Malpractice Policy. 1 Overview of Policy

Transcription

1 Malpractice Policy 1 Overview of Policy 1.1 Scope of the Policy This policy is aimed at all our candidates to make them understand our views on suspected malpractice or actual malpractice in relation to our qualification and the consequences of such actions. 1.2 Purpose of the Policy The purpose of this policy is to set out the steps the staff must follow when reporting suspected or actual cases of malpractice and our responsibilities in dealing with such incidents. It is also to outline to the candidate what constitutes malpractice during the course of an exam. It s also to help review those processes which may lead to the suspected or actual case of malpractice. We will act upon each submitted case of malpractice. 1.3 Location of the Policy The policy is available on the web site, and upon request from our support staff by ing rdr@calibrand.com. 1.4 Communication of the Policy The policy will be given to all members of staff including higher management, administrators, markers, technical and invigilator staff as well as assessors and verifiers. Exam candidates will be made aware of the policy upon booking of exams and again on the day of their exam. Alternative Assessment candidates will be informed of this policy and its consequences by their assessor. It is very important that all members of staff undertake all necessary requirements to ensure that it is upheld and candidates are made aware of this policy and its procedures. 1.5 Review of the policy This policy will be reviewed every 12 months or as and when required in response to the candidate feedback or change in legislation. 1.6 Definitions Malpractice The act or an instance of improper practice. For the purposes of this policy, malpractice is defined as any act that threatens the integrity of the assessments and the reputation of Caliqual. Plagiarism Is passing off the work (either completely or in part) of another person as one's own. Any work that a candidate submits for assessment must be in his/her own Date: 07/11/2014 Page 1 of 9 VERSION 8.1

2 name and be his/her own work. Submitted material for assessment that draws on the work of others must be referenced, using the appropriate convention. 2 Statement of Policy Caliqual will investigate all cases of failure to abide by its regulations that might constitute malpractice. Where cases of suspected malpractice are proven, Caliqual will take appropriate action, including applying penalties, in order to maintain the integrity of the qualifications it delivers. 2.1 Examples of malpractice by candidates A candidate arranging for someone else to sit their exam or submitting evidence for assessment which is not their own work Impersonation of another candidate by sitting an exam or undertaking a professional discussion or phone based type of assessment on their behalf Possession of materials not permitted in the exam room, e.g. notes, books, dictionaries/calculators (when prohibited), blank paper, mobile phones, personal organisers, whether or not the candidate uses them, and whether or not the information contained within the materials is relevant to the exam being sat Communicating with other candidates in the exam room in breach of the relevant Caliqual E- Assessment Rules and Regulations Copying the work of another candidate or knowingly allowing a candidate to copy from his/her own work, whether during an exam or as part of the Alternative Assessment route Working collaboratively with any other candidate(s) by whatever means during exams or to prepare evidence for assessments Damaging another candidate s work Including offensive/inappropriate material in exam and assessment answers Plagiarism or misrepresentation Failure to adhere to published Caliqual assessment regulations Failure to adhere to instructions given by an exam invigilator in relation to the exam regulations, e.g. continuing to work beyond the allotted time, refusing to hand in the exam answer script and/or exam paper when requested, not adhering to warnings relating to conduct during the exam Disruptive behaviour (including offensive language and aggressive/violent conduct) Tampering with, or forgery of, results documentation, including Record of Achievement or Certificate Falsely obtaining a Record of Achievement or Certificate either for a component, unit or award. 2.2 Malpractice by centre staff/invigilators Failure to keep question papers secure before, during and after an exam as required by Caliqual Failure to keep candidates' exam answer scripts secure after an exam Knowingly allowing an individual to impersonate a candidate. Date: 07/11/2014 Page 2 of 9 VERSION 8.1

