Introduction
This policy is aimed at our staff/contractors and learners, who are delivering/registered on 9k Secure Ltd courses, who are involved in suspected or actual malpractice/maladministration. It is also for use by our staff to ensure they deal with all malpractice and maladministration investigations in a consistent manner.
It sets out the steps our company, and learners or other personnel must follow when reporting suspected or actual cases of malpractice/maladministration and our responsibilities in dealing with such cases. It also sets out the procedural steps we will follow when reviewing the cases.
Centre’s Responsibility
It is important that all staff involved in the management, assessment and quality assurance of our training, and learners, are fully aware of the contents of the policy and we have arrangements in place to prevent and investigate instances of malpractice and maladministration.
9k Secure Ltd is committed to providing high-quality training and expects staff and learners alike to demonstrate honesty and integrity in carrying out their respective responsibilities
Definition
‘Malpractice’ means the deliberate or wilful contravention or ignoring of 9k Secure Ltd and/or the regulatory requirements pertaining to the assessment and/or examination process, which may adversely affect the integrity of a qualification, its assessment and the validity of learner certificates. For the purposes of this document, the term ‘malpractice’ covers both maladministration and misconduct.
Examples of malpractice (please note these examples are not exhaustive).
- Influencing the assessment or certification process
- Permitting, facilitating or obtaining unauthorised access to confidential examination/assessment material
- Assisting or prompting learners in the production of answers to examination questions or assessment evidence, beyond that permitted
- Falsification of learners’ marks, assessment evidence, records, certification claims or results documentation.
- Failure to meet the requirements for the conduct of examinations.
- Breaches of security of examination papers or materials and their electronic equivalents.
- Unauthorised changes to examination timetables.
- Failure to issue learners with appropriate notices and warnings.
- Non-adherence to the invigilation requirements.
- Failure to dispatch scripts to examiners promptly and efficiently.
- Amendment of examination materials without permission.
- Failure to provide access arrangements in accordance with Awarding Body requirements.
- Breach of examination or assessment rules, regulations and requirements.
- Falsification of assessment evidence or results documentation.
- Plagiarism of any nature.
- Collusion with others.
- Copying from another learner (including the use of ICT to aid copying) or allowing work to be copied.
- Deliberate destruction of another’s work.
- False declaration of authenticity in relation to the contents of a portfolio or coursework Impersonation.
- Inappropriate conduct during an examination/assessment session.
- Introduction of unauthorised material or instruments into the examination room/assessment session.
- Misuse or attempted misuse of examination/assessment material.
- Exchanging, obtaining, receiving or passing on unauthorised or confidential examination or assessment material.
- Disruptive or offensive behaviour.
- Failure to abide by the instructions of an invigilator or supervisor.
- For the purposes of Security linked qualifications, teaching in a language other than English.
- As above, allowing a learner to undertake security qualifications who themselves do not hold an appropriate level of English to undertake the course/qualification.
Definition of Maladministration
Maladministration is essentially any activity or practice which results in non-compliance with administrative regulations and requirements and includes the application of persistent mistakes or poor administration.
Examples of maladministration
- Persistent failure to adhere to our learner registration and certification procedures.
- Persistent failure to adhere to our centre recognition and/or qualification requirements and/or
- Associated actions assigned to the centre.
- Late learner registrations (both infrequent and persistent)
- Unreasonable delays in responding to requests and/or communications.
- Inaccurate claim for certificates
- Failure to maintain appropriate auditable records, e.g. certification claims and/or forgery of evidence including video materials.
- Withholding of information, by deliberate act or omission, from us which is required to assure Active.
Examples of Malpractice
- Failure to carry out internal assessment, internal moderation or internal verification in accordance with our requirements.
- Deliberate failure to adhere to our learner registration and certification procedures.
- Deliberate failure to continually adhere to our centre recognition and/or qualification approval requirements or actions assigned to our centre.
- Deliberate failure to maintain appropriate auditable records, e.g. certification claims and/or forgery of evidence.
- Fraudulent claim(s) for certificates
- Intentional withholding of information from us is critical to maintaining the rigor of quality assurance and standards of qualifications.
- Collusion or permitting collusion in exams/assessments.
- Learners are still working towards qualification after certification claims have been made.
- Plagiarism by learners/staff
- Copying from another learner (including using ICT to do so).
Process for Making an Allegation of Malpractice or Maladministration
Anybody who identifies or is made aware of suspected or actual cases of malpractice or maladministration at any time must immediately notify the Director of 9k Secure Ltd, James Appiah in doing so they should put the allegation in writing/email and enclose appropriate supporting evidence.
All allegations must include (where possible):
- Learner’s name and registration number
- Staff members’ name and job role – if they are involved in the case.
- Details of the course/qualification affected, or nature of the service affected.
- Nature of the suspected or actual malpractice and associated dates details and outcome of any initial investigation carried out by the centre or anybody else involved in the case, including any mitigating circumstances.
The Director will then conduct an initial investigation prior to ensure that staff involved in the initial investigation are competent and have no personal interest in the outcome of the investigation.
In all cases of suspected malpractice and maladministration reported we will protect the identity of the ‘informant’ in accordance with our duty of confidentiality and/or any other legal duty.
