Policy Statement
Malpractice consists of those acts which undermine the integrity and validity of assessment, the certification of qualifications, and/or damage the authority of those responsible for conducting the assessment and certification.
Prostart does not tolerate actions (or attempted actions) of malpractice by:
- Apprentices & Learners
- staff
with regard to vocational qualifications and standards.
The Awarding Organisation(s)/ End Point Assessment Organisations (EPAO’s) may impose penalties and/or sanctions on Apprentices & Learners or centres where incidents (or attempted incidents) of malpractice have been proven. Prostart is required to report cases of malpractice to the qualifications regulator whenever evidence is found that results or certificates may be invalid.
Introduction
As a Training Centre Prostart must be vigilant regarding assessment malpractice and where malpractice occurs it must be dealt with in an open and fair manner. This policy on malpractice aims to:
- define malpractice in the context of assessment and certification for vocational qualifications
- set out the rights and responsibilities, with regard to malpractice, of the learner, Prostart and Awarding Body/EPAO.
- explain the procedure for reporting malpractice and any subsequent investigation
- explain the Awarding Body (Awarding Organisation)/EPAO procedure for investigating cases reported to them
In the interest of Apprentices & Learners and staff, Prostart need to respond effectively and openly to all requests for an investigation into an incident or a suspected incident of malpractice. The Managing Director will supervise investigations resulting from allegations of malpractice and inform Apprentices & Learners and staff suspected of malpractice of their responsibilities and rights.
The Awarding Body (Awarding Organisation)/EPAO may reserve the right, in suspected cases of malpractice, to withhold the issuing of results or certificates while an investigation is in progress. Depending on the outcome of the investigation results or certificates may be released or withheld.
Qualifications in scope
This policy applies to all vocational qualifications & standards, including those on the National Qualification Framework (NQF) and self-regulated qualifications.
Procedures
It is a requirement that staff and Apprentices & Learners ensure that:-
- for BTEC internally assessed units, Learning & Development Coaches are responsible for checking the validity of the learner’s work
- for NVQs and competence-based qualifications, both staff and Apprentices & Learners must provide a written declaration that the evidence is authentic and that the assessment was conducted under the requirements of the assessment specification
- a centre must verify the identity of a learner before they take an examination
Prostart takes positive steps to prevent or reduce the occurrence of learner malpractice. These steps include: using the induction period and the student handbook to inform Apprentices & Learners of the centre’s policy on malpractice and the penalties for attempted and actual incidents of malpractice showing Apprentices & Learners the appropriate formats to record cited texts and other materials or information sources including websites.
Apprentices & Learners should not be discouraged from conducting research; indeed, evidence of relevant research often contributes to the achievement of higher grades. However, the submitted work must show evidence that the learner has interpreted and synthesised appropriate information and has acknowledged any sources used.
Procedures for assessing work in a way that reduces or identifies malpractice, eg plagiarism, collusion, cheating, etc. include:-
- Periods of supervised sessions during which evidence for assignments, tasks; coursework is produced by the learner altering assessment assignments/tasks/tools on a regular basis
- The Learning & Development Coach assessing work for a single assignment/task in a single session for the complete cohort of Apprentices & Learners
- Using oral questions with Apprentices & Learners to ascertain their understanding of the concepts, application, etc within their work
- Learning & Development Coach’s getting to know their Apprentices & Learners’ styles and abilities, etc.
- Ensuring access controls are installed to prevent Apprentices & Learners from accessing and using other people’s work when using networked computers
- Ensuring that Apprentices & Learners do not take prohibited material into an examination room.