3 2.2.4 Allowing a candidate to possess and/or use materials (see 2.1.3) not permitted in the exam room Allowing candidates to communicate with each other during an exam or professional discussion, in breach of Caliqual regulations Allowing a candidate to copy another candidate's work, or allowing a candidate to let his/her own work be copied, either as part of the exam or when acting as an assessor or internal verifier for Alternative Assessment Allowing candidates to work collaboratively during an exam or in preparing evidence for assessment Advising and/or assisting a candidate with his/her exam answers Allowing a candidate to work beyond the allotted exam time Damaging a candidate's work Disruptive behaviour (including offensive language and aggressive/violent conduct) Leaving candidates unsupervised during the exam Failure to keep computer files secure Failure to keep any candidate's exam secure at any time Divulging any information relating to a candidate's exam performance and/or result to anyone other than the candidate him/herself Tampering with, or forgery of, results files and/or associated documentation Falsely obtaining a Record of Achievement or Certificate either for a component, unit or award. 2.3 Reporting suspected cases of malpractice by candidates at the assessment centre In all cases where a candidate is suspected of malpractice during an exam, he/she will first be warned by the invigilator that his/her actions are in breach of Caliqual regulations and therefore might constitute malpractice. The candidate will also be informed that the invigilator is obliged to report his/her (the candidate's) actions to Caliqual. In the case of a candidate who is part of the Alternative Assessment route, if their assessor believes there is a suspicion of malpractice by a candidate (or a query is raised by internal verification), the assessor will initially inform the candidate that this is the position and what happens next in the process In all cases where a candidate is suspected of malpractice, the assessor or invigilator will make a full written record of the candidate's activities. This record will be considered during any subsequent enquiry by Caliqual The report should be correctly and accurately filled in A candidate suspected of malpractice of any form will be informed that: A full written record is being made and that a report will subsequently be submitted to Caliqual; The candidate has the right to provide a statement explaining his/her conduct that will be included in the written report. Therefore, before leaving the exam venue: Date: 07/11/2014 Page 3 of 9 VERSION 8.1

4 i. The candidate will be requested to sign and submit a written statement to the assessment invigilator; ii. iii. iv. If the candidate wishes to provide an oral statement, the invigilator will write this down and ask the candidate to sign the statement to verify its accuracy; The candidate is however not obliged to provide a statement before leaving the exam venue. In such cases, the invigilator will note this in the report to Caliqual. Candidates undergoing alternative assessment (but excluding the exam element which is covered in (ii) above) may provide an initial written statement to their assessor or offer an oral (and recorded) statement if they wish however they are not required to do so at this stage The candidate will subsequently be contacted by Caliqual and informed that an investigation is taking place; and The candidate will be given the opportunity to respond in writing to this subsequent communication from Caliqual In cases where a candidate is discovered to be in possession of any unauthorised materials (see example of malpractice) during an exam, the invigilator will: i. Confiscate the materials; ii. iii. iv. Note on the candidate's exam script the time and point within the script at which the discovery was made. In the case of an exam delivered electronically, the invigilator will make a written record of the relevant time. The candidate will be requested to sign the note or record to confirm its accuracy; Make a list of the confiscated materials which the candidate will be asked to sign to confirm its accuracy, provide a copy of the list to the candidate and inform him/her that the confiscated materials will be submitted to Caliqual with the invigilator's written report; Candidates will be allowed to continue working for the remainder of the exam without prejudice to the final outcome In cases where the invigilator suspects that candidates may have been communicating or collaborating, the invigilator will make a written record of the relevant time. Each candidate will be requested to sign the note or record relating to his/her activities to confirm its accuracy. The suspected candidates will be Date: 07/11/2014 Page 4 of 9 VERSION 8.1

