Malpractice Policy

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This document details the current Awarding Body policy for malpractice as it applies to the following qualifications awarded by the Chartered Quality Institute (CQI):

• the CQI Level 5 Diploma in Quality: Assurance and Management.
• the CQI Level 3 Certificate in Quality Assurance.

1. Introduction

1.1 For the purposes of this policy, malpractice is defined as any act that threatens the integrity of the examinations for the CQI qualifications listed above and/or their proper certification and/or compromises the reputation of the CQI Awarding Body.

1.2 the CQI will investigate all cases of failure to abide by its rules and regulations that might constitute malpractice. Where cases of suspected malpractice are proven, the CQI will take appropriate action, including applying sanctions, in order to maintain the integrity of its qualifications.

1.3 All notifications to those from whom information is required relating to investigations of allegations of malpractice, decisions of the CQI Awarding Body Malpractice Committee and related appeals will be sent by the CQI as recorded delivery letters or by courier.

2. Examples of Malpractice

2.1 Malpractice can be committed by a variety of people both inside and outside to the educational system e.g. students, teachers, administrators, staff etc. The following are examples of acts that will be deemed to constitute malpractice in line with the definition given above. This list is not exhaustive, and the CQI reserve the right to deem as malpractice other acts that might occur.

2.2 Malpractice by students

2.2.1 A student arranging for someone else to sit an examination for him/her.
2.2.1 Impersonation of another examination student.
2.2.2 Possession of materials not permitted in the examination room, e.g. notes, books, dictionaries/calculators (when prohibited), blank paper, mobile phones, personal organisers. Possession of such materials will be considered to be malpractice whether or not the student uses them, or the information contained within the materials is relevant to the examination being sat.
2.2.3 Communicating with other students in the examination room in breach of CQI examination regulations.
2.2.4 Copying the work of another student or knowingly allowing a student to copy from his/her own work.
2.2.5 Working collaboratively with any other student(s) by whatever means during examinations.
2.2.6 Damaging other students' work.
2.2.7 Including offensive/inappropriate material in examination scripts.
2.2.8 Plagiarism or misrepresentation (see Appendix I).
2.2.9 Failure to adhere to published CQI examination regulations.
2.2.10 Failure to adhere to instructions given by an examination invigilator in relation to the examination regulations, e.g. continuing to work beyond the allotted examination time, refusing to hand in the examination script and/or examination paper when requested, not adhering to warnings relating to conduct during the examination.
2.2.11 Disruptive behaviour (including offensive language and aggressive/violent conduct) in the examination venue.
2.2.12 Tampering with, or forgery of, results documentation, including certificates.

2.3 Malpractice by Examination Centre Staff/Invigilators

2.3.1 Failure to keep examination question papers secure before, during and after an examination as required by the CQI.
Failure to keep students' examination scripts secure after an examination.
2.3.2 Knowingly allowing an individual to impersonate a student.
2.3.3 Allowing a student to possess and/or use materials not permitted in the examination room.
2.3.4 Allowing students to communicate with each other during an examination in breach of CQI regulations.
2.3.5 Allowing a student to copy another student's work, or allowing a student to let his/her own work to be copied.
2.3.6 Allowing students to work collaboratively during an examination.
2.3.7 Advising and/or assisting a student with his/her examination answers.
2.3.8 Allowing a student to work beyond the allotted examination time.
2.3.9 Damaging a student's work.
2.3.10 Disruptive behaviour (including offensive language and aggressive/violent conduct) in the examination venue.
2.3.11 Leaving students unsupervised during the examination.
2.3.12 Divulging any information relating to a student's examination performance and/or result to anyone other than the student him/herself.
2.3.13 Tampering with, or forgery of, results files and/or associated documentation.

3. Reporting Suspected Cases of Malpractice by Students at the Examination Venue

3.1 In all cases where a student is suspected of malpractice during an examination, he/she will first be warned by the examination invigilator that his/her actions are in breach of CQI examination regulations and therefore might constitute malpractice.

