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Dealing with Malpractices and Maladministration

Title

Dealing with Malpractices and Maladministration

Institution

NATIONAL INSTITUTE OF ADVANCED TECHNICAL & MANAGEMENT STUDIES

Website

niatm-edu.com

Email

info@niatm-edu.com

Short Name

NIATM

Policy Type

Malpractices and Maladministration Policy

B) Policy Statement

NATIONAL INSTITUTE OF ADVANCED TECHNICAL & MANAGEMENT STUDIES (NIATM) is a system-driven and process-oriented institution. NIATM believes in compliance with all systems and processes in true words and spirit. Therefore, it is expected that every professional associated with NIATM in any form demonstrates due respect for and ownership of every policy and process. However, considering the human interface within any organization, this policy has been framed to eradicate the possibility of any ambiguity, maladministration, and malpractice at NIATM as an institution and at any authorized centres or associated delivery points, where applicable.

C) Objectives of Policy

This policy applies wherever any malpractice or maladministration is identified, reported, or noticed. The sole aim of this policy is to ensure that a healthy, honest, and transparent environment is maintained and that no instance of malpractice or maladministration occurs at the institute or its authorized centres, whether intentionally or unintentionally.

The major objectives of this policy are as follows:

  1. To ensure that a transparent, accountable, and honest work environment is maintained across the institution.
  2. To ensure that the working professionals of the institute remain accountable and subject to institutional scrutiny so that transparency prevails.
  3. To ensure that systems and processes have inbuilt checks, controls, and measures to identify any possibility or instance of malpractice or maladministration, investigate such instances neutrally if they occur, and ensure appropriate actions against the defaulting professional or learner responsible for or involved in any such instance.

D) Scope of Coverage of this Policy

This policy will cover and will be uniformly applicable to all working professionals associated with NIATM and its authorized centres, at all locations, and includes:

  1. Employees on a permanent role or full-time basis.
  2. Professionals associated with a fixed-term contract or for a time-bound period.
  3. Professionals working on a part-time or temporary basis.
  4. Professionals associated on assignment-based contract or on a freelance basis.
  5. Professionals in any position, cadre, or designation, with or without remuneration, including honorary or advisory roles and members of the Governing Body.
  6. Any vendor, business associate, contractor, or service provider associated with the institute for any business activities or services.

This policy can also be read along with the Whistle Blower Policy and the Policy for Dealing with Allegations Against Employees, where applicable.

E) Definitions of Malpractice and Maladministration

Malpractice

Malpractice means any act, default, or practice, whether deliberate or resulting from neglect or default, that is a breach of institutional, academic, assessment, or regulatory requirements, including any act, default, or practice which:

  • Compromises, attempts to compromise, or may compromise the process of assessment, the integrity of any qualification or course, or the validity of a result or certificate; and/or
  • Damages the authority, reputation, or credibility of the institute or any officer, employee, or representative of the institute.

Malpractice can arise for a variety of reasons:

  • Some incidents are intentional and aim to give an unfair advantage or disadvantage in an examination, academic activity, or institutional process.
  • Some incidents arise due to ignorance of requirements, carelessness, or neglect in applying policies or procedures, which may amount to maladministration.

Malpractice includes both deliberate non-compliance with institutional requirements and maladministration in the assessment, administration, and delivery of academic qualifications, courses, or services.

It is necessary to investigate any suspected instance of malpractice, whether intentional or not, to protect the integrity of the qualification, course, or institutional process and to identify any wider lessons to be learned.

Maladministration

Maladministration is any activity or practice that results in non-compliance with administrative regulations and requirements and includes persistent mistakes, procedural failures, or poor administration within an institution, for example inappropriate learner records or repeated operational lapses.

Critical Areas Where Malpractices and/or Maladministration Can Be Identified

  • The assessment procedures and related compliances
  • The integrity of courses and qualifications
  • The validation of results declared and certificates issued
  • The learner registration and identification process
  • The integrity of the institute’s staff, employees, third parties, or freelancers
  • Record maintenance as per data and document policies
  • Failure to comply with equality law and/or policies on reasonable adjustment and special consideration

Examples of Malpractice and Maladministration

  • Hiding records from authorized institutional representatives and/or relevant regulatory or quality authorities
  • Failure to ensure compliance with policies and agreements applicable to the institute or centre
  • Direct or indirect unauthorized support to any centre or learner
  • Non-compliance with any policy by staff of NIATM or its authorized centres
  • Any frequent or repeated non-compliance
  • Miscommitment on behalf of the institute either by staff or centres
  • Use of unauthorized material or access
  • Plagiarism by learner or staff
  • Loss, theft, or breach of confidential material or assessment material
  • Giving access to material to any unauthorized person or staff
  • Loss of focus on policy or compliance requirements
  • Direct or indirect help to learners during assessments by authorized or unauthorized persons for attainment of marks
  • Unreasonable delay in responding to requests and/or communications within or outside the organization
  • Inappropriate claims for certificates
  • Non-compliance with centre agreements and/or institutional policies
  • Non-payment or delay in payment of invoice where institutionally relevant
  • Any conflict of interest which is not declared knowingly or unknowingly

