Withholding results and certificates from candidates and learners Policy For internal and external use June 2016 Version 2.0 Quality, Standards and Research
Contents Scope of policy 3 Policy statement 3 Guidance 4 JCQ General Regulations 4 Regulatory references 5 Policy review date 5 Useful contacts 5 References to third-party material made in this document are made in good faith. Pearson does not endorse, approve or accept responsibility for the content of materials, which may be subject to change, or any opinions expressed therein. (Material may include textbooks, journals, magazines and other publications and websites.) All the material in this publication is copyright Pearson Education Limited 2016 Page 2 of 5
The key role of Pearson Education Ltd (Pearson) is to secure standards for those qualifications we certificate. As part of our commitment to quality assuring standards and therefore protecting learners, Pearson provides guidance and support to help centres and their learners achieve their learning and development goals. Pearson also ensures that any regulatory requirements our regulators impose on us are met, and that we support centres to meet those requirements. Pearson regulatory policies are integral to our approach and articulate in a consistent way how we meet our regulatory requirements and protect the integrity of our qualifications and the interests of our learners. They are reviewed at least annually to ensure that they remain fit for purpose. These regulatory policies apply across Pearson Education Ltd. This policy provides information on the withholding of results and certificates from candidates or learners by Pearson centres. This document replaces the previous policy Withholding results and certificates from candidates and learners policy 2015. Scope of policy This policy applies to all centres approved to offer Pearson qualifications, including UK and international centres. Policy Statement Withholding Results or Certificates from Learners In addition to its obligations as an Awarding Organisation offering qualifications which are regulated in the UK, Pearson works to adhere at all times to principles of good practice to ensure that our qualifications, irrespective of regulatory status, are fit for purpose and that they are delivered with integrity in a manner which best promotes and protects the interests of their users. As such, we are committed to ensuring that all learners who have demonstrated the appropriate level of attainment, by means of the necessary assessment, receive results and certificates in a timely manner. The only instances where it is acceptable to withhold results or certificates from learners are those where there are cases of suspected malpractice on the part of either the centre or the learner, or where there is reasonable evidence to suggest that there is a risk to the integrity of the results being issued. In such circumstances, Pearson may either withhold results or certificates prior to sending them to centres for distribution to learners, or instruct centres to hold back those results or certificates until such a time as any investigation is completed and issues are rectified. Pearson will not withhold results or certificates, and does not permit centres to do so, on financial grounds. Page 3 of 5
Results Pearson Pearson will not withhold results on financial grounds. Pearson may withhold results where there is suspected malpractice on the part of the learner or the centre Pearson may withhold results where there is reasonable evidence that there is a risk to the integrity of the results being issued. Centres Centres are not permitted to withhold results from learners under any circumstances, EXCEPT where Pearson has issued a specific instruction to do so owing to suspected malpractice or where a result has been issued in error. Certificates Pearson Pearson will not withhold certificates on financial grounds. Pearson may withhold certificates where there is suspected malpractice on the part of the learner or the centre Pearson may withhold certificates where there is reasonable evidence that there is a risk to the integrity of the certificate being issued. Centres Centres are not permitted to withhold certificates from learners under any circumstances, EXCEPT where Pearson has issued a specific instruction to do so owing to suspected malpractice or where a result has been issued in error. Centres are advised to adopt effective debt management with regard to learners fees, as it is not permitted for a centre to withhold certificates from learners on the basis of non-payment. Centres should aim to have secured payment of course fees by the time of registration of a learner for an examination, with the expectation that, upon entering a learner for an examination, that learner will be awarded a certificate upon successful completion of the relevant assessment. For those considering reporting suspected malpractice around the issuing of certificates, further guidance can be found in the JCQ Public Interest Disclosure Act (Whistleblowing) document (www.jcq.co.uk/exams-office/malpractice). If you wish to report an incident or would like to discuss your concerns, please contact Pearson s Investigations Team by email at pqsmalpractice@pearson.com. JCQ General Regulations The General Regulations published by the Joint Council for Qualifications (JCQ) 1 require centres to distribute provisional statements of results to all candidates, either electronically or in hard copy, without delay and regardless of any disputes (such as non-payment of fees) (2014-15 Regulations, paragraph 5.13 and 2015-16 Regulations, paragraph 5.13). 1 The Joint Council for Qualifications is a membership organisation comprising the seven largest providers of qualifications in the UK. Page 4 of 5
Under paragraph 5.15 2014-15 and the same paragraph in 2015-16 General Regulations, centres agree to distribute certificates to all candidates without delay and regardless of any disputes (such as non-payment of fees). Certificates must not be withheld without prior permission from an awarding body which will only be given in very exceptional circumstances. Regulatory References UK regulators require all awarding organisations to establish and maintain their compliance with regulatory conditions and criteria. As part of this process, policies that relate to Pearson s status as an awarding organisation will reference the particular conditions and criteria that they address. This policy addresses the following regulatory criteria and conditions: Ofqual/CCEA Accreditation/Qualifications Wales General Conditions of Recognition (2015) Issuing certificates and replacement certificates I4 SQA Accreditation Regulatory Principles (2014) The awarding body and its providers shall have effective, reliable and secure systems for the registration and certification of learners Principle 15 Policy Review Date June 2017 Useful Contacts For more information on Pearson qualifications and services please visit the website: qualifications.pearson.com Page 5 of 5