3.2 The student will also be informed that the examination invigilator is obliged to report his/her (the student's) actions to the CQI.

3.3 In all cases where a student is suspected of malpractice in an examination, the examination invigilator will make a full written record of the student's activities. This record will be considered during any subsequent enquiry by the CQI.

3.4 A student suspected of malpractice of any form will be informed by the examination invigilator that:

3.4.1 A full written record is being made and that a report will subsequently be submitted to the CQI.
3.4.2 He/she will be informed that, before leaving the examination venue, he/she has the right to provide a statement explaining his/her conduct that will be included in the examination invigilator's written report. Therefore, before leaving the examination venue:

• He/she will be offered a chance to sign and submit a written statement to the examination invigilator.
• If he/she wishes to provide an oral statement, the examination invigilator will write this down and ask the student to sign the statement to verify its accuracy.
• The student is however not obliged to provide a statement before leaving the examination venue. In such cases, the examination invigilator will note this in the report to the CQI.

3.4.3 He/she will subsequently be contacted by CQI and informed that an investigation is taking place.
3.4.4 He/she will be given the opportunity to respond in writing to this subsequent communication from the CQI.
3.4.5 In cases where a student is discovered to be in possession of any unauthorised materials during an examination, the:

• Examination invigilator will confiscate the materials.
• Examination invigilator will note on the student's examination script the time and point within the script at which the discovery was made.
• The student will be requested to sign the note or record to confirm its accuracy.
• Student will be allowed to continue working for the remainder of the examination without prejudice to the final outcome.
• Examination invigilator will make a list of the confiscated materials, provide a copy of the list to the student and inform him/her that the confiscated materials will be submitted to the CQI with the invigilator's written report.

3.4.6 In cases where the examination invigilator suspects that students may have been communicating/collaborating the examination invigilator will note on each suspected student's examination script the time and point within the script at which the discovery was made. Each student will be requested to sign the note or record relating to his/her activities to confirm its accuracy.

3.5 Suspected students will be allowed to continue working for the remainder of the examination without prejudice to the final outcome.

3.6 The examination invigilator is responsible for submitting a full written report of all cases of suspected malpractice using the appropriate form to the CQI Education Manager, CQI Awarding Body within 2 working days of the examination. The report will detail the circumstances and the actions taken by the examination venue staff/invigilator(s).

3.7 Any written evidence relevant to the incident, e.g. confiscated materials, statements from other individuals involved, must accompany the examination invigilator's report.

4. Reporting Suspected Cases of Student Malpractice Identified After the Examination Sitting

4.1 Where an examiner or a tutor identifies suspected malpractice by a student, e.g. the student's examination script appears to show evidence of copying from another student, collaboration with another student, plagiarism, inappropriate/offensive material, this must be reported in writing to the Education Manager, CQI Awarding Body within 2 working days of the discovery.

4.2 Where a member of CQI staff identifies suspected malpractice by a student, e.g. the student's examination script appears to show evidence of copying from another student, collaboration with another student, plagiarism, inappropriate/offensive material, this must be immediately reported to the Education Manager, CQI Awarding Body.

4.3 In cases where the CQI is made aware that module and/or qualification certificates might have been tampered with or forged, it will investigate the circumstances. For all cases, the CQI 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.

5. Suspected Malpractice by Examination Venue Staff/Invigilators

5.1 Suspected cases of malpractice by a staff member of an organisation running an examination venue or examination invigilator may be reported by students, other examination venue staff, other examination invigilators or a member of the public.

5.2 Written reports should be submitted to Education Manager, CQI Awarding Body and should include the following information:

• The examination venue name/location.
• The date and title of the examination.
• The time the examination took place.
• The student's name and CQI student number, if applicable.
• The name of the member of staff in question.
• A full description of the suspected malpractice.
• Relevant documentary and/or security camera evidence, if applicable.

5.3 Reports should normally be submitted to the CQI within 24 hours of the suspected malpractice taking place.

6. Anonymous Reports of Suspected Malpractice

6.1 the CQI will take all reasonable steps to investigate suspected cases of malpractice that are reported anonymously provided that the information supplied establishes a prima facie case for investigation.

