Malpractice and Maladministration Policy

Company: Tyrogen Limited (16884876)
Owner: Quality Assurance / Compliance
Approved by: Governing Body (or delegated authority per MD/GOVERNANCE/DELEGATION_OF_AUTHORITY.md)
Status: Draft (controlled policy)
Version: 0.1
Last updated: 2026-03-10
Next review: 2026-03-31

1) Purpose

Tyrogen is committed to ensuring that its assessments, qualifications, and associated services are developed, delivered, and awarded accurately and fairly.

This policy and procedure set out how Tyrogen will prevent, identify, report, investigate, and address suspected or alleged malpractice and maladministration in qualification delivery, assessments, proctoring, marking, awarding, certification, and related services.

The aims of this policy are to:

• protect learners and the integrity of assessment outcomes
• protect the reputation and credibility of Tyrogen and its qualifications/services
• ensure issues are investigated rigorously, fairly, and without conflicts of interest
• take proportionate corrective action and prevent recurrence.

Where applicable, Tyrogen will comply with relevant regulatory requirements and expectations (including those within the Ofqual General Conditions of Recognition).

1.1 Ofqual alignment

This policy supports compliance with:

• A8 (malpractice and maladministration)
• A6/A7 (risk and incident response where Adverse Effect is possible)
• B3 (Ofqual notification where required)
• PR1 (integrity, fairness, public confidence)

2) Scope

Applies to learners, centres, employers, invigilators, proctors, staff, contractors, and any third parties involved in assessment delivery or evidence handling.

3) Definitions

• Malpractice: deliberate actions, neglect, default, or other practice that compromises, or could compromise, the assessment process, the integrity of a qualification, the validity of results/certificates, or public confidence.
• Maladministration: activity, neglect, default, or other practice (not deliberate) that results in failure to comply with specified requirements, processes, or administrative controls.

3.1 Relationship to complaints and appeals

• Complaints are handled under MD/POLICIES/COMPLAINTS.md.
• Appeals against assessment decisions/outcomes are handled under MD/POLICIES/APPEALS.md.

If an issue is submitted as a complaint but indicates suspected malpractice/maladministration, Tyrogen will route it under this policy and inform the reporter.

4) Examples of malpractice and maladministration (non‑exhaustive)

Malpractice/maladministration can occur at learner, centre, centre staff, or Tyrogen staff level. Examples below apply to both electronic and hard‑copy records.

4.1 Learners

Examples include:

• plagiarism or presenting another person’s work as their own (including unacknowledged use of Generative AI where not permitted)
• collusion where work must be completed independently
• copying during assessments
• using messaging/communication tools during an assessment
• impersonation or arranging for someone else to sit an assessment
• paying or coercing someone to produce work for assessment submission
• use/possession of unauthorised materials or devices (e.g., notes, phone, smartwatch) in breach of assessment rules
• attempting to access, distribute, or leak assessment content unlawfully (e.g., screen capture, sharing links, leaks)
• attempting to bypass invigilation/proctoring/monitoring controls (where used)
• disruptive, abusive, or threatening behaviour during assessment
• submission of offensive, discriminatory, or obscene material unrelated to the assessment context.

4.2 Centres / providers / employers (where applicable)

Examples include:

• failure to provide secure storage or access control for assessment materials
• misuse of assessments or inappropriate adjustment to assessment decisions
• failure to retain evidence/records accurately and securely
• failure to follow learner registration, identity verification, or data transfer requirements
• deliberate falsification of records or certification claims
• discrimination against learners or unfair access arrangements
• failure to address known issues once identified.

4.3 Centre staff / contractors

Examples include:

• breach of security (leaking materials, tampering with evidence)
• falsifying learner evidence, assessment records, or results
• improper assistance to learners beyond permitted support
• failure to adhere to Tyrogen requirements
• failure to declare conflicts of interest affecting assessment integrity.

4.4 Tyrogen staff / contractors

Examples include:

• unauthorised changes to results, learner records, or certification status
• failure to follow documented processes (e.g., marking, moderation, awarding, proctoring)
• conflicts of interest not declared or not managed
• mishandling of confidential materials or evidence
• inappropriate communication that compromises fairness.

5) Principles

Tyrogen will:

• protect learners and standards
• act fairly, impartially, and proportionately
• investigate promptly and rigorously
• preserve evidence and maintain chain‑of‑custody where relevant
• ensure decisions are auditable and supported by documented rationale
• ensure investigators/decision makers have appropriate competence and no personal interest in the outcome
• take reasonable steps to mitigate adverse effects and prevent recurrence.

6) Reporting channels (how to report)

Anyone who discovers or suspects malpractice/maladministration should report it as soon as possible.

Reports can be made via:

• dedicated email: admin@tyrogen.org
• in‑platform reporting: Tyrogen Platform (Malpractice report)
• whistleblowing route: admin@tyrogen.org (mark subject: “Whistleblowing”)

6.1 What to include in a report

Where possible, include:

• reporter name and contact details (unless anonymous)
• learner/centre identifiers (learner ID, centre number, cohort/session, etc.)
• assessment/qualification/service affected
• description of the concern (what happened, when, how discovered)
• any available evidence (emails, screenshots, logs, recordings references)
• immediate risks (e.g., ongoing assessment window, data breach, safeguarding risk).

6.2 Anonymous reporting

Tyrogen will consider anonymous reports. However, anonymity may restrict the ability to investigate or provide feedback.

7) Roles and responsibilities

7.1 Tyrogen responsibilities

Tyrogen will take all reasonable steps to:

• prevent malpractice and maladministration
• establish whether malpractice/maladministration has occurred where there are reasonable grounds
• mitigate and correct any adverse effect as far as possible
• keep centre arrangements under review where centres deliver any part of a Tyrogen assessment/qualification
• take proportionate action against those responsible (or seek cooperation of third parties)
• inform affected parties and, where required, notify regulators (e.g., Ofqual).

