Outcomes Framework and Assurance Model

10. There are seven outcomes in the Outcomes Framework that apply to both colleges and universities, with an additional two outcomes that apply to universities. In addition, there are two further outcomes that are cross-cutting and apply across each of the other applicable outcomes for both colleges and universities. The outcomes are not expected to change year-on-year, nor will we be asking colleges and universities to submit written information in advance about how they will deliver these outcomes. These outcomes are consistent with what a well-performing institution should be delivering for its key stakeholders regardless of SFC’s own expectations. The Assurance Model will enable monitoring that the outcomes have been delivered and this also enables individual institutions’ missions, contexts and circumstances to be taken into account appropriately. The monitoring activities will use information that an institution would be using to track its own delivery against these key outcomes.

11. The Assurance Model is the mechanism by which SFC is assured that the Outcomes in the Framework are being delivered so that those things that matter to students, employers, Scottish Government and other stakeholders are in place.
12. There are two primary elements to the Assurance Model: (a) engagement and (b) monitoring.

Engagement

13. Engagement covers a broad range of interactions that SFC has with colleges and universities as well as with students and other key stakeholders of colleges and universities. This comprises:

• Regular meetings that SFC has with colleges and universities. These will focus on strategy, progress against delivery of the outcomes (including data and information submitted during the period prior to the meeting), and emerging issues, opportunities and challenges. This will include discussion of the data and information submitted in the monitoring returns.
• Dialogue between the senior leadership of SFC and the senior leadership and students of colleges and universities every three to five years. These will focus on performance, strategy, risks, opportunities and challenges facing the institution.
• SFC Board engagements with funded bodies.
• Dialogue with representative bodies of colleges and universities and of their student bodies.
• Engagement between relevant officers from SFC and colleges and universities that are risk-based and support the bespoke intervention activity (see paragraphs 14-15) to be undertaken efficiently and effectively.

14. Engagement also includes intervention activity that SFC undertakes both to understand and to gain assurance over areas of risk, challenge and issue for colleges and universities. This includes supporting institutions as they address these matters. SFC already undertakes such intervention activity in a variety of ways and so, as such, this is not a new strand of activity. Interventions will always be proportionate, targeted and bespoke to the matters at hand.
15. SFC’s interventions may relate directly to our funding or to our quasi-regulatory role that arises in connection to our funding. SFC’s current interventions are summarised in the figure below.

Monitoring

16. Many aspects of the existing monitoring and data collection will continue and be incorporated into the new arrangements, where it is our view that these continue to be fit for purpose. In broad terms, our monitoring arrangements comprise (currently and in the future):

• Data and information returns that may be regular or ad hoc, as needed to understand emerging issues.
• Thematic reviews into particular areas to gain assurance and identify good practice for wider dissemination.
• Contextual commentary in which each institution sets out its narrative account of how it has delivered against the outcomes in the Outcomes Framework – this will supplement the data and information returns and support the institutions in placing context around these.

17. For some outcomes (e.g., High quality learning and teaching, Research excellence), there has been development work with the sector(s) to co-develop approaches to assurance and accountability that have run in tandem with the development of the Outcomes Framework and Assurance Model. Where this is the case, the new approach will comprise the monitoring for that outcome in the Assurance Model and where this can contribute assurance for other outcomes through the Assurance Model, we will use it to do so rather than duplicate our asks of colleges and universities.
18. In addition to being an Outcome in its own right within the Framework, we note that student interests are threaded through our monitoring activity, from quantitative data about student outcomes through more qualitative information from student feedback in satisfaction surveys.
19. The table below sets out key elements of the current and future monitoring approach for each Outcome to enable comparability and continuity to be transparent. These are the main sources that we will use for monitoring, but we may bring in other sources of information, where this is relevant. There may be elements that we monitor for specific purposes and we note that the monitoring requirements may evolve over time. The principle we are working to is that we will always use the latest available data – but we recognise that for some areas that means there will be a data lag which we will have to work with until we have in-year data. Where applicable, data and evidence will be used to monitor multiple outcomes and reduce reporting burden where possible; for example, student outcomes data will be used at different levels of aggregation to inform delivery of outcomes for (a) High quality learning and teaching, (b) Funding regularity and (c) Equality, diversity and inclusion.

20. Detailed guidance will be issued as needed for the monitoring returns, including how the cross-cutting themes can be evidenced within those monitoring returns.

21. As we introduce the Outcomes Framework and Assurance Model for AY 2024-25, we will also need to complete the previous cycle to understand how colleges and universities have delivered against their 2023-24 OAs. The following sections set out how these processes interleave.
22. As noted above, the Outcomes Framework and Assurance Model will continue to evolve over time.

