Notice

Notice of Monetary Penalty in respect of EAL

Published 4 August 2026

Applies to England

Introduction

1. 1. The Office of Qualifications and Examinations Regulation (“Ofqual”) has decided to issue Excellence, Achievement & Learning Limited (“EAL”) with a monetary penalty under section 151A of the Apprenticeships, Skills, Children and Learning Act 2009 (“ASCLA”) in the sum of £150,000.

2. 2. This Monetary Penalty Notice (“the Notice”) contains the reasons why Ofqual has decided to impose the penalty. Further information about Ofqual’s statutory powers and the relevant Conditions of Recognition is set out in Annex A.

3. 3. On 22 July 2026, EAL made a voluntary Settlement Proposal to Ofqual to resolve this matter. EAL admitted the breaches identified in this Notice and agreed to:
   1. a) pay a monetary penalty of £150,000;
   2. b) pay Ofqual’s reasonable legal costs; and
   3. c) provide an undertaking pursuant to General Condition B8.

4. 4. In accordance with section 151A(4) of ASCLA, Ofqual served EAL with a Notice of Intention to impose a Monetary Penalty on 24 July 2026. Ofqual determined it was not necessary to publish the Notice of Intention.

5. 5. On 26 July 2026, and in accordance with the Settlement Proposal, EAL confirmed that it had no representations to make and was content for Ofqual to proceed to final decision.

Background

1. 6. EAL was recognised as an awarding organisation by Ofqual on 1 April 2010. EAL makes available a range of Vocational and Technical Qualifications, including End Point Assessment qualifications (in relation to Apprenticeships).

2. 7. In June 2025, having identified concerns through Event Notifications (EN’s) submitted by EAL, Ofqual commenced an audit to examine EAL’s governance and internal controls around: a) decisions relating to the correction of incorrect results and certificates; b) ensuring all Learners were assessed against the correct version of the relevant Assessment Plan; and c) appeals handling.

3. 8. The audit concluded in October 2025 and reported: a) no assurance in relation to decisions concerning the correction of incorrect results; b) no assurance in relation to ensuring Learners were assessed against the correct version of the relevant Assessment Plan; and c) limited assurance in relation to appeals handling.

4. 9. On 19 January 2026, Ofqual issued EAL with a Statement of Allegations setting out allegations of non-compliance arising from its analysis of the EN’s and the audit findings.

5. 10. On 10 February 2026, EAL responded to the Statement of Allegations. EAL accepted the breaches set out in this Notice and acknowledged that elements of its historical compliance, governance and assurance arrangements had not been sufficiently robust to provide assurance that its qualifications and assessments were being delivered and awarded in compliance with its Conditions of Recognition. EAL recognised the adverse impact of these matters on Learners, employers and centres and on public confidence in qualifications.

The Incidents

Issuing and Correcting Incorrect Results

1. 11. Through Event Notification EVN00011, EAL notified Ofqual that 41 Learners undertaking an engineering qualification had been assessed against an incorrect version of the Assessment Plan. As a result, Knowledge, Skills and Behaviours (KSBs) that should have been assessed were omitted from the assessment and results were issued before the issue was identified. EAL subsequently concluded that the omitted Knowledge, Skills and Behaviours related to matters with potential workplace safety implications.

2. 12. EAL has accepted that:
   1. a) The affected Learners were not assessed in accordance with the requirements of the relevant Assessment Plan, resulting in breaches of Condition EPA1.1(a);
   2. b) the assessment it set and delivered to those Learners was not fit for purpose, resulting in breaches of Condition G1.1(a) and Condition G9.2(a); and
   3. c) the results it issued to the affected Learners were incorrect because Learners had not demonstrated competence against the omitted KSBs, resulting in a breach of Condition H6.1(d).

3. 13. Following identification of the issue, EAL permitted affected Learners to demonstrate the omitted Knowledge, Skills and Behaviours through additional Multiple-Choice Tests or Professional Discussions. EAL subsequently accepted that these alternative assessments were not permitted by the relevant Assessment Plan and that its approach therefore constituted a further breach of Condition EPA1.1(a).

4. 14. Prior to recognising that the remedial measures it had put in place (above) were themselves non-compliant, EAL took steps to revoke certificates that it had issued to eight Learners who did not comply with those remedial measures. EAL was unable to produce relevant records explaining how it had evaluated the Adverse Effects which the revocation might cause and which should have been created in accordance with its own processes. While EAL’s Compliance Review Panel (CRP) is responsible for reviewing and making decisions on result changes and certification, it did not meet to make a decision on revoking results for these Learners.

