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)
Status: Draft (controlled policy)
Version: 0.2
Last updated: 2026-04-05
Next review: 2026-04-30

1) Purpose

This document is Tyrogen’s canonical policy source for the prevention, reporting, investigation governance, decision-route expectations, sanctions framework, learner-protection principles, and record expectations that apply to malpractice and maladministration matters.

Tyrogen has this policy so that suspected or confirmed wrongdoing, process failure, assessment-integrity breach, or administration failure affecting qualifications, assessments, results, certification, or public confidence is handled through a clear and governable control framework rather than through ad hoc local judgement.

This policy applies across Tyrogen’s current pre-awarding stage and any future regulated awarding activity.

1.1 Ofqual alignment

This policy supports Tyrogen’s wider regulatory and governance framework, including:

• A8 (malpractice and maladministration),
• A6 / A7 where a matter also creates incident, risk, or wider adverse-effect implications,
• B3 where the case may require Ofqual notification,
• G4 where the matter engages confidentiality or compromised assessment materials,
• G8 where the matter concerns authenticity, completion conditions, or improper assistance,
• I1 where a decision or sanction is subject to appeal,
• I4 where a false result caused by malpractice or maladministration affects certification,
• and PR1 expectations of integrity, fairness, and public confidence.

1.2 What this file owns

This file owns Tyrogen’s canonical position on:

• what malpractice and maladministration mean,
• the policy-level scope of matters covered,
• the distinction between malpractice, maladministration, complaints, appeals, conduct concerns, and governance incidents,
• prevention and reporting expectations,
• fairness, learner-protection, independence, and proportionality principles,
• the high-level sanctions and corrective-action model,
• the high-level notification and escalation interface,
• and the minimum records Tyrogen expects to retain.

1.3 What this file does not own

This file does not own:

• the detailed end-to-end investigation workflow, which is owned in Malpractice Process,
• panel constitution, quorum, activation, recusal, and decision-body authority mechanics, which are owned in Malpractice & Maladministration Panel ToR,
• appeals workflow and post-decision challenge mechanics, which are owned in Appeals Policy and Appeals Process,
• complaints handling workflow, which is owned in Complaints Policy,
• conflicts declaration, assessment, and mitigation mechanics, which are owned in Conflicts of Interest Policy,
• broader conduct, bribery, fraud, and whistleblowing rules, which are owned in Code of Conduct and Ethics,
• or wider adverse-effect and governance-incident escalation mechanics, which are owned in Governance Change and Incident Management and Incident Response Playbook.

Where those documents are relevant, this policy signposts them rather than duplicating their substance.

2) Scope

This policy applies to suspected or confirmed malpractice or maladministration involving:

• learners,
• centres, employers, and providers,
• invigilators, proctors, and assessors,
• Tyrogen staff, contractors, specialists, and panel members,
• third parties or suppliers involved in assessment delivery, materials handling, or evidence handling,
• and any qualification, assessment, result, certificate, or related administrative process within Tyrogen’s control.

The policy applies to both digital and paper-based evidence, records, materials, and communications.

3) Definitions and route boundaries

3.1 Malpractice

Malpractice means deliberate, reckless, improper, or seriously negligent conduct that compromises, or could compromise:

• the integrity of assessment,
• the validity of results or certificates,
• the authenticity of learner evidence,
• compliance with regulatory expectations,
• or public confidence in Tyrogen’s qualifications and services.

3.2 Maladministration

Maladministration means non-deliberate error, failure, neglect, weak control, or poor administration that results in non-compliance, unfairness, inaccuracy, or avoidable risk in qualification, assessment, results, certification, or related administrative activity.

3.3 Relationship to complaints, appeals, conduct, and incidents

• A complaint is dissatisfaction about service, systems, processes, staff conduct, communications, or other matters routed under Complaints Policy.
• An appeal is a request to review a result or assessment-related decision, including eligible malpractice-related decisions, routed under Appeals Policy.
• A broader conduct, bribery, fraud, or whistleblowing concern is governed by Code of Conduct and Ethics.
• A wider governance incident or matter creating possible Adverse Effect may also require handling under Governance Change and Incident Management and Incident Response Playbook.

Tyrogen distinguishes malpractice and maladministration from complaints, appeals, general conduct concerns, and wider governance incidents so that each matter is routed to the correct owner process. Where a matter overlaps categories, Tyrogen applies the connected controls in parallel rather than forcing the case into a single incomplete route.

4) Policy position and principles

Tyrogen’s policy position is that malpractice and maladministration must be prevented where possible, reported promptly, assessed rigorously, investigated fairly, determined through appropriately independent routes, and resolved in a way that protects learners, standards, and public confidence.

Tyrogen applies the following principles:

• Learner protection first — decisions and containment steps must protect Learners and potential Learners from avoidable prejudice.
• Integrity of assessment and certification — Tyrogen protects the authenticity of evidence, the validity of results, and the credibility of certification.
• Prompt and proportionate handling — allegations and indicators are acted on without unnecessary delay, with response proportionate to risk and seriousness.
• Fairness and reasoned decision-making — those affected should be treated fairly, and outcomes must be supported by evidence and recorded rationale.
• Independence where required — investigators, reviewers, and decision-makers must not have unmanaged conflicts or disqualifying prior involvement.
• Control-failure learning — Tyrogen addresses the underlying weakness as well as the individual case where systemic issues are identified.
• Auditability — Tyrogen retains sufficient records to show what was alleged, how it was handled, what was decided, and what corrective action followed.

