A university has been fined £150,000 by the exams regulator for failing to closely monitor a music qualification test centre and “negligence” in handling an independent audit.
An Ofqual notice issued today says University of West London (UWL), which awards music qualifications, let an unnamed third-party test centre design, deliver and award 224 students’ assessments without sufficient monitoring between January 2020 and November 2022.
The regulator said about 40,000 students received certificates from the centre while it was not “adequately” supervised, and that the failures posed a “significant risk” to students and public confidence in exams.
UWL’s breaches of Ofqual’s general conditions of recognition for awarding organisations also included 4,300 students not receiving certificates promptly and an absence of any appeals process for nearly three years.
The university’s board was also “negligent” for failing to provide an independent auditor with a document that clearly set out the allegations that should be investigated, the notice also said.
Ofqual’s executive director of delivery Amanda Swann said the £150,000 fine reflects the “serious nature” of UWL’s failures.
She added: “Students must be able to trust that awarding organisations are properly overseeing how their qualifications are delivered.
“These failures by UWL also had a real impact on thousands of students who were left waiting for certificates they had earned and would have been unable to appeal their results.
“This action is necessary to deter UWL and other awarding organisations from similar failings in future.”
How it came about
UWL, a university based in west London and Reading, has been delivering Ofqual-regulated music qualifications at levels 1 to 7 under its London College of Music Examinations brand since 2010.
An anonymous former employee of UWL first blew the whistle about the breaches in 2022, after becoming concerned about a “verbal agreement” between the test centre and a former senior manager at the university that had begun during the Covid-19 lockdown.
The Ofqual notice said the arrangement, agreed without the senior manager’s colleague’s knowledge, meant qualifications were delivered on UWL’s behalf without its awareness or assurance that assessments were “fit for purpose”.
In total, 4,330 students reported not receiving their certificates in time.
Furthermore, after the issues came to light, UWL’s relationship with the centre “deteriorated” and it was prevented from accessing information needed to resolve the issues.
Negligence
Ofqual also concluded that the university was “negligent” for failing to provide the independent auditor appointed to investigate with a document known as a “statement of reasons”.
As a result, an initial audit report was “substantially more positive” than a second that the regulator forced UWL to produce, containing “no or limited evidence of non-compliance”.
The Ofqual notice said it was “clear and unambiguous” that the statement of reasons should be provided and noted that the university had made a “conscious decision” not to disclose it.
UWL later created “the impression” that the auditor had read the reasons by appending a copy to its submission of the first audit report on the regulator’s online portal.
The exam regulator ultimately accepted the university’s claim that it was acting on the advice of its financial controller, that the statement of reasons could “potentially prejudice” the independence of the audit and had no intention to “mislead or avoid scrutiny or sanction”
The notice said UWL accepts that its breach was a “product of negligence by its board” by failing to exercise the level of care, skill and diligence expected of it under Ofqual’s special conditions.
In deciding the £150,000 fine and £10,000 investigation and enforcement costs, the regulator said the university had co-operated fully during the enforcement process and had no adverse regulatory history.
However, Ofqual balanced this with the need to deter other awarding organisations from similar failures, the need to promote public confidence and previous fines it has issued.
A spokesperson for the university said: “UWL accepts Ofqual’s decision on this matter.
“UWL regrets that its oversight of this centre fell short of the standard required and apologises to the candidates affected by these failings.
“Since the relationship with the third-party was terminated in 2022, UWL has undertaken a thorough review of its oversight processes and has implemented new controls to ensure future compliance.”
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