Navigating Regulatory Enforcement and Compliance
Explore the dynamics of regulatory enforcement and compliance with insights from Matthew Humphrey. Discover the why, what, and how of enforcement measures, implications of non-compliance, and procedural aspects for organizations.
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Presentation Transcript
Developments in enforcement Matthew Humphrey Associate Director, Legal Moderation and Enforcement
In this session Why What How Key messages
Why Rule-writing regulator 4 qualifications objectives, set by parliament: Secure standards Promote public confidence Promote awareness Secure efficiency Minimum interference to achieve objectives
Why Parliament decided awarding organisations must comply Most awarding organisations do comply Some incentives not to comply Fairness
What Direction Monetary penalty Withdraw recognition Others
Direction Failure to comply with a Condition actual or potential Specified steps to secure compliance Removal of autonomy Publication Costs Court order
Monetary penalty Failure to comply Impact Appropriate amount (up to 10% of turnover) Costs
Other options Undertaking Special Conditions No further action
How Organisational change Separation of functions Commissioning and referral process Checks and balances
How Legal moderation and enforcement Referral from standards teams Their case full disclosure Advisory
How Gateway Credible and robust enforcement case Proportionality fairness Turn cases down
How - procedure Notification of referral Notification of decision whether to proceed Notification of timetable
How - procedure Opportunity to make representations before final decision Disclosure of all relevant evidence Opportunity to make representations before publication
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
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
