TQ Malpractice: guide to the data submission process
Updated 2 September 2022
Applies to England
© Crown copyright 2022
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This publication is available at https://www.gov.uk/government/publications/tq-malpractice-guide-to-the-data-submission-process/tq-malpractice-guide-to-the-data-submission-process
Introduction
In order to fulfil our regulatory and accreditation functions as set out in the Apprenticeships, Skills, Children and Learning Act 2009, we require awarding organisations to provide exams delivery data for regulated qualifications.
What data will be collected?
Malpractice data will be collected for all Technical Qualifications (TQs) within T Levels for learners, centres, centre staff and examiners in England.
When will data be collected?
Data will be collected according to the reporting schedule which is agreed and maintained by Ofqual’s data services team.
Updates to formats and guidance
This guidance document will be updated regularly. Any changes to procedure will be incorporated into the guidance document.
How to submit your data
Your data should be submitted to us in CSV format. Please refer to the ‘Connecting to Ofqual’s data portal and uploading data’ document on our web page to help you submit your files to us. If you need to ask us about a data submission please do contact the Data Services team by emailing data.services@ofqual.gov.uk, please do not send your data files via email to Data Services or to any other Ofqual email address, or via Contact the Regulator in the Portal.
Uploaded data
Once files have been successfully uploaded, the data will be validated against a set of validation rules. These are detailed in the sections below. If validation is successful, the data is automatically transferred into our systems and you will receive email confirmation. If the file is unsuccessful at any stage of validation you will receive an email with details of the validation failure. Please correct your file and resubmit it.
Amendments to data
Ofqual staff will not alter data once it has been submitted. If you find an error or omission after you’ve had a successful upload, please notify us by emailing data.services@ofqual.gov.uk. We need to reject the existing submission before you can upload a new file.
How your data will be used
This data will be used to undertake our regulatory activities and, where required, to produce Official Statistics to fulfil our responsibility as a government department.
General completion guidelines
Data should include all sanctions applied for malpractice offences committed within the reporting period.
Data for each assessment series, e.g. June 2021, should only refer to sanctions applied for offences committed in that series. If, due to the length of an investigation, a sanction is applied after the reporting date for that series, awarding organisations should notify Data Services, so that the original file can be rejected, enabling a revised file to be upload to the Data Portal.
To reduce the number of potential updates to data, any required updates to historic data should be made alongside future submissions for subsequent series at the same time of year. For example, resubmissions for June 2021 data should be made alongside the June 2022 submission; resubmissions for November 2021 data should be made alongside the November 2022 submission; etc.
File format
The file must be CSV format and the first row must be headers as displayed in the Name column of the table below. The subsequent rows must have the values of the data to be reported which must match the format and validation rules below.
| Name | Description | Position | Validation Regular Expression | Description of Regular Expression / Accepted values |
|---|---|---|---|---|
| ReportingDate | Date the file was due to be submitted to Ofqual regardless of when it was actually uploaded (this date will be made available by Ofqual) | 1 |
^ (0[1-9]|[12][0- 9]|3[01]) [/](0[1- 9]|1[012])[/] (20)\d\d $ or ^(20)\d\d[-](0[1- 9]|1[012])[-](0[1- 9]|[12][0-9]|3[01])$
|
The date in the following format: day (2 digits), forward slash, month (2 digits), forward slash, year (4 digits), or: year (4 digits), a dash, month (2 digits), a dash, day (2 digits) |
| AssessmentSeries | Assessment series data relates to, for example June 2023 | 2 | ^(June)([][0-9][0-9][0-9][0-9])$ |
Full month name and year of Assessment series for example June 2023 |
| AwardingOrganisation | Acronym of the awarding organisation | 3 | ^.{1,100}$ |
Accepted values: A valid AO Acronym Note: value must be consistent within the file. |
| QualificationNumber | Unique identifier for the TQ as it appears in Ofqual’s Register of Regulated qualifications | 4 | ^.{1,10}$ |
Accepted values: A valid qualification number |
| ComponentCode | Unique identifier for the component which the assessment relates to (assigned by the awarding organisation) | 5 | ^.{1,10}$ |
1 to 10 characters Note:enter -2 if not applicable |
| SubComponentType | TQ sub-component which the assessment falls under (Core ExamCore ProjectOccupational Specialism) | 6 | ^(Core Exam|Core Project|Occupational Specialism|-2)$ |
Accepted values: Core ExamCore ProjectOccupational Specialism Note: enter -2 if not applicable |
| AssessmentCode | Unique identifier for the assessment (assigned by the awarding organisation) | 7 | ^.{1,10}$ |
1 to 10 characters Note: enter -2 if not applicable |
| MalpracticeCaseIdentifier | Unique case identifier assigned by the awarding organisation | 8 | ^.{1,25}$ |
1 to 25 characters |
| TypeOfMalpractice | Candidate/Centre/Centre Staff/Examiner | 9 | ^(Candidate|Centre |Centre staff|Examiner)$ |
Accepted values: Candidate, Centre, Centre staff, Examiner |
| UKPRN | Centre ID – UK Provider Reference Number | 10 | ^.{10000000,99999999}$ |
A numeric value between 10000000 and 99999999 |
| NCN | Centre ID – National Centre Number | 11 | ^\d{1,5}$ |
Up to 5-digit integer accepted Note:enter -2 if not available |
| ULN | Unique Learner Number | 12 | ^.{0000000001,9999999999}$ |
A numeric value between 0000000001 and 9999999999 |
| UCI | Unique Candidate Identifier | 13 | ^.{1,13}$ |
Alpha-numeric 13 characters Note:enter -2 if not available |
