1. PREVENTION OF MALPRACTICE Presented by: Julie Delahoy, Quality Manager Southern Region

2. CENTRE REGULATORY OBLIGATIONS ›Awareness of CMI Policies and Procedures ◦CMI Malpractice and Maladministration Policy ◦CMI Malpractice and Maladministration Procedure ◦CMI Investigation Procedure https://www.managers.org.uk/education-providers/regulations/policies-and-procedures ›Immediate reporting CMI of suspected malpractice ›Complying with CMI malpractice procedures ›Co-operating with CMI and regulatory bodies ›Implementing actions required during and after investigation ›Advising Learners of the CMI policy on malpractice/maladministration during induction ›Being vigilant to possible instances of malpractice and maladministration ›Taking reasonable steps to prevent malpractice/ maladministration

3. DEFINING AND UNDERSTANDING MALPRACTICE AND MALADMINISTRATION

4. DEFINING: MALPRACTICE & MALADMINISTRATION ›Malpractice - Associated with the Assessment Process : ◦deliberate actions, neglect, failure to meet obligations, e.g. failure to maintain appropriate records or systems. falsification of records in order to claim certificates, inappropriate assistance to learners, conduct during assessment, ineffective scrutiny or monitoring of learner work. ›Maladministration – Associated with administration programme : ◦is any activity, neglect, failure to meet obligations or other poor practice that results in the CMI Centre or Learner not complying with the specified requirements for delivery of the qualifications e.g. failure to register learners, breach of confidentiality or security, failure to retain appropriate records.

5. CMI MALPRACTICE PROCEDURE ›What to do: ◦Undertake any initial investigation required to establish if malpractice is suspected ◦Report to CMI using ‘Centre Report of Suspected Malpractice Form ‘ in CMI Malpractice and Maladministration Procedure ›What happens: ◦Level 3 sanction applied, to mitigate against any potential adverse effect. ◦CMI assess risk of adverse effect ◦Investigation (Internal and/or CMI) ◦Possibly inform Regulators and Other AO’s ◦Outcome: actions, additional scrutiny, sanctions, withdrawal ›Right of Appeal ›Retention of Records: 5 Years

6. TIMESCALES ›Centre to report to CMI -5 days ›CMI to respond with actions-5 days ›Investigation (internal or CMI)-timescale to be agreed ›Outcome-28 days

7. EXAMPLES OF CENTRE/CENTRE STAFF MALPRACTICE/MALADMINISTRATION ◦Misuse of assessments, including inappropriate adjustments to assessment decisions e.g. Conflict of interest. ◦Failure to comply with requirements for accurate and safe retention of Learner evidence, assessment and internal verification records ◦Failure to comply with Awarding Body procedures for managing and transferring accurate Learner data ◦Excessive direction from assessors to learners ◦Deliberate falsification of records in order to claim certificates ◦Deception (e.g. manufacturing evidence of competence, fabricating assessment or internal verification records) Refer: CMI Malpractice and Maladministration Policy

8. EXAMPLES OF LEARNER MALPRACTICE ◦Plagiarism ◦Collusion with others when an assessment must be completed by individual Learners ◦Impersonation - assuming the identity of another Learner or having someone assume your identity during an assessment ◦Inclusion of inappropriate, offensive, discriminatory or obscene material in assessment evidence. ◦Inappropriate behaviour during an internal assessment Refer: CMI Malpractice and Maladministration Policy

9. PREVENTION OF MALPRACTICE

10. KEY MECHANISMS FOR PREVENTION OF MALPRACTICE ›Centre Malpractice and Maladministration Policy ›Guidance on plagiarism and collusion ›Assessment design and strategy ›Monitoring of learner assessment (Tutorials, Formative Feedback) ›Authentication (Statement and Professional Discussion) ›IV strategy ›Programme management

11. CENTRE MALPRACTICE AND MALADMINISTRATION POLICY ›Content of Internal Malpractice Policy ◦Defining and Guidance on malpractice and maladministration ◦Internal process that identifies to whom, how and when suspected malpractice should be reported. Note: CMI Centre Reporting of Malpractice Form ◦Process for immediate reporting of malpractice to CMI ◦Process that identifies who will investigate and communicate the outcome of suspected malpractice investigation ◦Statement of compliance with CMI Investigation Procedure ◦Right of Appeal (link to internal Appeals procedure) ◦Reference to CMI’s Whistle Blowing policy/an individual’s right to report malpractice directly to CMI. ◦Statement of how policy is communicated ›Communication of Internal Malpractice Policy ◦Staff Induction ◦Learner Induction ◦Course Handbook ◦Learning Platforms

