CIH Awarding Organisation

Transcription

1 CIH Awarding Organisation Conflicts of Interest Policy and Procedure Overall Purpose The aim of this document is to clarify the way conflicts of interest will be addressed and the fundamental issues that arise from actual and perceived conflicts of interest. A conflict of interest is any situation in which a trustee, agent or employee's personal interests, or interests that they owe to another body, may (or may appear to) influence or affect their decision making. This policy applies to CIH trustees, staff and any person who is acting as an agent on behalf of the CIH Awarding Organisation through a third party arrangement or other. All users of the CIH Awarding Organisation services are covered under the Policy, dependent on circumstances. This will include External Quality Assurers, qualification developers, writers, consultants and members of the Education Audit Committee. This list is not exhaustive and other agents may be included. Trustees have an obligation, under both the Charities Act and Companies Act, to act in the best interest of CIH, and in accordance with its governing documents. Why we have a Policy A conflicts of interest policy is required by all organisations to ensure good governance. In the case of CIH as an Awarding Organisation it needs also to be able to demonstrate that it can specifically control the potential conflicts of interest recognised, from time to time, by the qualification regulators. Trustees, staff and agents have a legal obligation to act in the best interests of CIH Awarding Organisation and in accordance with CIH Awarding Organisation governance documents and to avoid situations where there may be a potential conflict of interest. Conflicts of interests may arise where an individual s commercial, personal or family interests and/or loyalties conflict with those of CIH Awarding Organisation. Such conflicts may create problems; they can for example: inhibit free discussion result in decisions or actions that are not in the interests of CIH Awarding Organisation risks the impression that CIH Awarding Organisation has acted improperly. Specifically in respect of the CIH role as an Awarding Organisation a conflict of interest exists where: its interests in any activity undertaken by it, or on its behalf, have the potential to lead it to act contrary to its interests in the development, delivery and award of qualifications in accordance with its Conditions of Recognition; W:\Education\Shared\CIH AO\Regulation\Ofqual General Conditions\GenCons Policy docs\revised policy documents 2014\CIH AO_Conflicts_of_Interest_policy V6.doc

2 a person who is connected to the development, delivery or award of qualifications by the Awarding Organisation has interests in any other activity which have the potential to lead that person to act contrary to his or her interests in that development, delivery or award in accordance with the Awarding Organisation s Conditions of Recognition; or an informed and reasonable observer would conclude that either of these situations exists. The aim of this policy is to protect both the organisation and the individuals involved from any possible appearance of impropriety, whilst ensuring compliance with the requirements of the Qualification Regulators. Declaration of Interests Trustees, staff and agents are required to comply with the conflicts of interest policy and declare their interests, as well as any gifts or hospitality received in connection with their role in the CIH Awarding Organisation. A declaration of interests form is provided for this purpose, listing the types of interest that should be declared. Attached at Annex A In order to be effective and as accurate as possible, the declaration of interest declarations will be renewed annually and also when any changes occur. Attached at Annex B is a schedule of specific conflicts that may occur and how they may be managed. The list is indicative only and there may be other matters which constitute a conflict of interest. Where there is uncertainty regarding what to declare, or whether/when the declaration needs to be updated, the individual should seek guidance from the Responsible Officer. (This is currently Roger Keller, Head of Education roger.keller@cih.org). Data Protection The information provided will be processed in accordance with data protection principles as set out in the Data Protection Act Data will be processed only to ensure that trustees, staff and agents act in the best interests of the CIH Awarding Organisation the information provided will not be used for any other purpose. What to do if there is a Conflict of Interest The Conflict should be declared at the earliest opportunity. Where this affects discussion at meetings or events, the individual must withdraw from any subsequent discussion or withdraw from a meeting for any agenda item that could be affected by the conflict of interest. The individual may, however, participate in discussions from which they may indirectly benefit, for example where the benefits are universal to all users, or where the benefit to the individual is minimal. If the individual fails to declare an interest that is known to the company secretary and/or the Responsible Officer and/or the Governing Board, they will declare that interest on their behalf. 2

3 Qualifications The individual may have an interest that results in a conflict regarding the development, delivery or award of a CIH Awarding Organisation qualification or unit. This must be declared to the Responsible Officer who will decide whether the interest requires the individual to withdraw from the activity concerned. Agent Where the individual contracts out services relating to the activities of the CIH Awarding Organisation they must ensure that their own agents, sub-contractors and suppliers comply with the CIH Awarding Organisation conflict of interest policy and declare any conflicts of interest on the form. Managing the Conflict of Interest Each declared conflict will be considered and action taken to ensure that there is no Adverse Effect. The action will depend on the nature of the conflict. Annex B sets out some scenarios and how these may be handled. This is indicative guidance only and does not seek to cover all possible scenarios. Guidance will be given to Individuals where there is doubt regarding whether a conflict exists. Monitoring the Conflict of Interest Annual declarations will be made by all relevant individuals and these will be retained for at least two years. A list of all conflicts and mitigating actions will be maintained, reviewed at the CIH AO Risk Assessment meetings and mitigation action taken where appropriate. 3

