Complaints data: guide to the submission process
Updated 11 October 2022
Applies to England
© Crown copyright 2022
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This publication is available at https://www.gov.uk/government/publications/complaints-guide-to-the-submission-process/complaints-guide-to-the-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?
Data on complaints received by awarding organisations, will be collected for GCSE, AS, A level, Advanced Extension Award, Other General Qualification, Project, English For Speakers of Other Languages, Functional Skills, Other Life Skills, Essential Skills (Northern Ireland), Occupational Qualification, Vocationally-Related Qualification, End-Point Assessment, Performing Arts Graded Examinations, Other Vocational.
This collection is for the general qualification awarding organisations only.
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.
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.
General completion guidelines
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Numeric values must not have any formatting
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Ofqual requires data for anything which is an expression of dissatisfaction against any of the categories accompanying the complaints template (be that for products, services or processes), regardless of whether it was dealt with by the complaints team or another team
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Ofqual is aiming to collect complaints data for only Ofqual-regulated qualifications within all geographical regions
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Where complaints do not relate to a specific qualification, we still require the complaints data as the issue could be of relevance to Ofqual
Use the grey bar at the bottom of the table to scroll right in order to view all columns
| Name | Description | Position | Validation Regular Expression | Description of Regular Expression |
|---|---|---|---|---|
| ExamSeries | Exam series data relates to for example June 2023 | 1 | ^(June)([ ][0-9][0-9][0-9][0-9])$ |
Full month name of exam series and year. -2 also accepted for unknown value |
| Year | Year the complaint relates to | 2 | ^(0-9][0-9][0-9][0- 9])$ |
Year (4 digits). |
| ReportingDate | Date the file was due to be submitted regardless of when it was actually uploaded. Format accepted 120 ODBC canonical yyyy-mm-dd | 3 | ^(20)\d\d[-](0[1-9]|1[012])[-](0[1-9]|[12][0-9]|3[01])$ |
The date in the following format: year (4 digits), a dash, month (2 digits), a dash, day (2 digits) |
| AwardingOrganisation | Name of the awarding organisation | 4 | ^.{1,100}$ |
1 to 100 characters accepted |
| ComplaintReferenceNo | Unique AO identifier for complaint | 5 | ^\d{1,25}$ |
Up to 25-digit integer accepted |
| QualificationLevel | Level of qualification, for example GCSE | 6 | ^(GCSE|AS|A level| Advanced Extension Award|Other General Qualification|Project| English For Speakers of Other Languages|Function al Skills|Other Life Skills|Essential Skills (Northern Ireland)|Occupation al Qualification|Vocatio nally-Related Qualification|End- Point Assessment|Performing Arts Graded Examinations|Other Vocational|Multiple|- 2)$ |
Accepted values: GCSE AS A level Advanced Extension Award Other General Qualification Project English For Speakers of Other Languages Functional Skills Other Life Skills Essential Skills (Northern Ireland) Occupational Qualification Vocationally- Related Qualification End- Point Assessment Performing Arts Graded Examinations Other Vocational Multiple -2 |
| QAN | Qualification Accreditation Number, for example 123/1234/1 | 7 | ^.{1,10}$ |
1 to 10 characters accepted. -2 accepted if unknown. ‘Multiple’ accepted if complaint is in relation to more than one qualification |
| SpecificationTitle | Specification title also known as subject title | 8 | ^.{1,150}$ |
1 to 150 characters accepted. -2 accepted if unknown. ‘Multiple’ accepted if complaint is in relation to more than one specification title |
| SpecificationCode | Specification code also known as Subject Award Code and Cash-in Code | 9 | ^.{1,7}$ |
1 to 7 characters accepted. -2 accepted if unknown. ‘Multiple’ accepted if complaint is in relation to more than one specification code |
| UnitOrComponentCode | Unit or component identifier | 10 | ^.{1,10}$ |
1 to 10 characters accepted. -2 accepted if unknown |
| DateComplaintMade | Date the complaint was made. Format accepted 120 ODBC canonical yyyy-mm- dd | 11 | ^(20)\d\d[-](0[1-9]|1[012])[-](0[1-9]|[12][0-9]|3[01])$ |
The date in the following format: year (4 digits), a dash, month (2 digits), a dash, day (2 digits) |
| DateComplaintClosed | Date the complaint was closed. Format accepted 120 ODBC canonical yyyy-mm- dd | 12 | ^(20)\d\d[-](0[1-9]|1[012])[-](0[1-9]|[12][0-9]|3[01])$ |
The date in the following format: year (4 digits), a dash, month (2 digits), a dash, day (2 digits). ‘2999-12-31’ accepted for cases still open at time of reporting |
| NatureOfComplaint | To indicate the reason for the complaint | 13 | Accepted values as per pre-agreed list |
Accepted values (see annex A) |
| SpecificNatureOfComplaint | To indicate a more detailed reason for the complaint | 14 | Accepted values as per pre-agreed list |
Accepted values (see annex A) |
| Outcome | To indicate the outcome of the complaint | 15 | ^(upheld|not upheld|partially upheld|not applicable|ongoing)$ |
