Malpractice and Maladministration Policy

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1 TR340 Malpractice and Maladministratin Plicy This plicy aims t: Define malpractice and maladministratin in the cntext f CIM/CAM studying members, Accredited study centres (ASCs), examinatin centres, invigilatrs and CIM staff members. Set ut the rights and respnsibilities f all parties regarding malpractice and maladministratin. Establish the malpractice and maladministratin prcedures. Describe the prcedure t be fllwed if malpractice r maladministratin is suspected. Defining malpractice. Fr the purpses f this plicy, malpractice is defined as any act thrugh which an individual has gained advantage and/r that threatens the integrity f CIM qualificatins and/r assessments, and/r their prper certificatin, and/r cmprmises the reputatin f the CIM Awarding Bdy. Defining maladministratin. Fr the purpses f this plicy, maladministratin is defined as ineffective management and cntrl systems, r failure t fllw written instructins r maintain apprpriate systems, plicies, prcedures and instructins, r falsificatin f recrds, dcuments r systems, r plagiarism r ther academic miscnduct. Studying members and malpractice and maladministratin. Studying members are respnsible fr ensuring they fllw CIM guidelines fr examinatins and assignments. Malpractice and/r maladministratin by studying members is described belw, but this is nt an exhaustive list. All incidents f suspected malpractice r maladministratin, whether r nt described belw, will be fully investigated where there are sufficient grunds t d s. Accredited Study Centres (ASCs) and malpractice and maladministratin. ASCs are respnsible fr cmmunicating and ensuring that all their students have read and understd the Awarding Bdy s Malpractice and Maladministratin plicy. They are als respnsible fr reprting any suspected cases f malpractice and/r maladministratin regarding staff wh deliver CIM curses and that f their wn students. ASCs are als required t have their wn plicy and prcedures n malpractice and maladministratin. CIM expects the ASCs t reprt t the Head f Awarding Bdy any cases f Malpractice Plicy V3 Octber 2015 Page 1 f 7

2 suspected malpractice r maladministratin t it, accepting that in certain circumstances CIM may take actin f its wn, including investigatins and impsing sanctins. CIM als expects the ASC t investigate t see if the suspected malpractice r maladministratin threatens r cmprmises the integrity f CIM qualificatin delivery/assessment prcesses/validity f certificatin. Malpractice r maladministratin by ASCs is described belw, but this is nt an exhaustive list. All incidents f suspected malpractice r maladministratin, whether r nt described belw, will be fully investigated where there are sufficient grunds t d s. Examples f ASC malpractice r maladministratin include: Failure t keep assessment papers r marking schemes secure. Altering mark schemes in any way. Altering assessment r grading criteria in any way. Assisting studying members in the prductin f wrk fr assignments r examinatins beynd the accepted level f gd educatinal practice. Gd practice wuld include guidance, advice and facilitatin in preparing the studying member fr an assessment. Allwing evidence t appear in an assignment r examinatin that ASC staff knw is nt the studying member s wn. Misusing cnditins set fr special learner requirements. Falsifying CIM recrds r CIM certificates. Failure t keep studying member cmputer files secure. Allwing fraudulent certificate claims t be made by staff r studying members. Allwing/btaining unauthrised access t assessments prir t the examinatin r test. Allwing disruptive cnditins when examinatins are in prgress (as reprted by candidates). Failure t adhere t CIM s regulatins relating t invigilatin. Failure t adhere t CIM s instructins relating t the handling f cmpleted studying member assessments. This includes examinatin scripts and assignments. Failure t reprt a suspected case f studying member malpractice r maladministratin, including plagiarism and cllusin, t CIM. Prducing, using r allwing the use f frged/falsified dcument in recruitment f studying members, r fr the purpses f reasnable adjustments r special cnsideratin applicatins. Examinatin centres, invigilatrs and malpractice and maladministratin. Examinatin centres and invigilatrs are respnsible fr ensuring CIM s guidelines regarding the cnduct f examinatins are fllwed at examinatin venues and fr reprting any suspected cases f malpractice r maladministratin. Our prcesses align with JCQ guidelines and instructins fr cnduct f examinatin, and these are als used t supprt the examinatin prcess. Examples f examinatin centre and/r invigilatr malpractice and maladministratin are described belw, but this is nt an exhaustive list. All incidents f suspected malpractice r maladministratin, Malpractice and Maladministratin Plicy V3 Octber 2015 Page 2 f 6

