Awarding body Pearson put the integrity of exam papers at risk and failed to monitor examiners' conflicts of interest.
Ofqual intends to fine exam board Pearson £250,000 for breaching rules designed to protect students and the integrity of exams.
The breaches, which occurred in 2023, included failing to identify conflicts of interest among GCSE, A level and BTEC examiners, who were also employed by Pearson as tutors at schools where students sat the exams.
Pearson also failed to follow its own policies designed to ensure the confidentiality of exam papers.
Pearson co-operated fully with Ofqual's enforcement process and admitted it had breached its Conditions of Recognition - which all awarding organisations are legally required to follow for regulated qualifications.
Amanda Swann, Ofqual's Executive Director for General Qualifications, said: "Our rules protect students taking regulated qualifications including GCSE, A Level and BTECs. We will take action when our rules are breached, and the interests of students are put at risk.
"Fortunately, in these instances there is no evidence of any direct impact on students. Pearson, however, failed to guard against conflicts of interest and breaches of confidentiality and we intend to fine them accordingly."
From July 2023, Pearson reported breaches of its own policies to Ofqual when it had:
Failed to identify, monitor and record conflicts of interest. In total, 195 examiners marking GCSEs, A levels and BTEC papers, who were also working as tutors for Pearson under the government's National Tutoring Programme, marked 7,244 exam responses by students at schools, where they had potential conflict of interest. Pearson told Ofqual that any potentially compromised exam questions were subsequently remarked by other examiners before any grades were awarded. Pearson has also confirmed to Ofqual it had bolstered systems to prevent this happening again, including improving notification to examiners of the requirement to declare personal interests.
Failed to safeguard the confidentiality of school exams in 6 instances when individuals, involved in writing or advising on an exam paper's content, were also practising teachers. Pearson confirmed it had subsequently made changes intended to prevent such breaches in future, including additional staff training.
Ofqual's enforcement panel concluded a fine was appropriate, given the seriousness of the breaches and that Pearson held the information necessary to prevent them. Pearson has agreed a settlement proposal which includes the fine.
Ofqual has today published a Notice of Intention to fine Pearson. It gives more details of the case and invites interested parties to make representations ahead of a final decision.