Accepted values: upheld not upheld partially upheld not applicable ongoing |
| ComplaintSource | To indicate the source of the complaint | 16 | ^(parent|centre|student|teacher|representative bodies|assessor|moderator|item writer|public|government|media|internal staff|contractor|private student|unknown)$ |
Accepted values: parent centre student teacher representative bodies assessor moderator item writer public government media internal staff contractor private student unknown |
| MultipleOrSingleIssue | To indicate whether a complaint is in relation to a single issue or multiple | 17 | ^(multiple|single)$ |
Accepted values: multiple single |
| Covid-19Related | One of the following list: yes, no | 18 | ^(yes|no)$ |
Accepted values: yes no |
Annex A: Nature of Complaint Types Accepted Values
| NatureOfComplaint | SpecificNatureOfComplaint |
|---|---|
| Assessors | Allocation of scripts/work to assessors |
| Assessors | Capacity |
| Assessors | Conduct/competence of assessors |
| Assessors | Delays in marking/moderation/verification |
| Assessors | Guidance and support to assessors |
| Assessors | Moderator visits |
| Assessors | Pay and conditions for assessors |
| Assessors | Training of assessors |
| Centres/third party contractors | Arrangements with centres |
| Centres/third party contractors | Arrangements with third party contractors |
| Centres/third party contractors | Centre administration/decisions |
| Centres/third party contractors | Centre appeals |
| Centres/third party contractors | Centre marking |
| Centres/third party contractors | Exam conditions |
| Centres/third party contractors | Teaching quality |
| Certificates | Errors in certificates |
| Certificates | Lost or late certificates |
| Certificates | Replacement of certificates |
| Data | Breach or loss of data |
| Data | FOI requests |
| Data | Other GDPR/data protection/confidentiality issues |
| Data | Subject access request |
| Delivery and exam admin | AO rules |
| Delivery and exam admin | Centre inspections/monitoring |
| Delivery and exam admin | Despatch of assessment materials |
| Delivery and exam admin | Entries |
| Delivery and exam admin | Missing/lost scripts |
| Delivery and exam admin | Script collection from centres |
| Delivery and exam admin | Timetable |
| Equalities and accessibility | Appeals against reasonable adjustments |
| Equalities and accessibility | Appeals against special consideration |
| Equalities and accessibility | Decisions in granting requests |
| Equalities and accessibility | Equality/accessibility |
| Equalities and accessibility | Reasonable adjustments |
| Equalities and accessibility | Special consideration |
| External policy | Policy issues |
| External policy | Policy issues relating to Adaptations/Advance Information |
| Fees | Cost of qualification packages |
| Fees | Cost of support |
| Fees | Cost of training |
| Fees | Fees of qualifications and post-results services |
| Fees | Invoicing |
| IT systems | Online marking system |
| IT systems | Online results system |
| IT systems | Online testing system |
| IT systems | Other external IT systems |
| Malpractice | Appeals against malpractice decisions |
| Malpractice | Conflict of Interest |
| Malpractice | False claims to qualifications |
| Malpractice | Malpractice investigations |
| Malpractice | Sanction |
| Malpractice | Security breach |
| Malpractice | Whistle-blowing |
| Qualifications | Coursework and internal assessment |
| Qualifications | Errors in assessment materials |
| Qualifications | Examined assessment materials |
| Qualifications | Marking criteria |
| Qualifications | Representation of qualifications |
| Qualifications | Specification |
| Qualifications | Withdrawal of qualifications |
| Qualifications | Confirmed or alleged errors in Adaptations/Advance Information. This category should be used when a complaint references a specific qualification or subject |
| Qualifications support provided by awarding organisation | Events organised by awarding organisation |
| Qualifications support provided by awarding organisation | Guidance from awarding organisation |
| Qualifications support provided by awarding organisation | Past exam papers or other assessment materials |
| Qualifications support provided by awarding organisation | Teaching resources |
| Qualifications support provided by awarding organisation | Textbooks |
| Qualifications support provided by awarding organisation | Visits to centres by awarding organisation |
| Results and Post- Results outcomes | Access to scripts |
| Results and Post- Results outcomes | Appeals against decisions related to results |
| Results and Post- Results outcomes | Dissatisfaction with results |
| Results and Post- Results outcomes | Errors in results |
| Results and Post- Results outcomes | Grade boundaries |
| Results and Post- Results outcomes | Late results |
| Results and Post- Results outcomes | Quality of marking |
| Results and Post- Results outcomes | Quality of moderation |
| Results and Post- Results outcomes | Review of marking |
| Results and Post- Results outcomes | Review of moderation |
| Service provided by awarding organisation | Communications |
| Service provided by awarding organisation | Customer care |
| Service provided by awarding organisation | Social media |
| Service provided by awarding organisation | Website |
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