3 whether r nt described belw, will be fully investigated where there are sufficient grunds t d s. Examples f examinatin centre malpractice r maladministratin include: Failure t keep examinatin questin papers and ther assessment materials secure, befre, during r after an examinatin. Allwing a candidate t pssess electrnic devices r materials frbidden in the assessment rules. Allwing candidates t wrk beynd the allcated examinatin time. Leaving studying members unsupervised during an examinatin. Assisting r prmpting candidates with answers. Allwing candidates t take in additinal preparatry wrk int the examinatin in excess f stipulated pages. The nly assistance that is permitted t ASCs is the additin f task headings r sub-headings r a restate f the Assessment Criteria as headings in the assignment. Suggested assignment cntent headings that generate frmulaic appraches t answers are nt permitted. Candidate evidence must be their wn wrk. CIM staff members and malpractice r maladministratin. Malpractice r maladministratin by CIM staff members and cntracted CIM emplyees is described belw, but this is nt an exhaustive list. All incidents f suspected malpractice r maladministratin, whether r nt described belw, will be fully investigated where there are sufficient grunds t d s. Malpractice r maladministratin in the CIM Awarding Bdy shuld be reprted t the Head f Awarding Bdy. Examples f CIM staff malpractice r maladministratin include: Failure t keep examinatin questin papers and ther assessment materials secure, befre, during r after an examinatin. Assisting r giving candidates answers t examinatin questin papers and assignment briefs. Failure t act n recgnitin f maladministratin r malpractice carried ut by CIM stakehlders r ther CIM staff members/cntracted CIM emplyees. Each assessment sessin CIM Awarding Bdy will investigate ptential malpractice and maladministratin issues n the part f candidates, centre staff and any thers invlved in managing the delivery f qualificatins t maintain the integrity f the ur qualificatins. Malpractice and Maladministratin Plicy V3 Octber 2015 Page 3 f 6

4 PROCEDURE Reprting a suspected case f malpractice r maladministratin t CIM. This prcedure applies t all CIM/CAM studying members, ASCs, examinatin centres, invigilatrs and CIM staff members, and t anyne wishing t reprt malpractice r maladministratin. CIM reserves the right t carry ut any investigatins and expects the relevant party t be fully cperative in assisting thse investigatins. CIM s Quality and Cmpliance Manager will be CIM s investigative fficer. CIM will investigate fllwing the timescales and details belw. Any case f suspected malpractice r maladministratin shuld be reprted in writing, with factual evidence, t CIM s Head f Awarding Bdy. Any suspected malpractice r maladministratin reprted by a telephne call must be put int writing, with factual evidence, preferably by . If the suspected malpractice r maladministratin has taken place in an examinatin, CIM s Head f Awarding Bdy needs t be infrmed immediately in writing (by preferably) r ntified f cmments made in an Invigilatr s reprt. These cases are referred t the Reasnable Adjustments, Malpractice and Irregularities Cmmittee (RAMIC). Further infrmatin n the RAMIC cmmittee is given later in this dcument. If the suspected malpractice r maladministratin has taken place at an ASC, CIM s Head f Awarding Bdy needs t be infrmed immediately in writing (by preferably). The ASC must appint a liaisn fficer with whm CIM s investigative fficer can cmmunicate. CIM will investigate all ASC cases f malpractice and maladministratin. Within tw wrking days f receiving ntificatin f suspected malpractice r maladministratin, CIM s Head f Awarding Bdy will ntify the CIM s Quality and Cmpliance Manager. CIM s Head f Awarding Bdy may infrm the regulatry bdy f the suspected malpractice r maladministratin if it has had r is likely t have had, an adverse effect, and f any actins taken t mitigate the likelihd f an adverse effect. Within five wrking days f receiving ntificatin, all persns invlved must be cntacted in writing abut the suspected malpractice r maladministratin details. Other parties wh may be able t prvide evidence will be cntacted by CIM. CIM is respnsible fr ensuring the ASC is fully infrmed all persns are fully infrmed f its actins. The persns cncerned will be infrmed f the fllwing in writing: That an investigatin will be taking place and the grunds fr that investigatin. Details f timescales and dates. That CIM and the relevant regulatry authrities have been infrmed f the suspected malpractice r maladministratin. Malpractice and Maladministratin Plicy V3 Octber 2015 Page 4 f 6

