Malpractice and Maladministration Policy
Last Reviewed: 9th February 2023
To be Reviewed: 9th February 2024
Version: 23.1
Applicable To: STA Excel
Print Page
Last Reviewed: 9th February 2023
To be Reviewed: 9th February 2024
Version: 23.1
Applicable To: STA Excel
Print Page
STA Excel operates a robust internal quality assurance (IQA) policy which aims to prevent any such occurrences of malpractice or maladministration, however there may be times when an individual wants to report a case. This policy incorporates all involved with the approved training centre (ATC) including centres, learners, tutors, assessors and quality assurers.
Malpractice is defined as any deliberate activity, neglect, default or other practice that compromises the integrity of the internal assessment process and/or validity of achievement and certification of a qualification.
| Example | Who Could Be Responsible? |
|---|---|
| Plagiarism | Learner |
| Collusion, or permitting collusion for a dishonest purpose |
Learner Tutor Assessor Quality assurer Centre |
| Impersonating another learner or providing forged identification documentation | Learner |
| Submission of false information, including authenticity statements |
Learner Tutor Assessor |
| Deliberate failure to adhere to learner registration and certification procedures |
Tutor Assessor Quality assurer Centre |
| Unauthorised use of equipment and materials in assessment |
Learner Tutor Assessor |
| A loss, theft of, or breach of confidential assessment materials |
Tutor Assessor Quality assurer Centre |
| Defacing, amending or falsifying assessment records |
Tutor Assessor Quality assurer Centre |
| Deliberate failure to adhere to reasonable adjustment, or improperly assisting a learner |
Tutor Assessor Quality Assurer Centre |
Maladministration is defined as any deliberate activity, neglect, default or other practice which results in non-compliance with administrative requirements and regulations, this can include persistent mistakes or poor administration within the centre.
| Example | Who Could Be Responsible? |
|---|---|
| Persistent failure to adhere to certificate procedures |
Tutor Assessor Quality assurer Centre |
| Inaccurate certificate claims |
Learner Tutor Assessor Quality assurer centre |
| Failure to keep auditable records |
Tutor Assessor Quality assurer Centre |
| Failure to adhere to delivery, assessment and certification requirements |
Tutor Assessor Quality assurer Centre |
| Failure to register learners in accordance with the awarding organisation’s procedures |
Tutor Assessor Quality assurer Centre |
| Unreasonable delays in responding to requests and/or communications |
Tutor Assessor Quality assurer Centre |
| Persistent failure to adhere to certification procedures |
Tutor Assessor Quality assurer Centre |
The centre co-ordinator is responsible for ensuring that this policy is reiterated to anyone encompassed within the centre and taking reasonable actions to prevent instances of malpractice and maladministration. Additional responsibilities may include:
The tutor is responsible for ensuring that they personally abide by this policy and making sure learners are made aware of this policy and procedures. Responsibilities include:
The assessor is responsible for ensuring that they personally abide by this policy and making sure learners have been made aware of this policy and procedures. Responsibilities include:
The IQA is responsible for ensuring that they personally abide by this policy and making sure learners have been made aware of this policy and procedures. Responsibilities include:
Individuals are encouraged to discuss any concerns surrounding suspected incidences of malpractice or maladministration with the centre co-ordinator, this may be via face-to-face discussion, email, letter or phone call. The individual will be asked to complete a Report of Suspected Malpractice Form, this must be completed and submitted, along with any necessary evidence, at the earliest opportunity. The person reporting the allegation will receive an acknowledgement of receipt within 7 days of submission of the form.
Every submission will be investigated on a case-by-case basis by an individual with no personal interest in the outcome of the investigation, usually this will be the centre co-ordinator along with an internal quality assurer. The centre coordinator will review the written submission and carry out an investigation with the following objectives:
If the centre co-ordinator deems the suspected case of malpractice is of high risk to centre, they may place temporary sanctions on the accused party to protect the learners and centre compliance. For learners this may include withholding the certification until the outcome is determined. For tutors/assessors/IQAs this may involve a temporary high risk IQA rating for all courses or even suspension on any courses offered, depending on the severity of the accusation.
After gathering the information detailed above, the centre co-ordinator will review the accusation along with any evidence gathered during the investigation to conclude the findings. The severity of the outcome will determine the action points the centre will implement to the relevant parties.
STA Excel aims to conclude any suspected malpractice investigation within 28 days from the submission of the initial report form. The relevant parties will be informed of the outcome within the 28 days. In the event that the investigation is more complex and takes longer than 28 days, the relevant parties will be informed of the extension period before the 28-day period is reached.
If the allegation is found to be unsubstantiated the relevant parties will be informed in writing of the decision and any temporary sanctions will be removed.
If there is sufficient evidence of malpractice or maladministration, the written confirmation will contain the following points:
If findings conclude that there is evidence that malpractice or maladministration has taken place, the centre is required to act to reduce the risk to learners, ensure standards are not compromised and prevent similar instances reoccurring. The following points are not an exhaustive list and are intended simply as a guidance for what actions may be implemented.
If the accused is not satisfied with the outcome of the investigation they may be referred to the STA Excel Appeals Policy.
This policy and its implementation will be reviewed annually or at the point of any proven occurrences of malpractice or maladministration. We are committed to ensuring that the procedures are fit for purpose and that we are meeting and surpassing the expectations of our learners, centre personnel and awarding organisations. Any actual or suspected incidences will be reported to the relevant awarding organisation via the relevant process.