Assessment and Examination Rules and Procedures for Secondary Schools - 2009

4.4 Breaches of the Rules - External Assessment

1. The New Zealand Qualifications Authority may investigate any report of a possible breach of the rules and procedures of external assessment.
   
   
2. Conduct which is in breach of these Rules and Procedures in connection with any qualification, includes reports of:
   
   
   1. failure to follow instructions - a candidate is reported to have failed to follow the instructions of an agent of The New Zealand Qualifications Authority, such as an examination supervisor, or the examination rules listed in the instructions to candidates and listed on the candidate's admission slip
      
      
   2. influencing/assisting/hindering candidates or disrupting the examination - a person is reported to have influenced, assisted or hindered candidates, or otherwise disrupted the examination whether dishonestly, fraudulently or unwittingly
      
      
   3. dishonest practice by a candidate - a candidate or another person is reported to have
      
      
      1. attempted to dishonestly or fraudulently access information or materials not permitted in the examination,
         
      2. access information or materials or other help from another person
         
      3. altered assessment materials prior to seeking a review or reconsideration
         
      4. used any document or certificate produced by The New Zealand Qualifications Authority in a way that provides them with an advantage (pecuniary or otherwise)
         
      5. any other practice that might result in an advantage to the candidate
         
      
      
      
   4. performance based authenticity - a candidate is reported to have submitted material for assessment that is not their own, or is not verified as their own, whether dishonestly, fraudulently or unwittingly
      
      
   5. impersonation - a person is reported to have impersonated or dishonestly claimed to be a candidate entered for a qualification. These Rules and Procedures apply to the alleged impersonator, to the candidate who has allegedly been impersonated, and to any other person who may have assisted or concealed the impersonation
      
      
3. Where the Qualifications Authority has initiated an investigation, a candidate or other person whose reported conduct may have possibly breached these rules and procedures will be sent a letter outlining the:
   
   
   1. conduct that may have been in breach of the rules
      
   2. rule/s that it may have breached
      
   3. penalties that may apply if the breach were proven,
      
   
   and will be invited to make written comment to The New Zealand Qualifications Authority about their conduct within 14 business days of the date of the written notice.
   
   
4. Investigation into a possible breach of the rules by a candidate or other person may involve consultation with the Principal's Nominee from the candidate's school or candidates' school(s).
   
   
5. While The New Zealand Qualifications Authority is investigating a possible breach of the rules it may suspend the release of all or part of the results of any candidate who is believed to be involved, until a decision is made as to whether or not a breach has occurred.
   
   
6. Any results which may have been withheld will be released and no further action will be taken by the New Zealand Qualifications Authority if it receives written comment from the candidate or any other person which explains their conduct and confirms that no breach has occurred. This may occur at any stage of the investigation.
   
   

   Meetings

7. A meeting will be convened at the Qualifications Authority and a decision will be made about the reported breach, taking into consideration all of the information received when the Qualifications Authority has:
   
   
   1. received an admission by the candidate, or other person, that their conduct was in breach of these rules and procedures
      
   2. received sufficient information upon which to make an informed decision but has not received written comment from the candidate or other person within the set time.
      
   
   The candidate or other person will be informed in writing of the decision and what, if any, penalties will be imposed.
   
   
8. If, following consideration of the written comment made by the candidate or other person, the New Zealand Qualifications Authority considers that it would assist their decision making if they could meet with the candidate or other person, a formal face-to face meeting will be offered. A candidate or other person who takes up the offer of a face-to face meeting may bring a support person with them. The Chief Executive will appoint an independent agent (for example, a former school principal) to chair this meeting.
   
   
   1. The candidate or other person will be given reasonable notice of the date of any face-to-face meeting, will be given copies of any reports held by the Qualifications Authority, may provide written submissions prior to the meeting, and may appear in person at the meeting
      
   2. The candidate or other person may choose to provide written submissions and not attend the face-to face meeting
      
   3. The candidate or other person may choose to neither provide written submissions nor attend the face-to face meeting.
      
   
   
9. Where the candidate or other person chooses not to accept the offer of a face-to face meeting, the relevant staff of the New Zealand Qualifications Authority will make decisions based on the information before them.
   
   
10. Where the candidate or other person attends the face-to face meeting, the independent agent chairing the meeting will:
    
    
    1. outline to the candidate or other person the reported conduct which may be in breach of the rules and the possible penalties
       
    2. listen to, discuss and clarify any issues in the submissions and views of the Qualifications Authority and of the candidate or other person in relation to the reported conduct.
       
    
    
11. Following the meeting with the candidate or other person, the independent agent will make a decision on the reported possible breach of the rules, will make a decision on penalties, and will document those decisions and the reasons for them.
    
    
12. Where the candidate or other person has accepted the offer of a meeting but has failed to attend the meeting, the independent agent will make decisions based on the information before the agent.
    
    
13. The New Zealand Qualifications Authority will notify the candidate or other person of the decisions made within 14 business days of the decisions unless there is good reason not to.
    
    

    Penalties that may be imposed

14. Where the decision is that the candidate or other person has breached the rules, the candidate or other person will be admonished. Further penalties that may be applied include:
    
    
    1. cancellation of the results of the candidate or other person in relation to the external assessments where breaches were found. Note that this will not include results in other external assessments or from previous years unless there are extenuating circumstances
       
    2. conditions placed on the candidate or other person when entering external assessment including but not limited to an agreed code of conduct
       
    3. disqualification of the candidate or other person from entering further external assessment for national qualifications in specified assessments.
       
       
15. The Qualifications Authority may refer any breach of the rules to relevant authorities (including the police where criminal behaviour is believed to have occurred) for consideration by those authorities.
    
    
16. In a case of impersonation, the candidate/s and/or other person/s who assisted or concealed the impersonation will be penalised and the matter may be referred to external parties as appropriate.
    
    
17. If, in a case of assisting, hindering or influencing candidates, the person is an employee of a school, in addition to any other penalties imposed on the person, that school's accreditation to assess against specified standards may be withdrawn.
    
    

    Review of Decisions

18. A candidate or other person may apply in writing to the Chief Executive for a review of any decision that the candidate or other person breached the rules, including any penalties imposed, within 14 business days of the date the notification of the decision was sent to the candidate or other person.
    
    
19. The request for review must include the reasons why the candidate or other person believes the decision should be reviewed, and whether or not the candidate or other person wishes to be heard in person.
    
    
20. The Chief Executive's decision is final.
    
    

Last updated: 27 January 2009