Malpractice & Maladministration

POLICY

Introduction

This policy is aimed at all our stakeholders, customers, training providers accredited by the NCIP, and others delivering or registered on NCIP-approved or accredited training programmes, courses, approved qualifications, or units within the UK, who are involved in suspected or actual malpractice/maladministration. It is also intended for our staff (including all employees, volunteers, and consultants) to ensure that all malpractice and maladministration investigations are handled consistently.

The policy outlines the steps that the NCIP, learners/students, members, and others must follow when reporting suspected or actual cases of malpractice/maladministration, as well as our responsibilities in handling such cases. It also details the procedural steps we will follow when reviewing and addressing these cases.

NCIP’s responsibility

It vitally important that all staff (including employees and volunteers) involved in the management, assessment, and quality assurance of our qualifications and membership, along with learners/students, training providers, and members of the public, are fully aware of this policy's contents. We have arrangements in place to prevent and investigate instances of malpractice and maladministration, and we take such cases very seriously.

Definition of Malpractice

Malpractice is any activity or practice that deliberately contravenes regulations and compromises the integrity of the internal or external assessment and/or accreditation process, as well as the validity of applications and other documents (including certificates, diplomas, and membership at all levels).

It includes any deliberate actions, neglect, default, or other practices that compromise, or could compromise (the list is not exhaustive):

• Assessment Process: Any kind and purpose of assessment taking place within the NCIP.
• Accreditation Integrity: The integrity of accreditation processes for members and training organisations.
• Quality Assurance Processes: Both internal and external quality assurance processes.
• Results or Certificates Validity: The validity of any results or certificates issued by NCIP-accredited training providers.
• Trust and Reputation: The trust, reputation, and credibility of the NCIP.
• Qualifications Community: The qualification itself or the wider qualifications community.

Malpractice may range from failing to maintain appropriate records or systems to deliberately falsifying records.

For the purpose of this policy, the term also includes misconduct and forms of unnecessary discrimination or bias towards specific members or groups of members, and students/learners in NCIP-accredited training.

Definition of Maladministration

Maladministration is any activity or practice that results in non-compliance with administrative regulations and requirements, including persistent mistakes or poor administration.

Examples of maladministration include, but are not limited to:

• Persistent failure to adhere to our assessment and accreditation procedures and policies.
• Persistent failure to adhere to our centre recognition accreditation and qualification requirements and non-adherence to our requirements and standards.
• Late or inaccurate registration, assessment, and/or accreditation of memberships and training providers (both infrequent and persistent).
• Unreasonable delays in responding to requests and communications from regulators, awarding organisations, members of the public, training providers accredited by us and their learners/students, and NCIP staff.
• Inaccurate claims for certificates.
• Failure to maintain appropriate auditable records, such as certification claims, or forgery of evidence.
• Withholding information, either deliberately or by omission.

Process for Making an Allegation of Malpractice or Maladministration

Anybody who identifies or is made aware of suspected or actual cases of malpractice or maladministration at any time must immediately notify the Operations Administrator by emailing info@the-ncip.com. In doing so they should put them in writing/email and enclose appropriate supporting evidence.

All allegations must include (where possible):

• Name, role and the NCIP registration number.
• NCIP staff members name and job role - if they are involved in the case.
• Details of the course qualification, membership, accreditation, training provider affected, or nature of the service affected.
• Nature of the suspected or actual malpractice and associated dates details and outcome of any initial investigation carried out or anybody else involved in the case, including any mitigating circumstances.

The Directors, Operations management, and other departments of the NCIP will then conduct an initial investigation to ensure that staff involved in the investigation are competent and have conflict of interest in the matter in hand. 

In all cases of suspected malpractice and maladministration reported, we will protect the identity of the informant in accordance with our duty of confidentiality or any legal duty.

Confidentiality and Whistle Blowing

With fairness and equality in mind, it must be stated that we do not entertain anonymous allegations. Even if we are asked to protect the name of the complainant or whistleblower, to ensure we can detect malicious or vexatious complaints and protect our members and their right to professional association. 

If you are concerned about potential adverse consequences, you can request that the Management of NCIP do not reveal your identity.

Responsibility for the Investigation

In accordance with regulatory requirements, all suspected cases of maladministration and malpractice will be promptly investigated by the NCIP to establish if they have occurred. The NCIP will take all reasonable steps to prevent any adverse effects.

We will acknowledge receipt of reports from external parties within 48 hours, as appropriate.

Our Directors are responsible for ensuring that investigations are conducted promptly and effectively.  They may assign a relevant staff member to lead the investigation, establish whether malpractice or maladministration has occurred, and review any supporting evidence received or gathered by the NCIP.