| StaffIdentifier | Unique identifier for staff member (assigned by an awarding organisations) whether examiner or centre staff member | 14 | ^.{1,25}$ |
1 to 25 characters |
| TypeOfOffence | Description of offence from pre-set categories | 15 | Accepted values as per pre-agreed list of offences. | Accepted values (see annex A) |
| TypeOfPenalty | Description of penalty from pre-set categories | 16 | Accepted values as per pre-agreed list of offences. | Accepted values (see annex B) |
Annex A: Malpractice Offence Types Accepted Values (TQ)
Centre staff malpractice - Individuals and centres
Value
A failure to accurately report grades of completed units for vocational qualifications
Bias or discrimination
Breach of security
Case ongoing
Centre released CAGs and/or rank orders before the issue of results
Centre released TAGs before the issue of results
Centre submitted CAGs that do not honestly and fairly represent what
learners would have achieved in their assessments
Centre submitted TAGs that do not honestly and fairly represent learners actual level of attainment against the standard set for the qualification in previous years in which assessments took place
Deception
Deception in applying Special consideration or Reasonable Adjustments
Failure to comply with regulations/AO policies for Reasonable
Adjustments or Special Consideration
Failure to co-operate with an investigation
Improper assistance in applying Special Consideration or Reasonable
Adjustments
Improper assistance to candidates
Inadequate teaching/assessment time
Insufficient information
Late entry for learners who had not planned to take assessment between 20 March and 31 July 2020
Maladministration
Tutor/examiner competency
Examiner
Value
Breach of security
Case ongoing
Deception
Examiner competency
Failure to comply with regulations/AO policies for Reasonable
Adjustments or Special Consideration
Failure to co-operate with an investigation
Improper assistance to candidates
Insufficient information
Maladministration
Candidates
Value
A breach of instructions or advice of an invigilator supervisor or the awarding body in relation to the examination rules and regulations
Allowing others to assist in the production of controlled assessments coursework or assisting others in the production of controlled assessments or coursework
Allowing work to be copied e.g. posting written coursework on social networking sites prior to an examination/assessment
Attempt to influence teachers’ judgements on Centre Assessment Grades and/or rank order
Attempt to influence teachers judgements on Teacher Assessed Grades
Behaving in a way as to undermine the integrity of the examination
Being in possession of confidential material in advance of the examination
Bringing into the exam room notes in the wrong format or prohibited annotations
Case ongoing
Collusion working collaboratively with other candidates beyond what is permitted
Copying from another candidate including the misuse of ICT
Disruptive behaviour in the examination room or assessment session including the use of offensive language
Exchanging obtaining receiving passing on information or the attempt to which could be examination related by means of - electronic written or non-verbal communication
Exchanging obtaining receiving passing on information or the attempt to which could be examination related by means of - talking
Failing to abide by the conditions of supervision designated to maintain the security of the examinations
Impersonation pretending to be someone else arranging for another person to take ones place in an examination or an assessment
Insufficient information
Introduction of unauthorised material into the examination room -
Calculators dictionaries when prohibited
Introduction of unauthorised material into the examination room - Mobile phone or other electronic communicating devices
Introduction of unauthorised material into the examination room - Notes study guides and personal organisers
Introduction of unauthorised material into the examination room - Own blank paper
Introduction of unauthorised material into the examination room -Personal stereo including MP3 iPod or any other similar electronic devices
Making a false declaration of authenticity
Misuse of or attempted misuse of examination material and resources
Plagiarism unacknowledged copying from published sources including the internet incomplete referencing
TQ Malpractice
The alteration of any results document including certificates
The deliberate destruction of work
The inclusion of inappropriate offensive or obscene material in scripts coursework or portfolios
The unauthorised use of a memory stick or similar device where a candidate uses a word processor
Theft where the candidates work is removed or stolen
Annex B: Malpractice Penalty Types Accepted Values (TQ)
Centre staff malpractice - Individuals
Value
Additional monitoring or inspection
Approval of specific assessment tasks
Case ongoing outcome TBD
Independent invigilators
No evidence to substantiate allegation
No penalty issued
Restrictions on examination and assessment materials
Review and report
Suspension of candidate registrations or entries
Withdrawal of approval for a specific qualification
Withdrawal of centre recognition
Written warning
Centre staff malpractice – Centres
Value
Case ongoing outcome TBD
No evidence to substantiate allegation
No penalty issued
Referral to TRA (Teaching Regulation Agency)
Special conditions
Suspension/Debarment
Training
Written warning
Examiner
Value
Case ongoing outcome TBD
Dismissal
No evidence to substantiate allegation
No penalty issued
Special conditions
Suspension/Debarment
Training
Written warning
Candidates
Values
Candidate debarment
Case ongoing outcome TBD
Disqualification from a unit
Disqualification from all qualifications in series
Disqualification from all units
Disqualification from whole qualification
Loss of all marks for a unit
Loss of marks for a component
Loss of marks for a section
No evidence to substantiate allegation
No penalty issued
Warning
Contacts
For all queries relating to the data collection process, amendments to data previously provided, or for general guidance. please contact:
Data services
Ofqual
2nd floor, 1 Friargate
Station Square
Coventry
CV1 2GN