Notice

Undertaking given by OTHM to the Office of Qualifications and Examinations Regulations (‘Ofqual’), in accordance with B8 of the General Conditions of Recognition (‘the Conditions’)

Published 6 August 2026

Applies to England

Background

1. 1. OTHM is an awarding organisation recognised by Ofqual to deliver a range of Vocational and Technical Qualifications.

2. 2. On 20 July 2026 OTHM agreed a settlement proposal by which it admitted that it had failed to comply with its Conditions of Recognition in several respects between 2021 and 2024 and agreed to the imposition by Ofqual of a requirement for it to pay a Monetary Penalty and costs.

3. 3. As part of the settlement process, Ofqual required OTHM to provide information about the measures it had taken, and those it intended to take, to minimise the risk of recurrence of issues similar to those which occurred between 2021 and 2024. OTHM has provided information about, and agreed to give an undertaking in respect of steps it has taken, and will take, to:

   1. 3.1. ensure proper identification, management and recording of conflict of interests,

   2. 3.2. improve its approach to recording, monitoring, investigating and reporting malpractice and maladministration events, and

   3. 3.3. improve centre monitoring activities.

4. 4. Ofqual accepts this undertaking from OTHM to secure assurance that these issues will not be repeated in future for any of OTHM’s qualifications.

5. 5. On 6 August 2026 Ofqual published its Notice of Monetary Penalty to accept the settlement proposal. The Notice of Monetary Penalty sets out the factual background which provides the context for this undertaking. The two documents should be read together.

Undertaking

The Objectives of the Undertaking

1. 6. OTHM expects completion of the undertaking will:

   1. 6.1. Allow it to identify, manage and mitigate any aspect of its current processes and procedures which creates or contributes to avoidable risks to the safe and valid delivery and award of its qualifications.

   2. 6.2. Inform the development and implementation of revised processes and procedures which minimise the incidence of avoidable risks and promote a right-first-time delivery model.

   3. 6.3. Inform its approach to the identification, recording and management of emerging risks, relating to areas that include (but not limited to):

      1. 6.3.1. Conflict of interests,

      2. 6.3.2. Malpractice and maladministration,

      3. 6.3.3. Centre monitoring and quality assurance activities,

      4. 6.4.4. Retention of data, allowing it proactively to resolve and manage any risks which could affect the safe and valid delivery and award of its qualifications.

   4. 6.4. Support it to build, train and retain its in-house expertise in relation to the development, delivery and award of its qualifications, which will reinforce a right-first-time model and increase its ability to react to emerging issues.

2. 7. OTHM anticipates that completion of the undertaking will secure that Ofqual can have greater confidence in OTHM’s performance. In particular, OTHM expects the undertaking to mean:

   1. 7.1. OTHM can demonstrate over a period of 12 months, its ability to:

      1. 7.1.1. Identify and adequately manage and record conflict of interests,

      2. 7.1.2. Undertake adequate malpractice / maladministration investigations and ensure management of such events adhere to relevant policies,

      3. 7.1.3. Undertake effective centre monitoring and quality assurance activities,

      4. 7.1.4. Ensure retention of data without the need for any repeat of the very close regulatory scrutiny.

3. 8. By August 2027, Ofqual will have sufficient confidence to plan for only routine monitoring of OTHM.

Reviewing Performance and Action Plan

1. 9. OTHM undertakes to provide Ofqual the following information on a quarterly basis for a period of 12 months:

   1. 9.1. Certification volumes at centre and qualification level,

   2. 9.2. Malpractice and Maladministration events (investigations and outcomes) including near miss reports,

   3. 9.3. Conflict of Interest declarations and checks.

2. 10. On or before 31 March 2027, OTHM will:

   1. 10.1 Review its performance against the Action Plan provided on 8 May 2026 (“the Action Plan”),

   2. 10.2 Review its performance against the objectives of this Undertaking,

   3. 10.3 Submit to Ofqual a written report and Statement of Assurance, certified by a third-party external auditor at OTHM’s own expense, providing independent assurance that:    

      1. 10.3.1. OTHM has completed the actions set out in the Action Plan, and

      2. 10.3.2. The actions have been effective in meeting the objectives identified in this Undertaking.

3. 11. OTHM shall ensure that such report to Ofqual:

   1. 11.1 Provides details of the review conducted,

   2. 11.2 Explains the effectiveness of OTHM’s performance against the Action Plan and the objectives of this undertaking,

   3. 11.3 Set out the arrangements it has in place to bring the review to the attention of its Governing Body. 

4. 12. In the event that OTHM is unable to provide Ofqual with a Statement of Assurance required under paragraph 9.3 above, OTHM undertakes to:

   1. 12.1  Provide to Ofqual a Statement of Non-Compliance which sets out (where applicable):

      1. 12.1.1 How and why it has not met any actions and/or objectives from the Action Plan and/or this undertaking; and

      2. 12.1.2 What further steps it has taken or proposes to take to ensure compliance and in what timescale.

5. 13. OTHM recognises that:

   1. 13.1. Ofqual will evaluate the report submitted by OTHM,

   2. 13.2. To the extent that if OTHM has failed to deliver any of the milestones in the Action Plan which is the subject of the report, Ofqual will consider whether OTHM has presented a reasonable excuse of that failure,

   3. 13.3. In the absence of a reasonable excuse, Ofqual may determine any such failure constitutes a failure to comply with this undertaking, and a breach of Condition B8.

6. 14. As well as evaluating OTHM’s performance against the Action Plan, Ofqual will as part of this review consider whether it agrees the undertaking can be discharged. Where Ofqual does not consider the undertaking can be discharged, it will explain which of the objectives it considers OTHM has not sufficiently achieved, and OTHM will present a further Action Plan accordingly. The review and re-planning cycle set out above will continue for so long as Ofqual considers necessary.

7. 15. OTHM will maintain appropriate records and evidence to demonstrate how it has reached the conclusions set out in the report submitted to Ofqual. Such records and evidence will be retained until a date three years after the report is presented to Ofqual, or for such further period as Ofqual might later specify.

Declaration

1. 16. In giving this undertaking, I acknowledge on behalf of OTHM that:

   1. 16.1. The rules of interpretation and definitions outlined in General Condition J1 shall apply to this undertaking;

   2. 16.2. Ofqual will publish this undertaking on a date to be confirmed following consultation with OTHM;

   3. 16.3. Ofqual may provide information to other government departments, bodies and agencies, including other regulators, about OTHM’s undertaking and Action Plan, including OTHM’s performance under the undertaking and the sharing of any updates provided by OTHM and Ofqual’s analysis of it^{[footnote 1]};

   4. 16.4. Ofqual may take regulatory action in respect of any failure to comply with the terms of this undertaking which may include the issue of a Direction, the imposition of a Monetary Penalty, Withdrawal of Recognition, Costs Recovery, and/or any other such action as it deems appropriate, acting in accordance with Ofqual’s ‘Supporting Compliance and Taking Regulatory Action’ policy (2025^{[footnote 2]});

   5. 16.5. Nothing within this undertaking restricts Ofqual’s ability to conduct its own review, audit, investigation and/or other monitoring activity of OTHM at any time.

Name: (Responsible Officer, OTHM)  Patricia Land 

Date: 3rd August 2026

1.  In accordance with sections 156 and 157 of the Apprenticeships, Skills, Children and Learning Act 2009.  ↩

2.  And as amended from time to time. ↩