6.2 the CQI reserves the right not to investigate cases reported anonymously in cases where there is no evidence or if insufficient evidence has been provided.

7. CQI Response to a Report of Suspected Malpractice

7.1 the CQI 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.

7.2 the CQI will contact the individual student(s) or examination venue staff/invigilators 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.

7.3 the CQI will notify the individual concerned that an investigation will take place and inform him/her of the procedures and timeframe(s) that will apply.

7.4 the CQI will also remind the individual 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 CQI within 15 working days.

7.5 the CQI will also inform the individual concerned that, if the case of suspected malpractice is proven, that one or more sanctions might be imposed and that such sanctions will reflect the seriousness of the case. The individual will also be notified of any requirement on the CQI 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.

7.6 In cases of suspected malpractice where more than one individual is involved, e.g. where students are suspected of working collaboratively, the CQI will contact each individual concerned separately.

7.7 the CQI will take all reasonable steps to ensure that reports and the relevant accompanying evidence have been submitted and are complete. It reserves the right to request further information if this is deemed necessary in order to investigate the case.

7.8 In cases where an individual who is the subject of suspected malpractice does not respond to CQI communications, the CQI reserves the right to not send reminders, requesting a personal written report, to that individual.

7.9 Cases of suspected malpractice will be investigated, in the first instance, by a nominated member of CQI Awarding Body staff. The staff member will be responsible for ensuring that all relevant documentary information/evidence has been requested and that each individual involved has been given the opportunity to submit a personal written report relating to the suspected malpractice.

7.10 When all relevant documentary evidence has been received, each individual involved will be notified by CQI that the allegation will be considered by the CQI Awarding Body Malpractice Committee and informed that the outcome will be notified to him/her within 30 working days.

7.11 the CQI Awarding Body Malpractice Committee will consist of the Deputy Director General, Education Manager and a Lay member, who will not be a member of the CQI Awarding Body. The Education Assistant will be the secretary.

7.12 On considering a case of alleged malpractice, the CQI Awarding Body Malpractice Committee will convene to confirm whether the correct procedures have been followed thus far, including that each individual suspected of malpractice has been given the opportunity to respond by submitting a personal written report.

7.13 the CQI Awarding Body Malpractice Committee will then review the documentary evidence available. the CQI Awarding Body Malpractice Committee reserve the right to request further information. In such cases, if there is likely to be any delay, the individuals involved will be informed accordingly.

7.14 When all appropriate evidence is available, the CQI Awarding Body Malpractice Committee will review the case and decide whether the act constitutes malpractice. If the CQI Awarding Body 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 examination student, he/she will be given full credit for the examination work submitted.

7.15 If the outcome of the review of the evidence is that the CQI Awarding Body Malpractice Committee decides that malpractice has taken place, it will then decide what action, if any, is to be taken. It will set out its reasons, which will be reported to the relevant parties.

8. Imposition of Sanctions in Cases of Proven Malpractice

8.1 the CQI Awarding Body Malpractice Committee is empowered to impose one or more sanctions upon individual(s) guilty of malpractice.

8.2 Sanctions applicable to a proven case of malpractice will be dependent upon the type and seriousness of the act. the CQI Awarding Body Malpractice Committee will ensure that any sanctions imposed reflect the seriousness of the act and that all similar cases are treated in an equitable, fair and unbiased manner.

8.3 The examination venue is obliged to report to the CQI Awarding Body any suspected incidents of malpractice. As a consequence of not doing so their status as a centre could be suspended or withdrawn.

8.4 Examples of possible sanctions are provided below. The list is not exhaustive and the CQI Awarding Body Malpractice Committee reserves the right to recommend to the CQI Awarding Body the sanctions to be imposed.

9. Sanctions Relating to Malpractice by Students

9.1 A written warning about future examination conduct.

9.2 Loss of marks for a defined section of the relevant examination module. This may lead to the student having to resit the examination module.

