In December, Ofqual announced statistics relating to exam malpractice during the summer 2015 exam series. Their findings show that while the number of candidates penalised for cheating dropped slightly this summer, the number of staff penalties more than doubled.
The number of individual staff penalised for malpractice during the summer’s GCSEs and A levels was 262, up 120 per cent from the year before, while 2,460 exam candidates faced penalties for cheating, fewer than the previous year. In addition, the number of schools and colleges penalised rose by a third to 288.
Offences by staff members included breaching security, helping candidates, opening papers early without authorisation, allowing pupils to sit an exam at the wrong time or not invigilating properly.
For candidates, the penalties were most likely to be for bringing “unauthorised material” into exams or plagiarism. The number caught with a mobile phone dropped from 850 last year to 790 this year.
The prevention of malpractice when undertaking exams and assessments has long been a focus for the Joint Council for Qualifications (JCQ). The JCQ defines malpractice as any act, default or practice which is a breach of the regulations or which:
- Compromises or attempts to compromise the process of assessment, the integrity of any qualification or the validity of a result or certificate (and/or)
- Damages the authority, reputation or credibility of any awarding body or centre or any officer/employee of any awarding body or centre.
So, how can schools help to prevent malpractice? First, it is important to note that, as Ofqual has revealed, malpractice does not just relate to the actions of students. Many cases of staff malpractice are unintentional, yet they still compromise the process of assessment and the integrity of any qualification.
Second, the responsibility for ensuring that malpractice is avoided and addressed lies with the head of centre and the senior leadership team (SLT) – not just the exams officer. The tips below provide a good starting point for any senior leadership team.
For teaching staff
Provide clear information for staff: Many instances of malpractice relate to a lack of communication. For example, are all staff aware of exam times, the process to request exam times be altered, how “clash” candidates should be supervised, or what constitutes unauthorised access to exam material prior to the exam?
Identify the role of heads of departments: The senior leadership team must make it clear to all staff, but particularly heads of departments, that the management/administration of exams rests with the exams officers. Heads of department must acquire prior permission from the SLT to be present in the exam room. Their presence – to identify candidates, address any disruptive behaviour – may be required but this needs to be agreed beforehand. No teacher should enter an exam room to “have a look at the exam paper” or stage pre-exam coaching sessions. Ensure that your exams officer is not undermined.
Only assist candidates where permitted: Teachers must be clear over how they “assist candidates” in relation to controlled assessments/coursework. Access to prohibited materials must be enforced and candidates with access arrangements must not be assisted beyond what is permitted by the regulations.
Ensure that each exam room is suitably prepared: A JCQ inspection is usually undertaken on an annual basis with a key focus being the suitability of the exam room. The SLT can support their exams officer by providing the resources to recruit and train invigilators, ensure that all exam rooms conform to JCQ regulations (with all relevant notices posted outside rooms), and that a senior leader is on hand to identify students if needed. It is also important to support your invigilators/exams officer when dealing with disruptive behaviour before and during exams.
Deal with candidate malpractice in the correct and appropriate manner: If students engage in any of the behaviour/actions detailed below then this needs to be dealt with in the appropriate manner. Senior leaders must ensure that they are clear over what awarding bodies expect when dealing with such instances. Are you aware of the processes related to dealing with malpractice and how to investigate instances accordingly? This should also include dealing with candidates who arrive late, or very late, for exams.
For candidates
Use internal exams to familiarise students with exam conditions: Students should be fully aware by the time they experience external assessments that a breach of the instructions or advice of an invigilator constitutes malpractice. They must also understand that they are required to abide by the conditions of supervision designed to maintain the security of the examinations or assessments. One method of promoting familiarity for students is to employ JCQ rules and regulations in mock exams.
Highlight the regulations around controlled assessments/coursework: Although it is almost impossible to monitor every aspect of internal assessments, students should be clear over the consequences of collusion, copying or allowing their work to be copied. Before focusing upon the content, students should know the rules around “task taking”. JCQ provides “Information for Candidates” via a series of documents covering controlled assessments and coursework, as well as written exams, on-screen tests and use of social media. It is the responsibility of schools to make candidates aware of these regulations.
Use assemblies to reiterate exam rules: Throughout all academic years highlight the consequences of bad behaviour in the exam room with examples of awarding body sanctions (such as a mobile phone on their person, ringing in an exam, and the impact that this may have upon all other exams taken). Assemblies can also be used to introduce invigilators to students to raise the profile and status of this important group of staff.
