Notice of Intention to impose a Monetary Penalty: QFI
Published 8 October 2024
Applies to England
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In respect of QFI failing to comply with a Special Condition
Before Ofqual’s Enforcement Panel on 24 June and 14 August 2024
Notice
1. The Office of Qualifications and Examinations Regulation (“Ofqual”) hereby gives notice that it intends to impose a Monetary Penalty on Qualifications for Industry (“QFI”) in the sum of £50,000.
2. This Notice relates to breaches of the following Conditions of Recognition:
a. Special Condition QFI 2.1(a);
b. Special Condition QFI 2.1(b).
3. Further information about Ofqual’s statutory powers and the Conditions of Recognition are set out in Annex A (Legal Provisions) and Annex B (Special Conditions) of this Notice.
4. QFI and any interested parties now have the opportunity to make representations in respect of Ofqual’s proposal.
Executive summary
5. On 26 February 2021, Ofqual recognised QFI as an awarding organisation to award a range of qualifications, including End Point Assessment (EPA) qualifications. On the same date, Ofqual imposed Special Conditions with the intention of restricting the number of registered Learners which QFI could have at any one time and the number of assessments it could deliver in any 12-month period. The Special Conditions made provision for QFI to apply to vary the restrictions at any time.
6. QFI was required to take all reasonable steps to ensure that no more than 200 Learners in total were at any one time registered to take its qualifications and no more than 200 Learners in total took assessments for its qualifications in any 12-month period.
7. Ofqual imposed the Special Conditions because it considered there was an unacceptable risk that QFI might not have the resources or capacity to develop, deliver, and award qualifications which complied with the General Conditions of Recognition beyond a certain level of demand.
8. On 9 November 2023, following an Ofqual investigation, QFI was issued with a final investigation report (“the investigation report”) setting out a number of alleged non-compliances including failures to comply with the Special Conditions.
9. On 24 June and 14 August 2024, Ofqual’s Enforcement Panel (“the Panel”) considered the case against QFI. QFI denied the breaches throughout the enforcement proceedings. QFI argued that there were a variety of reasons why the Panel should not conclude that QFI had breached the Special Conditions.
10. Following consideration of the evidence and QFI’s representations, the Panel found the allegations proved and rejected QFI’s arguments. The Panel found that QFI:
a. failed to take the restriction on Learner numbers into account in its business operations and therefore failed to take all reasonable steps to comply with the restriction, and consequently exceeded the restriction by allowing 848 Learners to be registered on 30 April 2023, contrary to Special Condition QFI 2.1(a).
b. failed to take the restriction on assessment numbers into account in its business operations and therefore failed to take all reasonable steps to comply with the restriction, and consequently exceeded the restriction by assessing 237 Learners in the period January 2023 to 13 July 2023 (with QFI continuing to assess Learners thereafter), contrary to Special Condition QFI 2.1(b).
11. The Panel found that the breaches were avoidable and occurred either because QFI chose to disregard the Special Conditions or was grossly negligent in its consideration of those conditions. In either event, the breaches reflected a failure in governance at QFI.
12. The Panel considered the breaches to be serious and to require significant regulatory action. Withdrawal of recognition was not available because QFI has surrendered its recognition. Having had regard to Ofqual’s Taking Regulatory Action policy (May 2012), the Panel considered a monetary penalty to be appropriate.
13. QFI and interested parties now have the opportunity to make representations in respect of Ofqual’s proposal.
Background
14. Qualifications for Industry
14.1. On 26 February 2021, Ofqual informed QFI that its application for recognition as an awarding organisation had been successful, under section 132 of the Apprenticeships, Skills, Children and Learning Act 2009 (ASCLA).[footnote 1]
14.2. Ofqual informed QFI that it would be recognised from 5 March 2021 for all qualifications at Levels 1, 2, 3 and 4 in the following Sector Subject Areas:
4.1 Engineering
4.2 Manufacturing technologies
4.3 Transportation operations and maintenance
5.1 Architecture
5.2 Building and construction
5.3 Urban, rural and regional planning
14.3. From the same date, QFI was also recognised for End Point Assessment qualifications (EPAs) in the following standards:
Level 2 Mineral and construction product sampling and testing operations
Level 2 Mineral processing mobile and static plant operator
Level 2 Mineral processing weighbridge operator
Level 3 Safety, health and environment technician
Level 4 High speed rail and infrastructure technician
Level 5 Mineral products technician
15. Special Conditions
15.1. On 26 February 2021, QFI was informed that in addition to the General Conditions of Recognition, its recognition would be subject to further conditions known as Special Conditions (“the Special Conditions”) under section 132(3)(d) of ASCLA.[footnote 2]
15.2. For the purposes of this case, the relevant Special Conditions specified:
‘QFI 2.1 - QFI must take all reasonable steps to ensure that:
a) no more than 200 Learners in total are at any one time registered to take its qualifications; and
b) no more than 200 Learners in total take assessments for its qualifications in any 12 month period.
QFI 2.2 - Before 5 March 2021 QFI must prepare and must thereafter maintain and comply with, a written plan setting out how it will secure compliance with Condition QFI 2.1. The written plan must include how it will protect the interests of learners.
QFI 2.3 QFI must promptly notify Ofqual if it has cause to believe that demand for its qualifications over the 12 month period (starting on the day of any such notification) might exceed the thresholds specified in Condition QFI 2.1.
QFI 2.4 QFI may at any time submit a written application to Ofqual seeking variation of the thresholds specified in Condition QFI 2.1. In making such an application, QFI should include evidence to show how it will be able to comply with General Condition A5 in light of its anticipated Learner numbers. QFI 2.5 Nothing within Condition QFI 2 will affect the status of a qualification awarded in breach of this Condition.’[footnote 3]
15.3. Ofqual imposed the Special Conditions because, although it was satisfied for the purposes of the recognition decision that QFI had adequate resources and sufficient capacity to develop, deliver and award qualifications in relatively small numbers, it considered there was an unacceptable risk that QFI would be unable to maintain compliance with the General Conditions of Recognition if Learner numbers were to increase significantly. It was therefore necessary to impose conditions which restricted learner numbers until such time as QFI had in place greater resources and sufficiently increased capacity. Page 2 of the reasons stated:
Due to the relatively small size of QFI, the panel considered that there is a risk that QFI may not have the capacity to undertake the development, delivery and award of qualifications which it makes available, or proposes to make available, in a way that complies with its Conditions of Recognition in the event that its Learner numbers were to increase significantly beyond current volumes.[footnote 4]
15.4. As well as the mechanism provided at Condition QFI 2.4, the Annex to the Special Conditions (paragraphs 8-11) explained both that Ofqual would review the ongoing need for the Special Conditions and that QFI could itself request that Ofqual conduct such a review:
‘8. On or before 5 March 2022 (the ‘review date’), Ofqual will review whether the requirements of Special Conditions QFI 2 (Restriction on Learner numbers) and QFI 3 (Notification to Ofqual) need to remain in place and will issue its decision to QFI.
9.QFI may request that Ofqual carries out this review before the specified review date if it believes some or all of the requirements no longer need to remain in place. QFI should provide evidence to support any such request.
10. If after review, Ofqual considers that some or all of the requirements of QFI 2 and QFI 3 no longer need to remain in place, the relevant requirements will be removed.
If Ofqual considers that some or all of the requirements needs to remain in place, or that additional or alternative requirements need to be imposed, it may take one or more of the steps set out in paragraph 11 below, in isolation or combination.
11. After evaluation and/or review, Ofqual may:
a) Set a new evaluation and/or review date,
b) Introduce more active and/or more frequent monitoring of QFI,
c) Amend the terms of the Special Conditions (by adding and/or removing requirements),
d) Determine whether there has been a breach of the Special Conditions,
e) Take any regulatory action set out in Ofqual’s Taking Regulatory Action policy.’
16. Ofqual’s Investigation and referral to Ofqual’s Enforcement Panel
16.1. On 7 September 2023, following an Ofqual investigation, QFI was issued with a draft investigation report setting out compliance concerns in a number of areas, in particular compliance with the Special Conditions set out above. QFI was given an opportunity to provide representations in response to the draft report. Following an extension of time, the deadline set for representations was 18 October 2023.
16.2. On 9 November 2023, QFI was issued with a final investigation report (“the investigation report”) which addressed the representations made and set out the investigators’ conclusions.
16.3. Eight allegations of non-compliance were subsequently referred to Ofqual’s Enforcement Panel (“the Panel”) for determination. These included alleged failures to comply with the Special Conditions.
16.4. QFI has denied all 8 allegations throughout.
17. Documents
17.1. The Panel reviewed the documents, which included:
a. The statement of case prepared on behalf of Ofqual’s Executive Director for Vocational and Technical Qualifications (“the statement of case”).
b. The Investigation report dated 9 November 2023.
c. A bundle of evidence numbered Appendix 1 - 15 which and served upon QFI on 12 June 2024.
d. QFI’s representations dated 3 May 2024, 8 July 2024 and 19 July 2024.
e. Additional documents identified by Ofqual following a review of QFI representations. The additional documents are contained within Appendix 16 and served upon QFI at the time of this Notice.
Analysis
18. The Panel considered whether the allegations have been proved on the balance of probabilities. In coming to a decision, the Panel considered the evidence and evaluated QFI’s representations. The Panel’s conclusions are set out in this section.
19. Allegation 1
19.1. Special Condition QFI2.1(a) required QFI to take all reasonable steps to ensure that no more than 200 Learners in total are at any one time registered to take its qualifications.
Ofqual’s statement of case
19.2. The statement of case alleged that QFI failed to comply with the Special Condition. The statement of case relied on Ofqual’s investigation report, which sets out the relevant evidence at paragraphs 114-121.[footnote 5]
19.3. Paragraph 119 of the investigation report referred to the mechanism for QFI to submit a written application to Ofqual, under Condition QFI 2.4, to seek a variation of the thresholds specified by Special Condition QFI 2.1. The investigation found no evidence that QFI had submitted a request to Ofqual for a variation of the thresholds. As such, the cap of 200 registered learners was not varied at any time.