9.3 Loss of marks for the entire relevant examination module (resulting in having to re-sit that particular examination module if the regulations allow).

9.4 Loss of marks for the entire relevant examination module and all other examination modules sat previously (resulting in having to re-sit the entire qualification if the regulations allow).

9.5 The student being not allowed to re-sit the relevant examination module for a specified period of time.

9.6 The student not being allowed to sit or re-sit any other examination modules relating to that qualification for a specified period of time.

9.7 The student not being allowed to sit or re-sit any other examination relating to any qualification awarded by CQI for a specified period of time.

10. Sanctions Relating to Malpractice by Examination Venue Staff/Invigilators

10.1 A written warning about future examination conduct.

10.2 Dismissal as an CQI invigilator.

10.3 Notification to the organisation employing the individual to act as an member of examination venue staff or as an examination invigilator that the person in question is not permitted to have any involvement with CQI examinations until retrained in CQI procedures/ requirements to the satisfaction of the CQI Awarding Body.

10.4 Notification to the organisation employing the individual to act as a member of examination venue staff or as an examination invigilator, that the person in question is not permitted to have any future involvement with CQI examinations at all.

11. Communication of the Outcome of an Investigation into Malpractice by CQI

11.1 When a case of suspected malpractice has or has not been proven in the view of CQI Awarding Body Malpractice Committee, the individual(s) concerned will be notified in writing by the CQI within 48 hours of the decision being made.

11.2 If the case has been proven, CQI will provide details of the Committee's findings and what sanctions, if any, are to be applied.

11.3 If the case is proven, the individual(s) concerned will also be notified of any requirement on the CQI 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.

12. Right of Appeal against an CQI Awarding Body Malpractice Committee Decision/Sanction

12.1 The individual(s) concerned has/have the right to appeal against any decision(s) or sanction(s) imposed by the CQI Awarding Body Malpractice Committee.

12.2 An appeal must be made in writing to the Head of Operations, CQI Awarding Body within 30 working days from receipt of the written notification of the CQI Awarding Body Malpractice Committee's decision.

12.3 The individual(s) concerned have the right of access to all the evidence, used by the CQI Awarding Body Malpractice Committee to make its decision, in order to provide a full response.

13. CQI Action Upon Receipt of an Appeal

13.1 On receipt of an appeal, the CQI will acknowledge receipt within 5 working days.

13.2 All appeals to malpractice decisions will be dealt with under the CQI Awarding Body Appeals policy.

14. Reporting Cases of Malpractice to External Parties

14.1 The CQI will maintain detailed records of all cases of suspected malpractice, proven or otherwise.

Appendix I

The CQI Awarding Body

MALPRACTICE POLICY

Statement on Plagiarism

Plagiarism is passing off the work (either completely or in part) of another person as one's own. Any work that a student submits for assessment must be in his/her own 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. Therefore, any work that is submitted which is not referenced is, by default, claimed as the student's own work.

'Another person' or 'others' are both defined as anyone and everyone else apart from the student, even where the individual(s) is/are anonymous or unknown. Examples include:

• Writing (formal or informal)
• Thoughts (e.g. notes, correspondence)
• Conversations ('phone discussions; TV/radio programmes)
• Electronic communications (e-mails, web pages)
• Techniques (methodologies, structures, analytical techniques)
• Graphics (diagrams, tables, exhibits, models)
• Data (statistics, survey results)

Even if the work is the student's own, e.g. from a previously-written assignment or work submitted for another qualification, then this too can be counted as plagiarism, if it is not appropriately referenced.

Re-writing the thoughts of someone else in the student's own words might also be counted as plagiarism if the substantive content of that person's work is not attributed and therefore, by default, claimed as the student's own work.

If a student allows another student access to his/her work, and it is then plagiarised by (by them or anyone else) then both students are regarded as being party to that plagiarism whether they knew about it or not.

Finally, it is also unacceptable to present work as being that of others (reverse plagiarism). For example, inventing data or references to lend credibility to one's own work is considered to be misrepresentation.