1. General
1.1 Malpractice’ and ‘maladministration’ are related concepts, the common theme of which is that they involve a failure to follow the rules of an examination or assessment. This policy and procedure uses the word ‘malpractice’ to cover both ‘malpractice’ and ‘maladministration’ and it means any act, default or practice which is:
- a breach of the regulations
- a breach of awarding body requirements regarding how a qualification should be delivered
- a failure to follow established procedures in relation to a qualification
which:
- gives rise to prejudice to candidates
- compromises public confidence in qualifications
- compromises, attempts to compromise or may compromise the process of assessment, the integrity of any qualification or the validity of a result or certificate
- damages the authority, reputation or credibility of any awarding body or centre or any officer, employee or agent of any awarding body or centre (SMPP 1)
2. Learner malpractice:
2.1 ‘Learner malpractice’ means malpractice by a learner in connection with any examination or assessment, including the preparation and authentication of any controlled assessments, coursework or non-examination assessments, the presentation of any practical work, the compilation of portfolios of assessment evidence and the writing of any examination paper. (SMPP 2).
3. Centre staff malpractice:
3.1 ‘Centre staff malpractice’ means malpractice committed by:
- a member of staff, contractor (whether employed under a contract of employment or a contract for services) or a volunteer at a centre; or
- an individual appointed in another capacity by the centre such as an invigilator, a Communication Professional, a Language Modifier, a practical assistant, a prompter, a reader or a scribe (SMPP 2)
4. Purpose of the policy:
To confirm that the BII:
4.1 has in place re staff malpractice policy which covers all qualifications delivered by the centre and details how learners are informed and advised to avoid committing malpractice in examinations/assessments, how suspected malpractice issues should be escalated within the centre and reported to the relevant awarding Body (GR 5.3)
5. General principles:
In accordance with the regulations BII will:
5.1 Take all reasonable steps to prevent the occurrence of any malpractice (which includes maladministration) before, during and after examinations have taken place (GR 5.11)
5.2 Inform the awarding body immediately of any alleged, suspected or actual incidents of malpractice or maladministration, involving a learner or a member of staff, by completing the appropriate documentation (GR 5.11)
5.3 As required by an awarding body, gather evidence of any instances of alleged or suspected malpractice (which includes maladministration) in accordance with the JCQ publication Suspected Malpractice – Policies and Procedures and provide such information and advice as the awarding body may reasonably require (GR 5.11)
6. Preventing malpractice:
The BII has in place:
6.1 Robust processes to prevent and identify malpractice, as outlined in section 3 of the JCQ publication Suspected Malpractice: Policies and Procedures. (SMPP 4.3)
6.2 This includes ensuring that all staff involved in the delivery of assessments and examinations understand the requirements for conducting these as specified in the following JCQ documents and any further awarding body guidance: General Regulations for Approved Centres 2023-2024; Instructions for conducting examinations (ICE) 2023-2024; Instructions for conducting coursework 2023-2024; Instructions for conducting non-examination assessments 2023-2024; Access Arrangements and Reasonable Adjustments 2023-2024; A guide to the special consideration process 2023-2024; Suspected Malpractice: Policies and Procedures 2023- 2024; Plagiarism in Assessments; AI Use in Assessments: Protecting the Integrity of Qualifications; A guide to the awarding bodies’ appeals processes 2023-2024 (SMPP 3.3.1)
Informing and advising candidates how to avoid committing malpractice in examinations / assessments
The centre ensures that all learners are notified of relevant examination policies. Centre Staff are notified of all policies related to assessments and examinations, with new Staff receiving an induction from the Head of Training.
7. Identification and reporting of malpractice:
Escalating suspected malpractice issues:
7.1 Once suspected malpractice is identified, any member of staff at the centre can report it using the appropriate channels (SMPP 4.3)
7.2 All centre staff have a responsibility for reporting any alleged malpractice or maladministration. In event of a report, the Head of Training will immediately gather relevant information and report the incident to the Head of Finance and Services and the Chief Executive Officer
8. Reporting suspected malpractice to the awarding body:
8.1 The Head of Training will notify the appropriate awarding body immediately of all alleged, suspected or actual incidents of malpractice, and will conduct any investigation and gathering of information in accordance with the requirements of the JCQ publication Suspected Malpractice: Policies and Procedures (SMPP 4.1.3)
8.2 The Head of Training will ensure that where a learner who is a child/vulnerable adult is the subject of a malpractice investigation, the candidate’s parent/carer/ appropriate adult is kept informed of the progress of the investigation (SMPP 4.1.3)
8.3 Form JCQ/M1 will be used to notify an awarding body of an incident of candidate malpractice. Form JCQ/M2 will be used to notify an awarding body of an incident of suspected staff malpractice/maladministration (SMPP 4.4, 4.6)
8.4 Malpractice by a learner discovered in a controlled assessment, coursework or non- examination assessment component prior to the learner signing the declaration of authentication need not be reported to the awarding body but will be dealt with in accordance with the centre’s internal procedures. The only exception to this is where the awarding body’s confidential assessment material has potentially been breached. The breach will be reported to the awarding body immediately (SMPP 4.5)
8.5 If, in the view of the investigator, there is sufficient evidence to implicate an individual in malpractice, that individual (a learner or a member of staff) will be informed of the rights of accused individuals (SMPP 5.33)
8.6 Once the information gathering has concluded, the head of Training (or other appointed information-gatherer) will submit a written report summarising the information obtained and actions taken to the relevant awarding body, accompanied by the information obtained during the course of their enquiries (5.35)
8.7 Form JCQ/M1 will be used when reporting learner cases; for centre staff, form JCQ/M3 will be used (SMPP 5.37)
8.8 The awarding body will decide on the basis of the report, and any supporting documentation, whether there is evidence of malpractice and if any further investigation is required. The head of Training will be informed accordingly (SMPP 5.40)
9. Communicating malpractice decisions:
9.1 Once a decision has been made, it will be communicated in writing to the head of Training as soon as possible. The head of Training will communicate the decision to the individuals concerned and pass on details of any sanctions and action in cases where this is indicated. The head of Training will also inform the individuals if they have the right to appeal. (SMPP 11.1)
10. Appeals against decisions made in cases of malpractice:
The BII will:
10.1 Provide the individual with information on the process and timeframe for submitting an appeal, where relevant
10.2 Refer to further information and follow the process provided in the JCQ publication A guide to the awarding bodies’ appeals processes
11. Policy review:
11.1 This policy is reviewed annually to ensure it continues to meet our needs and those of our learners, customers and regulators.
For information
https://www.jcq.org.uk/wp-content/uploads/2023/02/Malpractice_Feb23_v1.pdf