Learner malpractice
Attempting to, or actually carrying out any malpractice activity is not permitted. The following are examples of malpractice by Apprentices & Learners; this list is not exhaustive and other instances of malpractice may be considered by Prostart/ Awarding Organisation/EPAO’s at its discretion:
- plagiarism by copying and passing off, as the learner’s own, the whole or part(s) of another person’s work, including artwork, images, words, computer generated work (including Internet sources), thoughts, inventions and/or discoveries whether published or not, with or without the originator’s permission and without appropriately acknowledging the source
- collusion by working collaboratively with other Apprentices & Learners to produce work that is submitted as individual learner work. Apprentices & Learners should not be discouraged from teamwork, as this is an essential key skill for many sectors and subject areas, but the use of minutes, allocating tasks, agreeing outcomes, etc are an essential part of team work and this must be made clear to the Apprentices & Learners
- impersonation by pretending to be someone else in order to produce the work for another or arranging for another to take one’s place in an assessment/examination/test
- fabrication of results and/or evidence
- failing to abide by the instructions or advice of a Learning & Development Coach, a supervisor, an invigilator, or Awarding Organisation conditions in relation to the assessment/examination/test rules, regulations and security
- misuse of assessment/examination material
- introduction and/or use of unauthorised material contra to the requirements of supervised assessment/examination/test conditions, for example: notes, study guides, personal organisers, calculators, dictionaries (when prohibited), personal stereos, mobile phones or other similar electronic devices
- obtaining, receiving, exchanging or passing on information which could be assessment/examination/test related (or the attempt to) by means of talking or written papers/notes during supervised assessment/examination/test conditions
- behaving in such a way as to undermine the integrity of the assessment/examination/test
- the alteration of any results document, including certificates
- writing down questions during an examination/test and taking them out of the examination room to give to other Apprentices & Learners
- cheating to gain an unfair advantage.
AI Misuse
The increase in Artificial Intelligence (AI) tools (e.g. ChatGPT, Google Gemini) has led to the need for this addition to the Malpractice, Maladministration and Plagiarism Policy. AI-assisted plagiarism is the use of AI generated text in assignments and assessments that are submitted towards the achievement of qualifications and that have not been appropriately referenced. AI is a powerful tool that can have benefits, for example to help to overcome linguistic barriers, but when used to generate the bulk of an assignment, or assessment could be a form of plagiarism and subject to the same sanctions as standard plagiarism.
In line with guidance from Awarding organisations, tutors and assessors will only accept work for qualification (for example formative, summative or controlled) which is apprentices/ learners own and includes an authenticity declaration signed by the apprentice/learner.
- Apprentices/ learners must make sure that work submitted for assessment is demonstrably their own. If any sections of their work are reproduced directly from AI generated responses, those elements must be identified by the apprentice/ learners and they must understand that this may not allow them to demonstrate they have independently met the marking criteria and therefore they will need to evidence in the work that they have fully understood the AI generated responses or the work may not be marked.
- Apprentices/ learners using any AI tool (where allowed) must reference this clearly by:
- Naming the AI tool used
- The date the content was generated
- Explain how the tools was used
- Save a screenshot of any questions asked and the answers received
- Apprentices/ learners should not sign the assessment authenticity declaration until they have made sure that they have added all references to the use of any AI tools (Gateway form and Matrix)
- Apprentices/ learners who misuse AI so that the work they submit for assessment cannot be evidence as their own will have committed malpractice and may attract severe sanctions for example the work maybe disqualified.
If any form of plagiarism (including AI -assisted) of assignments is suspected the apprentice/ learner maybe asked questions about the work submitted to check their understanding of the assignment. If there are still concerns that work has been subject to malpractice or plagiarism, this will be treated as misconduct and will be subject to investigation and possible actions under the disciplinary procedure described below.
Confirmed misuse of AI assisted plagiarism will be reported to the relevant awarding organisation in line with guidance.
All apprentices/ learners will receive this information at the beginning of their course in the portfolio induction.