4 Annex A Third Party Declaration of conflict of interest Please indicate below any other employment, business interests, personal relationships or other contacts that you have that result in a conflict of interest with your role working with the CIH Awarding Organisation or Education Advisory Committee. This will include any employment you have at CIH Awarding Organisation centres or other parts of CIH. My conflicts of Interest are:- Conflicted Area e.g. Centre or Individual Nature of Conflict I declare that this statement is accurate on the date of signing. I also undertake to advise the CIH Awarding Organisation of any new conflicts of interest as they occur. Signed Date... 4

5 Declaration of Interest Form for CIH *Employees I [Name] as a CIH employee have set out my interests in accordance with the company s conflict of interest policy. Category of interest Details of the interest Does this interest apply to yourself or a member of your immediate family, connected persons or some other close personal connection? Please state name of individual(s) if interest refers to someone other than yourself Employment ~ current employment and any previous employment in which you continue to have a financial interest Appointments ~ voluntary e.g. trusteeships, directorships, Appointments ~ remunerated e.g. paid trusteeships, directorships Memberships ~ of any professional bodies, special interest groups or mutual support organisations Investments in unlisted companies, partnerships and other form of business, major shareholdings (e.g. more than 1%) and beneficial interests? Gifts or hospitality offered to you by external bodies whether this was declined or accepted in the last 12 months? Any association with the CIH Awarding Organisation approved centres? The staff do not process an application from a learner with W:\Education\Shared\CIH AO\Regulation\Ofqual General Conditions\GenCons Policy docs\revised policy documents 2014\CIH AO_Conflicts_of_Interest_policy V6.doc

6 whom they have a personal interest or connection e.g. qualification result Any other conflicts not covered by the above? To the best of my knowledge, the above information is complete and correct. I undertake to update as necessary the information provided, and to review the accuracy of the information on an annual basis. I give consent for it to be used for the purposes described in the conflict of interest policy and no other purpose. Signed: Date: 6

7 CIH staff/departments Potential Conflicts of Interest (These examples are indicative only) Potential Conflicts Senior officers are responsible for Awarding Organisation and CIH Accredited centres. CIH staff have access to information about non CIH accredited centres. Corporate objectives and financial targets favour internal accredited centres. Responses Senior officers are informed of the responsibilities of the awarding organisation to provide fair and equitable services to all accredited centres. Senior officers will not require awarding organisation staff to act in a way that will give preferential service or information to the CIH centres. Senior officers will not provide information to CIH centres which gives any commercial advantage to these centres. Senior officers will declare any potential conflict of interest to the awarding organisation. The responsible officer for the awarding organisation will determine if there is a conflict and will notify the Chief Executive of the action to be taken. Annex B External Quality Assurers (EQA) and Advisors EQAs have a personal or professional interest in a centre they are moderating / quality assuring. The EQA assesses the work of a learner with whom they have a personal interest or connection. The EQA works directly with another Awarding Organisation in a qualification / business development role where they could use their knowledge of the CIH AO activities adversely. EQAs are required to understand the delivery of CIH qualifications and have experience of teaching and assessing on these qualifications. All EQAs are required to declare to the AO if they have a current or recent financial or professional interest in a centre which has been allocated to them for moderation purposes. The extent of the conflict will be evaluated by the AO and action taken which includes reallocating a centre to an alternative EQA. Should a conflict of interest be discovered which was not declared the contract of employment with the EQA moderator can be terminated and the moderation decisions undertaken by the EQA will be reviewed by the Chief EQA. Chief External Quality Assurer CEQA has a personal or professional interest in an The CEQA is required to declare any conflict of 7

8 (CEQA) Accredited Centre staff accredited centre. Potential Conflicts The CEQA may assess the work of a learner, moderator or centre with whom they have a personal interest or connection The CEQA works directly with another Awarding Organisation in a qualification / business development role where they could use their knowledge of the CIH AO activities adversely Centre staff have a personal or professional interest with an Awarding Organisation and or other accredited centres. Centre staff have a personal or professional interest in other awarding organisations. The centre staff assess the work of a learner with whom they have a personal interest or connection. Responses interest which might arise with accredited centres and or CIH staff and the EQA team. This includes any current or previous financial and/or professional relationship with accredited organisations. All accredited centres are required to declare conflicts of interest where they occur or might occur and notify the AO. The AO will review the degree of conflict and inform the centre of any action which must be taken to remove the conflict. 8