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Malpractice and Maladministration Policy

1. Scope
This policy outlines how the DoGenius Institute (DGI) prevents, identifies, and manages malpractice and maladministration involving staff, learners, and any individuals acting on behalf of the centre. It ensures compliance with awarding organisation requirements and protects the integrity of assessment outcomes and certification.

RESPONSIBILITIES

Role
Responsibilities

Director/ IQA
Overall responsibility for malpractice policy and reporting to awarding bodies

Centre Manager
Operational oversight of malpractice prevention and investigation processes

Assessors
Maintain assessment integrity and report concerns

IQA Team
Monitor assessment practice, investigate malpractice and ensure fairness

Administrators
Maintain accurate registration and certification records

Learners
Comply with assessment rules and academic integrity requirements


DEFINITIONS

Malpractice covers any deliberate actions, neglect, wrongdoing, misconduct or other practice that compromises, or could compromise the integrity of the training and/or assessment and validity of results. For example, the failure to maintain appropriate records or systems to the deliberate falsification of records in order to claim certificates.

Maladministration is any activity, neglect, default or other practice that results in the inefficient, dishonest or just bad administration or management which may or may not be deliberate. For example, breach of security or confidentiality of assessment materials including loss or theft, persistent mistakes and inaccurate learner records.

3.1 Types of malpractice
Insecure storage of assessments and learner evidence
Misuse of assessment documents including inappropriate adjustments
Improper/excessive assistance to learners to aid their achievement
Deliberate falsification of records in order to claim certificates
Plagiarism of another’s work
Cheating during assessment
Obtaining unauthorised access to assessment or examination material
Impersonating a candidate (i.e. claiming to be someone other than yourself)
Submitting false claims for certificates or skills identity cards
False ID used at the registration stage

3.2 Types of maladministration
Persistent late learner registrations and certificates
Registering learners for the wrong training or qualification
Inaccurate claim for certificates
Failure to maintain appropriate records, e.g. certification claims and/or forgery of evidence for assessments
Withholding of information, by deliberate act or omission
Misuse of The DoGenius Institute logo and trademark
Misuse of Awarding Organisation, Accrediting body or regulators logo and trademark
Failure to apply the requirements of reasonable adjustments and special considerations

DEALING WITH MALPRACTICE AND MALADMINISTRATION

4.1 Identification
The DoGenius Institute has appropriate systems and processes in place to identify and effectively deal with malpractice which include:

Ongoing quality assurance and audits
Through complaints or feedback received
Whistleblowing
Information from other sources
4.1a Prevention and Minimisation of Malpractice
The DoGenius Institute is committed to proactively minimising the risk of malpractice by both staff and learners through the following controls and preventative measures:
Comprehensive learner induction at the start of programmes, including clear guidance on assessment rules, academic integrity, plagiarism, use of AI, and consequences of malpractice.


Ongoing staff training for assessors, tutors, and Internal Quality Assurers (IQAs) on assessment integrity, identification of malpractice, and awarding organisation requirements.


Use of plagiarism detection software and/or authorship verification tools where appropriate to assess the authenticity of learner work.

Clear assessment guidance and standardisation activities to ensure consistency and reduce the risk of malpractice arising from misunderstanding.

Secure storage and controlled access to assessment materials and learner evidence.

Regular internal quality assurance monitoring and audits to identify risk at an early stage.

Promotion of a culture of ethical practice, transparency, and whistleblowing without fear of victimisation.

4.2 Response
In a case of suspected malpractice or maladministration The DoGenius Institute will review the information presented and decide whether it is appropriate to take no further action or to investigate. The DoGenius Institute will make an initial response in writing within 5 working days.

4.3 Investigation
Where an allegation of malpractice or maladministration involves a member of centre staff, assessment personnel, or senior management, the investigation will be delegated to a suitably qualified and impartial investigator who has had no prior involvement in the case, the learner(s), or the assessment decision concerned.
To ensure fairness and the avoidance of conflicts of interest:
The Director/IQA will not investigate cases in which they have had direct operational involvement.

Where internal independence cannot be assured, the Centre may appoint an external investigator or consult the relevant Awarding Organisation.

All investigators must formally declare any potential conflict of interest before undertaking an investigation.

Investigations will be conducted in line with principles of natural justice, transparency, and proportionality.

This process ensures that all investigations are independent, unbiased, and fair to all parties.
The fundamental principle of investigation is to conduct them in a fair, reasonable and legal manner, ensuring that all relevant information is considered without bias. Incidents will be investigated as follows:

Establish the facts relating to allegations/complaints in order to determine whether any irregularities have occurred
Identify the cause of the irregularities and those involved
Establish the scale of the irregularities
Notify parties concerned and request an account of the incident
Gather relevant information from records held – these may include registration data, assessment records or any other information deemed relevant to the investigation
Consult with others in order to get a full picture if necessary
Undertake further discussions including face to face meetings if deemed necessary
Determine whether remedial action is required to reduce the risk to current registered learners and to preserve the integrity of the training or qualification
Identify and, if necessary, take action to minimise any risks
Ascertain whether any action is required in respect of certificates already issued
Identify any changes to policies and procedures
Identify any adverse patterns or trends.
4.4 Outcomes
Where investigations establish that malpractice/maladministration has in fact occurred The DoGenius Institute will take appropriate action. Such actions will be proportionate to the gravity and scope of the occurrence and may include the following:

The implementation of corrective action plans to prevent re-occurrence
Additional monitoring
Suspending or removing course registration
Suspending or revoking contract
Withdrawal of certificates
Imposing other sanctions as appropriate.

4.5 Malpractice and maladministration process and timescales from notification
Report any malpractice or maladministration to the Director of The DoGenius Institute
Acknowledge response of a malpractice or maladministration within 5 days
Investigation and gathering of evidence 15 days
Outcome letter within 20 days of the acknowledgement

4.6 Appeals
Everyone has the right to appeal where a case of malpractice or maladministration has been upheld.

An appeal against a malpractice or maladministration decision must be submitted in writing to The DoGenius Institute within 5 days of the decision
The appeal will be investigated by a senior member of The DoGenius Institute
The decision will be communicated within 20 days from receipt of initial appeal
The decision will be final.

4.7 Reporting
The DoGenius Institute records incidents of malpractice and maladministration to identify and monitor any recurrent issues or trends.

ADVERSE EFFECTS

The DoGenius Institute will take all reasonable steps to prevent any potential adverse effect to any incident that may arise. Where an incident brings the outcome of other results into serious question this would be considered a potential ‘adverse effect’ as other learners may be affected.

In such cases The DoGenius Institute will:

Identify any other learner who has been affected
Correct or mitigate the effect as far as possible – for example adjusting marks
Take action to avoid a recurrence – this may include removal of
instructors/assessors.

Examples of adverse effects
There is a substantial error in training or assessment materials
There has been a loss or theft of, or breach of confidentiality in training or assessment materials
Incorrect certificates have been issued. Certificates will be revoked if the result on the certificate is false because of malpractice or maladministration.

The DoGenius Institute informs where appropriate any malpractice/maladministration and adverse effects to the appropriate Awarding Organisation, Accrediting Body or Regulator. Contact details for a regulator or a regulated Awarding Organisation can be obtained from the following regulators website.

SQA Accreditation http://accreditation.sqa.org.uk/accreditation/home
Ofqual https://www.gov.uk/government/organisations/ofqual
Qualification Wales http://qualificationswales.org/splash?orig=/
CCEA http://www.ccea.org.uk Reviewed 25/05/2026