Positive Steps to Avoid Malpractice and Maladministration

NIATM will take certain steps to ensure that it does not become involved in malpractice or maladministration:

  1. Ensure strict compliance with all policies, equality law, and the reasonable adjustment and special consideration policy.
  2. Maintain all records as defined in institutional policies.
  3. Ensure compliance with all course, qualification, and assessment criteria defined by the institute.
  4. Prepare for assessments in advance and make all arrangements as defined in policies.
  5. Declare conflict of interest wherever needed and keep proper records of it.
  6. Share all required information relating to delivery and assessment of courses and qualifications and in support of any claims made by the institute or centre.
  7. Respond and communicate as per the directives in policies and procedures within the specified timeframes.

Reporting Malpractice and Maladministration

Any identification of malpractice or maladministration can be reported to the appropriate process owner or official institutional contact, and the matter will be handled as per the matrix and timeline specified in this policy.

Reporting Channel & Mechanism

Any candidate, staff member, or third party can report suspected cases of malpractice or maladministration relating to the institute, a centre, or a candidate. A concern may be raised through the official helpdesk, portal support system, or by contacting the institute through its official communication channels.

For policy-related reporting, you may write to: info@niatm-edu.com

The concerned coordinator or authorized officer will report suspected cases internally as soon as an initial screening exercise has been carried out to establish the nature of the concern. This includes cases where the conclusion is that no further action is required.

The institute will also take note of any investigation carried out by an awarding body, industry body, funding agency, regulator, or any other competent authority if the matter affects the delivery, administration, or credibility of courses or qualifications.

F) Policy Framework

1. This Policy Will Have the Following Major Compliance Segments

  1. Clear and well laid down processes and policies.
  2. Identifying accountable professionals as custodian and process owner of this policy.
  3. Reporting, investigation, and review process of instances of malpractice and maladministration.
  4. Clear code of conduct for malpractice and maladministration.
  5. Process of review and reconsideration by the alleged professional or agency.
  6. Documentation and record.

2. Clear and Well Laid Down Processes and Policies

The institution or centre must have clearly laid down policies and processes in every area that is required and is critical to managing:

  1. Business processes
  2. Performance of people
  3. Culture and work environment
  4. Productivity and quality
  5. Discipline and work ethics
  6. Learning delivery and learner’s interest

Each policy should cover the following major areas with clarity:

  1. Process owner’s designation
  2. Objectives of the process or policy and its scope
  3. Policy framework with explanation of all clauses and conditions
  4. Date of formation of policy and date of review of the policy
  5. Process of investigation
  6. Clear provisions for conflict of interest and malpractice/maladministration
  7. Provisions for authorized centres and applicability

c. Identification of Custodian and Process Owner for Each Process

  1. Every process must have a process owner or custodian who will be responsible for implementation and execution in true word and spirit for the institute or centre.
  2. The role and responsibilities of the process owner must be clearly defined in the process.
  3. The process should also define to whom the process owner will be accountable for implementation.
  4. The process must clearly list the authorities the process owner has for the respective policy.
  5. Each process must have a clear provision for a second-in-command or alternate custodian in case of absence of the custodian.

f. Reporting, Investigation and Review Process for Any Instance of Malpractice and Maladministration

  1. In case of any apprehended probability of malpractice or maladministration, the same must be reported immediately, but not later than 36 working hours after noticing the instance or apprehension.
  2. The matter must be reported to the process owner of the policy by formal written communication with the following minimum details:
    • Name of the alleged professional or agency who is or may be involved in the instance.
    • Details of the instance of malpractice or maladministration or its possibility or probability.
    • The impact of the instance on the stakeholder, organization, or centre.
    • The time period during which the instance has occurred or may occur.
    • The evidence or justification the complainant has for the instance, if any.
  3. The process owner, after receiving the complaint, must validate details through a basic initial investigation and determine whether any substance in the complaint exists.
  4. After the initial investigation, the process owner may submit the report along with findings to the Responsible Officer.
  5. The process mentioned above must be completed within 48 working hours by the process owner.
  6. Once the instance has been reported by the process owner, the report will be studied by the Responsible Officer, who will evaluate the gravity of the instance and appoint an investigation officer or team.
  7. The appointment of the investigating officer will depend on the position and seniority of the designation of the professional involved.
  8. The investigation officer or team must include only those professionals who:
    • Are at least one level above the professional involved in the organizational hierarchy.
    • Possess expertise and experience in the relevant field or in malpractice/maladministration matters.
    • Have no direct or indirect personal or professional relationship with the professional involved in the instance.
  9. The investigation team must submit a detailed report and findings within the stipulated timeframe to the Responsible Officer, who will be responsible for appropriate action based on the findings and recommendations, under approval of the Chairman or Governing Council.
  10. The professional must be given a chance to explain his or her point of view in defence before punitive action is taken, in line with the principle of natural justice.
  11. The final action must be communicated in writing to the professional involved and shared with all concerned stakeholders where necessary. The institute intends to finish the process within 15 business days; however, serious cases may require additional time, which may be communicated to stakeholders as needed.

