| Document title | Malpractice and Maladministration Policy |
| Organisation | Albion Awards |
| Document owner | Responsible Officer |
| Version | 1.0 |
| Approval status | Draft for Ofqual recognition evidence pack |
| Review cycle | Annual or earlier following incident, regulatory change or adverse effect |
1. Purpose
This policy sets out how Albion Awards will prevent, identify, investigate, manage and report suspected or confirmed malpractice and maladministration in relation to regulated qualifications. It supports learner protection, qualification integrity, public confidence and compliance with Ofqual Conditions of Recognition.
2. Scope
This policy applies to all Albion Awards regulated qualification activity, including qualification development, centre approval, teaching support, assessment, internal quality assurance, external quality assurance, reasonable adjustments, special considerations, appeals, certification, records management and use of Albion Awards systems. It applies to governing body members, the Responsible Officer, employees, contractors, subject specialists, assessors, IQAs, EQAs, centres, centre staff, learners and any person acting on behalf of Albion Awards or an approved centre.
3. Definitions
Malpractice is any deliberate act, neglect, default or other practice that compromises, or could compromise, the integrity of assessment, the validity of results, the accuracy of certification, the reputation of Albion Awards, or public confidence in regulated qualifications. Maladministration is any activity, practice or omission that results in non-compliance with approved procedures or regulatory requirements, whether or not intentional.
4. Policy principles
Albion Awards will act promptly, fairly, consistently and proportionately when malpractice or maladministration is suspected. The organisation will protect learners and standards, preserve evidence, maintain confidentiality, avoid conflicts of interest, keep clear records, apply sanctions where appropriate and notify Ofqual where an incident has caused, or may cause, an adverse effect.
5. Examples of malpractice
Examples may include: falsifying learner evidence; impersonation; plagiarism; collusion; unauthorised assistance; deliberate misuse or disclosure of confidential assessment materials; tampering with assessment records; inappropriate assessor influence; fraudulent certification claims; deliberate concealment of conflicts of interest; or any action intended to secure an unfair advantage for a learner, centre or organisation.
6. Examples of maladministration
Examples may include: failure to follow assessment or quality assurance procedures; inaccurate learner registration; late or incomplete assessment records; poor record keeping; failure to apply reasonable adjustment procedures; failure to retain evidence; incorrect certification claim processing; failure to cooperate with EQA; failure to notify Albion Awards of incidents; or repeated administrative errors that could affect standards or learners.
7. Prevention controls
Albion Awards will reduce the risk of malpractice and maladministration through centre approval checks, staff and contractor declarations, confidentiality agreements, conflict of interest controls, secure assessment handling, assessor and IQA approval, EQA monitoring, standardisation, certification checks, audit logs, policy training and clear centre contractual obligations.
8. Reporting concerns
Concerns may be reported by learners, centre staff, assessors, IQAs, EQAs, Albion Awards staff, contractors, employers, external stakeholders or members of the public. Reports should be made to the Responsible Officer or designated compliance contact as soon as possible. Where a centre identifies suspected malpractice or maladministration, it must notify Albion Awards promptly and preserve all relevant evidence.
9. Initial review and risk assessment
On receipt of a concern, Albion Awards will log the matter, acknowledge receipt where appropriate, conduct an initial risk assessment and decide whether immediate protective action is needed. Protective action may include suspending assessment activity, withholding results or certificates, increasing sampling, securing assessment materials, restricting system access or pausing centre activity.
10. Investigation process
Investigations will be proportionate to the risk and complexity of the concern. Albion Awards will appoint an investigator who is competent and free from conflicts of interest. The investigation may include document review, interviews, system audit review, assessment evidence review, centre record checks, EQA review and consultation with subject or assessment specialists. A written investigation report will record findings, evidence, impact, conclusions and recommended actions.
11. Rights and fairness
Individuals and centres subject to investigation will normally be informed of the allegation and given a fair opportunity to respond, unless doing so would compromise evidence, learner protection or an external investigation. Albion Awards will handle all cases confidentially and in accordance with data protection requirements.
12. Decisions and outcomes
The Responsible Officer, or an appropriately authorised decision-maker, will decide whether malpractice or maladministration is confirmed. Outcomes may include no case to answer, advice, corrective action, retraining, increased sampling, assessment review, result amendment, certificate withdrawal or revocation, centre action plan, suspension, withdrawal of centre approval, contractor removal, or referral to another authority where required.
13. Sanctions
Sanctions will be proportionate to the seriousness, intent, recurrence, impact and risk of the incident. Albion Awards may apply sanctions to learners, centre staff, centres, contractors or other relevant persons. Sanctions will be recorded and monitored, and conditions may be applied before activity is resumed.
14. Learner protection and adverse effects
Where malpractice or maladministration has affected or may affect learners, Albion Awards will prioritise learner protection and qualification standards. Corrective action may include reassessment, alternative assessment, independent review, certificate correction, communication with affected learners or centres, and notification to Ofqual where required.
15. Ofqual notification
Albion Awards will notify Ofqual where an incident has caused, or may cause, an adverse effect, where qualification standards or public confidence may be compromised, where there is serious centre failure, or where regulatory notification is otherwise required. The Responsible Officer is accountable for regulatory notification decisions.
16. Appeals against decisions
A centre, learner or relevant person may appeal a malpractice or maladministration decision where the Appeals Policy permits this. Appeals will be handled by persons who were not involved in the original decision wherever possible.
17. Records and retention
Albion Awards will maintain records of reports, evidence, investigation notes, decisions, sanctions, communications, corrective actions, Ofqual notifications and closure reviews. Records will be retained in line with the Data Protection and Records Retention Policies.
18. Monitoring and review
The Responsible Officer will monitor malpractice and maladministration trends and report significant cases to the Governing Body. Themes, repeat issues, centre performance concerns and systemic weaknesses will inform risk review, policy review, centre monitoring, standardisation and continuous improvement.
19. Responsibilities
| Role | Responsibility |
| Governing Body | Maintains oversight of serious incidents, adverse effects, sanctions, trends and corrective action. |
| Responsible Officer | Owns the policy, ensures incidents are logged, investigated, escalated and notified where required. |
| Centres | Prevent, report and cooperate with investigations into suspected malpractice or maladministration. |
| Assessors, IQAs and EQAs | Follow approved procedures, protect assessment integrity, report concerns and cooperate with investigations. |
| Learners | Submit authentic evidence, follow assessment rules and report concerns where appropriate. |
20. Linked documents
- Conflict of Interest Policy and Procedure
- Assessment Policy
- Assessment Design Procedure
- Marking and Grading Guidance
- Centre Agreement
- Centre Handbook
- EQA Procedure
- Complaints Policy
- Appeals Policy
- Certification Procedure
- Data Protection and Records Retention Policies
- Business Continuity Plan
21. Approval and review
| Approved by | Governing Body / Responsible Officer |
| Approval date | To be confirmed |
| Next review date | 12 months from approval or earlier if required |
| Document status | Draft for Ofqual recognition evidence pack |