Malpractice and Maladministration
Summary
This policy covers malpractice by candidates, staff or others involved in the apprenticeship
assessments for apprenticeship standards or qualifications, and maladministration on the part of the
provider or any other party involved in the assessment process.
Definitions of Malpractice and Maladministration
These are defined as follows:
• Any actions The Real Consultancy Company (TRCC) defines under malpractice will be any acts of
dishonesty, any that are wilfully negligent or any practice which compromises, or threatens to
compromise, the validity of the assessment process and which brings the reputation
of TRCC into disrepute (See attached for some examples of malpractice).
• Any actions TRCC defines under maladministration will be any failure to adhere to TRCC policies
and procedures in relation to assessment or to comply with the requirements of TRCC’s
published procedures either through mistakes or poor administration.
Mitigation
TRCC seeks to ensure the avoidance of malpractice or maladministration in every aspect of the
assessment process, to undertake careful review of any reports of malpractice/maladministration,
and to take robust action to resolve any proven cases and prevent any Adverse Effects that may
subsequently impact on apprentices or standards.
TRCC is committed to complying with the Ofqual’s Conditions of Recognition on malpractice and
maladministration (A6, A7, A8) and to taking notice of any written guidance provided by them.
Responsibilities
The Governing Advisory Group on behalf of the Governing Board will:
• Ensure that it takes all reasonable steps to prevent the occurrence of any malpractice or
maladministration. TRCC has policies and procedures in place that aim to reduce the risk of
malpractice and maladministration, to safeguard the integrity of the qualification or
apprenticeship assessment and to protect the interests of apprentices and candidates.
• Acknowledge and act upon the information given by whistle-blowers and protect their
anonymity, when requested.
• Carry out all its duties in line with its procedures and without undue delay.
• Take appropriate and proportionate action against those responsible for malpractice
or maladministration.
• Report the incident to the relevant regulators and other stakeholders, where appropriate
Investigations into alleged incidences of malpractice/maladministration
Each of the following steps will be undertaken:
• Each case is judged on an individual basis in the light of the information made available.
• Alleged incidences of malpractice will be investigated by the Head of Quality Assurance/
Responsible Officer.
• Alleged incidences of maladministration will be investigated by the Head of Quality Assurance/
Responsible Officer.
• Any investigation will endeavour to determine the facts and will include a review of TRCC’s own
documentation relating to its respective policies and procedures and/or to the delivery and
assessment guidance provided for a particular apprenticeship standard.
• During an investigation, interviews may be required with staff and TRCC may communicate
directly with an apprentice, if circumstances dictate this is required.
• TRCC will provide a written report within one month of completing the investigation, detailing
the circumstances of the alleged malpractice or maladministration, details of any interviews with
staff or apprentices, and any remedial action which needs to be taken.
• All reports will be approved and signed off by the Responsible Officer and a full record
maintained for presentation to the Governing Advisory Group.
Procedures for dealing with proven cases of Malpractice and Maladministration
Where malpractice or maladministration is established, TRCC will, where appropriate, endeavour to
protect the interests of all apprentices and candidates who through no fault of their own have been
caught up in an incident.
Any decisions made by the Governing Group will be commensurate with the gravity of the
malpractice/maladministration identified and associated risk. The Governing Group may apply
conditions on the future involvement of any designated personnel in the conduct, supervision or
administration of its assessments or qualifications and sanctions may be applied.
The Governing Group will report the outcome to the regulatory authorities, and any suspected
criminal activity will be reported to the police.
Whistle-blowers
TRCC will act upon any disclosure received from any member of its staff, subcontractors, providers,
employers, candidates, apprentices, or members of the public who feel that any malpractice or
maladministration has taken place.
Any person who believes that one of TRCC’s staff or a sub-contractor has committed an offence or
breach of TRCC’s procedures in the past, now or is likely to in the future, may disclose information by contacting a director.
Where information is provided over the telephone, TRCC will request this is provided in writing and
may ask for further information to enable a thorough investigation to take place.
Any disclosure will be dealt with in confidence wherever possible, but TRCC may need to disclose a
whistle-blower’s identity to
• The police, fraud prevention agencies or other law enforcement agencies (to investigate or
prevent crime, including fraud).
• The courts (in connection with court proceedings).
• Another person to whom TRCC is required by law to make a disclosure.
• Ofqual or its successor.
Whistle-blowers should also be aware that they may be identifiable by others due to the nature or
circumstances of the disclosure.
Where possible whistle-blowers will receive an update on any planned course of action.
However, TRCC has a responsibility to all concerned with respect to confidentiality and may not be
entitled to divulge the details of any on-going investigation or its outcome. It will, however, confirm
that action has been taken where required.
Appeals against Malpractice or Maladministration Decisions
Individuals may appeal against any decisions taken by TRCC as a result of a malpractice or
maladministration investigation. Any initial enquiry regarding decisions made will be investigated by
the Head of Quality Assurance and Compliance who will review the evidence and the decisions
made. If the outcome of this review is to uphold, the original decision and the individual is still dissatisfied, the individual may make a formal appeal. The appeal will be judged by the Governing Group and an Independent Reviewer. A report will be issued and the decision by the Governing Group and Independent Reviewer will be final.
Quality Assurance
This policy will be reviewed annually to meet regulatory compliance or following any case of
confirmed malpractice or maladministration.