5. 15. EAL has accepted that this failure to manage the incident in accordance with its procedures reflects a breach of Condition A7.1(a) and acknowledged that the absence of a full record of the decision taken and the failure to communicate that decision to Ofqual failed to comply with Condition H6.3 and Ofqual’s “Guidance on making changes to incorrect results”.

6. 16. In Event Notifications ENV00024, ENV00030 and ENV00046, EAL reported that it had issued further incorrect results due to errors in its assessment materials. These errors were caused by system migration issues which introduced errors in the display of images and symbols which were not detected by EAL’s quality assurance processes. The errors were not identified until after results were issued to Learners.

7. 17. These assessments were sat by a total of 1,375 Learners with 571 Learners directly affected. However, there was no impact on any Learner’s progression as all Learners were still on programme when the results were corrected. EAL accepted that those incidents reflected further breaches of Conditions G1.1(a), G9.2(a) and H6.1(d).

Ensuring the Correct Version of the Assessment Plan is Used

1. 18. In addition to the circumstances described in EVN00011, EAL submitted two further EN’s (EVN00027 and EVN00040) concerning Learners being assessed against incorrect versions of Assessment Plans and / or assessment material errors arising following changes being made to Assessment Plans.

2. 19. Ofqual’s audit identified significant weaknesses in EAL’s arrangements to ensure Learners were registered and assessed against the correct version of the Assessment Plan. These weaknesses included deficiencies in:
   1. a) manual checking processes;
   2. b) automated controls;
   3. c) gateway checks;
   4. d) assessor checks;
   5. e) Internal Quality Assurer checks;
   6. f) certification checks; and
   7. g) oversight of third-party providers entering data into EAL’s systems.
3. 20. EAL has accepted that these weaknesses amounted to:
   1. a) failures to maintain appropriate arrangements for the retention and management of data, contrary to Condition A5.1 (A5.2(b));
   2. b) failures to maintain appropriate systems of planning and internal control, contrary to Condition A5.1(A5.2(e)); and
   3. c) failures to monitor third-party arrangements appropriately, contrary to Condition C1.1(b).

The Management of Appeals

1. 21. Ofqual’s audit identified that EAL’s Appeals Procedure included a requirement that anyone previously involved in an earlier stage of an appeal should not be involved in subsequent stages. However, EAL failed to follow its own appeals procedure in two appeals considered by the audit (AP00067 and AP00075).  EAL has accepted that this is a failure to comply with Condition I1.1(a).

2. 22. The audit found that in AP00067 the same investigators used in the Stage 1 appeal also provided information at Stage 2 of the appeal. EAL has accepted that this was a failure to ensure that appeal decisions were taken by persons with no personal interest in the decision being appealed, as required by Condition I1.2(b).

3. 23. AP00067 related to 1 Leaner, AP00075 related to 12 Learners.

4. 24. EAL stated that while it did not meet the requirements of its appeal policy, the integrity of the process was not compromised and Ofqual notes that there is no evidence to suggest that an actual conflict of interest was present or that any Adverse Effect was created as a result of the breach.

Breaches

1. 25. EAL has admitted, and Ofqual finds, breaches of:
   1. a) Condition A5.1, A5.2(b) and A5.2(e);
   2. b) Condition A7.1(a);
   3. c) Condition C1.1(b);
   4. d) Condition G1.1(a);
   5. e) Condition G9.2(a);
   6. f) Condition H6.1(d);
   7. g) Condition H6.3;
   8. h) Condition I1.1(a);
   9. i) Condition I1.2(b); and
   10. j) EPA Condition EPA1.1(a).

Regulatory Action

1. 26. On 22 July 2026, EAL signed a Settlement Proposal by which it:
   1. a) admitted the breaches set out in this Notice;
   2. b) agreed to pay a monetary penalty of £150,000;
   3. c) agreed to pay Ofqual’s reasonable legal costs; and
   4. d) agreed to provide an undertaking pursuant to General Condition B8.

Determination of Monetary Penalty

1. 27. On 24 July 2026, Ofqual’s Enforcement Panel considered the evidence relating to the breaches set out above, alongside the Settlement Proposal and Ofqual’s Supporting Compliance and Taking Regulatory Action Policy (2025).

2. 28. The Enforcement Panel determined that EAL had breached its Conditions of Recognition and that a monetary penalty was the appropriate regulatory outcome.