19.4. The evidence in paragraph 120 shows that as of 30 April 2023, QFI had 848 Learners registered on its ACE360 learner management system (being the total number of registered learners on the system (1516) less the rolling number of EPAs completed (559) and the total number of EPAs in progress (109)).
19.5. The evidence in paragraph 121 shows that during an interview with the Responsible Officer (“the RO”) on 12 July 2023 (page 9), when questioned about learner numbers, the RO confirmed that the number of registered Learners on 30 April 2023 was 848, exceeding the cap set by Ofqual by 648.
19.6. The evidence at paragraph 132 of the Investigation Report shows that during an interview on 12 July 2023 (page 8), the RO confirmed that QFI was not taking the Special Conditions into account because it does not cap its Learner registrations.
QFI’s representations
19.7. On 3 May 2024, QFI submitted representations in respect of the investigation gathering process and the investigators’ findings, and provided its response to allegation 1 as set out in the statement of case.
19.8. QFI explained that it had remained within the 200 learners cap for approximately the first 12 months. QFI stated that it only allowed registrations to increase after the review date (specified in the Annex to the Special Condition) following which registrations began to grow slowly and steadily, as already active qualifications came under Ofqual’s remit.
19.9. QFI stated that it took reasonable steps to comply with the Special Condition and that it presumed the Special Condition no longer applied due to Ofqual’s actions. QFI asked the Panel to consider the following:
a. ‘The SC was due to be reviewed by Ofqual 12 months after this was imposed – such a review did not happen.
b. Why didn’t Ofqual carry out the review of the SC due ‘on or before 5th March 2022 (the review date)’ as stated in their letter dated 26th February 2021?
c. Requests to expand QFI’s scope of recognition included detailed forecasting of numbers. This demonstrated that numbers may exceed the restriction imposed by the Special Condition (SC).
d. There was a lack of clarity and enforcement on the part of Ofqual that the SC was in fact still in place. Without further information, QFI assumed that the SC no longer applied. This SC was however belatedly re-issued to QFI, by which time numbers were in excess of this without any issue.
e. Why did Ofqual lead QFI into assuming that the SC had lapsed through a lack of contact/ no review?
f. Why didn’t Ofqual take account of the learners already registered on qualifications due to transfer to Ofqual as the external quality assurance provider?
g. Why did Ofqual allow QFI to grow its offer as described in the expansion requests?
h. Why didn’t Ofqual question the forecasts submitted by QFI as part of the expansion requests?
i. Why did Ofqual dismiss QFI’s representations made about the cap in response to the draft Investigation Report?’[footnote 6]
19.10. On 8 July 2024, QFI further stated that in the period since 26 February 2021, it did not breach the cap for the standards for which it was first recognised, and argued that the cap on Learner numbers only applied to those standards for which it was first recognised by Ofqual on 26 February 2021. Specifically, QFI argued that the cap did not apply to standards later recognised through expansion requests.[footnote 7]
19.11. QFI also stated that early registration through ACE360[footnote 8] does not equate to ‘numbers on programme’ and Ofqual had selectively used ACE360 data.
Issues not in dispute
19.12. Ofqual imposed Special Condition QFI 2.1 on 26 February 2021.
19.13. QFI remained within the cap during the first 12 months.
19.14. On 14 June 2022, QFI was recognised for additional qualifications, following a successful expansion application which QFI submitted on 4 March 2022.
19.15. On 18 August 2022, QFI was recognised for additional qualifications, following a successful expansion application which QFI submitted on 12 May 2022.
19.16. On 19 December 2022, QFI was recognised for additional qualifications, following a successful expansion application which QFI submitted on 30 August 2022. Ofqual imposed additional Special Conditions (in addition to QFI 2.1), at this time.
19.17. On 8 March 2023, Ofqual issued QFI with consolidated Special Conditions.[footnote 9]
19.18. QFI did not submit a formal application to vary the Special Conditions under Special Condition QFI2.4.
Issues in dispute
19.19. Whether the Special Conditions applied to qualifications (standards) recognised after 26 February 2021.
19.20. Whether the number of registered Learners exceeded the cap in the Special Condition.
19.21. Whether Ofqual failed to properly keep the Special Condition under review.
19.22. Whether QFI took all reasonable steps to comply with the Special Condition.
Panel findings of fact and law
19.23. The Panel sets out its findings in relation to the issues in dispute below.
Qualifications caught by the Special Conditions
19.24. QFI argues that Special Condition QFI 2.1 applied only to those qualifications for which it was recognised by Ofqual on 26 February 2021. That is, there was no restriction on the number of registered Learners in respect of the qualifications for which QFI was recognised later, following its successful expansion requests.
19.25. QFI2.1(a) states: QFI must take all reasonable steps to ensure that no more than 200 Learners in total are at any one time registered to take its qualifications’.
19.26. The Panel observes that Special Condition QFI 2.1(a) states plainly that the restriction applies to QFI’s qualifications. The Special Condition does not state or suggest that the restriction is confined to qualifications recognised at the point of recognition or any other specific point. The Panel considers the ordinary and natural meaning of the condition to be that it applied to any and all QFI qualifications which were in existence on 26 February 2021 or which came into existence at any time thereafter. The Panel does not consider that it is possible sustainably and realistically to interpret the Condition in the way suggested by QFI.
19.27. The Panel finds that the restriction applied to any and every QFI qualification, including qualifications later brought into Ofqual recognition through successful expansion requests.
19.28. The Panel observes that QFI’s current contention is inconsistent with its own earlier interpretation of the Special Condition, as set out in its letter of 15 March 2022, in which it mentioned likely growth in EPA (End Point Assessment) numbers in the wake of its expansion of recognition, and commented that the Special Conditions would restrain QFI’s business operations in that context. It is therefore clear that QFI was aware that the Special Conditions applied to all qualifications it was recognised for and may be recognised for in the future. QFI’s letter stated:
Thank you for meeting with us along with your colleagues yesterday. We found the meeting to be extremely helpful and it provided us with an understanding of the way forward. We are in a period of transition and as we progress through the year, a number of Standards will move across into your regulatory purview.
We will therefore over the year, have to submit Expansion Requests to expand QFI’s Scope of Recognition to encompass these because we are successfully operating in these sectors – supporting training providers, employers and most importantly Apprentices themselves. To this end, we have shared with the Education, Skills & Funding Agency, and you our transition plan which unpacks this process as we understand it.
We understood the reasons for the Special Conditions being imposed upon QFI at Recognition, but as we pointed out they do now present a very real risk to our business operations as we engage with training providers and employers about commitments supporting not insubstantial industry investments in Apprentices within our sectors of operation in the year ahead.[footnote 10]
19.29. The Panel also notes that QFI’s current contention is inconsistent with QFI’s Advisory Board meeting notes dated 18 August 2022, when senior members of QFI management were in attendance, where the general application of the condition was acknowledged:
“Special conditions update Special condition QFI2:
Cap on numbers (200 candidates registered at any one time over next 12 months). Applied March 2021. Whilst QFI has not been formally notified that this condition has been lifted, Ofqual will be aware from QFI’s applications to expand its scope of recognition that numbers will soon be in excess of this cap. No concerns have been raised by them. Members advised that QFI should seek a formal notification from Ofqual that this condition has been lifted.”[footnote 11]
19.30. In conclusion, the Panel rejects QFI’s contention. Moreover, the Panel rejects any suggestion that QFI was at any time operating on the understanding that the restriction on registered Learners only applied to qualifications recognised on 26 February 2021.
Number of registered Learners
19.31. The evidence at paragraph 120 of the investigation report shows that as of 30 April 2023, QFI had 848 Learners registered on its ACE360 learner managements system (being the total number of registered learners on the system (1516) less the rolling number of EPAs completed (559) and the total number of EPAs in progress (109)).
19.32. QFI states that Ofqual has misused or misinterpreted the ACE360 data and avers that early registration through ACE360 does not equate to ‘numbers on programme’.
19.33. The Panel notes that the Special Condition does not refer to numbers on programme, it refers to Learners registered to take QFI qualifications.
19.34. The word Learner is capitalised in the Special Condition meaning this is a defined term. The Special Conditions state that the interpretation of Learner can be found In General Condition J1:
‘QFI 4.1 - The rules of interpretation and definitions outlined in General
Condition J1 shall apply to these Special Conditions.’
19.35. The definition of Learner is set out in General Condition J1.8:
‘A person who is registered to take a qualification and to be assessed as part of that qualification.’
19.36. The Panel finds that it is the act of registration that is relevant, not numbers on programme as suggested by QFI. The Panel notes that QFI states it adopted an approach of early registration, that was of course a decision for QFI having regard to the requirements of the Special Conditions.
19.37. QFI has not provided any evidence to suggest the figure stated above is incorrect. Based on the findings of the investigation report that there were 848 Learners registered as of 30 April 2023 and the admission of the Responsible Officer that the cap was exceeded by 648, the Panel finds that QFI exceeded the cap.
Review of the Special Condition
19.38. QFI has made a number of representations concerning the review of the Special Conditions. These include an argument that Ofqual failed to review the Special Conditions by the review date (5 March 2022) and either that the Special Conditions lapsed when Ofqual failed to conduct such a review, or that it was reasonable for QFI to assume the Special Conditions had lapsed, or that the failure to review the Special Conditions otherwise provides QFI with a defence.
