Decision

Undertaking given by Cambridge Assessment English (CAE) to the Office of Qualifications and Examinations Regulation (Ofqual), in accordance with Condition B8 of the General Conditions of Recognition (the Conditions) - 17 November 2020

Updated 7 December 2022

Applies to England

Undertaking

In the context of

1. i. An Ofqual ‘Assessment Material Error’ audit of CAE dated 13 January 2020 finding Limited Assurance in relation to the design and operation of controls reviewed by Ofqual;

2. ii. CAE notifying Ofqual of a series of issues between January 2019 and August 2020;

3. iii. Ofqual raising concerns with CAE’s compliance in relation to:

• Marking key errors;
• Delayed and incorrect results;
• Errors implementing special consideration;
• Issuing incorrect certificates;
• Workforce errors and training;
• Timing of reporting Event Notifications;
• Leadership and governance;

1. iv. an admission by CAE that the delays in reporting several Event Notifications amounted to a failure to comply with Condition B3.1, in that the notification was not prompt;

2. v. an admission by CAE that the subject of Events Notifications reflected a failure to comply with its Conditions of Recognition, specifically:

• A5.1(a)
• A5.2(a)
• A5.2(e)
• A6.1
• G1.1(a)
• G1.3
• G9.1
• G9.2(a)
• H5.1
• H5.2(a) and (b)
• H6.1(d) and (e)
• I4.1(d)

1. vi. internal reviews commissioned by CAE of its operating policies, procedures and resources in light of the Ofqual audit, Event Notifications and associated correspondence with Ofqual;

2. vii. after an associated review of its leadership and governance; people; risk management; and operational policies and procedures which was undertaken with the objective of securing compliance on an ongoing and sustained basis;

3. viii. the submission of an Action Plan to Ofqual dated 14 August 2020; and

4. ix. having already implemented a number of changes to systems of control to address weaknesses, with a view to securing compliance on an ongoing basis with the Conditions,

CAE will

1. 1. With a view to securing improved performance and confidence in the delivery and award of CAE qualifications and to secure compliance with Conditions A5.1(a), A5.2(a) and A5.2(e), A6.1, B3.1, G1.1(a), G1.3, G9.1, G9.2(a), H5.1, H5.2(a) and (b), H6.1(d) and (e) and I4.1(d):
   1. a. By 30 June 2022, in accordance with the timescales set out in the Action Plan, complete those actions in the plan with a specified delivery date prior to 30 June 2022;
   2. b. Promptly notify Ofqual if it becomes aware that it is unable to comply with any of the steps or timeframes set out in the Action Plan.
2. 2. With a view to assuring Ofqual that it is complying with the steps and timeframes set out in the Action Plan, and that it has complied with this Undertaking, CAE will submit regular reports setting out progress against the Action Plan, at dates to be agreed separately with Ofqual.
3. 3. On 14 July 2022:
   1. i. provide to Ofqual a Statement of Assurance signed by the Chair of its Governing Body and the Responsible Officer, confirming that it has completed the actions set out in paragraph 1 of this Undertaking; and
   2. ii. provide to Ofqual any such further information and/or evidence of compliance as may be required by Ofqual to make its final determination as to its discharge of this Undertaking.

In giving this Undertaking, I acknowledge on behalf of CAE that:

1. Ofqual will publish this Undertaking; and
2. Ofqual may take enforcement action in respect of any failure to comply with an Undertaking given to it which may include the issue of a Direction, the imposition of a fine, costs or other such action as it deems appropriate.

Signed: (Redacted)

Date: 17th November 2020

Responsible Officer