5 Their right t prvide a persnal respnse relating t the suspected malpractice r maladministratin, within ten days f the letter infrming them f the investigatin. That sanctins may be issued, either by CIM (r an ASC, if relevant). Their right t appeal (if an ASC is invlved, in the first instance, the ASC s appeal prcess). That cnfidentiality will be maintained as far as pssible, but cannt be guaranteed. CIM s Quality and Cmpliance Manager must issue a reprt within twenty wrking days f receiving ntificatin, based n their investigatins and infrmatin received (r by the ASC s CIM liaisn fficer, if an ASC is invlved). This will give the factual basis f the suspected malpractice r maladministratin, tgether with evidence (dated and signed witness statements, etc), and the recmmended actins. The reprt must cmprise: The date, time and place the suspected malpractice r maladministratin tk place, if knwn. The name f the persn r persns invlved. A descriptin f the suspected malpractice r maladministratin. Any available supprting evidence. The recmmended actins. If CIM s Quality and Cmpliance Manager has written the reprt, this wuld be given t the CIM s Head f Awarding Bdy fr their cnsideratin, and fr further actin by the Reasnable Adjustments, Malpractice and Irregularities Cmmittee. If the ASC s CIM liaisn fficer has written the reprt, the ASC is respnsible fr taking the actins dictated by their wn malpractice and maladministratin plicy, bearing in mind CIM s Malpractice and Maladministratin Plicy. CIM must receive a cpy f the reprt, which will be stred cnfidentially with limited access. Reasnable Adjustments, Malpractice and Irregularities Cmmittee (RAMIC). The RAMIC Cmmittee cmprises the Head f Awarding Bdy, the Quality and Cmpliance Manager, the Plicy and Standards Officer and the Chief Examiner. The qurum is fur members f the cmmittee. Other Awarding Bdy staff r prfessinal advisrs may be asked t attend in an advisry r secretarial capacity. RAMIC meets up t fur times a year under the chairmanship f the Head f Awarding Bdy. The RAMIC Cmmittee reviews all alleged instances f malpractice referred t it and makes decisins whether t uphld the allegatin r nt. All decisins made are reprted t the relevant Examinatin Bard. Any parties invlved in malpractice investigatins will be ntified in writing f the utcmes. Malpractice and Maladministratin Plicy V3 Octber 2015 Page 5 f 6

6 PENALTIES AND SANCTIONS APPLIED Where malpractice has been prved, CIM will cnsider whether the integrity f its plicies and prcedures have been jepardised, and will take actin t prtect and ensure its integrity. Any actins taken will be cmmensurate with the gravity f the malpractice, in line with the regulatry authrities cnditins. Penalties and sanctins fr studying members. CIM may, at its discretin, and depending n the seriusness f the prved allegatin, impse ne r mre penalties n the studying member, wh will be infrmed in writing. If the studying member is belw 18 years f age, their parent r guardian will als be ntified. The studying member may be issued with a written warning frm CIM, lse all marks fr an assessment r remved as a studying member. Penalties and sanctins fr ASC/examinatin centre/invigilatrs. Pssible sanctins fr an ASC may include the refusal t accept assessments and/r CIM reserving the right t withdraw ASC r prgramme apprval. Other sanctins may include a written warning abut future cnduct, the impsitin f special cnditins fr the future invlvement f an individual in CIM prcedures and mnitring f the individual s future wrking practices, r dismissal frm the pst f invigilatr. All CIM decisins will be cnveyed in writing t the relevant parties. CIM s Head f Awarding Bdy is respnsible fr ntifying the regulatry bdies if necessary. Penalties and sanctins fr CIM staff. CIM will act under the guidelines prduced by CIM s Human Resurces department. Pssible sanctins culd include a verbal and/r a written warning, r dismissal in serius cases. Subject: malpractice Telephne: +44 (0) Pst: Head f Awarding Bdy, CIM, Mr Hall, Ckham, Maidenhead, Berkshire, SL6 9QH, UK Other related CIM plicies and dcuments. Other related CIM plicies and dcuments can be fund n CIM Learning Zne under Assessments, Plicies and prcesses, and n the Tutr Zne. Reasnable Adjustments Plicy Special Cnsideratin Plicy Sanctins Plicy Plicy Owner: Head f Awarding Bdy Review Perid: August-Octber 2016 Malpractice and Maladministratin Plicy V3 Octber 2015 Page 6 f 6

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