19.39. The Panel has considered each of the representations made by QFI and has set out its conclusions in this section. At the outset, however, the Panel notes that even were it to be the case that Ofqual wrongly failed to review the Special Conditions, this would not affect the application of those conditions or Ofqual’s ability to enforce those conditions, and nor would it provide a defence for QFI. This is because, under Ofqual’s framework, unless the condition itself specifies a sunset provision (i.e. a provision stating the Condition would expire on a set date) a Special Condition will remain in place until Ofqual decides to remove or vary that Condition. In this case the Special Condition did not contain a sunset provision, it included a date when Ofqual intended to undertake a review.
19.40. Both the Special Condition and Ofqual’s Taking Regulatory Action policy include provisions about reviewing the Special Condition. Paragraph 8 of the notes to the Special Condition states:
‘8. On or before 5 March 2022 (the ‘review date’), Ofqual will review whether the requirements of Special Conditions QFI 2 (Restriction on Learner numbers) and QFI 3 (Notification to Ofqual) need to remain in place and will issue its decision to QFI.[footnote 12]
Ofqual’s policy concerning the review of Special Conditions is set out at p.11 of Ofqual’s Taking Regulatory Action policy:
We may decide that an individual awarding organisation is not to be subject to a specified general condition at the time of recognition. We may also decide that an awarding organisation is to cease to be subject to a specified general condition or to a special condition at any later time.
We will do so either on considering a request from an awarding organisation to remove a specified condition or by initiating ourselves a review of the application of a specified condition. We will review the special conditions we have in place from time to time to make sure that the burdens we are placing on awarding organisations are appropriate.
19.41. The Panel sets out the chronology and its findings below.
19.42. On 19 October 2021, a meeting between Ofqual and QFI took place following an Ofqual field visit. In its representations, QFI highlighted extracts of the meeting notes stating Ofqual was aware of potential increased Learner numbers:
‘10. [Redacted] stated they intend to come back in writing at a later date. However, there were some points he wanted to make from QFI initially:… • They indicated that learner numbers on standard transitioning from IfATE/Open Awards, exceeds 200.’
‘24. [Redacted] suggested that QFI feel there is a business-planning issue with the QFI2 Special Condition. As a business, they are not actively seeking to grow beyond a 10% share of the available market. QFI indicated that a revised cap of 500 would allow them to service the registrations they currently have on those standards due to transition this year. QFI indicated that they have 328 registrations across standards currently EQA’s by IfATE/Open Awards. [Redacted] stated that with the current cap in place, QFI are unable to attract any further monies from investors.’
‘25. [Redacted] advised that as Ofqual have to take on these standards in December 2021, QFI will automatically be in breach of the condition.’
32. [Redacted] Based on what you have told us regarding the 328 learners, we understand that QFI believe it necessary to make an expansion for these active standards. As they are active it is assumed that the materials and systems in scope for any further Special Condition should already be in place. Therefore, we don’t understand the comment regarding additional cost.’
74. However 300+ registrations have been made across 21 IfATE EQA’d standards over the next 3 years.’[footnote 13]
19.43. The Panel has reviewed the paragraphs highlighted by QFI and it is clear that QFI made Ofqual aware of the potential for increased Learner numbers. However, the notes also record that Ofqual’s representatives specifically reminded QFI of the need to submit a request to vary the Special Condition, in the following paragraphs:
‘26. … confirmed that there is a mechanism for the Special Condition to be altered on application with evidence on capability and capacity from QFI at any time.
27. [Redacted] wanted to clarify for the record that QFI will come back to Ofqual with a formal request. However, … would want to have a clear view of what is required from Ofqual to evidence their capability and capacity.’
19.44. On 23 November 2021, QFI submitted an expansion request for 8 standards.
19.45. On 11 February 2022, QFI was informed that the application was unsuccessful.
19.46. On 14 February 2022, QFI requested a feedback meeting on the unsuccessful request.
19.47. On 3 March 2022, Ofqual held a feedback meeting held with QFI.
19.48. On 4 March 2022 at 14.55pm[footnote 14], one day prior to the review date in the Special Condition, QFI submitted an expansion request (the document was dated February 2022). QFI’s application included commentary about the need for QFI to be able to assess more Learners than the Special Condition permitted and included three-year forecasts which suggested the potential for much higher Learner numbers. QFI made clear in the application that it would provide Ofqual with further information (about the projected Learner numbers) and would make an application under QFI2.4 (to vary or remove the restriction) in light of anticipated numbers:
We have abided by QFI 2.1 and QFI 2.2. This document and our previous submission material indicate that we are likely to remain within QFI2.1 ~182 Apprentices (see above monthly profile).
We do wish to indicate however that we have secured ~300 Apprentice EPAs, so it is likely that we will be exceeding the thresholds specified in Condition QFI 2.1 between now and 31 January 2023.
We are stating this in line with QFI 2.3. We will of course be making a formal application in line with QFI 2.4; and this document and other submitted materials will constitute part of the evidence for Ofqual’s consideration to show how QFI will be able to comply with General Condition A5 in light of our anticipated Learner numbers.
19.49. On 8 March 2022, Ofqual sent a meeting request to discuss QFI’s correspondence.[footnote 15]
19.50. On 14 March 2022, a meeting took place between Ofqual and a representative of QFI. In attendance was Ofqual’s decision maker in respect of the Special Conditions. In a witness statement dated 6 June 2024, that officer stated that Ofqual informed QFI during the meeting that a review of the Special Conditions would be deferred until QFI’s expansion application had been considered:
On 14 March 2022, I chaired a meeting with QFI. At that meeting QFI was informed that a formal review of the Special Conditions would be deferred until QFI’s most recent expansion application, including an updated learner forecast, had been considered.[footnote 16]
This was a decision open to Ofqual under the notes at paragraph 11.a of the Special Condition.
19.51. On 15 March 2022, following the meeting, Ofqual received a letter from QFI agreeing that a decision on removing or varying the restrictions should await a decision on QFI’s expansion request:
….We understood the reasons for the Special Conditions being imposed upon QFI at Recognition, but as we pointed out they do now present a very real risk to our business operations as we engage with training providers and employers about commitments supporting not insubstantial industry investments in Apprentices within our sectors of operation in the year ahead.
Turning to the meeting more specifically: 1. Your notes about Special Condition QFI 2 restraining QFI’s business operations state: On or before 5 March 2022 (the ‘review date’), Ofqual will review whether the requirements of Special Conditions QFI 2 (Restriction on Learner numbers) and QFI 3 (Notification to Ofqual) need to remain in place and will issue its decision to QFI. QFI may request that Ofqual carries out this review before the specified review date if it believes some or all of the requirements no longer need to remain in place. QFI should provide evidence to support any such request. If after review, Ofqual considers that some or all of the requirements of QFI 2 and QFI 3 no longer need to remain in place, the relevant requirements will be removed.
We will assume that our discussions and this read-out from yesterday’s meeting, ostensibly reflect an articulation of your decision.
We agreed that we will wait until Ofqual has reached a decision on our current re-worked expansion request, and subject to that being positive have further discussions with you about easing the restraints on our business operations. You reminded us that we can formally ask for the restraints to be removed and we will of course consider that. We anticipate that this year, we will carry out ~182 End-point Assessments so as of ‘now’ that course of action is not technically necessary. We do however anticipate growth to a number above the cap, i.e. 350-370 End-point Assessments and the impediments that I highlighted earlier remain – so we will continue to have dialogues with you as we progress through this transition year.’
19.52. The Panel finds that by deciding to delay the review and communicating that decision to QFI, Ofqual acted in accordance with the review mechanism specified in the Special Condition (which incorporated note 11.a to that condition). Ofqual also thereby kept the Special Condition under review ‘from time to time’, as the TRA policy contemplates. The evidence shows that one day prior to the review date, QFI contacted Ofqual indicating it would provide further information relevant to the Special Condition. Ofqual promptly contacted QFI and both parties agreed on deferral of the review. [The deferred review and expansion request was considered on 26 May 2022 with the outcome issued to QFI on 14 June 2022].
19.53. QFI was clearly informed about the decision to defer the review, moreover QFI agreed with that approach. QFI’s suggestion that it was unclear on circumstances surrounding the review and was unclear on the status of the Special Condition is unsustainable.
All reasonable steps to comply with the Special Condition
19.54. QFI states it took all reasonable steps to comply with the Special Conditions. QFI states that it complied with the Special Condition for the first year at least and provided forecasted Learner numbers in its expansion requests.
19.55. QFI’s contention is that there was a lack of clarity on the status of the Special Condition and, because it provided projections with the expansion requests, it assumed that the Special Conditions no longer applied and has a defence to the allegation that it breached the Special Conditions.
19.56. QFI previously raised these arguments in response to the draft investigation report. Ofqual’s Regulatory Compliance team’s responses to QFI’s representations in relation to paragraphs 111, 118, 124, 127 of the draft Investigation Report set out why the investigation team was satisfied that QFI was aware that the Special Conditions remained in place. Moreover, the following letters also indicate that QFI was aware that the Special Conditions remained in force:
a. QFI’s letter to Ofqual dated 23 March 2023, where QFI stated it would welcome Ofqual combining its next expansion request with a review of Condition QFI 2.[footnote 17]
b. Ofqual’s letter to QFI dated 3 April 2023, where Ofqual stated it will consider QFI’s request for a decision on the remaining Special Conditions.[footnote 18]
c. Ofqual’s letter to QFI dated 14 April 2023, where QFI was informed that it would not be appropriate to review the Special Conditions in light of the pending investigation.[footnote 19]
d. Ofqual’s letter to QFI dated 16 June 2023, where QFI was informed that Ofqual was deferring the review of QFI’s Special Conditions due to the investigation.[footnote 20]
19.57. Having considered the evidence, the Panel rejects QFI’s contention that there was a lack of clarity on the status of the Special Condition or that because QFI provided projections with expansion requests, it has a defence to the allegation that it breached the Special Conditions.
