WelcomeStrategic approach to regulation
The context for change and getting thebalance rightFiona PethickDirector of Regulation
Today’s focus… The impact of our consultations Regulating strategically What is expected of awarding  organisations and...
Ofqual’s Statutory ObjectivesThe 2009 Apprenticeship, Skills, Children and LearningAct (ASCL) gave Ofqual five statutory o...
Current context  Ministerial endorsement of Ofqual’s role as regulator of both  standards and efficiency   DfE White pape...
Ofqual’s approach is being built around a singleStrategic Model for the Regulation of awardingorganisations and their Qual...
Timeline for transition to Recognition  Conditions Conditions of                    Transition Conditions cease Recognitio...
Changing the balance –Regulatory relationships and accountability
We will undertake our regulatory role by… Acting  in accordance with the better regulation principles(transparent, target...
We will require the governing body of eachawarding organisation we regulate to: Make sure the organisation behaves in acc...
So what does the change in relationship mean?                                Each awarding organisation                  ...
Responding to the consultationsFiona PethickDirector of Regulation
Key messages from the consultationFrom Transition to Transformation                               Focus on regulation of ...
Next stepsFrom Transition to Transformation                                We have undertaken a                          ...
Key messages from the consultationEconomic Regulation                            Concerns raised around whether the      ...
Next stepsEconomic Regulation                       Reviewing recognition conditions                       Publish respo...
Key messages from the consultationComplaints and Appeals                               Endorsement for an                ...
Next stepsComplaints and Appeals                          The specifics of implementation                          Defin...
Regulating strategically and the role of riskClare GilliganHead of Awarding Organisation Performance
Risk based regulation  ‘Systematised decision making frameworks      and procedures to prioritise regulatory    activities...
Ofqual’s approach is being built around a singlestrategic model for the regulation of awardingorganisations and their qual...
Our new approach is built around a strategic model for theregulation of awarding organisations and their qualifications
The Conditions – A consultation example Collect and analyse sufficient data to enable it to monitor whether any features ...
The Conditions – a new lookCondition D2   Accessibility of qualificationsD2.1   An awarding organisation must ensure that ...
Our new approach is built around a Strategic Model for theRegulation of awarding organisations and their Qualifications
Our new approach is built around a Strategic Model for theRegulation of awarding organisations and their Qualifications
Our new approach is built around a Strategic Model for theRegulation of awarding organisations and their Qualifications
Explaining risk - 1        Low Risk                         TO BE                                              = high scru...
Explaining risk - 2                          High risk quals       Low Risk           across a range of AOs              T...
Our new approach is built around a Strategic Model for theRegulation of awarding organisations and their Qualifications
Types of regulatory action Public report Making qualifications subject to an accreditation  requirement Imposing new co...
Discussion PointsRefreshment Break
The rules of the roadBryan HorneTeam Leader Awarding Organisation Monitoring
Criteria and Recognition Conditions                      Recognition Conditions
The Recognition Conditions Having met the recognition  criteria, each recognised AO is  then subject to the recognition  ...
Timeline for transition to Recognition ConditionsConditions of                Transition Conditions ceaseRecognition      ...
How do qualifications become regulated?
Regulated qualifications Shift in perception from accreditation as a ‘kitemark’ to a  process of risk based regulatory ac...
Regulating registered qualifications            awarding organisation has developed, designed and             quality assu...
What   you need to do in the short term  Follow the process to declare  compliance with the recognition  conditions – once...
What is regulatory assurance?
Regulatory assuranceWe will determine the degree of regulatory assurancerequired based on our appraisal of the risks posed...
New assurance arrangementsConditions of   Transition Conditions ceaseRecognition     Conditions of Recognition apply      ...
What if you don’t comply with the conditions?
Focusing on outcomes We have consulted on our approach We have set out our commitment to observe the  Macrory principles...
Taking regulatory action ASCL Act 2009 - some statutory  powers of enforcement Actions to encourage Actions to secure
Types of regulatory action An awarding organisation to put things right Public report Making qualifications subject to ...