3. 29. In determining the amount, the Panel had regard to the factors set out below.

Aggravating Factors

1. 30. The following factors were relevant in this case:

   1. a) the serious nature of the breaches which were a result of weaknesses in governance, processes, and internal controls affecting Assessment Plan management, assessment material assurance and the validity and reliability of assessments across multiple areas of EAL’s regulated activity

   2. b) the incidents affected a large number of Learners:

      1. i) 1,416 Learners were affected by the assessment material errors. Of those, 1,375 Learners were still on programme and therefore there was no impact on progression. Of the remaining 41 Learners, 8 had their certificates revoked because they did not complete the additional assessment.

      2. ii) A total of 44 Learners were directly impacted by being assessed on the wrong version of the assessment plan. Aside from the 8 Learners above who had certificates revoked, the main impact was the requirement for the Learners to sit a short additional assessment.

      3. iii) 13 Learners were impacted by the failure of EAL to follow its appeals policy however there is no evidence to suggest that this failing affected the outcome of any of the appeals.

   3. c) there were multiple breaches and failings across a number of qualifications and processes, engaging numerous General Conditions of Recognition and EPA Conditions;
   4. d) the breaches were repeated and occurred over a sustained period of time;
   5. e) the breaches were within the control of EAL, arising from workforce and internal control failures and were therefore preventable; and
   6. f) Ofqual has previously taken regulatory action by giving a Direction to EAL in March 2025 in relation to issuing incorrect results for Learners on an end-point assessment (‘EPA’) qualification.

Mitigating Factors

1. 31. The following factors were relevant:
   1. a) EAL admitted the breaches set out in this Notice and cooperated fully throughout Ofqual’s audit, investigation and enforcement process;
   2. b) EAL proactively identified and reported a number of the incidents to Ofqual through Event Notifications;
   3. c) As a result of these incidents, EAL has undertaken extensive organisational remediation, including:
      1. i) implementation of a Regulatory Action Plan,
      2. ii) a strengthened governance and assurance framework,
      3. iii) investment of approximately £570,000 over a two-year period in compliance and operational improvements,
      4. iv) enhanced compliance capability and training, and
      5. v) strengthened controls across Assessment Plan management, incident management, appeals governance and quality assurance.
   4. d) Ofqual has not found any evidence to show that EAL acted deliberately in committing the breaches or that it sought to conceal the issues giving rise to the breaches;
   5. e) EAL did not benefit in any material way from the activities that were not carried out in accordance with the Conditions; and
   6. f) EAL has not previously been subject to a monetary penalty from Ofqual.

Other Factors

1. 32. The Enforcement Panel also considered:
   1. a) the need to promote public confidence in qualifications through visible, appropriate and effective regulatory action;
   2. b) the nature and circumstances of these breaches compared with other cases in which Ofqual has imposed monetary penalties;
   3. c) EAL’s relative size and turnover as an awarding organisation; and
   4. d) the need to deter EAL and other awarding organisations from similar failings in the future.

Settlement Proposal

1. 33. EAL cooperated fully with Ofqual’s investigation, promptly admitted the breaches and entered into a voluntary Settlement Proposal in which it has acknowledged Ofqual’s decision in this Notice and agreed that in the event of an appeal, that Settlement Proposal will be admissible in those proceedings as evidence of the agreement it sets out.

2. 34. In light of this Settlement Proposal, Ofqual has decided to impose a lower financial penalty than it would have been minded to impose in a contested case.

Final Decision

1. 35. Taking all of the above matters into account, the Enforcement Panel confirms its earlier Notice of Intention to accept the Settlement Proposal and imposes a monetary penalty in the sum of £150,000.

2. 36. The Enforcement Panel is satisfied, in accordance with section 151B of ASCLA, that the monetary penalty does not exceed 10% of EAL’s total turnover.

Payment

1. 37. The monetary penalty must be paid within 28 days of the date of this Notice in accordance with the payment instructions provided with this Notice.

2. 38. In the event of non-payment, interest may be charged and the outstanding amount may be recovered as a debt, in accordance with section 151D of ASCLA.

Appeals

1. 39. An awarding organisation may appeal to the First-tier Tribunal in respect of Ofqual’s decision to impose the monetary penalty and/or in respect of the amount of that penalty, in accordance with section 151C of ASCLA.

2. 40. An appeal may be made on the grounds that:
   1. a) the decision was based on an error of fact;
   2. b) the decision was wrong in law; or
   3. c) the decision was unreasonable.