Tyrogen’s malpractice and maladministration framework is designed to protect learners, preserve the validity of results and certificates, secure fair and independent case handling, and ensure that both the individual case and any wider control weakness are addressed through auditable action.

5) Prevention and reporting expectations

Tyrogen expects malpractice and maladministration risk to be controlled through:

• clear assessment and administrative rules,
• secure handling of materials, evidence, and records,
• defined centre, supplier, and staff responsibilities,
• conflicts checks and independence controls where required,
• monitoring, review, and escalation where weaknesses are identified,
• and prompt reporting of suspected breaches, irregularities, or control failures.

Anyone who discovers or reasonably suspects malpractice or maladministration should report the matter promptly through Tyrogen’s recognised reporting routes. Reports may arise through direct reporting, centre escalation, operational review, complaints redirection, incident handling, whistleblowing, monitoring activity, or audit findings.

Tyrogen expects suspected malpractice or maladministration to be reported promptly and not suppressed, deferred, or resolved informally where qualification integrity, learner fairness, or public confidence could be affected. Reports may originate through direct case reporting, centre escalation, monitoring, complaints, incident review, or speak-up channels.

6) Fairness, independence, and learner-protection expectations

Tyrogen requires malpractice and maladministration matters to be handled through a route that:

• separates reporting, investigation, decision, and appeal functions where required,
• manages conflicts in line with Conflicts of Interest Policy,
• uses competent and sufficiently independent investigators and decision-makers,
• gives appropriate consideration to the rights of affected learners and other parties,
• and keeps invalid, conflicted, or non-independent routes blocked rather than treating convenience as a substitute for control.

The detailed investigation steps are owned in Malpractice Process, and the decision-body governance route is owned in Malpractice & Maladministration Panel ToR.

7) Outcomes, sanctions, and corrective action

Where malpractice or maladministration is substantiated, Tyrogen applies proportionate outcomes and sanctions according to:

• the seriousness of the matter,
• the impact on learners, standards, results, or certification,
• whether the issue was deliberate, reckless, negligent, or systemic,
• whether wider confidentiality, security, governance, or regulatory risks arise,
• and what corrective action is required to prevent recurrence.

Possible outcomes may include, as applicable:

• warnings or formal findings,
• mark or result correction,
• invalidation of affected evidence or assessments,
• disqualification from a unit or qualification,
• removal or restriction of involvement in delivery, assessment, or decision-making,
• additional monitoring, action plans, or centre sanctions,
• suspension or withdrawal of approval,
• contract review or termination,
• certificate withholding, correction, or revocation through the applicable control route,
• and escalation to regulatory, governance, criminal, or civil routes where justified.

Tyrogen also requires corrective and preventive action where a case reveals control weakness, repeated failure, training need, security weakness, or broader governance concern.

Tyrogen applies proportionate sanctions and corrective action based on seriousness, learner impact, intent, and systemic significance. The objective is not only to determine the case outcome, but also to correct affected results or routes where necessary and prevent recurrence through controlled follow-up action.

8) Notification and escalation interfaces

Tyrogen escalates malpractice and maladministration matters where required to:

• the Responsible Officer for Ofqual-notification consideration,
• the relevant incident or governance route where a wider Adverse Effect or control failure may exist,
• the appropriate appeal route where the decision is challengeable,
• and law-enforcement or external authorities where the case indicates possible criminal conduct or other mandatory external escalation.

Tyrogen does not treat the malpractice policy as a standalone closed system. Where a matter also affects results, certification, centre approval, incident management, or regulatory notification, the case must connect into those true-owner routes.

9) Records and evidence

Tyrogen retains records sufficient to show:

• the allegation, concern, or trigger,
• triage and case-classification decisions,
• the evidence considered,
• investigation outputs and decision rationale,
• any conflicts, recusal, independence, or constitution checks,
• communications and notifications,
• sanctions, corrective action, and closure status,
• and any wider escalation, trend, or governance follow-up required.

The detailed case-file structure is owned in Malpractice Process and exemplified in Malpractice Case Sample. Retention is governed through Data Retention Policy and related document-control requirements.

Tyrogen retains a malpractice and maladministration record set that is sufficient for audit, regulatory scrutiny, case review, and trend analysis, covering the case from allegation through outcome, notifications, sanctions, corrective action, and closure.

10) Related documents

• Appeals Policy
• Complaints Policy
• Conflicts of Interest Policy
• Code of Conduct and Ethics
• Reasonable Adjustments Policy
• Data Retention Policy
• Malpractice Process
• Appeals Process
• Governance Change and Incident Management
• Incident Response Playbook
• Ofqual Regulator Liaison
• Malpractice & Maladministration Panel ToR
• Malpractice Case Sample

11) Change log