SUMMARY STATEMENT

• FAYCE Training Ltd is committed to protecting the interests of its Learners and ensuring the prescribed standards are applied consistently and fairly to all courses registered with FAYCE Training. Trainer/Assessors must ensure that internal administration, course delivery and assessments are conducted in line with policies, protocols and procedures outlined by FAYCE Training. FAYCE Training is committed to preventing maladministration or malpractice from occurring and will take all reasonable steps to achieve through the implementation of rigorous policies and procedures to cover course & Learner registration, the delivery and assessment of qualifications and quality assurance.
• FAYCE takes very seriously actions by Trainer/Assessors that fail to meet the standards required. Should a situation arise FAYCE are required to take disciplinary action.
  
  

• 1. Introduction

This policy is aimed primarily, but not exclusively, at FAYCE registered   trainer/Assessors who are delivering regulated qualifications or units and Learners who are working towards these. It sets out the steps Trainer/Assessors and Learners should follow when reporting alleged maladministration or malpractice and FAYCE’s responsibilities and processes in dealing with such cases.

• 2. Trainer/Assessor responsibility

It is important that Trainer/Assessors involved in the delivery, assessment and quality assurance of regulated qualifications, and their Learners, are aware of this policy – particularly if a potential complaint arises.

On monitoring visits, the person conducting the visit may check that colleagues and Learners are aware of the policies contents and purpose.

• 3. Definition of maladministration

Maladministration is a non-deliberate activity or practice indicating a lack of care or judgement, non-compliance, or error in managing or administering activities relating to FAYCE registered courses.

We will investigate all cases of maladministration in liaison with the parties concerned. If an investigation confirms maladministration, we will impose an appropriate sanction and take the necessary steps to ensure that Learners’ interests are protected as far as is reasonably possible. This may include making arrangements for re-assessment or certification, as appropriate.

The items listed below are examples of Trainer/Assessor maladministration. Please note that these examples are not exhaustive and are guidance on our definition of maladministration:

• Non-compliance with FAYCE’s policies and procedures
• Failure to adhere to FAYCE’s course registration and certification process
• Failure to meet FAYCE’s credit control policy, such as late payment for invoices
• Inaccurate claims for certification
• Unreasonable delays in responding to quality assurance requests or any other reasonable request.
  
  

• 4.Definition of malpractice

Malpractice is essentially any deliberate activity or practice which contravenes required standards or regulations and ultimately compromises the integrity of the assessment process and/or the validity of qualifications.

The items listed below are examples of Trainer/Assessor and Learner malpractice. Please note that these examples are not exhaustive and are guidance on our definition of malpractice:

• Contravention of FAYCE’s policies and procedures or any other Trainer/Assessor requirements stated by FAYCE
• Denial of access to resources (premises, records, information, Learners, and staff) to any authorised FAYCE representative and/or the regulatory authorities
• Failure to carry out the delivery, assessment, and quality assurance of qualifications in accordance with FAYCE requirements
• Failure to maintain auditable records, e.g., certification claims
• Fraudulent claim for certificates
• Intentional withholding of information from us which is critical to maintaining the rigour of quality assurance
• Deliberate misuse of the FAYCE brand, Awarding Organisation brand or Regulatory Body brand including logo, trademarks and copyrighted materials
• Forgery of evidence
• Contravention of the assessment arrangements for each qualification
• Insecure storage of assessment materials and exam papers
• Unauthorised amendment, copying or distributing of assessment materials
• Failure to adhere to the requirements of the Reasonable Adjustments and Special Considerations Policies

Examples of Learner malpractice can include:

• Cheating or plagiarism of any nature
• Forgery of evidence
• Collusion
• Impersonation of another Learner
  
  

• 5. Process for making an allegation of malpractice or maladministration

Anybody who identifies or is made aware of suspected or actual cases of malpractice or maladministration, at any time must immediately report their findings to FAYCE Training. In doing so they should put the claim in writing/email and enclose supporting evidence.
All allegations should include (where possible and relevant):

• Trainer/Assessors name, business name and contact details
• Learner’s name
• Title and number of the FAYCE course/qualification affected or nature of the service affected
• Date(s) of the alleged maladministration or malpractice
• Full nature of the suspected or actual maladministration or malpractice
• Contents and outcome of any investigation carried out by the Trainer/Assessor or anybody else involved in the case, including any mitigating circumstances
• Written statements from those involved in the case, e.g. witness statements
• Date of the report and the informant’s name, position and signature
• Declaration of any conflicts of Interest
• Indication if the informant wishes to remain anonymous
  
  

• 6. FAYCE action on receipt of an allegation

Upon receiving an allegation, it will be passed to the Director and FAYCE will acknowledge receipt within 5 working days. In all cases, FAYCE will endeavour to protect the identity of the informant but dependant on the nature of the claim this may not always be possible. Informants must be aware that they may be identifiable due to the circumstances of the disclosure.