5 allowed to continue working for the remainder of the exam without prejudice to the final outcome The invigilator is responsible for submitting a full written report of all cases of suspected malpractice using the appropriate form to the Head of Centre at Caliqual within 2 working days of the exam. The report will detail the circumstances and the actions taken by the exam venue staff/invigilator(s). Assessors are similarly required to make their report to the Head of Centre within 2 working days of informing candidates Any written evidence relevant to the incident, e.g. confiscated materials, statements from other individuals involved, must accompany the report. 2.4 Reporting suspected cases of candidate malpractice identified after the exam sitting Where a marker identifies suspected malpractice by a candidate, e.g. answers to the essay style question are very similar from the same e-assessment session, collaboration with another candidate, plagiarism, inappropriate/offensive material; this must be reported in writing to the Head of Centre at Caliqual within 2 working days of the discovery Where a member of Caliqual staff identifies suspected malpractice by a candidate, e.g. answers to the essay style question are very similar from the same e-assessment session, collaboration with another candidate, plagiarism, inappropriate/offensive material; this must be immediately reported to the Head of Centre at Caliqual In cases where Caliqual is made aware that a unit and/or award certificate might have been tampered with, forged or obtained by deception, it will investigate the circumstances For all cases described in paragraphs , and Caliqual will take all reasonable steps to obtain sufficient evidence to investigate the suspected malpractice and carry out an investigation according to the procedures referred to in Section Suspected malpractice by exam centre staff/invigilators Suspected cases of malpractice by a staff member of an organisation running an exam venue or invigilator or an assessor may be reported by candidates, other venue staff, other invigilators or a member of the public Written reports should be submitted to the Head of Centre at Caliqual and should include the following information where relevant: The venue name/location; The date and title of the exam; The time the exam took place; The candidate's name and Caliqual number, if applicable; The name of the member of staff in question; Date: 07/11/2014 Page 5 of 9 VERSION 8.1

6 A full description of the suspected malpractice; Relevant documentary and/or security camera evidence, if applicable Reports should normally be submitted to Caliqual within 24 hours of the suspected malpractice taking place. 2.6 Anonymous reports of suspected malpractice Caliqual will take all reasonable steps to investigate suspected cases of malpractice that are reported anonymously provided that the information supplied establishes a sufficient case for investigation Caliqual reserves the right not to investigate cases reported anonymously in cases where there is no evidence or if insufficient evidence has been provided. 3 Response to a report of suspected malpractice Caliqual will be responsible for responding to all reports of suspected malpractice and will acknowledge all reports of suspected malpractice within 5 working days of receipt Caliqual will contact the individual candidate(s) or exam venue staff/invigilators/assessors who is/are the subject of suspected malpractice and any others able to provide evidence relevant to the incident in question within 10 working days of receipt of a report Caliqual will notify the individual(s) concerned that an investigation will take place and inform them of the procedures and timeframe(s) that will apply Caliqual will also remind the individual(s) concerned of his/her right to respond by way of a personal written report explaining the circumstances of the case and request that this is submitted to Caliqual within 15 working days from notification of the incident Caliqual will also inform the individual(s) concerned that, if the case of suspected malpractice is proven, one or more penalties might be imposed and that such penalties will reflect the seriousness of the case. The individual(s) will also be notified of any requirement of Caliqual to report cases of proven malpractice to the relevant authorities/regulators subject to completion of the process and only after time for appeal has passed or the appeal process has been completed In cases of suspected malpractice where more than one individual is involved, e.g. where candidates are suspected of working collaboratively, Caliqual will separately contact each individual concerned Caliqual will take all reasonable steps to ensure that reports and the relevant accompanying evidence have been submitted and are complete. Caliqual reserves the right to request further information if this is deemed necessary in order to investigate the case or if further time is needed In cases where an individual who is the subject of suspected malpractice does not respond to Caliqual communications, Caliqual reserves the right not to send reminders requesting a personal written report to that individual Cases of suspected malpractice will be investigated, in the first instance, by a nominated member of Caliqual staff. The staff member will be responsible for ensuring that all relevant documentary information/evidence has been requested and that each individual involved Date: 07/11/2014 Page 6 of 9 VERSION 8.1

