Definition of terms
Malpractice is defined as any deliberate activity, neglect, default, or other practice that compromises:
• The integrity of the assessment process
• The validity of the certificates
• The reputation or credibility of David Lloyd’s Training or Signature Products
Malpractice may include a range of issues from the failure to maintain appropriate records or systems, to the deliberate falsification of records in order to claim certificates.
For the purpose of this policy this term also covers misconduct and forms of unnecessary discrimination or bias towards certain groups of learners.
Maladministration is any activity, neglect, default, or other practice in the training provider not complying with the specified requirements for delivery of accredited CPD training. This can include the application of persistent mistakes or poor administration within the training provider.
Policy
David Lloyd Self-Employed Training Academy (DL SET Academy), via its Internal Quality Assurance Strategy, will ensure the ongoing implementation and review of Malpractice & Maladministration policies and procedures in compliance with the regulations of the relevant CPD accrediting organisations (CIMSPA).
DL SET Academy reserves the right to withdraw candidates in the event of an alleged or suspected occurrence of malpractice/maladministration arising on the part of learners, staff, or others involved in the delivery of an accredited CPD certification. To ensure compliance, DL SET Academy will:
• Comply with the published CPD accrediting organisation (CIMSPA) malpractice procedures.
• Take responsible steps to prevent malpractice/maladministration from arising.
• Advise candidates of the organisation’s policy on malpractice/maladministration.
• Implement systems and procedures for recording all suspected instances of candidate malpractice and making this information available to the CPD accrediting organisation (CIMSPA) during quality assurance activities on site and/or on request.
• Be vigilant about instances of malpractice and maladministration.
• Notify the CPD accrediting organisation of any incidents of malpractice/maladministration as required by the CPD accrediting organisation’s (CIMSPA) policies.
• Assist with any CPD accrediting organisation (CIMSPA) requests for information.
• Co-operate with CPD accrediting organisation (CIMSPA) malpractice/maladministration investigations.
• Carry out investigations of malpractice under the guidance of the CPD accrediting organisation (CIMSPA).
• Implement any actions required during and after investigation into a case of malpractice.
• Take action required to prevent the recurrence of malpractice/maladministration.
Examples of learner malpractice may include:
• Non-compliance in observing the mandatory rules of conduct during an assessment, resulting in fraudulent claims for CPD certification.
• Replication of another learner’s work in either the practical, theoretical or portfolio aspects of assessment, resulting in fraudulent claims for assessment (this can include plagiarism, collusion, impersonation, copying)
• Misconduct (learner behaviour such as offensive, obscene, or discriminatory material; disruptive language or behaviour causing a disturbance; use of unauthorised aids such as mobile phones, MP3 players etc. during assessment)
Where an issue of misconduct occurs and is discovered or reported the following action will be taken:
• The invigilator/centre contact is empowered to expel a learner from the assessment.
• The report and assessment record must be made available for submission to the CPD accrediting organisation upon request.
• If any of the rules of CPD accredited assessment are deemed to have been broken by a learner, Invigilator or other person involved in the assessment process then the assessment may be declared void by DL SET Academy or the CPD accrediting organisation.
Malpractice Procedure (internal):
Where an issue of malpractice occurs and is discovered or reported the following action will be taken:
• DL SET Academy will investigate the suspected case of malpractice.
• DL SET Academy will report significant cases of malpractice automatically to the CPD accrediting organisation (CIMSPA).
• DL SET Academy will assist the CPD accrediting organisation (CIMSPA) with any further investigations of malpractice.
Malpractice Investigations:
When conducting an internal investigation into allegations of Malpractice or Maladministration DL SET Academy will ensure that staff involved in the investigation are competent and have no personal interest in the outcome of the investigation. DL SET Academy will also notify CIMSPA immediately of any suspected incidences of Malpractice or Maladministration and keep CIMSPA updated with the progress and outcome of the investigation.
• The objective of an investigation is to establish the facts relating to allegations/complaints to determine whether any irregularities have occurred.
• All relevant evidence will be considered without bias.
• DL SET Academy will also investigate allegations made by whistle blowers and anonymous informants.
• Please note allegations made by a whistle blower or anonymous informant must be made within three months of the alleged event taking place. This is to ensure the integrity of any relevant evidence is protected as far as possible, to allow for the fullest investigation to take place.
• Investigations will be carried out by a Panel comprising at least three of; David Lloyd’s Head of Group Fitness Operations; An External Education Consultant; David Lloyd’s Head of Fitness Products and Programming; The Relevant Product Head; An Internal Quality Assurer.
Investigation process:
Stage 1: Briefing and record-keeping
• Anyone involved in the conduct of an investigation should have a clear brief and understanding of their role.
• All investigators must maintain an auditable record of every action during an investigation to demonstrate that they have acted appropriately.
• The Manager assigning the investigating officer(s) will stipulate and/or provide secure storage arrangements for all material associated with an investigation in case of subsequent legal challenge.
Stage 2: Establishing the facts
• Investigators should review the evidence and associated documentation, including relevant guidance on the delivery of accredited CPD certifications and related quality assurance arrangements.
• Issues to be determined are:
o What occurred (nature of malpractice/substance of the allegations)
o Why the incident occurred
o Who was involved in the incident
o When it occurred
o Where it occurred – there may be more than one location
o What action, if any, has taken by DL SET Academy staff
Stage 3: Interviews
Interviews should be thoroughly prepared, conducted appropriately and underpinned by clear records. For example:
• Interviews should include prepared questions and responses to questions which should be recorded
• Interviewers may find it helpful to use the ‘PEACE’ technique:
o Plan and prepare
o Engage and explain
o Account
o Closure
o Evaluation
Face-to-face interviews should normally be conducted by two people with one person primarily acting as the interviewer and the other as note-taker, a video or audio recording of the interview may also be collected, with consent of all participants.
Those being interviewed should be informed that they may have another individual of their choosing present and that they do not have to answer questions. These arrangements aim to protect the rights of all individuals. Both parties should sign the written account as a true record/reflection of what was covered/stated/agreed.
Stage 4: Other contacts
In some cases, learners or employers may need to be contacted for facts and information. This may be done via face-to-face interviews, video call, telephone interviews, by post or email.
Whichever method is used, the investigator will have a set of prepared questions. The responses will be recorded in writing as part of confirmation of the evidence. Investigators should log the number of attempts made to contact an individual. Again accounts should be signed for agreement with written records to be formatted as non-editable PDF.
Stage 5: Documentary evidence
Wherever possible, documentary evidence should be authenticated by reference to the author; this may include asking learners and others to confirm handwriting, dates and signatures.
Receipts should be given for any documentation removed from DL SET Academy.
Independent expert opinion may be obtained from subject specialists about a learner’s evidence and/or from a specialist organisation such as a forensic examiner, who may comment on the validity of documents.
Stage 6: Conclusions
Once the investigators have gathered and reviewed all relevant evidence, a decision is made on the outcome. Conclusions will be based on established evidence. A course of proposed actions will be identified, agreed, implemented, and monitored.
Stage 7: Reporting
A draft report is prepared and factual accuracy agreement obtained. The final report is submitted to the relevant staff member within DL SET Academy for review and sign-off and shared with CIMSPA and relevant parties within your organisation.
Stage 8: Actions
Any resultant action plan is implemented and monitored appropriately and CIMSPA notified.