19.58. The Panel sets out the chronology and its findings below.
19.59. Following the 15 March 2022 letter from QFI, Ofqual reviewed QFI’s 4 March 2022 expansion request. A statement from Ofqual’s Director of Operations confirms that a review of the Special Conditions took place during the expansion panel meeting on 26 May 2022.[footnote 21]
19.60. On 14 June 2022, Ofqual issued a decision letter approving the 4 March 2022 expansion request. Ofqual explicitly informed QFI that the existing Special Conditions remained in place:
Please note that Special Conditions QFI 1 (submitting qualifications to the Register) and QFI 2 (restriction on learner numbers) from when you were first recognised remain in place.[footnote 22]
19.61. The Panel finds QFI’s contention that there was no review/no contact from Ofqual about the Special Condition after the review date (5 March 2022) to be unsustainable.
19.62. On 18 August 2022, Ofqual issued a decision letter approving a further expansion request submitted by QFI on 12 May 2022.
19.63. The 12 May 2022 application contained projected Learner numbers but did not include either:
a. a notification, under Special Condition QFI 2.3, that QFI had cause to believe that demand for its qualifications in the relevant period might exceed the thresholds specified in Condition QFI 2.1, or
b. an application to vary the thresholds in QFI 2.1, as provided for by Special Condition QFI 2.4.
19.64. Ofqual’s expansion review document shows that Ofqual did not consider there to be an imminent issue with QFI failing to comply with the Special Conditions.[footnote 23]
19.65. The Panel observes that Ofqual’s expansion decision letter, dated 18 August 2022, was silent on the status of the Special Condition. Although QFI had provided projected numbers, the Panel finds that QFI had no reason to presume that the Special Condition had been lifted or varied in the absence of any notification from Ofqual.
19.66. On 18 August 2022, a meeting of QFI’s Advisory Board took place. Meeting notes demonstrate QFI was aware it had not received notification about removal of the Special Conditions and the Advisory Board recommended it should seek formal notification that the Conditions had been lifted: Page 2 of the meeting notes show:
Special conditions update
Special condition QFI2: Cap on numbers (200 candidates registered at any one time over next 12 months). Applied March 2021.
Whilst QFI has not been formally notified that this condition has been lifted, Ofqual will be aware from QFI’s applications to expand its scope of recognition that numbers will soon be in excess of this cap. No concerns have been raised by them.
Members advised that QFI should seek a formal notification from Ofqual that this condition has been lifted.
The action recorded was: ‘[Redacted] to seek formal sign off from Ofqual’.[footnote 24]
19.67. The meeting notes demonstrate QFI was aware of a risk that it may fail to comply with the Special Conditions if they remained in force. The meeting note demonstrates a reasonable step QFI could have taken if it was genuinely unclear as to the status of the Special Condition. Notwithstanding the steer from QFI’s Advisory Board, Ofqual’s investigation found no evidence that QFI contacted Ofqual to ask whether the special condition had been removed.[footnote 25] QFI did not provide any evidence to the Panel demonstrating it took this step.
19.68. On 30 August 2022, QFI submitted a further expansion request for additional EPA qualifications. At the time it submitted the application, QFI had not asked Ofqual to confirm whether or not the Special Condition remained in place, neither did the application include any statement or other assertion to the effect that QFI was proceeding on a presumption that the Special Condition had lapsed.
19.69. On 9 December 2022, QFI’s Advisory Board discussed the Special Condition again. QFI decided no action was required because Ofqual had not raised the matter with it:
[Redacted] informed members that no communication had been received from Ofqual with regards to the special condition - cap on 200 candidates registered at any one time over next 12 months - applied on approval March 2021. This was not reviewed or raised by Ofqual on or after March 2022. [Redacted] stated that through the expansion requests Ofqual is well aware that this number will be exceeded. It was agreed that as Ofqual has not raised the matter that no action is required.[footnote 26]
19.70. It appears to the Panel that QFI’s Advisory Board may have been provided with incomplete information about the sequence of events following the review date. There is no reference to the fact that there had been a review in June 2022, no check had been undertaken by QFI as recommended by the Advisory Board in August, or that the August expansion request was also outstanding.
19.71. On 19 December 2022, Ofqual wrote to QFI with the outcome of the expansion request submitted on 30 August 2022. In the decision letter, QFI was informed that the expansion request had been successful, and that its recognition would be subject to additional Special Conditions. Ofqual informed QFI that the Special Conditions were in addition to the Special Conditions already in place (i.e. QFI 2.1).
19.72. QFI’s application had included projected Learner numbers. Panel meeting notes[footnote 27] show (and Ofqual’s investigation also concluded[footnote 28] that Ofqual did not consider those projections to indicate an imminent risk that QFI would fail to comply with the restriction on Learner numbers.[footnote 29] As with the previous expansion application, QFI made no reference to QFI 2.3 and no application under QFI 2.4 in its application.
19.73. On 5 January 2023, QFI submitted a further expansion application. The application included the April 2022 – March 2023 business plan (i.e. the year following the review date). The business plan includes a specific section about the Special Conditions. There is no mention in the business plan of the review date, or of any assumption that the Special Condition had lapsed. More particularly, at paragraph 16 the business plan records:
QFI’s recognition came with special conditions, those still open are detailed here … QFI2 – restriction on learner numbers.
19.74. On 8 March 2023, Ofqual issued QFI with consolidated Special Conditions, these repeated and did not alter QFI 2.1.[footnote 30]
19.75. On 14 March 2023, QFI wrote to Ofqual, to address Conditions QFI 2.1 to 2.4 - restriction on Learner numbers. QFI explained that because it considered Ofqual had not reviewed the Special Condition by the review date, and no formal decision was issued, it had assumed the expansion requests and in particular the supply of materials/profiles/financial statements in support of these – coupled with their subsequent approval, constituted a proxy for this Ofqual review.
In the Annex to this letter, QFI stated that in 2022, 333 EPAs had been carried out (it is not particularly clear if QFI was indicating this was 333 EPAs regulated by Ofqual noting EPAs had been transferring across to Ofqual through expansion requests).
19.76. On 22 March 2023, Ofqual summarised the position regarding the Special Condition to QFI:
Regarding the review of Conditions QFI 2 and QFI 3 in March 2022, I refer you to the letter from … dated 15 March 2022 (attached). This states QFI’s understanding that Ofqual was reviewing these conditions, and that QFI would await a decision pending the outcome of an expansion application.
Our letter of 14 June 2022 (also attached) to approve this application noted that the Special Conditions would remain in place. This letter does mistakenly refer to Condition QFI 1, which was removed on 19 May 2021, and should have instead referred to Condition QFI 3. Please accept my apologies for this error, which was corrected in our communication of 8 March 2023.
I note your request to combine your next expansion application with a review of Condition QFI 2 and will provide a response in due course.’[footnote 31]
19.77. On 23 March 2023, QFI responded welcoming the fact that Ofqual would consider its request to combine its next expansion request with a review of Condition QFI2.1.[footnote 32]
19.78. On 14 April 2023, Ofqual informed QFI that it had begun a regulatory investigation.[footnote 33]
19.79. On 14 April 2023, Ofqual also explained that the current review date for the Special Conditions was 19 June 2023. Ofqual set out that it had considered whether it should review the Special Conditions earlier than the 19 June 2023, but decided that this would not be appropriate in light of the decision to investigate QFI and the decision to defer the current expansion application.[footnote 34]
19.80. On 16 June 2023, Ofqual informed QFI that it was deferring the review of QFI’s Special Conditions until it was able to consider the findings of the investigation.[footnote 35]
19.81. On 12 July 2023, during the investigation, QFI’s Responsible Officer “RO” was asked to explain the number of Learners exceeding the cap. The evidence is set out at paragraph 132 of the investigation report. At that time, the explanation by the RO was that QFI was not taking Ofqual’s Special Conditions into account because it does not cap its Learner registrations. The RO stated that if QFI implemented the Learner cap ‘there would be no business’ and said that QFI had told Ofqual this. During the same meeting (page 10), the RO stated, ‘I suppose we’ve never made any effort to stay within the 200 cap because there wouldn’t be a viable business if we did so.’
19.82. Having considered the evidence, the Panel rejects QFI’s contention that because it provided projections with expansion requests, it has a defence to the allegation that it breached the Special Conditions.
19.83. The Panel finds that although QFI provided projected Learner figures in its expansion requests, the evidence shows that Ofqual repeatedly informed QFI that the Special Conditions remained in place (including March 2022, June 2022, and December 2022), QFI therefore had no genuine reason to believe the Special Condition had been removed given it had not received any communication to that effect from Ofqual.
19.84. The Panel observes that QFI’s initial explanation for exceeding the cap, provided through its Responsible Officer, was that there was no effort by QFI to stay within the registration cap because to do so would have a detrimental impact on QFI’s business. This statement suggests that QFI chose not to cap the number of registered Learners, and chose not to comply with the Special Condition, due to the impact compliance would have on its profitability.
19.85. The Panel finds that QFI either wilfully breached the Special Condition or was grossly negligent in assuming that the Special Condition no longer remained applied; in either circumstance, it cannot be said that QFI was taking all reasonable steps to comply with the Special Condition and there was a significant failure of governance at QFI.
Conclusion
19.86. In the final analysis and view of the findings of fact, the Panel finds Ofqual’s case as set out in the Statement of Case proven.In reaching a decision, the Panel considered QFI’s representations relating to the investigation process and considered the weight that should be attributed to evidence obtained during the investigation. The evidence relating to QFI’s failure to comply with the Special Condition, primarily relies on documentary evidence, including QFI’s own records. After an examination of the evidence, the Panel is satisfied that the evidence related to QFI’s non-compliance with the Special Condition is compelling.
