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Policy on Unfair Means, Cheating, Forgery, Impersonation in Examinations

National Institute of Securities Markets administers Certification examinations and Continuing Professional Education programs as per SEBI (Certification of Associated Persons in Securities Markets) Regulation 2007.NISM develops / approves content for various modules as per test objectives for the examination / Continuing Professional Education programs. Similarly, NISM also develops examinations for respective modules. NISM does not provide any training, for preparation of examinations, directly or indirectly to participants who desire to appear for NISM examinations. However, there are organizations / entities that are providing training programs / model test papers, in class room, online or any other format or medium, to participants who desire to appear for NISM examinations. It is specifically being brought to the notice of all concerned that NISM is not directly or indirectly associated with such training programs or model test papers or any kind of training in any form for helping pass NISM certification examinations. Further, NISM has not authorized any organization / person as authorized training partner / trainer for providing training for passing NISM certification examinations.

Guidelines for unfair means UNFAIR MEANS

No candidate shall use unfair means or indulge in disorderly conduct at or in connection with examinations Here “Candidate” means an examinee taking an examination. Examination means any examination, midterm, end term, quizzes, practical which are considered as part of assessment/evaluation by the instructor while awarding grades in a subject.

Unfair means shall include the following:

1. During examination time having in possession or access to a. Any paper, book, note or any other unauthorized material which has relevance to the syllabus of the examination paper concerned. b. Mobile Phones or any electronic gadget other than calculator, even in switch off mode, which can potentially be used for communication or copying. c. Anything written on any other instrument or any kind of furniture or any other substance which may have relevance to the syllabus of the examination paper concerned. d. Anything written or signs made on the body of the candidate or his/her clothes/garments, handkerchief etc which may have relevance to the syllabus of the examination paper concerned. e. Anything written on the question paper which may have relevance to the syllabus of the examination paper concerned. 2. Giving or receiving assistance in answering the question papers to or from any other candidate/person in the examination hall or outside during the examination hours. 3. Talking to another candidate or any unauthorised person inside or outside the examination room during the examination hours without the permission of the invigilating staff. 4. Swallowing or attempting to swallow or destroying or attempting to destroy a note or paper or any other material. 5. Impersonating any candidate or getting impersonated by any person for taking the examination. PUNISHMENT A candidate found using unfair means or involved in disorderly conduct or disturbing other candidates, at or in connection with an examination shall be referred to Unfair means Committee. The committee after consideration of the case as referred to it by instructor/invigilator can award punishment. The punishment awarded by this committee will be in addition to the punishment that may have been already awarded by the course coordinator with one or more of the following 1. Cancellation of the examination of the paper in respect of which he is found to have been guilty; and/or 2. Cancellation of the examination of the semester examination for which he was a candidate and/or debarring from examination for future semester(s). 3. Any other punishment deemed suitable by the committee. NORMS OF PUNISHMENT The following norms for punishment are laid down. 1. If the candidate is found having in his possession of any material relevant to the syllabus of the examination paper concerned but has not copied from or used it, a. The punishment will be the cancellation of the examination of that particular paper and he/she will be awarded F grade in that paper with all the consequences to follow. However, if the material found in possession of the candidate is of insignificant nature the punishment may be relaxed to the extent that he/she will be given the chance to reappear in the examination. 2. If a candidate is found to have copied from or used the material caught, a. The punishment will be the cancellation of the present semester examination and he/she shall be awarded F grade in all the papers of that semester with all the consequences to follow. 3. If the candidate is found talking to another candidate or to any unauthorized person inside or outside the examination hall during the examination hours without the permission of the invigilator his examination in that paper may be cancelled and F grade will be awarded in that paper with all the consequences to follow. 4. If the candidate is found reading or possess some incriminating material relevant to the syllabus of the paper in veranda, urinal etc his/her examination in that particular paper or his whole semester examination depending on the gravity of the offence shall be cancelled. 5. If the candidate is found giving or receiving assistance in answering the question papers to or from any other candidate/person in the examination hall or outside during the examination hours, his/her examination in that particular paper will be cancelled and F grade will be awarded in that paper with all the consequences to follow. 6. If the behavior of the candidate on being caught is unsatisfactory or the candidate uses resistance/violence against the invigilator or any person on examination duty or consistently refuses to obey the instructions, the above punishments may be enhanced according to the gravity of the offence as deemed fit by the Unfair Means Committee. All such cases shall be reported to the Academic Senate in its subsequent meeting.

 The following act/s shall be deemed as adoption of Unfair Means:

1. Gaining access to test questions before the examination or aiding someone else to do so.

2. Communicating with and / or disturbing other candidates or consulting other persons inside/outside the examination room during the examination.

3. Being in possession of books, notes, typed sheets or any other material connected or not connected with the examination

4. Carrying and/or using the electronic/photographic/communication devices/equipments that are prohibited during the examinations including but not limited to mobile phones, laptops, tablet PCs, cameras, headphones, pen-drives, bluetooth devices etc

5. Taking breaks  to move out of your allotted seat at the test centre without the consent of the invigilator.

6. Threatening or physically or verbally abusing or indulging in any kind of misbehaviour with invigilator / fellow candidates or any person connected with the conduct of examination either inside or outside the examination hall.

7. Using abusive or obscene language/symbols through any means within the premises of the Test Centre.

8. Disclosing, publishing, reproducing, transmitting, storing, or facilitating transmission, theft and storage of the contents of the Question bank/corresponding answers of NISM Certification examination or any information therein in whole or part thereof in any form or by any means, verbal or written (e.g.: smuggling rough sheet out of examination hall), electronically or mechanically for any purpose. Such activities shall be deemed as question bank theft.

9. Pestering the invigilator for issues including but not limited to extra time allotment, allowing to sit for exam in absence of necessary id proofs/documents etc. even if the invigilator has withheld the request at first instance.

10. Carrying and/or consuming food and/or carrying/consuming alcoholic/non-alcoholic beverages etc. excluding drinking water or entering the Test Centre in an inebriated/intoxicated state inside the examination hall.

11. Carrying and/or using weapons/scissor/knife etc. inside the examination hall.

Following Disciplinary actions will be undertaken with immediate effect in case of Candidate/s caught adopting any of the aforementioned act/s of Unfair means during the course of examination:

1. Candidate/s caught guilty of adopting any of above act/s of unfair means shall be expelled from the examination hall immediately and examination of such candidate/s including the outcome shall be terminated/cancelled right away. Candidate/s in possession of such prohibited item/s as specified above including but not limited to mobile phones, books etc., such item/s shall be confiscated immediately by the invigilator/

2. Such Candidate/s identity & communication details shall be noted down by invigilator for reporting to NISM.

3. If a candidate/s had passed such examination, the certificate/s shall not be issued against such examination. 

4. Any Request for reappearing or refund of fees shall not be entertained against the respective enrolment/s.

5. For Candidate/s indulging in theft of Question bank in any form as reported by invigilator/s , strict disciplinary action will be taken as considered suitable by NISM including but not limited to filing an FIR (First Information Report) with the local police authorities and / or debarring the candidate/s as NISM deems fit from appearing for any, some or all of NISM certification examinations in future etc.

6. In regard to all examination related activities at the Test centre the invigilator/s decision shall be final & binding except when invigilator/s is held guilty/accused by test centre staff of collusion with candidate/s as applicable in invigilator manual.



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