Maladminstration
The following are examples of malpractice by centre staff. The list is not exhaustive and other instances of malpractice may be considered by Awarding Organisation/EPAO at its discretion:
- failing to keep any Awarding Organisation mark schemes secure
- alteration of any Awarding Organisation mark schemes
- alteration of Awarding Organisation’s assessment and grading criteria
- assisting Apprentices & Learners in the production of work for assessment, where the support has the potential to influence the outcomes of assessment, for example where the assistance involves centre staff producing work for the learner
- producing falsified witness statements, for example for evidence the learner has not generated
- allowing evidence, which is known by the staff member not to be the learner’s own, to be included in a learner’s assignment/task/portfolio/ coursework
- facilitating and allowing impersonation
- misusing the conditions for special learner requirements, for example where Apprentices & Learners are permitted support, such as an amanuensis, this is permissible up to the point where the support has the potential to influence the outcome of the assessment
- failing to keep learner computer files secure
- falsifying records/certificates, for example by alteration, substitution, or by fraud
- fraudulent certificate claims, that is claiming for a certificate prior to the learner completing all the requirements of assessment
- failing to keep assessment/examination/test papers secure prior to the assessment/examination/test
- failing to validate the identity of Apprentices & Learners taking an examination/test
- obtaining unauthorised access to assessment/examination/test material prior to an assessment/examination/test.
- Failing to notify the EPAO of a conflict of interest due to the assigned Assessor knowing the learner.
Dealing with malpractice
It is the responsibility of the Managing Director to carry out an investigation into allegations of malpractice. Investigations into alleged malpractice against the Managing Director will normally be conducted by the Financial Director or an appointed nominee. The alleged incident must be reported to Awarding Organisation/EPAO at the earliest opportunity
Prostart reserves the right to carry out an investigation in full under any circumstances of alleged malpractice.
If Prostart discovers or suspects anyone of malpractice, Prostart will make the individual fully aware in writing at the earliest opportunity of the nature of the alleged malpractice and of the possible consequences should malpractice be proven.
Prostart will keep all documents in relation to alleged malpractice as required by the Awarding Organisation/EPAO. The Awarding Organisation/EPAO may report to the regulatory authorities certain cases (eg where members of staff are found to have committed malpractice) and include details of the action taken by the Managing Director. It may be necessary during this process to notify the funding authorities and for Awarding Organisation to share information with other Awarding Bodies. Prostart/ Awarding Organisation may have to notify the police in some cases of malpractice.
Investigating alleged malpractice
When dealing with alleged malpractice as part of the investigation Prostart retains the right to: involve the learner and others in the investigation process deal with the learner (if aged 18 or above) and/or the learner’s representative.
This may occur, for example, when a learner’s account of events is at variance with that of a member(s) of staff. Where Apprentices & Learners aged 18 or over are involved, they may wish to be assisted by centre personnel, parents or guardians.
During the investigation period, Prostart may:
- refuse learner registrations/entries
- withhold the release of results/certificate
- Withhold test/examination papers if the security of a test/examination is considered at risk pending the outcome of the investigation.
Any malpractice or attempted acts of malpractice which have influenced the assessment outcomes must be reported by Prostart to the awarding organisation.
Any alleged incident of malpractice brought to awarding organisation’s attention after the issue of certificates will result in a full investigation by Awarding Organisation. Depending on the outcome of the investigation, certificates may be recalled and declared invalid.
Appeals
Prostart has an appeals process in place which is explained to Apprentices & Learners during the induction period and a copy of the procedure is in the Apprentices & Learners on-line portfolio.
Penalties and sanctions applied by Awarding Organisation
Where malpractice against a centre/member of staff/learner is proven and reported to awarding organisation, the awarding organisation will have to consider whether the integrity of its assessments/examinations/tests might be jeopardised if the centre/member of staff/learner in question were to be involved in future awarding organisation assessments/examinations/tests. awarding organisation may take action to protect the integrity of its assessments/examinations/tests in the future. This action may include for vocational qualifications:
awarding organisation refusing to accept assessment/examination entries from a centre in cases where malpractice is established awarding organisation reserving the right to withdraw programme approval from centres where malpractice has been identified awarding organisation reserving the right to refuse to issue or to withdraw certificates.
Awarding Organisation Appeals
Awarding organisations have established procedures for centres that are considering appeals against penalties and sanctions arising from malpractice. Appeals against a decision made by awarding organisation will normally be accepted only from Heads of Centres/Principals/CEOs (on behalf of Apprentices & Learners and/or members of staff) and from individual members of centre staff (in respect of a decision taken against them personally). Further information on appeals may be found in each awarding organisations ‘Reviews and Appeals Policy’