19.87. The Panel finds that:
a) Special Condition QFI 2.1 applied to all of QFI’s qualifications and was not restricted to qualifications recognised on 26 February 2021.
b) QFI was aware that Special Condition QFI2.1 applied to qualifications recognised after 26 February 2021.
c) The number of registered Learners exceeded the cap in QFI 2.1(a), as set out in the investigation report, that is, QFI exceeded the restriction by allowing 848 Learners to be registered on 30 April 2023.
d) Ofqual reviewed the Special Condition from time to time as required by Ofqual’s Taking Regulatory Action policy.
e) QFI failed to take all reasonable steps to comply with QFI 2.1(a).
The Panel finds that QFI either wilfully breached the Special Condition or was grossly negligent, in either circumstance QFI failed to take all reasonable steps to comply with the Special Condition. The Panel concludes that there was a significant failure of governance at QFI.
20. Allegation 2
20.1. Special Condition QFI2.1(b) requires QFI to take all reasonable steps to ensure that no more than 200 Learners in total take assessments for its qualifications in any 12-month period.
Ofqual’s statement of case
20.2. QFI failed to take all reasonable steps to ensure that no more than 200 learners in total took assessments for its qualifications in any 12-month period, contrary to Special Condition QFI 2.1(b).
20.3. Paragraphs 120, 122, 123 and 132 of the Investigation Report set out the relevant evidence and findings of the investigation team.
20.4. In summary, the evidence at paragraph 119 shows that Condition QFI 2.4 provides a formal mechanism for QFI to submit a written application to Ofqual to seek a variation of the thresholds specified by Special Condition QFI 2.1, the investigation found no evidence that QFI submitted a formal request to Ofqual for a variation of the thresholds.
20.5. The evidence at paragraph 120, 122 and 123 shows that during a seven-month period from 1 January 2023 to 13 July 2023, QFI assessed 237 learners with QFI continuing to assess learners notwithstanding the requirements of the Special Condition.
20.6. The evidence at paragraph 132 of the Investigation Report shows that during an interview on 12 July 2023 (page 8), the RO confirmed that QFI was not taking the Special Conditions into account because it did not cap learner registrations.
20.7. Accordingly, QFI has not taken all reasonable steps to comply with Special Condition QFI 2.1(b).
QFI’s representations
20.8. In its representations of 3 May 2024, QFI states:
‘QFI refutes this allegation on the following basis.
• This allegation refers to a cap on learners taking assessments as opposed to being registered with QFI. These are two different things i.e. learners registered and learners taking assessments.
• QFI encouraged early registration by not charging centres a registration fee for learners. This was intended to assist with the accuracy of forecasting. Learners could be registered with QFI for 2 or more years before requiring assessment.
• Ofqual have never made clear whether the 200 learners taking assessments are the same learners registered as above.
• In the 12-month period up until the review date stated by Ofqual, QFI assessed just 32 learners. Our representation to this allegation is as above.’
Issues not in dispute
20.9. Ofqual imposed Special Condition QFI 2.1 on 26 February 2021.
20.10. QFI did not submit a formal application to vary the Special Conditions under Special Condition QFI2.4.
20.11. QFI did not exceed the cap during the first 12 months.
Issues in dispute
20.12. Whether the number of assessed Learners exceeded the cap in QFI 2.1(b).
20.13. Whether QFI took all reasonable steps to comply with the Special Condition.
Panel findings of fact and law
Whether the number of learners exceeded the cap
20.14 QFI has not provided any evidence to suggest the findings at paragraphs 120, 122 and 123 are incorrect. These paragraphs show that during a seven-month period from 1 January 2023 to 13 July 2023, QFI assessed 237 learners with QFI continuing to assess learners notwithstanding the requirements of the Special Condition.
20.15. On that basis, the Panel is satisfied that the number of assessed Learners exceeded the cap.
Whether QFI took all reasonable steps to comply with the Special Condition
20.16. The question for the Panel is whether QFI took all reasonable steps to comply with Special Condition QFI2.1(b)
20.17. For the reasons set out at paragraphs 19.55-19.86, the Panel rejects QFI’s argument that there was either a lack of clarity on the status of the Special Condition or that, because QFI provided projections with expansion requests, it has a defence to the allegation that it breached the Special Conditions.
20.18. The Panel observes that during a seven-month period from 1 January 2023 to 13 July 2023, QFI went on to assess 237 learners with QFI continuing to assess Learners notwithstanding the requirements of the Special Condition QFI 2.1(b) restricting the number of assessments in any 12-month period to 200 despite Ofqual’s letter of December 2022, QFI’s business plan from 5 January 2023, the letter from QFI to Ofqual dated 23 March 2023, and Ofqual’s letters to QFI dated 3 April 2023, 14 April 2023, and 16 June 2023 all showing QFI was aware that the Special Conditions remained in place.
20.19. The Panel finds that QFI either wilfully breached the Special Condition or was grossly negligent in assuming that the Special Condition no longer applied; in either circumstance, it cannot be said that QFI was taking all reasonable steps to comply with the Special Condition and there was a significant failure of governance at QFI.
Conclusion
20.20. For similar reasons as set for allegation 1, the Panel is satisfied that QFI failed to take all reasonable steps to comply with QFI2.1(b).
20.21. The Panel finds that:
f) The number of assessed Learners exceeded the cap in QFI 2.1(b) as set out in the investigation report, that is QFI exceeded the restriction by assessing 237 Learners in the period January 2023 to 13 July 2023 (with QFI continuing to assess Learners).
g) QFI failed to take all reasonable steps to comply with QFI 2.1(b).
The Panel finds that QFI either wilfully breached the Special Condition or was grossly negligent, in either circumstance QFI failed to take all reasonable steps to comply with the Special Condition. The Panel concludes that there was a significant failure of governance at QFI.
21. Allegations 3–8
21.1. Allegations 3-8 related to concerns about QFI’s Learner forecasting processes, accuracy of data and risk management policies.
21.2. Allegations 3-8 were denied throughout the proceedings by QFI.
21.3. The Panel finds that these allegations would not make any material difference to the sanction given the findings in respect of allegations 1 and 2 and QFI’s decision to surrender recognition.
21.4. The Panel finds that it is not in the public interest to consider these allegations at this time. The Panel has decided to leave the allegations on file and adjourn the allegations ‘sine die’.
Proposed imposition of a Monetary Penalty
22. The Panel has considered all of the evidence and QFI’s representations, and found that QFI has breached the following Conditions of Recognition in this case:
22.1. QFI 2.1(a)
22.2. QFI 2.1(b)
23. In determining whether or not a Monetary Penalty is an appropriate regulatory outcome in this case, and if so, what amount would be proportionate to impose, the Panel has had regard to Ofqual’s Taking Regulatory Action policy (2012) “the TRA policy”.
24. Decision to impose a monetary penalty
24.1. The TRA policy states that when deciding whether to impose a monetary penalty, Ofqual will consider a number of factors, including –
(a) the seriousness of the breach, particularly in relation to its effect on standards of qualifications, public confidence or the efficiency of the qualifications system,
(b) the effect of the breach (both in terms of the seriousness of the impact and the number of people affected) on purchasers, Learners and Users of qualifications;
(c) the effect of the breach on Ofqual’s ability to regulate the awarding organisation effectively in the future,
(d) whether the breach was prolonged or repeated,
(e) whether the awarding organisation has breached regulatory requirements in the past, and, if so, how frequently,
(f) the extent to which the circumstances of the breach were within the control of the awarding organisation,
(g) the behaviour of the awarding organisation in relation to the breach, including whether it happened intentionally, whether there was any negligence on the part of the awarding organisation, and whether the breach gives rise to concerns about the organisation’s management or control systems,
(h) whether the breach gave rise to financial gain or competitive advantage,
(i) whether a fine is likely to improve compliance with regulatory conditions in the future (including by other awarding organisations), and
(j) any financial sanctions that have been imposed in relation to the breach by another regulatory body, such as [Qualifications Wales].
24.2. The Panel finds that this case is sufficiently serious to warrant the imposition of a Monetary Penalty for the following reasons:
a. Ofqual imposes Special Conditions where it has specific concerns about an awarding organisation. Special Conditions are therefore intended to form an extra layer of protection for learners to guard against particular risks. As such, the default position should be for Ofqual to use – and be seen to use – its statutory enforcement powers when Special Conditions are breached.
b. In this case, the Special Conditions were imposed by Ofqual at recognition on the basis of concerns about QFI’s ability to comply with the General Conditions of Recognition given its size and the resources available to it. QFI knew the basis for the Special Conditions and should therefore have been assiduous in its compliance with those conditions.
c. The breaches of the Special Conditions were within QFI’s control.
d. QFI asserted that it increased Learner numbers because it considered the Special Conditions no longer applied. The Panel has found that Ofqual informed QFI that the Special Conditions remained in place. The evidence shows that the failure to take all reasonable steps to comply with the cap was either wilful or as a result of gross negligence on the part of QFI, in either circumstance there was a significant failure in governance at QFI.
e. The breaches of the Special Conditions gave rise to financial gain for QFI as more Learners have been registered and assessed than permitted by the Special Condition.
f. A financial penalty is likely to improve compliance by other awarding organisations as it demonstrates the importance that Ofqual places on compliance with Special Conditions. The breaches are so serious that the Panel would have considered withdrawal of recognition (potentially in addition to a monetary penalty) had QFI not already surrendered its recognition.
25. Monetary penalty starting point
25.1. In compliance with section 151B of the 2009 Act, Ofqual may not impose a monetary penalty that exceeds 10 per cent of the annual turnover of the awarding organisation. Provided that penalties are within this limit, Ofqual is not required to determine the amount of a penalty by reference to a percentage of an awarding organisation’s annual turnover and the amount of the fine may be whatever Ofqual decides is appropriate in all the circumstances of the case.