Ofqual’s approach is being built around a singlestrategic model for the regulation of awardingorganisations and their qual...
Questions to the panel Fiona Pethick (Chair) Clare Gilligan Bryan Horne
Next steps and timetableFiona PethickDirector of Regulation
Recapping the timeline                                                   Criteria for the                                 ...
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Strategic Approach to Regulation

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Presenting Ofqual's new strategic approach to regulation. As used at awarding organisation events in April & May 2011.

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Strategic Approach to Regulation

  1. 1. WelcomeStrategic approach to regulation
  2. 2. The context for change and getting thebalance rightFiona PethickDirector of Regulation
  3. 3. Today’s focus… The impact of our consultations Regulating strategically What is expected of awarding organisations and the regulator Timetable for implementation
  4. 4. Ofqual’s Statutory ObjectivesThe 2009 Apprenticeship, Skills, Children and LearningAct (ASCL) gave Ofqual five statutory objectives: The Qualifications Standards Objective The Assessment Standards Objective The Public Confidence Objective The Awareness Objective The Efficiency Objective
  5. 5. Current context Ministerial endorsement of Ofqual’s role as regulator of both standards and efficiency  DfE White paper “The independent regulator of exam standards, Ofqual, plays a vital role“ BIS Skills for Sustainable Growth Strategy “…the qualifications regulator, Ofqual, will hold each awarding organisation to account for its qualifications being fit for purpose and meeting the needs of users such as industry and higher education.”
  6. 6. Ofqual’s approach is being built around a singleStrategic Model for the Regulation of awardingorganisations and their Qualifications
  7. 7. Timeline for transition to Recognition Conditions Conditions of Transition Conditions cease Recognition Conditions of Recognition apply Process to declare Published Process to provide assurance to Ofqual compliance closes May 2011 July 2011 May 2012 May to July 2011 July to May 2012 Events for AOs - the new regulatory model Visits to AOs throughout period Each AOs governing body must assure itself that the AO is working in line with the conditions and can give such an assurance to OfqualThese are the dates we are working to and are subject to the approval of the Ofqual Board on 4th May 2011
  8. 8. Changing the balance –Regulatory relationships and accountability
  9. 9. We will undertake our regulatory role by… Acting in accordance with the better regulation principles(transparent, targeted, consistent, accountable andproportionate) Basing our decisions on evidence Targeting our interventions in response to our assessment ofrisk posed to standards, learners, efficiency and public confidencein regulated qualifications Making sure our staff have the skills and knowledge toundertake their roles Engaging with each organisation we regulate in a fair and openmanner Using proportionate enforcement sanctions where necessary Contributing evidence-based advice on policy options thataffect regulated activities and organisations
  10. 10. We will require the governing body of eachawarding organisation we regulate to: Make sure the organisation behaves in accordance with theconditions of recognition to which it is subject and that it has theexpertise and resources to do so Be accountable for the quality and standards of thequalifications it awards and the efficiency with which it operates Respect our role as a regulator and cooperate with us Take remedial action if things go wrong and ensure we areinformed promptly
  11. 11. So what does the change in relationship mean?  Each awarding organisation needs to take responsibility for compliance  Each Governing Body needs to actively confirm the compliance of its awarding organisation with the conditions and hold its awarding organisation to account for its performance
  12. 12. Responding to the consultationsFiona PethickDirector of Regulation
  13. 13. Key messages from the consultationFrom Transition to Transformation  Focus on regulation of awarding organisations and qualifications  Conditions of Recognition  Broad support and endorsement  Challenge via responses and at consultation events  Yougov report – www.ofqual.gov.uk
  14. 14. Next stepsFrom Transition to Transformation  We have undertaken a thorough review of the draft conditions of recognition.  Provide greater clarity e.g. role of the ‘accountable officer’, notification of incidents, accessibility of qualifications.  They may therefore ‘look’ quite different.