7.2 Centre / provider responsibilities (where applicable)

Centres/providers are expected to:

• maintain robust, communicated procedures for prevention and investigation
• report suspected or confirmed malpractice/maladministration to Tyrogen promptly
• preserve evidence and provide access to relevant records, staff, and systems for investigation
• implement corrective actions and an action plan to prevent recurrence
• cooperate with Tyrogen monitoring and sanctions.

7.3 Learner responsibilities

Learners are expected to:

• comply with assessment rules and identity requirements
• provide truthful information and evidence when asked
• avoid collusion, impersonation, unauthorised materials, and other prohibited conduct.

8) Triage and investigation procedure

8.1 Stage A — Receipt, logging, and triage

1. Log the case: Tyrogen will create a case record and assign a unique reference.
2. Initial triage: Tyrogen will assess severity, scope, and risk (including whether learners are currently being assessed) using default triage timescales: Sev1 same working day; Sev2 within 2 working days; Sev3 within 5 working days.
3. Immediate containment: where necessary, Tyrogen may take urgent steps (e.g., pausing certification, suspending access, securing materials) to reduce ongoing risk.

8.2 Stage B — Evidence preservation

Tyrogen and/or the centre will take reasonable steps to preserve evidence, which may include:

• securing assessment materials, scripts, or submissions
• retaining platform logs and access trails
• securing proctoring recordings and metadata
• documenting who handled evidence and when (chain‑of‑custody where appropriate).

Where appropriate and lawful, evidence may also include:

• screenshots or images (where permitted)
• communications indicating collusion/content sharing
• proctoring/invigilation reports or incident notes (where used)

8.3 Stage C — Investigation plan

Tyrogen will define an investigation plan, including:

• scope and allegations
• roles and responsibilities (including independent reviewer where needed)
• evidence sources
• target timeline and communication points.

8.4 Stage D — Investigation (fact finding)

Investigations may include review of records, interviews, system log analysis, and sampling.

Tyrogen will decide whether:

• Tyrogen investigates directly, or
• the centre conducts initial fact-finding and provides a report to Tyrogen (Tyrogen may still perform additional checks).

Where a centre undertakes any part of the investigation, Tyrogen may require:

• independence (investigator not the person raising the allegation or implicated)
• appropriate competence and authority
• a written report with evidence references, chronology, findings, and proposed corrective actions.

8.5 Learner rights and fairness

Where a learner is suspected of malpractice and it is appropriate to do so, Tyrogen and/or the centre will:

• inform the learner of the allegation and process
• provide an opportunity to respond and submit evidence
• allow the learner to be accompanied at any meeting/hearing (where a hearing is used)
• ensure decision makers are independent from those making the allegation.

8.6 Stage E — Findings, decision, and outcomes

Tyrogen will determine whether malpractice/maladministration is:

• substantiated
• not substantiated
• inconclusive (insufficient evidence).

The decision will be recorded with rationale, and will include any corrective actions, sanctions, and communication plan.

8.7 Stage F — Notifications and reporting

Tyrogen will notify relevant parties (e.g., learner, centre) of outcomes, subject to confidentiality and legal constraints.

Tyrogen will consider regulator notification (e.g., Ofqual) where required, including where an occurrence:

• could invalidate results/certificates
• could affect other awarding organisations
• may cause an adverse effect to learners or public confidence.

9) Criminal offences and police referral (where applicable)

Some incidents may indicate potential criminal offences (e.g., fraud, identity theft, theft of assessment materials, threats/violence, unlawful access to systems).

Where Tyrogen believes a criminal offence may have occurred, Tyrogen may:

• preserve evidence to a standard suitable for external investigation
• seek legal advice where appropriate
• notify the police or relevant authority where appropriate
• cooperate with law enforcement and regulators as appropriate.

10) Sanctions and corrective actions (examples)

Where malpractice/maladministration is substantiated, Tyrogen will apply proportionate actions. Examples include (non‑exhaustive):

10.1 Learners

• warning
• mark/result adjustment in line with assessment rules
• invalidation of some or all assessment components
• disqualification from a unit/qualification
• temporary bar from assessment entry for a defined period.

10.2 Centres / providers

• additional monitoring and increased sampling
• requirement for an action plan and deadline‑based improvements
• suspension of registrations/certification (where applicable)
• suspension/withdrawal of approval for specific services/qualifications
• withdrawal of centre approval.

10.3 Centre staff / contractors

• removal or restriction of involvement in delivery/assessment
• mandatory training requirements
• referral to centre disciplinary processes.

10.4 Tyrogen staff / contractors

• internal disciplinary action under Tyrogen procedures
• removal from role or restricted duties
• contract termination (where applicable).

11) Appeals

Centres and learners may have the right to appeal decisions or penalties. See MD/POLICIES/APPEALS.md.

12) Records / evidence

Tyrogen will maintain a case file sufficient for audit and regulatory review, including:

• allegation/report and triage record
• evidence inventory and references (including logs/recordings pointers)
• investigation plan, notes, interviews, and chronology
• decision record and rationale
• communications log
• corrective and preventive actions, including verification of completion.

Retention of case files will follow MD/POLICIES/DATA_RETENTION.md (or other applicable retention rules).

13) Associated policies and documents

• MD/POLICIES/COMPLAINTS.md
• MD/POLICIES/APPEALS.md
• MD/POLICIES/CONFLICTS_OF_INTEREST.md
• MD/POLICIES/REASONABLE_ADJUSTMENTS.md
• MD/POLICIES/DATA_RETENTION.md

14) Change log