25.2. QFI informed Ofqual that its turnover is as follows: [Table content redacted]
25.3. The TRA policy provides that when determining a baseline amount (or initial figure) for the particular penalty, in addition to considering the factors outlined above, Ofqual will take into account all other relevant factors. Such factors include (but are not limited to) –
a) the steps taken by the awarding organisation to rectify and prevent recurrence of the breach;
b) whether the breach was reported promptly and whether there was any attempt to hide the breach;
c) the level of cooperation with Ofqual’s investigation;
d) the likely impact of the penalty on the awarding organisation’s provision of regulated qualifications,
e) the provision of restitution and compensation (where appropriate) to those affected by the breach
f) the circumstances of the breach in comparison to similar breaches for which fines have been imposed, and
g) the awarding organisation’s turnover from regulated activities in relation to its total turnover.
25.4. The Panel’s findings on additional factors when determining the baseline amount are as follows:
a. Steps taken to rectify and prevent recurrence of the breach – QFI did not take steps to rectify or prevent recurrence of the breach, QFI decided to surrender recognition. The Panel has considered whether to reduce the baseline amount in light of QFI’s decision to surrender. The Panel does not consider such an approach to be appropriate, Ofqual’s fining power would be less of a deterrent if awarding organisations believed they could operate in a non-compliant manner and surrender recognition to avoid a monetary penalty.
b. Whether the breach was reported promptly - An Ofqual investigation was required to identify the breaches and QFI has denied the breaches throughout, it therefore cannot be said that QFI promptly reported the breaches to Ofqual. The Panel has noted that in the Annex to its March 2023 letter, QFI was transparent with the number of assessed learners exceeding the cap in 2022, and has determined that baseline amount on this basis.
c. Whether there was any attempt to hide the breach - The investigation report does not suggest that QFI sought to hide the breach from Ofqual.
d. The level of cooperation with Ofqual’s investigation. There is no evidence to suggest that QFI failed to co-operate with Ofqual’s investigation, however QFI’s cooperation with the investigation is undermined by QFI’s denial of the facts and breaches which has required Ofqual to make specific determinations in respect of many questions of fact and issues of breach where the Panel has found against QFI.
e. The provision of restitution and compensation (where appropriate) to those affected by the breach. This factor is not applicable.
f. Impact of penalty on provision of regulated qualifications. There is no impact of a penalty on the provision of regulated qualifications in light of QFI’s decision to surrender recognition.
g. The awarding organisation’s turnover from regulated activities in relation to its total turnover. QFI states it was unable to provide a percentage of turnover from regulated activities for 2023-2024. QFI previously indicated the percentage was 90% in 2022/2023, there is no reason to believe the percentage was lower in 2023/2024 and determines the penalty based on a minimum of 90%.
25.5. The Panel has considered the circumstances of the breach in comparison to similar breaches for which fines have been imposed. The Panel did not identify any previous fines for similar breaches. In determining the starting point the Panel has considered the monetary penalty imposed on IQ in 2018, which was also a case disputed by the awarding organisation. A high-level summary of the case can be found here.
25.6. In that case, Ofqual imposed a monetary penalty of £50,000. That fine was reduced from £60,000 because Ofqual considered that £60,000 was too high a percentage of IQ’s relevant turnover. The Panel finds that the current case is significantly less serious in terms of evidence of harm from the breaches. However, noting the breaches in the current case were either wilful or as a result of gross negligence, the current case warrants a significant penalty to deter other awarding organisations from breaching Special Conditions.
25.7. A similar proportion of QFI’s turnover (to the £50,000 fine imposed on IQ) would indicate a fine of £79,111. The Panel considers that would be too high in all the circumstances. In this case the Panel considers that a starting point less than 5% of turnover would be appropriate. Given the need to encourage awarding organisation to be assiduous to their compliance, the Panel finds that a starting point of £50,000 is appropriate. When determining this amount, the Panel has taken into account, as a factor which lowers the starting point, the fact that in August 2022, QFI’s Advisory Board acted appropriately when requesting QFI check on the status of the Special Condition (which QFI’s management then failed to act upon).
26. Adjustment
26.1. The TRA policy sets out a number of factors which may increase or decrease the amount of the penalty, although the policy recognises that there might be other aggravating or mitigating factors.
26.2. The Panel finds that the following aggravating factors might be available:
26.2.1. QFI’s breaches involved decisions taken by members of its senior management.
26.3. The Panel finds that the following mitigating factors might be available:
26.3.1. QFI has a good history of regulatory compliance.
26.3.2. The Panel finds that the weight of this mitigating factor is limited, specifically although there is no previous history of non-compliance, QFI was a relatively new awarding organisation with Special Conditions to manage concerns over capability and capacity, the investigation report identified various weaknesses in QFI’s processes.
26.4. The Panel has considered whether the initial figure should be revised upwards, downwards or make no adjustment to the initial figure, the Panel has decided that no adjustment is necessary and a fine in the sum of £50,000 is appropriate in all the circumstances of the case.
27. Burden and growth
27.1. Ofqual recognises that imposing the monetary penalty on QFI will impose regulatory burden. Ofqual has considered its obligations pursuant to section 170 of the 2009 Act, not to impose (or maintain) any unnecessary regulatory burdens.
27.2. For the reasons given generally in this document Ofqual considers that the regulatory burden associated with the imposition of the monetary penalty in this case is a necessary burden, in the context of Ofqual’s statutory objectives and duties. That is, imposing the monetary penalty on QFI will serve to deter other awarding organisations from future breaches of the Conditions, which will assist Ofqual to secure standards, and will promote public confidence in qualifications. In the circumstances, Ofqual considers the burden associated with the monetary penalty is therefore proportionate.
27.3. Ofqual has had regard to the desirability of promoting economic growth, in accordance with the Deregulation Act 2015. Imposing the monetary penalty is likely to have an adverse impact on QFI’s economic growth but Ofqual considers that the macro impact of imposing the monetary penalty is likely to be positive. In particular, the monetary penalty will promote growth for compliant awarding organisations by demonstrating that Ofqual will hold to account awarding organisations which do not comply, and which avoid the necessary costs of regulation.
28. Impact
28.1. Ofqual has considered whether a decision to impose a monetary penalty on QFI in the sum of £50,000 would give rise to any equalities implications. Ofqual has not identified any evidence that there might be any such implications associated with a decision to impose the monetary penalty and QFI has made no representations in this connection.
29. Decision
29.1. In compliance with section 151B of the 2009 Act, Ofqual may not impose a monetary penalty that exceeds 10% of the annual turnover of the awarding organisation.
29.2. The Panel is satisfied that the proposed monetary penalty is within 10% of QFI’s turnover of [Redacted] (2023/2024 being the latest accounts available at the time of issuing the notice of intention).
Representations
30. This Notice has been served on QFI in accordance with section 151A(4) of the Apprenticeships, Skills, Children and Learning Act, 2009 and QFI now has the opportunity to make representations in respect of Ofqual’s intention to impose a Monetary Penalty of £50,000 on it. Any such representations must be made in writing and sent by E-mail to Enforcement@ofqual.gov.uk and must be received before 4pm on 30 October 2024.
31. The proposed date for publication of this Notice on Ofqual’s website and Portal is 8 October 2024. Once this Notice has been published, interested parties will also have the opportunity to make representations in respect of Ofqual’s intention to impose a Monetary Penalty on QFI, in accordance with Ofqual’s Taking Regulatory Action policy (2012).
Next Steps
32. The Panel will consider this case again once QFI and interested parties have had the opportunity to make representations.
33. The Panel will consider any representations made as specified in this Notice and we will decide whether to make a final order for the payment of a Monetary Penalty, and if so in what amount, or whether any other order should be made.
34. If Ofqual does not receive representations it may determine this matter after the date for representations is given, alternatively it may agree a different date for the receipt of representations.
Signed: Chris Paterson
Chair of the Enforcement Panel
Date: 27 September 2024
Enforcement Panel:
- Chris Paterson
- Hardip Begol CBE
- Clare Pelham
Annex A
Legal provisions
Statutory powers
1. Qualification for Industry (“QFI”) was recognised as an awarding body by The Office of Qualifications and Examinations Regulation (“Ofqual”) under section 132(1) of the Apprenticeships, Skills, Children and Learning Act, 2009 (“the 2009 Act”) and is subject to the General Conditions of Recognition (“the Conditions”) which Ofqual is required to set and publish under Section 134 of the 2009 Act.
2. Under Section 151A(2) of the 2009 Act, Ofqual may impose a Monetary Penalty on an awarding body if it appears to Ofqual that the awarding body has failed to comply with its Conditions of Recognition (General and/or Qualification Level).
3. Under Section 151B(3) of the 2009 Act, the amount of any Monetary Penalty may be whatever Ofqual decides is appropriate in all the circumstances of the case, subject to Section 151B(1), which provides that Ofqual may not impose a Monetary Penalty in an amount which exceeds 10% of the awarding body’s turnover.
4. Ofqual’s Taking Regulatory Action Policy (2012) sets out how it will use its powers to take regulatory action, including the factors it will take into account when deciding whether to impose a Monetary Penalty and how it will determine the amount of any Monetary Penalty to be imposed.
General Conditions of Recognition
5. QFI ha legal obligations to comply with the General Conditions of Recognition on an ongoing basis. The General Conditions of Recognition include guidance on how to comply with the rules. QFI had a legal obligation to have regard to this guidance.
6. Definitions are set out in J1.8 of the General Conditions of Recognition.
The definition of Learner is:
“Learner - A person who is registered to take a qualification and to be assessed as part of that qualification.”
Special Conditions of Recognition
7. At recognition, Ofqual imposed Special Conditions of Recognition upon QFI which capped the number of Learners which could be registered and assessed by QFI. The full Special Conditions are set out in Annex B.
