Transparency data

Board minutes: 15 June 2022

Updated 20 July 2023

Applies to England

This document has been subject to redactions

Date

Wednesday 15 June 2022

Time and Venue

09:00 a.m. in Room 9013 and via TEAMS

Attendees

Board:

• Ian Bauckham, Chair

• Susan Barratt

• Hywel Jones

• Dr Catherine McClellan

• Dame Christine Ryan

• Dr Jo Saxton, Chief Regulator

• Matt Tee

• Mike Thompson

• Frances Wadsworth

Ofqual:

• Kate Evans, Interim Executive Director, RCS

• Daniel Gutteridge, General Counsel

• Michael Hanton, Executive Director, Strategy

• Katy Harding, Interim Director, Finance and Commercial

• Charlie Henning, Associate Director, People and Culture

• Cath Jadhav, Executive Director, Standards, Research and Analysis

• Catherine Large, Executive Director, Vocational & Technical Qualifications

• Jane Parsons, Director of Communications

• Julie Swan, Executive Director, General Qualifications

Present:

• Lydia Waine, Senior Manager Board and Governance, Associate Director Legal Establishment

• Mary Webb, Head of Private Office, Deputy Private Secretary

• Mark Lant, Associate Director, Legal Regulatory & Business Operations (Item 07/22), Senior Manager Strategy (Item 10/22)

• Emma Scott, Director of Operations VTQ (Item 13/22)

• Liz Walters, Associate Director, VTQ Policy (Item 11/22)

02/22 Welcome and Apologies for Absence

There were no apologies for absence.

03/22 Declarations of Interest

1. i. Annual Register of Interests

2. The Board approved the Annual Register of Interests for 2022.

3. ii. Declaration of Interests

04/22 Minutes and Matters Arising

With no adjustments, the Minutes of the Board meeting held on 16 March 2022 were approved.

All matters arisings from previous meetings had been dealt with and were now closed.

The reports and updates from the Board Committees were received and noted.

05/22 Decisions taken by Electronic Business

The Board noted the following electronic business:

1. i. E10/21 Digital Functional Skills Consultation Decisions and Frameworks (approved 29 March 2022).

2. ii. E01/22 Sign Off of Level 2 Consultation Response (approved 25 April 2022)

3. iii. E02/22 Delegation of Authority to Technical Committee for HTQ L4/5 (approved 29 April 2022)

4. iv. E03/22 Joint Ofqual/DfE statement on qualifications taking place in 2022/23 – opportunity to comment

06/22 Chief Regulator’s Report

The Board noted the Chief Regulator’s report to the Board.

The Board was advised the summer series was underway with current exam attendance at normal levels.

The Board noted that the Chief Regulator continues to have regular and constructive meetings with Minister Walker and the Secretary of State. The Board noted that the Chief Regulator will continue her programme of visits to ensure she is hearing directly from stakeholders in their contexts.

The Board noted the update in relation to National Assessments. The Board noted STA were reporting that all marking had now been completed. Ofqual will continue to monitor the arrangements, including for the setting of standards.

07/22 FOIA Legal Briefing

08/22 Annual Report on Health and Safety

The Annual Report on Health and Safety was presented to the Board by the Interim Director, Finance and Commercial. Attention was drawn to two key points:

• Ofqual’s continued response to the Covid 19 pandemic, continued compliance with the government’s guidelines and the strategies undertaken to make the workplace safe for staff to return under those guidelines.
• An outbreak of Legionella in a common area of the building was handled appropriately.

The Board was assured of the presence of a regular building compliance report and regular and constructive opportunities to engage with the building owners.

RESOLVED

The Board approved the Annual Report on Health and Safety.

09/22 Ofqual Annual Report and Accounts 2021/2022

i. Financial Position Report (Outturn 2021/22)

The Board noted the update on Ofqual’s financial performance for the year ending 31 March 2022. The provisional outturn underspend was reported to be £0.36 million, which is 1.4% of budget. No adjustments have been requested by the auditors. It was noted the outturn underspend for the last two quarters was consistent with forecasts which shows robust financial management. It was further noted that, had the new HM Treasury financial performance metric for 2022/23 been in force this year, the target of 1% of the Month 6 approved forecast would have been met, which provides additional assurance on Ofqual’s financial management.

The Board congratulated the Interim Director, Finance and Commercial and her team on the very well-managed outturn during this period.

ii. Receive the Annual Report on Governance, Risk Management and Control

Following the Audit & Risk Assurance Committee (ARAC) meeting on 14 June 2022, the Board received the updated Annual Report on Governance, Risk Management and Control. This outlined the work of ARAC in providing assurance of the management systems and controls applied in Ofqual during the period 01 April 2021 to 31 March 2022.