7 has been given the opportunity to submit a personal written report relating to the suspected malpractice When all relevant documentary evidence has been received, each individual involved will be notified by Caliqual that the allegation will be considered by Caliqual Malpractice Committee and informed that the outcome will be notified to him/her within 30 working days The Caliqual Malpractice Committee will consist of a minimum of 3 people, at least one of whom will not be a member of the Caliqual directorate/team The Caliqual Malpractice Committee will then review the documentary evidence available. The Caliqual Malpractice Committee reserves the right to request further information. In such cases, if there is likely to be any delay, the individuals involved will be informed accordingly When all appropriate evidence is available, the Caliqual Malpractice Committee will review the case and decide whether the act constitutes malpractice If the Caliqual Malpractice Committee is of the opinion that there is no case to answer, the individual(s) involved will be informed in writing within 2 working days of the decision being made. If such cases relate to an exam candidate, he/she will be given full credit for the exam work submitted. If the outcome of the review of the evidence is that the Caliqual Malpractice Committee decides that malpractice has taken place, it will then decide what action, if any, is to be taken setting out its reasons which will be reported to the relevant parties. 3.2 Use of penalties in cases of proven malpractice The Caliqual Malpractice Committee is empowered to impose 1 or more sanctions upon the individual(s) guilty of malpractice Penalties applicable to a proven case of malpractice will be dependent upon the type and seriousness of the act. The Caliqual Malpractice Committee will ensure that any penalties imposed reflect the seriousness of the act and that all similar cases are treated in an equitable, fair and unbiased manner Examples of possible penalties are provided below. The list is not exhaustive and the Caliqual Malpractice Committee reserves the right to recommend to Caliqual the specific penalties to be imposed, on a case by case basis The following sanctions may be applied to candidates who are found to have broken this policy: A written warning about future conduct Loss of marks for a defined section of the relevant unit. This may lead to the candidate having to resit the unit Loss of marks for the entire relevant unit (resulting in having to resit that particular unit if the regulations allow) Loss of marks for the entire relevant unit and all other units sat previously (resulting in the candidate having to resit the entire award if the regulations allow). Date: 07/11/2014 Page 7 of 9 VERSION 8.1

8 The candidate not being allowed to resit the relevant unit for a specified period of time The candidate not being allowed to sit or resit any other units relating to that award for a specified period of time The candidate not being allowed to sit or resit any other assessment relating to any award made by Caliqual for a specified amount of time The following penalties may be applied to venue staff/invigilators who are found to have contravened this policy: A written warning about future conduct, with possible retraining in Caliqual procedures/requirements to the satisfaction of Caliqual Dismissal as a Caliqual appointed invigilator Notification to the organisation employing the individual to act as a member of venue staff or an invigilator that the person in question is not permitted to have any involvement with Caliqual exams until retrained in Caliqual procedures/requirements to the satisfaction of Caliqual Notification to the organisations employing the individual to act as a member of venue staff or an invigilator, that the person in question is not permitted to have any future involvement with Caliqual assessments at all. 3.3 Communication of the outcome of an Investigation into malpractice by Caliqual When a case of suspected malpractice has not been proven in the view of the Caliqual Malpractice Committee, the individual(s) concerned will be notified in writing by Caliqual within 2 working days of the decision being made When a case of suspected malpractice has, in the view of the Caliqual Malpractice Committee, been proven, the individual(s) concerned will be notified in writing by Caliqual within 2 working days of the decision being made. The individual(s) concerned will be informed that the Caliqual Malpractice Committee has agreed that the case has been proven, provide details of the Committee's findings and what penalties, if any, are to be applied If the case is proven, the individual(s) concerned will also be notified of any requirement on Caliqual to report cases of proven malpractice to the relevant authorities/regulators subject to completion of the process and only after time for appeal has passed or the appeal process has been completed. Date: 07/11/2014 Page 8 of 9 VERSION 8.1

9 4 Right of appeal against Caliqual decision / sanction 4.1 The individual(s) concerned has/have the right to appeal against any decision(s) or penalty(s) imposed by the Caliqual Malpractice Committee. 4.2 An appeal must be made in writing to the Head of Centre at Caliqual within 30 working days from receipt of the written notification of the Caliqual decision. 4.3 The individual(s) concerned have the right of access to all the evidence, used by the Caliqual Malpractice Committee to make its decision, in order to provide a full response. 4.4 Action upon receipt of an appeal Caliqual will acknowledge receipt of an appeal within 5 working days All appeals to malpractice decisions will be dealt with under the Caliqual Appeals Policy. 4.5 Reporting cases of malpractice to external parties Caliqual will maintain detailed records of all cases of suspected malpractice, proven or otherwise Caliqual is obliged to report all proven cases of malpractice to the regulator, the Qualifications and Curriculum Authority (QCA), in respect of awards which the QCA has accredited. In cases of other awards, Caliqual may be required to report cases to other appropriate regulators. Signed: Patrick Cullen Date: Next Review date: For and On behalf of the Board of Directors Of Caliqual Limited Date: 07/11/2014 Page 9 of 9 VERSION 8.1