For the purposes of the case, the relevant Special Condition is QFI 2.1:
QFI must take all reasonable steps to ensure that:
(a) no more than 200 Learners in total are at any one time registered
to take its qualifications; and
(b) no more than 200 Learners in total take assessments for its
qualifications in any 12 month period.
Annex C
The investigation report
1. Ofqual’s statement of case refers to the paragraphs in Ofqual’s final investigation report dated 9 November 2023. Extracts of the investigation report are set out below.
Allegation 1
- Relevant findings are set out at paragraphs 114 -121:
‘Compliance with Special Conditions
114. On 26 February 2021, Ofqual informed QFI that Special Conditions would be placed on QFI from the date of its recognition on 5 March 2021. One of the Special Conditions restricted the number of Learners that QFI could register at any one time and the number of Learners it could assess in any 12-month period, as well as placing other requirements on QFI in relation to the restrictions. Ofqual imposed the restrictions because there was a risk that QFI did not have sufficient capacity to develop, deliver and award qualifications in a way that complied with its Conditions of Recognition in the event that Learner volumes increased significantly. The Special Conditions remain in place and were re-issued to QFI on 8 March 2023.
QFI made representations about this paragraph. QFI’s representation and Ofqual’s response can be found within Annex 1 to this report.
115. During an interview with the RO on 12 July 23 (also referred to in paragraph 38 of this report), the RO stated that QFI had informed Ofqual that it would breach its Special Conditions relevant to the Learner cap.
116. QFI’s expansion request dated February 2022 (page 25) states that:
We have abided by QFI 2.1 and QFI 2.2. This document and our previous submission material indicate that we are likely to remain within QFI2.1 ~182 Apprentices (see above monthly profile).
We do wish to indicate however that we have secured ~300 Apprentice EPAs, so it is likely that we will be exceeding the thresholds specified in Condition QFI 2.1 between now and 31 January 2023. We are stating this in line with QFI 2.3.
We will of course be making a formal application in line with QFI 2.4; and this document and other submitted materials will constitute part of the evidence for Ofqual’s consideration to show how QFI will be able to comply with General Condition A5 in light of our anticipated Learner numbers.
117. The investigation team also reviewed Portal communications from QFI and found a letter from QFI’s consultant dated 15 March 2022 informing Ofqual that:
You reminded us that we can formally ask for the restraints to be removed and we will of course consider that. We anticipate that this year, we will carry out ~182 End-point Assessments so as of ‘now’ that course of action is not technically necessary. We do however anticipate growth to a number above the cap, i.e.350-370 End-point Assessments and the impediments that I highlighted earlier remain – so we will continue to have dialogues with you as we progress through this transition year.
118. Portal communications also contain a letter from QFI’s Executive Director to Ofqual dated 14 March 2023 stating that QFI had ‘complied with all aspects of these [Special] Conditions’. However, an annex of the same the letter indicates that QFI had carried out a total of 333 end point assessments. It was unclear as to how many of those related to Standards regulated by Ofqual at the time the EPA took place.
119. Special Condition QFI 2.4 provides a formal mechanism for QFI to submit a written application to Ofqual to seek a variation of the thresholds specified by Special Condition QFI 2.1. Despite QFI’s statement that it would submit a formal application, the investigation has found no evidence that QFI submitted a formal request to Ofqual for a variation of the thresholds specified in Condition QFI 2.1.
QFI made representations about this paragraph. QFI’s representation and Ofqual’s response can be found within Annex 1 to this report.
120. The data extracted by QFI on 30 April 2023 within the Risk Categorisations spreadsheet shows the following data for registered Learners and EPAs across QFI’s 46 regulated Standards:
| Description of data from Risk Categorisations spreadsheet | Number of Learners |
|---|---|
| Total ACE360 (Registered Learners and includes EPAS in progress and completed) (column N) | 1516 |
| Rolling total of EPAs completed (column O) | 559 |
| Total EPAs in progress (column P) | 109 |
121. During an interview with the RO on 12 July 23 (page 9), the RO confirmed that the number of registered Learners on 30 April 2023 was 848. This is calculated from the total registered Learners, minus the EPAs completed and the EPAs in progress, from the data within paragraph 120 of this report. Special Condition QFI 2.1 (a) requires QFI to take all reasonable steps to ensure that no more than 200 Learners in total are at any one time registered to take its qualifications. The investigation considers there is evidence to indicate QFI has not complied with Condition QFI 2.1 (a) because as of 30 April 2023 it had 848 Learners registered to take an EPA with QFI, which exceeds the cap set by Ofqual by 648.
QFI made representations about this paragraph. QFI’s representations and Ofqual’s response can be found within Annex 1 to this report.’
3. Ofqual’s Regulatory Compliance team’s responses to QFI’s representations in relation to paragraphs 111, 116, 118, 124, 127 of the draft Investigation Report were as follows:
Point 111 (now 114)
This fails to mention that the special conditions were due to be reviewed by Ofqual “On or before 5 March 2022 (the ‘review date’), Ofqual will review whether the requirements of Special Conditions QFI 2 (Restriction on Learner numbers) and QFI 3 (Notification to Ofqual) need to remain in place and will issue its decision to QFI. QFI may request that Ofqual carries out this review before the specified review date if it believes some or all of the requirements no longer need to remain in place. QFI should provide evidence to support any such request.” No review took place on or before this date. QFI received an indication 08/03/2023 the cap of 200 learners was still in place, by which time this had been exceeded.
Ofqual notes QFI’s representation
The investigation agrees that the initial communication regarding the Special Conditions did contain a review date on or before 5 March 2022.
The Special Conditions were reviewed during a meeting chaired by Ofqual’s Director of Operations VTQ, also attended by QFI’s RO and Consultant on 14 March 2022.
There is evidence that later in March 2022 QFI acknowledged this review and this is evidenced in its letter dated 15 March 2022 that stated, ‘We will assume that our discussions and this read-out from yesterday’s meeting, ostensibly reflect an articulation of your decision’.
QFI’s letter dated 15 March 2022 also states that QFI had agreed to ‘wait until Ofqual has reached a decision on our current re-worked expansion request, and subject to that being positive have further discussions with you about easing the restraints on our business operations.
Refer also to the investigation’s response to QFI’s representation about paragraph 118 (now 121) below, which includes evidence of the communications Ofqual sent to QFI relating to the Special Conditions.
For these reasons, the investigation has decided not to amend this aspect of the investigation report.
Point 116 (now 119)
QFI did not submit any formal application, however a number of requests to expand QFI’s scope of recognition included detailed forecasting of numbers. This demonstrated that numbers may exceed the restriction which was due review by Ofqual 12 months after this was imposed – such a review did not happen. There was a lack of clarity and enforcement on the part of Ofqual that the conditions were in fact still in place
Ofqual notes QFI’s representation
QFI’s recognition applications contain no evidence that shows either that QFI would exceed the cap or that it had exceeded it after March 2022. In particular:
a. The February 2022 application (refer to paragraph 113 of the report (now 116) includes the most detail about the need for QFI to be able to assess more learners that the cap permitted and includes detailed three-year forecasts which are at much higher numbers. However, in that application QFI also makes clear in absolute terms, that it would make an application under QFI2.4 if the cap was at risk.
b. The later applications (May 2022, August 2022 and January 2023) do not include specific reference to the Special Conditions, and do not include headline figures for projections. When the figures in these applications are added, they do not suggest a breach of the cap had occurred or was imminent.
The investigation finds that QFI’s representation does not support the case that QFI included ‘detailed forecasting’ demonstrating numbers would exceed the Learner cap.
The investigation has decided not to amend this aspect of the investigation report.
Point 118 (now 121)
The special conditions – including the restriction on learner numbers - applied from 5 March 2021 and were due to be reviewed by Ofqual. In a letter from Ofqual it was stated: On or before 5 March 2022 (the ‘review date’), Ofqual will review whether the requirements of Special Conditions QFI 2 (Restriction on Learner numbers) and QFI 3 (Notification to Ofqual) need to remain in place and will issue its decision to QFI. No such review took place by Ofqual, and without further information QFI assumed that the restriction no longer applied as Ofqual did not communicate that the special conditions were still in place. The special conditions were however belatedly re-issued to QFI two years later on 8 March 2023, by which time numbers were in excess of this without any issue. This is after all, a restriction imposed upon our business operations by Ofqual. We determine therefore that the onus is on Ofqual to communicate clearly its decision making processes and outcomes. We were we believe, within our rights to assume that your review had taken place, and the lack of a formal or consistent set of communications at that time from Ofqual indicated that the Special Conditions and lapsed. It is not QFI’s role to progress chase Ofqual’s decision making.
Ofqual notes QFI’s representation
Please refer to the investigation’s response to QFI’s representation about paragraph 111(now 114) in relation the review date of the Special Conditions.
The investigation disagrees with QFI’s representation because there is significant evidence that QFI knew the Special Condition relating to the Learner cap would remain in place until QFI made a successful application to remove or vary that condition. In particular:
a. In QFI’s February 2022 expansion request, QFI referred to the Special Conditions, noting that it was likely to exceed the learner cap before 31 January 2023, but went on to say: ‘we will of course be making a formal application in line with QFI2.4…’. This is an unnecessary assertion if, as is now averred, QFI at that time considered the cap would either be reviewed within weeks and might fall away after the review date,
b. QFI’s letter of 15 March 2022 which followed the review meeting with Ofqual indicates that QFI knew after the review date, that the condition remained in place:
• ‘…[the Special Conditions] do now present a very real risk to our business operations’,
• [having set out the terms of the review clause]: ‘we will assume that our discussions and this read-out from yesterday’s meeting, ostensibly reflect an articulation of your decision.’
• ‘We agreed that we wait until Ofqual has reached a decision on our current re-worked expansion request, and subject to that being positive have further discussions with you about easing the restraints on our business operations’.