Notifying relevant parties

Where applicable, the NCIP Management will inform the appropriate regulatory authorities if it is believed there has been an incident of malpractice or maladministration which could either invalidate the registration or accreditation with the NCIP or if it could affect another awarding or registering organisation (including other relevant to the case accredited registers, awarding organisations or insurances).

Where the allegation may affect another awarding organisation or registers and their provision, we will also inform them in accordance with the regulatory requirements and obligations imposed by regulators (for instance, PSA, Ofqual, etc.). If we do not know the details of organisations or individuals that might be affected, we will use all available resources and ways to help us identify relevant parties that should be informed.

Investigation timelines and summary process

We aim to action and resolve all stages of the investigation within 10 working days of receiving the allegation.  The fundamental principle of all investigations is to conduct them fairly, reasonably, and legally, ensuring that all relevant evidence is considered without bias. Our investigations will focus on the following broad objectives:

• Establish Facts: Determine the facts relating to allegations/complaints to see if any irregularities have occurred.
• Identify Cause and Parties Involved: Identify the cause of the irregularities and the individuals involved.
• Assess Scale: Establish the scale of the irregularities.
• Evaluate Actions Taken: Evaluate any action already taken.
• Determine Remedial Action: Decide if remedial action is required to reduce risk to current registered members, the public, and others, and to preserve the integrity of the NCIP and the profession.
• Identify Patterns or Trends: Identify any adverse patterns or trends.
• Assess Risks and Take Ethical Decisions: Assess and evaluate risks and make ethical decisions.

The investigation may involve requesting further information from relevant parties and/or interviewing those involved. Therefore, we will:

• Secure Material: Ensure all material collected as part of an investigation is kept secure.
• Retain Records: If an investigation leads to the invalidation of certificates, registration, accreditation, or criminal prosecution or civil litigation, all records and original documentation will be retained until the case and any appeals have been heard and for five years thereafter.
• Cooperation: Expect all parties, directly or indirectly involved in the investigation, to fully cooperate with us.

At any point during the notification or investigation of a suspected or actual case of malpractice or maladministration, we reserve the right to withhold a member's or training provider's program's membership, accreditation, or registration.

If an NCIP staff member or an accredited training provider (or their staff) is under investigation, we may suspend them (suspend accreditation for training providers) or move them to other duties until the investigation is complete.

Throughout the investigation, the Director/Board of Directors will oversee the work of the investigation team to ensure due process is followed, appropriate evidence is gathered and reviewed, and relevant external parties are kept informed.

Investigation report

After an investigation, we will produce a draft report for the concerned parties to check for factual accuracy. Any subsequent amendments will be agreed upon between the parties concerned and the NCIP. The report will:

• Identify where the breach, if any, occurred.
• Confirm the facts of the case and the gathered evidence.
• Identify who is responsible for the breach.
• Confirm an appropriate level of remedial action to be applied.

We will make the final report available to the concerned parties, regulatory authorities, and other external agencies as required. If necessary, a summary notice will be published on the NCIP website.

If an independent or third party notified us of the suspected or actual case of malpractice, we will also inform them of the outcome, usually within 10 working days of our decision. However, we may withhold some details if disclosing such information would breach a duty of confidentiality or any other legal obligation.

For internal investigations involving a member of our staff, the report will be agreed upon by the Management and appropriate internal disciplinary procedures will be implemented.

Investigation outcomes

If the investigation confirms that malpractice or maladministration has taken place, we will consider what action to take:

• Minimise the risk to the integrity of the NCIP processes (registration, membership, accreditation etc) now and in the future. 
• Maintain public confidence in the NCIP, the qualifications and members accredited by us, and ensure public safety.
• Discourage others from carrying out similar instances of malpractice or

        maladministration.

• Ensure there has been no gain from compromising our standards.
• When there is a need in to do so, we will adapt improvements in our business processes and guidelines.

The actions we may take include, but are not limited to:

• Addressing Malpractice/Maladministration:
  • Imposing actions to address the instance of malpractice/maladministration and prevent it from reoccurring.
• Invalid Training Providers and Programmes:
  • If training providers and programmes accredited by the NCIP are deemed invalid, we will inform the public (by publishing a notice on our website) and the relevant regulatory authorities about why they are considered invalid.
  • When possible and required, we will inform awarding organisations and regulatory authorities about any actions to be taken for reassessment and/or withdrawal of accreditation/approval.
  • We will also notify affected learners about the actions being taken and that their certificates are not accredited by the NCIP.

Additionally, the Director will document any lessons learned from the investigation and share them with relevant internal colleagues, departments, and teams to help prevent future instances of maladministration or malpractice.

If the relevant party or parties wish to appeal our decision to impose sanctions, please refer to our Complaints Policy and Procedure.

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