The Chair of ARAC highlighted the following:

1. It had been a year of change and transmission both in Senior Leadership of Ofqual and membership of ARAC and this had all been managed well.
2. A significant increase in the costs of the external auditor was noted. A meeting had been held where reassurance was given that costs had been kept to a minimum. Independent verification had confirmed this was a reflection of external auditor costs elsewhere and not just with Ofqual.
3. Continued good work on effective risk management undertaken with focus on appropriate risks which was giving both ARAC and the Board a deeper understanding of the risks and their mitigating factors.
4. A helpful development session had been undertaken in May 2021 to compare best practice and look at further development opportunities.

The Board noted the scale and scope of the Committee’s activity during the year and noted the scale and scope of the assurance activity undertaken during the year.

iii. Ofqual Annual Report and Accounts 2021/22

The Interim Director, Finance and Commercial, advised the Ofqual Annual Report and Accounts had been presented to ARAC on 14 June 2022, with members of the Finance and HR Committee present. The Board was reminded that the report was substantially complete but would remain a draft report until the accounts were formally certified at the end of June. Final production of the report would follow a similar design to that of the Corporate Plan.

All financial figures in the report were the same as those in the Financial Report and this was confirmed by the Chair of the Finance & HR Committee.

An unqualified opinion with no adjustments and no recommendations for improvement was received from the external auditors.

The Board noted the report and extended congratulations to the Interim Director Finance and Commercial and the team.

iv. Receive the Report from the External Auditor and Management Representation Letter

The Board received and noted the Audit Completion Report 2021/22 and the Management Representation Letter which will be signed by the Chief Regulator and submitted to the Comptroller and Auditor General with the final version of the accounts.

v. Receive the Recommendation of the Audit and Risk Assurance Committee to approve the Annual Report and Accounts.

The Chair of the Audit & Risk Assurance Committee recommended approval of the Annual Report and Accounts to the Board.

RESOLVED

i. The Board received and approved the Annual Report on Governance, Risk Management and Control.

ii. The Board received the Report from the External Auditor and the Management Representation Letter.

iii. The Board received the recommendation from the Audit & Risk Assurance Committee and approved the Annual Report and Accounts 2021/22

10/22 Strategic Risk and Risk Appetite

The Board considered the Strategic Risk Register and proposed amendments.

The Board was advised Ofqual is looking to enhance the risk framework and terminology used to describe appetite and this wider piece of work will be presented to the Board.

RESOLVED

The Board noted the changes in the Risk Register.

11/22 Level 3 Post 16 Qualifications Review

The Board was advised that, following the closure of the policy consultation on the regulatory approach for Level 3 alternative academic and alternative technical qualifications, a substantial piece of work had been undertaken on the decisions to be taken prior to a further technical consultation on the regulatory framework which is due to be launched in late June 2022.

Ofqual’s approach has been informed by discussions with both the Department for Education and the Institute for Apprenticeships and Technical Education (IfATE) and the intended approach had been taken to two Technical Committees for consultation. The Board was asked to approve the recommendations of the Technical Committee. Following discussion, the Board approved the recommendations but asked to have sight of the final documents, following the technical consultation, for information.

RESOLVED

The Board agreed to:

i. Delegate to the Chief Regulator and Chair, final sign-off of the decisions document and analysis document following the policy consultation.

ii. Delegate to the Chief Regulator and Chair, final sign-off of the technical consultation and proposed conditions, requirements and guidance.

iii. Delegate to the Technical Committee all necessary decisions in relation to the development of the regulatory framework following the conclusion of Ofqual’s technical consultation.

iv. Delegate to the Chief Regulator and Chair, following the technical consultation, the decisions document, analysis document and final wording of the conditions, requirements and guidance.

v. The Board being sighted on the decisions document, analysis document and conditions, requirements and guidance for information.

12/22 Summer 2022 Results Update

The Executive Director, Standards Research and Analysis presented an update on preparations for summer 2022 results.

It was noted that national results will be lower than 2021 and it is important to engage stakeholders on that basis.

13/22 Functional Skills Delivery and Evaluation Update

The Board considered a paper concerning the above.

14/22 T Level Update

15/22 Publication of Papers

The Board agreed to publish Open Papers.

16/22 Any Other Business

i. Strategy Day

The proposed Strategy Day on Wednesday 06 July 2022 will be cancelled.

ii. Congratulations

On behalf of the Board, the Chair expressed warm congratulations to Frances Wadsworth, who had been awarded a CBE in the Queen’s Platinum Jubilee Honours List.

iii. Leaver

The Board noted this would be the last meeting for the Executive Director, General Qualifications/Deputy Chief Regulator who was leaving at the end of July. The Chair expressed profound thanks and best wishes on behalf of the Board.

iv. Next Board Meeting

The next Board meeting will be held on 21 September 2022.

The meeting ended at 13:37