Confidentiality and Whistleblowing
Sometimes a person making an allegation of malpractice or maladministration may wish to remain anonymous. Although it is always preferable to reveal your identity and contact details to us, if you are concerned about possible adverse consequences, you may request that the Director does not divulge your identity.
While we are prepared to investigate issues which are reported to us anonymously, we shall always try to confirm an allegation by means of a separate investigation before taking up the matter with those the allegation relates.
Responsibility for the Investigation
In accordance with regulatory requirements all suspected cases of maladministration and malpractice will be examined promptly by 9k Secure Ltd, to establish if malpractice or maladministration has occurred and will take all reasonable steps to prevent any adverse effect from the occurrence as defined by the Awarding body and Ofqual.
We will acknowledge receipt, as appropriate, to external parties within 48 hours.
Our Director will be responsible for ensuring the investigation is carried out in a prompt and effective manner and in accordance with the procedures in this policy and will allocate a relevant member of staff to lead the investigation and establish whether or not the malpractice or maladministration has occurred, and review any supporting evidence received or gathered.
Notifying Relevant Parties
Where applicable, our director will inform the appropriate regulatory authorities if we believe there has been an incident of malpractice or maladministration which could invalidate the award of a qualification.
Investigation Timelines and Summary Process
We aim to take action and resolve all stages of the investigation within 10 working days of receipt of the allegation.
The fundamental principle of all investigations is to conduct them in a fair, reasonable and legal manner, ensuring that all relevant evidence is considered without bias.
In doing so investigations will be based around the following broad objectives:
- To establish the facts relating to allegations/complaints in order to determine whether any irregularities have occurred.
- To identify the cause of the irregularities and those involved.
- To establish the scale of the irregularities.
- To evaluate any action already taken.
- To determine whether remedial action is required to reduce the risk to current registered learners and to preserve the integrity of 9k Secure Ltd and the qualification.
- To identify any adverse patterns or trends.
- To learn any lessons as appropriate to ensure such instances are not repeated.
The investigation may involve a request for further information from relevant parties and/or interviews with personnel involved in the investigation. Therefore, we will:
- Ensure all material collected as part of an investigation must be kept secure.
- If an investigation leads to invalidation of certificates, or criminal or civil prosecution, all records and original documentation relating to the case will be retained until the case and any appeals have been heard and for five years thereafter.
- Expect all parties, who are either directly or indirectly involved in the investigation, to fully co-operate with us.
Either at notification of a suspected or actual case of malpractice or maladministration and/or at any time during the investigation, we reserve the right to withhold a learner, and/or cohort’s, results.
Where a member of 9k Secure Ltd or a 9k Secure Ltd associate is under investigation, we may suspend them, or move them to other duties until the investigation is complete.
Throughout the investigation our director will be responsible for overseeing the work of the investigation team to ensure that due process is being followed, appropriate evidence has been gathered and reviewed and for liaising with and keeping informed relevant external parties.
Investigation Report: Responsibilities to Report Malpractice and Maladministration
Centre staff who discover or suspect malpractice must immediately report this to the Head of Centre. The Head of Centre will investigate the matter, establish the full facts and circumstances and pass on to the individuals concerned any decisions, warnings or notification of penalties.
Individuals accused of malpractice will be informed of the allegations made against them, the evidence that supports the allegation and the possible consequences should malpractice be proven.
A full written report will be submitted to the relevant awarding body in accordance with the awarding bodies processes.
The report will include:
- A detailed account of the circumstances surrounding the malpractice.
- The procedures for advising learners of the regulations concerning the conduct of examinations and/or assessments.
- A report of any investigation carried out subsequently by the centre.
- Signed and dated statements from the staff concerned on letterhead paper.
- Signed and dated statements from the learner(s) concerned or a clear indication that they have been given an opportunity to make a statement.
- A signed and dated statement from the learner’s employer (if applicable)
- Seating plans of the examination room, learners’ question papers and scripts/portfolios/other evidence, copies of unauthorised or plagiarised material (as applicable)
- Assessment and internal verification/moderation records
9k Secure Ltd aim to complete the investigation, including the report, within 10 working days of being requested to undertake it.
Investigation Outcomes
If the investigation confirms that malpractice or maladministration has taken place, we will consider what action to take in order to:
- Minimise the risk to the integrity of certification now and in the future.
- Maintain public confidence in the delivery and awarding of qualifications.
- Discourage others from carrying out similar instances of malpractice or maladministration.
- Ensure there has been no gain from compromising our standards.
- The action we take may include:
- Imposing actions in order to address the instance of malpractice/maladministration and to prevent it from reoccurring.
- In cases where certificates are deemed to be invalid, inform the Awarding Body concerned and the regulatory authorities why they’re invalid and any action to be taken for reassessment and/or for the withdrawal of the certificates. We’ll also let the affected learners know the action we’re taking and that their original certificates are invalid and ask – where possible – to return the invalid certificates to 9k Secure Ltd.
- Informing relevant third parties (e.g. funding bodies) of our findings in case they need to take relevant action in relation to the centre.
In addition, to the above the Director will record any lessons learnt from the investigation and pass these on to relevant internal colleagues to help prevent the same instance of maladministration or malpractice from reoccurring.
If the relevant party(ies) wishes to appeal against our decision to impose sanctions, please refer to our Complaints Procedure.
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