  15. 15. Key messages from the consultationEconomic Regulation  Concerns raised around whether the approach set out is proportionate  Stakeholders seeking better understanding of relationship between standards and efficiency objectives  We received detailed comments on economic concepts set out in paper and approach to securing ‘value for money’  Key focus of transformation – integrated approach to regulation – appropriately balancing our objectives  System in which standards are not maintained and public confidence not secured cannot be truly efficient
  16. 16. Next stepsEconomic Regulation  Reviewing recognition conditions  Publish response to consultation feedback and next steps (May)  Publish economic research plan including (May): Terms of Reference innovation stock take, Thematic research.  Feed into finalisation of wider sanctions policy  Collaboration with other stakeholders on ‘efficiency’ issues, e.g. SFA/OFT
  17. 17. Key messages from the consultationComplaints and Appeals  Endorsement for an independent appeals mechanism.  All learners should have access to the facility.  The findings of an independent appeal body to be binding - no consensus.  Difficult questions about the location of learners. Who could/should access such a mechanism?
  18. 18. Next stepsComplaints and Appeals  The specifics of implementation  Define the purpose and objectives of an independent appeals body  Consider in detail the issues raised from the consultation with stakeholders  Develop a proposal for the Ofqual Board on scope and operational arrangements  Plans for implementation
  19. 19. Regulating strategically and the role of riskClare GilliganHead of Awarding Organisation Performance
  20. 20. Risk based regulation ‘Systematised decision making frameworks and procedures to prioritise regulatory activities and deploy resources, principallyrelating to inspection and enforcement, based on an assessment of the risk that the regulated firms pose to the regulator’s objectives’. [Dr Julia Black, LSE]
  21. 21. Ofqual’s approach is being built around a singlestrategic model for the regulation of awardingorganisations and their qualifications
  22. 22. Our new approach is built around a strategic model for theregulation of awarding organisations and their qualifications
  23. 23. The Conditions – A consultation example Collect and analyse sufficient data to enable it to monitor whether any features of its regulated qualifications or units disadvantage particular groups of learners Take reasonable steps to identify and preclude any unjustifiable barriers in its qualifications and units that might prevent learners who share particular protected characteristics from demonstrating their knowledge, understanding or skills Justify any barriers to units or qualifications that remain
  24. 24. The Conditions – a new lookCondition D2 Accessibility of qualificationsD2.1 An awarding organisation must ensure that it complies with the requirements of Equalities Law in relation to each of the qualifications which it makes available.D2.2 An awarding organisation must monitor qualifications which it makes available for any feature which could disadvantage a group of Learners who share a particular Characteristic.D2.3 Where an awarding organisation has identified such a feature, it must – remove and disadvantage which is unjustifiable, and maintain a record of any disadvantage which it believes to be justifiable, setting out the reasons why in its opinion the disadvantage is justifiable.
  25. 25. Our new approach is built around a Strategic Model for theRegulation of awarding organisations and their Qualifications
  26. 26. Our new approach is built around a Strategic Model for theRegulation of awarding organisations and their Qualifications
  27. 27. Our new approach is built around a Strategic Model for theRegulation of awarding organisations and their Qualifications
  28. 28. Explaining risk - 1 Low Risk TO BE = high scrutiny Over time, the curves AOs move towards origin as confidence grows High Risk High Risk Low Risk Qualifications
  29. 29. Explaining risk - 2 High risk quals Low Risk across a range of AOs TO BE Low risk AO with some high risk quals AOs High risk AO with a range of risk of quals High Risk High Risk Low Risk Qualifications
  30. 30. Our new approach is built around a Strategic Model for theRegulation of awarding organisations and their Qualifications
  31. 31. Types of regulatory action Public report Making qualifications subject to an accreditation requirement Imposing new conditions of recognition Issuing a direction Withdrawing recognition
  32. 32. Discussion PointsRefreshment Break
  33. 33. The rules of the roadBryan HorneTeam Leader Awarding Organisation Monitoring
  34. 34. Criteria and Recognition Conditions Recognition Conditions
  35. 35. The Recognition Conditions Having met the recognition criteria, each recognised AO is then subject to the recognition conditions. The recognition conditions set out the parameters within which each recognised AO must operate They provide a clear set of expectations of the regulator from the regulated The conditions do not set out how each AO must work - but the outcomes it must achieve
  36. 36. Timeline for transition to Recognition ConditionsConditions of Transition Conditions ceaseRecognition Conditions of Recognition apply Process to declarePublished Process to provide assurance to Ofqual compliance closes May 2011 July 2011 May 2012 May to July 2011 July to May 2012 Events for AOs - the new regulatory model Visits to AOs throughout period Each AOs governing body must assure itself that the AO is working in line with the conditions and can give such an assurance to Ofqual
  37. 37. How do qualifications become regulated?