Completion of 2023-24 Outcome Agreement process

Self-evaluation

23. The OAs for AY 2023-24 were published on 1 February 2024. In order to complete this process, SFC is asking colleges and universities to submit a short factual report of up to six pages of self-evaluation against the commitments made in the 2023-24 OA. This must be submitted by 5pm on 2 December 2024.
24. The format of these reports is flexible and institutions are encouraged to use reports prepared for internal purposes if these are available. These reports will not be published and institutions are encouraged to reflect on how well the commitments in the OA have been delivered, identify highlights and challenges from AY 2023-24 and identify any areas for improvement and consider outcomes for all learners. The reports should include:

• Reflection on available statistical/performance data for AY 2023-24. For the year in question, audited statistical data will not yet be available so institutions should use their own data.
• Reporting qualitative and quantitative progress, including specific reference to published milestones and commitments in the OA for AY 2023-24 across the priority areas (with the exception of the priority areas of learning and quality and research, as detailed below).
• Reporting on early mitigations in place to address challenges moving forward into AY 2024-25.

25. The self-evaluation report should be signed off by the principal or head of institution on behalf of the governing body. Institutions should also use available evidence to report on the use and impact of any additional in-year funding allocated by SFC.
26. There are two outcomes in the OAs for AY 2023-24 which do not need to be included in the self-evaluation reports:

• For the learning and quality outcomes in the OAs for AY 2023-24, the reporting should be included as part of the TQEF’s Self Evaluation and Action Plan (SEAP). Guidance on the SEAP will be published separately.
• For the research outcomes in the OAs for AY 2023-24, the reporting should be included as part of the Research Assurance and Accountability Return. Guidance on the Research Assurance and Accountability Return will be published separately.

Case studies

27. We are continuing to require institutions to submit case studies. The case studies will be used to illustrate how colleges and universities use the funding that they receive. This is helpful in supporting a public articulation of the benefits of such funding and the use of taxpayer money as well as illustrating to Scottish Government and other key stakeholders the importance of continuing to fund Scotland’s colleges and universities appropriately.
28. As part of the completion of the 2023-24 Outcome Agreement cycle, all institutions should provide two case studies on the themes of outcomes for students and outcomes for economic transformation and social renewal. The Outcome Managers will coordinate these case studies with institutions to ensure that SFC receives a range of case studies that covers the breadth of the sectors’ activities and use of public funding received during the AY 2023-24. These must also be submitted by 5pm on 2 December 2024.
29. In addition, universities in receipt of Research Excellence Grant and Research Postgraduate Grant allocations will be asked to provide additional case studies as part of the Research Assurance and Accountability Return. Further guidance will be issued regarding the Research case studies shortly.
    Implementation of Outcomes Framework
30. No Outcome Agreement or National Measures table will be required for 2024-25 or in future years.
31. The Outcomes Framework will come into effect from 1 August 2024. The outcomes set out in the Outcomes Framework (see paragraph 10) will take effect from this date. Institutions should be prepared to report how they have delivered these outcomes during AY 2024-25 through the contextual commentary which they will submit at the end of November 2025. Institutions should also be able to talk to SFC, in particular their Outcome Manager, about what they are doing to deliver these outcomes as part of the ongoing regular engagement which will continue during the academic year.
32. Institutions will also evidence delivery of the outcomes through the data and information collected through the Assurance Model.

Implementation of Assurance Model

33. The Assurance Model will come into effect from 1 August 2024 but, as noted in the table in paragraph 18, many of the monitoring returns will be as currently required.
34. For continuing monitoring submissions these will be as per the usual timings and will continue as previously.
35. For new monitoring submissions, these will be discussed with the sectors and appropriate timings agreed, with the expectation that they will be required from AY 2025-26 onwards in relation to activity undertaken by institutions during AY 2024-25. Detailed guidance will be issued to institutions where appropriate during the coming months and in good time prior to the introduction of any new monitoring.
36. The thematic reviews under the new Outcomes Framework and Assurance Model will commence from AY 2025-26, with the topics for review being discussed with the sector over the course of 2024 and notified to institutions by July 2025. These may also include the submission of case studies to support the thematic analysis and identification and dissemination of good practice. We intend to publish a schedule of thematic reviews so that institutions have clear sight of what will be covered and when.
37. SFC will also seek to publish, as we do now, summary information and analysis about sector performance and good practice based on the information submitted by institutions under the Outcomes Framework and Assurance Model. This will draw additionally on case studies submitted by institutions and will enable SFC to:

• Demonstrate the outcomes that have been delivered with the public funding we have disbursed.
• Provide assurance to stakeholders about the use of funding.
• Share knowledge and experience so that institutions can learn from each other about the activities being undertaken in relation to the outcomes and what works well in delivery of those outcomes.

38. SFC will introduce a new Outcomes Framework and Assurance Model from the AY 2024-25, with any new monitoring requirements coming into effect during the AY 2025-26. This has been informed by engagement with sector groups to understand areas of duplication and opportunities to streamline the monitoring. We have also been cognisant of the need to balance reducing the reporting burden with ensuring we have assurance over the things that matter to students and other stakeholders.