there are five different ones Discuss the scenarios and think about: – what information do you need to collect and how? – what actions you will take and when? – what are the potential adverse effects in your scenario? – who will you inform of your actions and when? You will receive additional information during the task. This might mean your decisions and actions change
  8. 8. Feedback – Scenario one Maladministration/malpractice – security breaches and invigilation failings Incident could adversely affect – AOs ability to deliver and award qualifications in accordance with the conditions – performance standards – public confidence More information needed? – do both incidents relate to door supervisor tests? – are failings isolated or systemic across centre? Action – notify regulator and other AOs – replace question paper, observe invigilation – Investigate and apply sanction
  9. 9. Feedback – Scenario two Breach of data protection law – sensitive personal data shared and maybe lost Incident could adversely affect – AOs ability to deliver and award qualifications in accordance with the conditions – public confidence More information needed? – did the EV delete the information from the missing memory stick before sending it? – how was the missing memory stick sent and can it be tracked? Action – notify regulator – seek legal advice about data protection responsibilities – change centre and standardisation procedures
  10. 10. Feedback – Scenario three Question paper error – part question error causing difficulties for students Incident could – prejudice students – adversely affect AOs ability to deliver and award qualifications in accordance with the conditions; standards and public confidence More information needed? – how many students failed exam by getting 1a) wrong and not completing the paper? – is the qualification graded? Action – notify regulators and centres – apply special consideration and review outcomes at awarding – root cause analysis
  11. 11. Feedback – Scenario four Marking error – assessor transcription error not spotted by moderator Incident has – has prejudiced students – adversely affect AOs ability to deliver and award qualifications in accordance with the conditions; standards and public confidence More information needed? – does the error impact on just one component/unit or the whole qualification? – is the error isolated to one moderator? Action – notify regulator, centres and students – re-issue results – root cause analysis and mitigation
  12. 12. Feedback – Scenario five Maladministration or malpractice – ghost candidates? Incident could – adversely affect AOs ability to deliver and award qualifications in accordance with the conditions; standards and public confidence More information needed? – why did the centre lose its funding contract? – is the identity of the students genuine? Action – notify regulator and AOs – apply sanction? – investigate and sample evidence of assessment
  13. 13. Table discussion Would you have done anything differently if you had known the outcome at the beginning? Is there anything more proactive you could have done to make your decisions quicker and more effective? Is there anything that has surprised you about: – the way other tables have approached either the same task as you, or different tasks? – the way Ofqual has responded to the task? Is there anything you disagree with? Do you now know what, when and how to report to Ofqual?
  14. 14. Next steps for us Review of non-statutory guidance – include more information on what we would expect to receive Review of statutory B3 guidance – revised examples of positive and negative indicators Introduce severity categorisation – to inform analysis and reporting

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