d. Clear Code of Conduct for Malpractice and Maladministration

The policy has the following additional provisions to identify malpractice or maladministration:

  1. Any instance where a professional refuses to carry out his or her duties to any stakeholder.
  2. Any instance of asking any favour from a stakeholder to carry out a task or duty for which the professional is responsible.
  3. Any act by the professional which leads to a conflict of interest.
  4. Any violation of the code of conduct prescribed by the institute or centre.
  5. Any violation of health, safety, or environment policy causing a threat to safety or to the environment.
  6. Any violation of policies relating to workplace dignity, harassment, or conduct.
  7. Any violation of data protection law, confidentiality agreement, breach of contract, or signed agreement.
  8. Any violation of standard operating procedure for any task or assignment.
  9. Violation of quality parameters for any task or assignment as prescribed by policy or process.
  10. Any act of violence, abusive behaviour, indecent behaviour, or disobedience of a lawful instruction of a superior.
  11. Any financial transaction not permissible under policy or law.
  12. Any offence not permissible under prevailing law or institutional governance.
  13. Any unauthorized change or manipulation of any official document or record, with or without unlawful intention.
  14. Offering a bribe or any financial or non-financial favour not permissible under policy or law.
  15. Using the institute’s logo, stationery, property, or assets for personal use or personal gain.
  16. Hiding information intentionally or unintentionally which must be shared with the appropriate authority.

e. Process of Review and Reconsideration by Alleged Professional or Agency

The professional involved in the act of malpractice or maladministration must be given a fair chance to:

  1. Explain his or her point of view in defence.
  2. Produce witnesses, if any, in support of his or her claim before the investigation officer or investigation team.
  3. Submit documentary evidence in support of the defence.
  4. Submit a review petition if he or she feels that the action taken is disproportionate to the gravity of the offence.
  5. Raise objection against the appointment of any investigating team member if there is any apprehension of prejudiced investigation.

f. Appeal: Appeals Against Malpractice Decisions

  1. Candidates or staff members who wish to appeal against a malpractice decision should contact the appropriate institute coordinator or authority in writing within 10 working days of the original decision.
  2. Appeals will be reviewed by the head of centre or competent institutional authority and candidates will be informed within 5 working days of the result where practicable.
  3. The institute may also have the right to appeal a decision where a case of reported malpractice has been confirmed by an external authority or awarding body.
  4. Candidates may have the right to appeal to the relevant awarding body where:
    • The institute has conducted an investigation, the candidate disagrees with the outcome, and the institute’s internal appeal process has been exhausted.
    • An awarding body has asked the institute to conduct an investigation and the candidate disagrees with the outcome.

v. Documentation and Record

  • All communications must be done in writing.
  • Every decision, step, discussion, or investigation must be recorded in proper document form, either in hard copy or electronic record.
  • The record of every step, decision, and action during the entire process must be appropriately filed and produced whenever required by any authority.
  • Documents under this process must be maintained for a minimum period of six years after closing the reported instance.
  • All actions taken after malpractice is proven must be recorded in the written feedback on the outcome of the investigation.
  • If the investigation identifies any actions needed internally to strengthen procedures or prevent future cases, such actions must be taken as a matter of priority.

Possible Sanctions and/or Disciplinary Actions

Depending on the severity of malpractice, possible sanctions and/or disciplinary actions may include, but are not limited to:

  • Candidate retaking the assessment
  • Mandatory training for assessors, verifiers, or staff
  • Staff disciplinary procedures resulting in written warnings or dismissal

Candidates involved in an investigation of malpractice, whether candidate malpractice or centre malpractice, will not be resulted for the assessments in question until the investigation is completed, the outcome decided, and any appeal concluded.

The centre must also ensure that candidate declarations and disclaimers required under the relevant assessment framework are properly completed and signed, wherever applicable, and that all appropriate steps are taken to minimize the risk of candidate malpractice.

Contact Information

NATIONAL INSTITUTE OF ADVANCED TECHNICAL & MANAGEMENT STUDIES (NIATM)
Website: niatm-edu.com
Email: info@niatm-edu.com