3. 41. Any appeal must be lodged within 28 days of the date of this Notice.

4. 42. Further information is available from HM Courts and Tribunals Service.

Signed: Chris Paterson, Chair of the Enforcement Panel

Date: 28 July 2026

Enforcement Panel Members:

• Chris Paterson
• Clare Pelham
• Hardip Begol CBE

ANNEX A - Legal Provisions

Statutory Powers

1. 1. EAL is recognised by Ofqual under section 132 of the Apprenticeships, Skills, Children and Learning Act 2009 and is therefore subject to the General Conditions of Recognition and any applicable Qualification Level Conditions.

2. 2. Pursuant to section 151A(2) of ASCLA, Ofqual may impose a Monetary Penalty where it appears that a recognised awarding organisation has failed to comply with its Conditions of Recognition.

3. 3. Pursuant to section 151B of ASCLA, Ofqual may determine such amount as it considers appropriate in all the circumstances of the case, subject to the statutory maximum.

4. 4. Ofqual’s Supporting Compliance and Taking Regulatory Action Policy sets out the matters Ofqual may consider when determining whether to impose a Monetary Penalty and, if so, the amount of that penalty.

Conditions of Recognition 

1. 5. The conditions relevant to this incident are set out below.

Condition A5 – Availability of adequate resources and arrangements

A5.1 An awarding organisation must –

(a) ensure that it has 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, and

(b) take all reasonable steps to ensure that it undertakes the development, delivery and award of those qualifications efficiently.

A5.2 For the purposes of Condition A5.1, an awarding organisation must establish and maintain –

(a) …,

(b) arrangements for the retention of data which will ensure that adequate information is available to it at all times,

(c) …,

(d) …, and

(e) appropriate systems of planning and internal control.

Condition A7 – Management of incidents

A7.1 Where any incident occurs which could have an Adverse Effect, an awarding organisation must (whether or not it has previously identified a risk of that incident occurring) promptly take all reasonable steps to –

(a) prevent the Adverse Effect and, where any Adverse Effect occurs, mitigate it as far as possible and correct it, and

(b) …

Condition C1 – Arrangements with third parties

C1.1 Where an awarding organisation arranges for a third party to undertake, on its behalf, any part of the development, delivery or award of qualifications which the awarding organisation makes available, or proposes to make available, the awarding organisation must –

(a) …, and

(b) monitor and, where appropriate, enforce such arrangements so as to ensure that it is able to develop, deliver and award qualifications in a way that complies with its Conditions of Recognition.

Condition G1 – Arrangements for assessment

G1.1 In setting an assessment for a qualification which it makes available, an awarding organisation must ensure that the content of the assessment is –

(a) fit for purpose,

(b) …, and

(c) ….

Condition G9 – Delivering the assessment

G9.2 An awarding organisation must ensure that, on delivery of every assessment for a qualification that it makes available, the assessment:

(a) is fit for purpose,

(b) …,

(c) …,

(d) …, and

(e) ….

Condition H6 – Issuing results and certificates

H6.1 An awarding organisation must, in relation to any qualification which it makes available –

(a) …,

(b) …,

(c) …,

(d) issue results which accurately and completely reflect the marking of assessments (including the outcome of any Centre Assessment Standards Scrutiny and any other quality assurance process),

(e) …, and

(f) ….

H6.3 Where an awarding organisation discovers that any result which it has issued is incorrect it must –

(a) correct that result where the error is discovered through the application of an appeals process,

(b) in all other cases –

(i) consider whether it is appropriate to correct that result, having regard to any guidance on making changes to incorrect results published by Ofqual and revised from time to time, and

(ii) correct that result where it considers it appropriate to do so.

Condition I1 – Appeals process

I1.1 An awarding organisation must establish, maintain and comply with an appeals process in relation to all qualifications which it makes available, which must provide for the appeal of –

(a) the results of assessments,

(b) … and

(c) ….

I1.2 For the purposes of Condition I1.1, an awarding organisation’s appeals process must provide for –

(a) …,

(b) all appeal decisions to be taken by individuals who have no personal interest in the decision being appealed,

(c) …,

(d) …, and

(e) ….

EPA Condition EPA1 – Compliance with Assessment Plans

EPA1.1 In respect of each EPA which it makes available or proposes to make available, an awarding organisation must – 

(a) comply with any requirements, and have regard to any guidance, contained in the relevant Assessment Plan, and

(b) ….