  38. 38. Regulated qualifications Shift in perception from accreditation as a ‘kitemark’ to a process of risk based regulatory action We expect each awarding organisation to own and quality assure its qualifications Certain qualifications will be subject to an accreditation requirement
  39. 39. Regulating registered qualifications awarding organisation has developed, designed and quality assured a new qualification it wants to offer Is the qualification on the Ofqual list of ‘qualifications that must be accredited? Does my awarding organisation have specific conditions of recognition that mean this qualification must be accredited? No (to both Qs) Yes (to either Q) Submission goes Accreditation process straight to the Register involving full scrutiny
  40. 40. What you need to do in the short term Follow the process to declare compliance with the recognition conditions – once this is completed, you will be able to move to a risk based approach to qualification submission Review your quality assurance arrangements and ensure that they are sufficiently robust to guarantee that all future submissions fully meet our requirements
  41. 41. What is regulatory assurance?
  42. 42. Regulatory assuranceWe will determine the degree of regulatory assurancerequired based on our appraisal of the risks posed by anawarding organisation or its qualifications Conditions of Recognition Awarding organisation accountability Ofqual assurance – level and type based on risk
  43. 43. New assurance arrangementsConditions of Transition Conditions ceaseRecognition Conditions of Recognition apply Process to declarePublished Process to provide assurance compliance closes May 2011 July 2011 May 2012 July to May 2012 May 2012 onwards Risk based approach to assurance begins – Risk based approach to combined with engagement activity assurance fully implemented
  44. 44. What if you don’t comply with the conditions?
  45. 45. Focusing on outcomes We have consulted on our approach We have set out our commitment to observe the Macrory principles for regulators on taking action, seeking redress and imposing sanctions We will be publishing our draft Taking Regulatory Action policy and inviting further comments before it is finalisedRegulatory Justice: Making Sanctions Effective, November 2006
  46. 46. Taking regulatory action ASCL Act 2009 - some statutory powers of enforcement Actions to encourage Actions to secure
  47. 47. Types of regulatory action An awarding organisation to put things right Public report Making qualifications subject to an accreditation requirement Imposing new conditions of recognition Issuing a direction Entry and inspection condition Fee capping condition Withdrawing recognition
  48. 48. Ofqual’s approach is being built around a singlestrategic model for the regulation of awardingorganisations and their qualifications
  49. 49. Questions to the panel Fiona Pethick (Chair) Clare Gilligan Bryan Horne
  50. 50. Next steps and timetableFiona PethickDirector of Regulation
  51. 51. Recapping the timeline Criteria for the determination of Transition Conditions cease qualifications subject Conditions of Recognition apply to an accreditation Process to provide assurance to requirement Process to declare Ofqual commences published compliance closes July 2011 September 2011 May 2012 May 2011 July to May 2012 May 2012 onwardsConditions of Risk based approach to assurance begins Risk based approach toRecognition Further communication around: assurance fullyPublished • Changes to style/format of assurance activity implemented • Phasing out of other existing regulatory requirements • Evolution of the ‘contact point’/customer relationship approach
  52. 52. Key Messages

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