12. PLAGIARISM V COLLUSION Plagiarism means presenting work, excerpts, ideas or passages of another author without appropriate referencing and attribution. Collusion occurs when two or more Learners submit work which is so alike in ideas, content, wording and/or structure that the similarity goes beyond what might have been mere coincidence. ›Ref: CMI Plagiarism and Collusion Statement

13. TYPES OF PLAGIARISM ›Direct copy /Cloning: Learner presents work from another source as his own e.g. Use of a paragraph from secondary source without any reference to source ›Copying: Learner’s work contains significant content from another source without any reference e.g. use of diagrams ›Rephrasing: Learner’s work contains content from another source with words changed but the content remains largely unchanged. ›No original content: Learner produces work from other sources, correctly referenced but with no original content ›Re using own work: where learner presents content from previous own work without identifying source e.g. Work from previous study. ›Non-identifiable reference ›. Source: http://www.plagiarism.org/plagiarism-101/types-of-plagiarism/

14. GUIDANCE TO LEARNERS: PLAGIARISM AND COLLUSION ›Learner induction ›Course handbook ›Statement of Authenticity (Refer to: CMI Templates for Learner and Centres available on website) ›Internal Assessment Policy: Refer to CMI Assessment Guidance Policy and Plagiarism and Collusion Statement. ›Front cover of assessment briefs Refer: CMI Plagiarism and Collusion Statement CMI Centre Handbook – page 41 CMI Assessment Guidance Policy CMI Learner Statement of Authenticity Template CMI Centre Statement of Authenticity Template

15. ASSESSMENT STRATEGY AND DESIGN ›Assessment requires original content and evidence (consider use of case studies, tasks, group work, guidance on use and authentication of evidence etc) ›Assessment guidance: including referencing and use of secondary sources as evidence. Note: CMI Assignment Brief Template ›Assessment format word v pdf ›Setting and monitoring deadlines for submission of learner work ›Policy on extension of assessment submission deadlines (link to Special Consideration Policy)

16. MONITORING LEARNER ASSESSMENT ›Formative assessment and draft submissions ›Tutorial support (authentication) ›Templates for recording assessor feedback/tutorial support e.g. Record of Tutorial/Learner Progress Record/Individual Learning Plan ›Retaining records of formative feedback e.g. CMI mark sheet

17. AUTHENTICATION ›Plagiarism software ›Use of Professional Discussion to mitigate against risk ›Stakeholder authentication/signature of work and/or evidence ›Learner Statement of Authenticity ◦Approved Centre Statement of Authenticity for External Assessment ◦Learner Statement of Authenticity

18. IV STRATEGY IN PREVENTION OF MALPRACTICE ›Monitoring of Submission deadlines ›Role of i.v. and i.v. documentation to consider the ◦use and authentication of evidence. ◦Evidence of assessment practices undertaken by assessor e.g. Formative assessment, plagiarism reports ›Availability of learner work and independence of sample ›Sample plan should consider, in relation to prevention of malpractice: ◦Conflicts of interest ◦Possible collusion ◦Cohort make-up ◦Assessor risk/experience

19. PROGRAMME MANAGEMENT ›Appropriate appointment of Programme Director (level and involvement) ›Tracking systems: Registration, learner progress and achievement, claim with appropriate level of authorisation and checks. ›Mechanisms for review of learner progress e.g. Regular meetings, tracking documentation, interim i.v. ›Mechanisms for training of assessment and iv team ›Mechanisms for monitoring of conflict of interests ›Security of assessments (storage and submission)

20. SUMMARY OF KEY POINTS ›Ensure policies and guidance are up to date and communicated to learners ›Report any suspected malpractice to CMI immediately ›Ensure learners sign Statement of Authenticity for each piece of work ›Retain documentary evidence of monitoring of learner work/assessment ›Retain documentary evidence of authentication of learner work

21. QUESTIONS ›Questions will be collated and response given with a FAQ which will be made available on the website. ›Any concerns: Contact your Quality Manager for guidance and advice.