Involve parents/carers: Write to parents/carers prior to external exams to detail rules, regulations and expectations. Be clear on the consequences of arriving late, disruptive behaviour or failing to adhere to the requests of invigilators. Ask parents/carers and students to sign an agreement which confirms an understanding of what is expected of both them and their child. Support your exams officer by dealing with instances when these rules are contravened. It should not be the responsibility of your exams officer to deal with parents/carers or students who disagree with JCQ rules and regulations.
Be visible on exam days: A senior leader should be present to assist with the calm entry of students into the exam room. Exams officers and invigilators have a range of tasks to undertake at the start of an exam, so to have a senior leader on hand to deal with any student-related issues can be of great assistance and helps create a calm(er) atmosphere prior to the exam.
Examination policies
There are five examination policies that schools are required to have in place for JCQ purposes:
Emergency evacuations: Section 18 of JCQ’s Instructions for Conducting Examinations states: “You must have a written centre policy for dealing with an emergency evacuation of the examination room, which will be subject to inspection by the JCQ Centre Inspection Service.”
Exam contingency: Section 5 of JCQ’s General Regulations for Approved Centres states that the centre agrees to “have in place a written examination contingency plan/examinations policy which covers all aspects of examination administration. This will allow members of the SLT to have a robust contingency plan in place, minimising risk to examination administration, should the examinations officer be absent at a crucial stage of the examination cycle”.
Internal appeals procedure: It is an Ofqual and JCQ requirement for centres to have an internal appeals procedure relating to internal assessment decisions and enquiries about results. The General Regulations for Approved Centres also states (Section 5.8) that the centre must “have in place, and ... available for inspection, a written internal appeals procedure relating to internal assessment decisions”.
Furthermore, Section 5.14 states that the centre agrees to “have available for inspection purposes and draw to the attention of candidates and their parents/carers, a written internal appeals procedure to manage disputes when a candidate disagrees with a centre decision not to support an enquiry about results or an appeal”. A centre may place its internal appeals procedure on the website or alternatively the document may be made available to candidates upon request.
Meanwhile, Ofqual’s Code of Practice (Section 9.13) states that the awarding organisation must require centres offering its exams to have in place:
- A procedure for candidates or their parents/carers to request access to the enquiry and appeals system.
- A procedure for lodging enquiries about results in cases where the centre supports an enquiry lodged by a candidate or parent/carer.
- A formal, codified procedure for handling disputes when a candidate or parent/carer disagrees with a decision by the centre not to support an enquiry.
Centres must be required to ensure that the procedures are published and made widely available and accessible to all candidates and their carers.
Controlled assessments: This covers the management of GCSE controlled assessments, including risk management and staff responsibilities. Section 1 of JCQ’s Instructions for Conducting Controlled Assessments booklet states that since September 2010 the JCQ has required each centre to have a controlled assessment policy in place in order to:
- Cover procedures for planning and managing controlled assessment.
- Define staff roles and responsibilities with respect to controlled assessment.
- Manage risks associated with controlled assessment.
A JCQ centre inspector will ask the examinations officer to confirm that a controlled assessment policy is in place. The guidance provided in this document will help the head of centre to ensure that the centre’s controlled assessment policy is fit for purpose.
Disability policy: This must show the centre’s compliance with relevant legislation, i.e. the Equality Act 2010. For more information, see page 4 of JCQ’s Access Arrangements and Reasonable Adjustments.
Further points to note
- Some exams policies may be incorporated within whole-school guidance. This may apply to the disability policy, and also Disclosure and Barring Service clearance to satisfy current legislative requirements in relation to invigilators.
- The development and oversight for all policies must lie with a member of the SLT.
- Policies must not be produced solely to satisfy the requirements of the JCQ inspection. The SLT should draft policies where they feel that clarity is required within their centre, or among parents and students (for example, to explain how transgender students will be supported during exams or the process for dealing with late/absent candidates).
- Once policies are devised they should updated on an annual basis.
- Jugjit Chima is one of the founders of The Exams Office, an online support tool for exams officers and data managers. Visit www.theexamsoffice.org
Further reading and resources
All the documents quoted in this article are available from the JCQ website at www.jcq.org.uk. This includes a section on malpractice (www.jcq.org.uk/exams-office/malpractice).