Reporting malpractice concerns

Malpractice is any act, default or practice (whether deliberate or resulting from neglect or default) which breaches SQA requirements, including any act, default or practice that:

• compromises, attempts to compromise, or may compromise, the process of assessment, the integrity of any SQA qualification, or the validity of a result or certificate; and/or
• damages the authority, reputation or credibility of SQA or any officer, employee or agent of SQA

Malpractice can arise for a variety of reasons:

• Some incidents are intentional and aim to give an unfair advantage or disadvantage in an examination or assessment (deliberate non-compliance). Examples might include:
  • completing assessment work on behalf of learners; or
  • falsification of information leading to certification

• Some incidents of malpractice are unintentional. We define unintentional malpractice as 'maladministration', which includes incidents that arise due to ignorance of SQA requirements, carelessness or neglect in applying the requirements. Examples might include:
  • seeking approval to offer a new qualification after the deadline for new approval applications has passed; or
  • requesting late certification of learners after a regulated qualification’s certification end date

Malpractice can include both deliberate non-compliance with SQA requirements and maladministration in the assessment and delivery of SQA qualifications.

• breaching the security of assessment materials in a way which threatens the integrity of any exam or assessment - including the early and unauthorised removal of a question paper or answer booklet from the examination room
• breaching the defined conditions of an assessment (e.g., completing work outside of controlled conditions)
• collusion - working collaboratively with other candidates beyond what is permitted
• copying from another candidate
• frivolous content - producing content that is unrelated to the assessment
• misconduct - inappropriate behaviour in an assessment room that is disruptive and/or disrespectful to others. This includes talking, shouting and/or aggressive behaviour or language in the examination room
• offensive content - content in assessment materials that includes vulgarity and swearing that is outwith the context of the assessment, or any material that is discriminatory in nature (including discrimination in relation to the protected characteristics identified in the Equality Act 2010). This should not be read as inhibiting candidates' rights to freedom of expression.
• personation - assuming the identity of another candidate, or a candidate having someone assume their identity during an assessment
• plagiarism - failure to acknowledge sources properly and/or the submission of another person's work as if it were the candidate's own
• prohibited items - possessing items that candidates must not have with them at their allocated seat in the examination room because they can give an unfair advantage, including (but not restricted to): mobile phones; electronic devices such as an MP3 player, iPod, tablet, smartwatch or any other device that is web-enabled or stores information; books, notes, sketches or paper; pencil case; calculator case; calculator or dictionary (except in specified assessments) - unless approved by SQA as part of an assessment arrangement

• managers or others exerting undue pressure on staff to pass candidates who have not met the requirements for an award
• deliberate falsification of records in order to claim certificates
• excessive direction from assessors to candidates on how to meet national standards
• failure to assess internally-assessed unit or course assessment work fairly, consistently and in line with national standards
• failure to comply with SQA requirements in the preparation, quality assurance and submission of estimated grade information
• failure to apply specified SQA assessment conditions in assessments, such as limits on resources or time available to candidates to complete their assessments, including any amendments to permitted conditions
• misuse of assessments, including repeated re-assessment contrary to requirements, or inappropriate adjustments to assessment decisions
• failure to recognise and apply appropriate measures to manage potential conflict of interest in assessment or quality assurance
• failure to apply appropriate processes to ensure fairness in the provision of assessment arrangements
• failure to comply with SQA requirements in relation to appeals processes
• insecure storage, transmission or use of assessment instruments, materials and marking instructions, resulting in a breach of assessment security
• failure to comply with requirements for safe retention of candidate evidence, and safe and accurate maintenance of assessment and internal verification records
• failure to comply with SQA's procedures for managing and transferring accurate candidate data
• failing to register candidates within a qualification's accreditation period
• making late registrations to the awarding body for qualifications in their lapsing period
• requesting late certification of learners after the certification end date
• for all SQA qualifications, failure by a centre to promptly notify, investigate and report concerns of potential centre malpractice to SQA
• failure to promptly notify SQA of a finding of centre malpractice, maladministration or an equivalent or similar finding by another awarding organisation
• withholding information about circumstances that may compromise the integrity of any SQA qualification or the credibility of SQA
• failure to notify SQA promptly if another awarding body removes approval from the centre, regardless of the reason given for this withdrawal
• failure to take action required by SQA or to co-operate with an SQA investigation into concerns of malpractice
• for qualifications subject to regulation by SQA Accreditation, Ofqual or Qualifications Wales, failure by a centre to notify, investigate and report to SQA concerns of potential candidate malpractice