• The rest of the letter describes the Special Conditions in the present tense, above, and what follows, below) gives rise to a strong inference that QFI was aware that it was advised that the Special Conditions remained in place,
• ‘You reminded us that we can formally ask for the restraints to be removed … [we] anticipate growth to… 350-370 [EPA] .. so we will continue to have dialogues with you’
• ‘If we decide to seek removal of the …special conditions…’
c. Ofqual’s letter of 14 June 2022, states plainly: ‘Please note that special condition …QFI2 (restriction on learner numbers) remains in place’.
d. Ofqual’s letter of 19 December 2022, states plainly: ‘We will share a copy of your Special Conditions and the reasons for these with the DfE’. This communication also contained a copy of the Special Conditions as an annex of the letter.
e. QFI submitted an expansion application in January 2023. That application included the April 2022 – March 2023 business plan (i.e the year following the review date). That business plan includes a specific section about the Special Conditions. There is no mention in the business plan of the review date, or of any assumption that the Special Condition had lapsed. More particularly, at paragraph 16 the business plan records: QFI’s recognition came with special conditions, those still open are detailed here … QFI2 – restriction on learner numbers’.
For these reasons, the investigation has decided not to amend this aspect of the report.
Point 124 (now 127)
As previously mentioned, no review as stated by Ofqual took place within the 12 months after the conditions were imposed. QFI did not breach these during this time, only after this time had lapsed did learner numbers begin to grow. Learner numbers were monitored by the Advisory Board within those 12 months to which the cap applied. Extract from Advisory Board minutes of meeting 18/08/2022 Special condition QFI2: Cap on numbers (200 candidates registered at any one time over next 12 months). Applied March 2021. Whilst QFI has not been formally notified that this condition has been lifted, Ofqual will be aware from QFI’s applications to expand its scope of recognition that numbers will soon be in excess of this cap. No concerns have been raised by them.
Extract from Advisory Board minutes of meeting 09/12/2022 [Redacted] informed members that no communication had been received from Ofqual with regards to the special condition - cap on 200 candidates registered at any one time over next 12 months - applied on approval March 2021. This was not reviewed or raised by Ofqual on or after March 2022 [Redacted] stated that through the expansion requests Ofqual is well aware that this number will be exceeded. It was agreed that as Ofqual has not raised the matter that no action is required.
Ofqual notes QFI’s representation
The meeting minutes dated 18 August 2022 from the Advisory Board that QFI refer to within its representation also contain the following ‘Members advised that QFI should seek a formal notification from Ofqual that this condition has been lifted’.
The same Advisory Board meeting minutes (18 August 2022) also include additional evidence that QFI was aware that the cap remained in place as there is an action within the Special Conditions update section for [Redacted] to seek formal sign off from Ofqual’.
The investigation has found no evidence that [Redacted] had contacted Ofqual to seek formal sign off of the Special Conditions and QFI has provided no evidence to demonstrate that this occurred.
Please refer to the investigation’s response to paragraph 116 (now 119) in regarding QFI’s assertion that it had informed Ofqual that it would exceed the Learner cap within its recognition applications.
Given that the evidence shows that in August 2022 the board had decided that QFI required formal notification from Ofqual that the Special Conditions have been lifted, it remains unclear as to why it changed its view on this in December 2022 given that [Redacted] had not asked Ofqual to lift the Learner cap.
For these reasons, the investigation has decided not to amend this aspect of the investigation report.
Point 127 (now 130)
14/06/2022 – QFI mentioned to Ofqual as part of the meeting that it had remained within the cap 19/12/2022 – this referenced the condition to report cash balance monthly, no mention of cap in numbers.
No inaccurate statement were made by QFI, confusion on the part of whether a cap was still in place was caused by Ofqual.
Ofqual notes QFI’s representation.
The evidence within paragraph 123 (now 126) shows that the RO told the investigation that QFI didn’t hear anything about the Learner cap until 2023 so therefore assumed that the Learner cap was no longer in place.
Paragraph 127 (now 130) of the investigation report refers to evidence of letters sent by Ofqual to the RO that contain a reminder that the Special Conditions were still in place:
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Letter dated 14 June 2022 (page 2) states ‘Please note that Special Conditions QFI 1 (submitting qualifications to the Register) and QFI 2 (restriction on learner numbers) from when you were first recognised remain in place’.
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Letter dated 19 December 2022 (page 2) state: ’We will share a copy of your Special Conditions and the reasons for these with the DfE…’. This letter also contains a copy of the Special Conditions as an annex.
Paragraph 127 (now 130) also refers to a letter from Ofqual to [Redacted] dated 22 March 2023.
The investigation has found no inaccuracies within paragraph 127 (now 130) and has therefore decided not to amend this aspect of the investigation report.
Allegation 2
4. Paragraphs 120, 122, 123 and 132 of the Investigation Report set out the relevant evidence and findings of the investigation team.
’120. The data extracted by QFI on 30 April 2023 within the Risk Categorisations spreadsheet shows the following data for registered Learners and EPAs across QFI’s 46 regulated Standards:
| Description of data from Risk Categorisations spreadsheet | Number of Learners |
|---|---|
| Total ACE360 (Registered Learners and includes EPAS in progress and completed) (column N) | 1516 |
| Rolling total of EPAs completed (column O) | 559 |
| Total EPAs in progress (column P) | 10 |
122. Paragraph 120 of this report contains evidence that there are currently 109 EPAs ‘in progress’ where QFI has commenced the EPA. Furthermore, EPAs passed and failed 2023 xlssx, contains evidence of all Learners that have undertaken an EPA from 1 January 2023 to 13 July 2023:
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197 Learners have passed
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40 Learners have failed.
123. Special Condition QFI 2.1 (b) requires QFI to take all reasonable step to ensure that no more than 200 Learners in total take assessments for its qualifications in any 12-month period The investigation considers there is evidence to indicate that QFI has failed to comply with Condition QFI 2.1 (b) because during 2023 QFI has already assessed 237 Learners, which is 37 Learners in excess of the cap set by Ofqual and continues to assess additional Learners who have an EPA in progress.
132. During an interview on 12 July 2023 (page 8), the RO confirmed that QFI is not taking Ofqual’s Special Conditions into account because it does not cap its Learner registrations. The RO stated that if QFI implemented the Learner cap ‘there would be no business’ and QFI have told Ofqual this. During the same meeting (page 10), the RO stated, ‘I suppose we’ve never made any effort to stay within the 200 cap because there wouldn’t be a viable business if we did so.’ The investigation considers this evidence demonstrates that QFI has wilfully disregarded the Learner cap imposed by Ofqual under Special Condition QFI 2.1, despite making a statement to the contrary (see paragraph 118 of this report).
QFI made representations about this paragraph. QFI’s representation and Ofqual’s response can be found within Annex 1 to this report.’
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Section 132 of the Apprenticeships, Skills, Children and Learning Act 2009 (ASCLA) states: (1) Ofqual must recognise an awarding body in respect of the award or authentication of a specified qualification, or description of qualification, to which this Part applies if—(a)the awarding body has applied for recognition in the respect in question, and (b)the body meets the applicable criteria for recognition most recently published under section 133 (2) Ofqual may not recognise an awarding body if the requirements set out in paragraphs (a) and
(b) of subsection (1) are not met by the body. (3) A recognition— (a) has effect from such date as Ofqual may specify (b) is subject to the general conditions, (c) if in respect of a qualification subject to the accreditation requirement, is subject to an accreditation condition, and (d)is subject to such other conditions that Ofqual may impose at the time of recognition or later.’ (4)But Ofqual may, at the time of recognition or later, determine that a specified recognition is not to be subject to a specified general condition…..’ ↩ -
Ofqual’s Taking Regulatory Action policy Version 2 May 2012 (p10-12):sets out Ofqual’s policy in respect of Special Conditions. ↩
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Full Special Conditions are included in Annex B to this Notice. ↩
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Appendix 2 of the bundle. ↩
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See Annex C of this Notice. ↩
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QFI Final representations 03.05.2024, Appendix 11 of the bundle. ↩
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RM’s QFI signed letter 05.07.2024, Appendix 16, document no 2 of the bundle. ↩
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ACE360 refers to the Learner Management System used by QFI. ↩
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March 2023 Special Conditions located at Appendix 6 of the bundle. ↩
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QFI letter dated 15 March 2022, Appendix 12 of the bundle. ↩
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p.2 17th Board meeting, Appendix 5, document 03 in the bundle. ↩
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26 February 2021 Special Conditions are located in Appendix 1 of the bundle. ↩
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Meeting Notes 19.10.23, Appendix 11, document 06 of the bundle. ↩
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Portal screenshot 4 March 2022, Appendix 16, document 07.a of the bundle. ↩
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Microsoft Teams screenshot, Appendix 16, document 07.b of the bundle. ↩
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Statement dated 6 June 2024, Appendix 12 of the bundle. ↩
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Appendix 7 of the bundle. ↩
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Appendix 8 of the bundle. ↩
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Appendix 9 of the bundle. ↩
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Appendix 10 of the bundle. ↩
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Appendix 12 of the bundle. ↩
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QFI EPA expansion letter Jun22, Appendix 12 of the bundle. ↩
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QFI expansion review – Jun 22, Appendix 16, document 14.c of the bundle. ↩
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p.2 17th Board meeting, Appendix 5, document 03 in the bundle. ↩
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p.83 and 84 of the investigation report. ↩
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QFI’s representations dated 3 May 2024. ↩
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Application review meeting notes, appendix 16, document 15 of the bundle. ↩
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Annex to the final investigation report, p.85. ↩
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Paragraph 130 of the investigation report. ↩
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Appendix 6, document 15 of the bundle. ↩
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Paragraph 130 of the investigation report. ↩
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Appendix 7. ↩
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Appendix 9. ↩
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Appendix 9. ↩
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Appendix 10. ↩