Information regarding SQAs investigation into malpractice related to construction qualifications in England

Under the Freedom of Information (Scotland) Act 2002, I would like to request further details regarding SQA?s investigation into malpractice related to construction qualifications in England, as referenced in Ofqual?s recent public notice. To gain a clearer understanding of the situation, I would appreciate clarification on the following points:

1. Nature of the Malpractice: Could you provide more details about the specific types of malpractice or issues identified in the qualifications delivered between 2017 and 2019? What were the concerns that prompted the revocation of approximately 50 level 1 health and safety certificates?

2. Additional Issues Identified: According to Ofqual, additional issues emerged in 2022 related to the design and delivery of resits for the health and safety qualification. Could you elaborate on these issues and how they influenced the course of the investigation?

3. Timeline of Investigation: Could you provide a detailed timeline of SQA's internal investigation into these issues, including when the concerns were first raised, the actions taken in response, and the submission of your action plan in June 2022?

4. How did these developments lead to the qualifications being withdrawn?

5. Impact on Learners: How did SQA address the potential impact on learners who were awarded the withdrawn qualifications?

6. Were any compensatory measures put in place, and how were learners informed of the situation?

7. Preventive Actions for the Future: What steps has SQA taken to ensure similar issues do not arise in the future, particularly concerning the qualifications it delivers in England? How will you be working with Ofqual and other stakeholders to strengthen compliance moving forward?

8. I would appreciate it if you could provide any relevant reports, correspondence, or documentation that would help address these questions. If certain details are confidential, I would still be grateful for as much information as can be shared in the interest of transparency and public accountability. Thank you for your attention to this request.

1. Nature of the Malpractice: Could you provide more details about the specific types of malpractice or issues identified in the qualifications delivered between 2017 and 2019?  What were the concerns that prompted the revocation of approximately 50 level 1 health and safety certificates? 

Findings of malpractice related to centres failing to comply with SQA requirements in relation to data management, disclosure of required information, conflict of interest and assessment and/ or failure to comply with required assessment conditions for these qualifications. Where the SQA centre malpractice panel judged that there was sufficient evidence to indicate that assessment had not taken place or had not taken place in line with our required conditions, then reviews of the validity of certification were undertaken leading, in some cases, to revocation of qualifications.

2. Additional Issues Identified: According to Ofqual, additional issues emerged in 2022 related to the design and delivery of resits for the health and safety qualification. Could you elaborate on these issues and how they influenced the course of the investigation? 

We do not have any knowledge of additional issues emerging in 2022 related to the design and delivery of resits for the health and safety qualification. We have re-examined the documentation published by Ofqual and can see no reference to additional issues for this product. We believe that all issues relating to this were addressed by end 2019 when SQA withdrew from offering this qualification.

3. Timeline of Investigation: Could you provide a detailed timeline of SQA's internal investigation into these issues, including when the concerns were first raised, the actions taken in response, and the submission of your action plan in June 2022? 

The centre malpractice investigations took place between 2017-2019 and this led to a number of action culminating in the action plan in June 2022 -

• We took some immediate steps that the attached letter of 21 April 2021 to Ofqual details – including 19 actions. Please see attachment.
• We refreshed our item bank of assessments online using our SOLAR system  
• We revised our revocation process and included revocation of certificates in the Malpractice policy and guidance to centres in 2018.
• We tightened centre and qualification approval requirements and centre assessment arrangements (requiring assessment dates so we can make unannounced QA visits)
• We withdrew from offering the qualification in the Ofqual market in May 2019.
• We introduced CASS (Centre Assessment Standards Scrutiny) in 2021, in line with Ofqual requirements for the implementation of their new CASS Condition H2, which involves centre data analysis checking they are conforming to our quality standards and processes. Whilst this was for all centres and awarding bodies to adhere to and not specifically in relation to the investigation, it is a pertinent improvement.
• We implemented the new approach to malpractice policy and related procedures (2023) to include taking action against individuals employed by centres rather than holding centres/head of centres responsible
• We developed a strengthened risk-based approach to qualification development and quality assurance controls to be implemented in January 2025
• We are currently reviewing training and guidance for assessment development to strengthen practices. 

4. How did these developments lead to the qualifications being withdrawn? 

As each additional measure was put in place and step taken, we continued to reflect on the level of risk and over time, we decided to withdraw in 2019 concluding that this was an appropriate course of action and all evidence had been considered.

5. Impact on Learners: How did SQA address the potential impact on learners who were awarded the withdrawn qualifications?

The candidates who were to have their certificates revoked were contacted in order to give them the opportunity to provide any additional information which may have allowed them to retain their certificate. There were no cases where this happened.

6. Were any compensatory measures put in place, and how were learners informed of the situation? 

Along with a call for additional information, candidates were offered the opportunity for re-assessment.

7. Preventive Actions for the Future: What steps has SQA taken to ensure similar issues do not arise in the future, particularly concerning the qualifications it delivers in England? 

All of the actions set out in the Action plan and noted in response to question 3 are preventative actions.

8. How will you be working with Ofqual and other stakeholders to strengthen compliance moving forward?
As noted and referenced, we have already put an action plan in place with Ofqual and have undertaken an independent audit to provide further assurance of both progress and validity. As members of the Federation of Awarding Bodies and the Joint Council for Qualifications, we continue to interact with stakeholders in the marketplace.

Approaches noted in the response to question 3, such as CASS implementation are requirements for all awarding bodies in the Ofqual market. We are currently reviewing training and guidance for assessment development to strengthen practice and have also refreshed and refocused our approach to developing or offering new qualifications / existing qualifications in new markets to ensure risk is properly considered and used as evidence in decision making. Ideas for improvement will continue to be considered through the cross functional team responsible for regulatory compliance.

Actions and improvements statement (76 KB)