In all cases where FAYCE Training suspect maladministration or malpractice the appropriate Awarding Organisation will be immediately informed.

• 7. The Awarding Organisation leading the investigation

Should the Awarding Organisation decide to lead the investigation FAYCE Training will co-operate fully and provide the Awarding Organisation with all facts of the situation and also any reasonable additional information that may be requested during the course of the investigation.

FAYCE Training will require all Trainer/Assessors to also co-operate with all aspects of an investigation and provide any requested information or evidence in a reasonable time frame.

The Awarding Organisation will have a regulatory responsibility to the qualification Regulators, such as Ofqual, SQA

Accreditation, and both FAYCE Training and approved Trainer/Assessors will be required to co-operate with the qualification Regulators as required.

• 8. FAYCE Training leading the investigation

Should the Awarding Organisation require FAYCE Training to conduct the investigation FAYCE will keep the Awarding Organisation always informed on the status of the investigation and will produce a detailed report for the Awarding

Organisation with the findings of the investigation and proposed action plan and proposed sanctions. The Awarding Organisation will then review the report, proposed action plan and proposed sanctions to determine if it is suitable.

FAYCE Training will make preliminary checks to try to determine whether the claim is vexatious or frivolous. The director may appoint a suitably competent person/s to lead the investigation including where appropriate, external appropriately qualified personnel to examine the report and supporting evidence. All persons will be independent, i.e. no direct involvement in the alleged issues and free of any conflict of interests.

FAYCE aim to complete any investigation within 30 working days of the instruction to investigate from the Awarding Organisation. Please note that in some cases, the investigation may take longer; for example, if a visit is required. In such instances, we will advise all parties concerned of the likely revised timescale.

The investigator/s review may involve:

• A request for further information from the Trainer/Assessor, Learner or FAYCE personnel
• Interviews (face to face or by telephone) with personnel involved in the investigation
• FAYCE authorised personnel conducting a local visit. In this case, a fee may be chargeable for the visit

FAYCE Training expect all parties involved in the investigation, to co-operate fully. Failure to cooperate may lead to a decision based on the evidence available. At any stage in this process FAYCE reserves the right to suspend Trainer/Assessor status and any claims for Learner certification submitted by the Trainer/Assessor. FAYCE may also reserve the right to withhold a Learner’s results and/or certificate for all the FAYCE course/qualifications they are studying if the case is deemed to be of a serious nature.  If the investigation confirms that there has been maladministration or malpractice FAYCE may have no alternative but to propose to the Awarding Organisation one or more of the following sanctions (note this list is not exhaustive). In determining the sanction FAYCE  will consider all factors put forward by all parties:

• A suspension of the Trainer/Assessor status for all FAYCE programmes
• Termination of the Trainer/Assessor approved status with FAYCE
• Suspension of the Trainer/Assessor status to run a specific FAYCE course/qualification
• Suspension of the Learner’s registration and/or certification for one or more courses/qualifications
• Increased level of quality assurance
• Specify any additional training/mentoring that may be required
• Disallowing all or part of the Learner’s assessment evidence
• Not issuing the Learner’s certificate(s)
• Not accepting any further registrations for the Learner
• Disqualification of the Learner from the course/qualification

Upon completion of the investigation FAYCE Training will create a detailed report covering all aspects of the allegation/s and the investigation along with a proposed action plan and proposed sanctions. This report will be sent to the Awarding

Organisation for approval.

Upon receipt of the decision from the Awarding Organisation FAYCE Training will implement its proposed action plan and sanctions or any revised action plan and sanctions as required. FAYCE Training will inform all relevant parties within 5 working days of the decision being made.

• 9. Appeals

If a Trainer/Assessor or Learner wishes to appeal against any decision to impose sanctions, please refer to the FAYCE Enquiries, Complaints and Appeals Policy.

• 10. Review arrangements

We will review the policy periodically and revise it as and when necessary, in response to customer and learner feedback, changes in our practices, actions from the regulatory authorities or external agencies, or changes in legislation. If you would like to feedback any views please contact us via the details provided at the end of this policy.