INSTITUTE OF HOSPITALITY AWARDING BODY CONFLICT OF INTEREST POLICY

Transcription

1 INSTITUTE OF HOSPITALITY AWARDING BODY CONFLICT OF INTEREST POLICY Version 0.2, Institute of Hospitality Trinity Court, 34 West Street, Sutton, Surrey, SM1 1SH Tel:+44(0) Company No Charity No

2 CONTENTS Page 1. Introduction 3 2. Definition 3 3. Scope 4 4. Conflict of interest principles 4 5. Dealing with conflicts of interests and / or breaches to the procedures outlined in this 5 policy 6. Examples of conflicts of interest 6 7. Monitoring and evaluating the conflict of interest policy 7 8. Appendix 8 Appendix 1 - Potential Conflicts of Interest 8 Appendix 2 - Declaration of Interest Form 13 Appendix 3 - Register of Interests 14 About the Institute of Hospitality 15 Contact details 15 Institute of Hospitality, 2014 Page 2 of 15

3 The purpose of the Institute of Hospitality Awarding s Conflict of Interest Policy is to provide all members of staff and those contracted to work for the Institute of Hospitality Awarding of issues that they need to consider in discharging their responsibilities while employed by the Institute of Hospitality Awarding and including members of the Executive Council. The policy outlines a working definition of conflict of interest; the scope to which the policy applies; conflict of interest principles; how conflicts of interests or breaches are dealt with; examples of conflicts of interest; and, describes the Institute of Hospitality Awarding s policy monitoring and evaluation procedures. 1. INTRODUCTION (Condition A4.7) 1.1 The Institute of Hospitality Awarding (the Institute AB) is committed to making sure all of its activities are free from bias. This policy makes clear the Institute AB s position on conflicts of interest and sets out the procedures to be followed should conflicts of interest be identified. It is freely available to all those who have an interest in the Institute AB s activities. 1.2 The policy outlines both the Institute AB s: i. Broad approach to identifying and monitoring all actual / potential conflicts of interest that may affect the Institute AB both now and in the foreseeable future; and, ii. The possible conflicts of interest that have been identified to date and the arrangements in place to prevent these from occurring. 1.3 It may from time to time be provided to the regulators upon request to satisfy them of the Institute AB s ability to comply with their requirements in relation to conflicts of interest (Condition A4.8) and to prevent such a conflict from becoming an Adverse Effect (as defined by the regulators) (Condition A4.3). 2. DEFINITION (Condition A4.1) 2.1 A conflict of interest can be said to occur when an individual or organisation has competing interests or loyalties which either affects or is perceived to affect their ability to make unbiased and objective decisions or judgements. 2.2 Within the context of an awarding organisation, a conflict of interest occurs when: i. Its interests in any activity undertaken by it, or on its behalf, or by a member of its group have the potential to lead it to act contrary to its interests in the development, delivery and award of qualifications, in accordance with Ofqual s Conditions of Recognition. ii. 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. Institute of Hospitality, 2014 Page 3 of 15

4 iii. An informed and reasonable observer would conclude that either of these situations was the case. 3. SCOPE (Condition A4.2) 3.1 As an organisation that keeps all aspects of its business under review, individual teams and the members of the Executive Council are expected to identify and inform the Head of Awarding of any actual / potential conflicts of interest that could impact upon the Institute AB and which are not already identified in Appendix 1 - Potential Conflicts of Interest. All members of staff and of the Executive Council of the Institute AB should complete a Declaration of Interest Form (see Appendix 2) 3.2 In addition, managers are required to manage and monitor any identified conflicts of interest that relate to their area of operations (see Appendix 1). Should the status of any identified conflict, or the associated controls change, then the manager for the team should inform the so they can update the Register of Interests, as required. 3.3 Overall, the Institute AB s compliance with regard to identifying and managing any conflicts of interest will be reviewed regularly by the Executive Council, who will also review the Register of Interests (see Appendix 3), which should be completed by all Institute AB members of staff or members of Institute AB committees. 3.4 This policy applies to all those involved either directly or indirectly in undertaking activities for the Institute AB, including: i. Executive Council members. ii. Qualification and Assessment Board members. iii. Centre Approval Board. iv. Employees. v. Approved centres. vi. Contractors. vii. Agency workers. viii. Associate staff, including consultants. ix. Freelance staff. The above groups are referred to collectively as staff in the text that follows. 4. CONFLICT OF INTEREST PRINCIPLES 4.1 The Institute AB members of staff will employ the following principles to identify and manage actual / potential conflicts of interest: i. All managers and members of staff must commit to identifying and managing all actual / potential conflicts of interest that may affect the Institute AB and in doing so raise possible conflicts of interest with the, if in doubt. Institute of Hospitality, 2014 Page 4 of 15

5 ii. Members of staff must identify proactively and manage conflicts of interest that may affect the Institute AB s effectiveness, level of regulatory compliance and / or reputation. iii. Members of staff must be open about the nature of any potential / actual conflicts of interest and not try to hide or present them in a better light, managing conflicts of interest is about preventing issues from occurring that may impact on the Institute AB s operational effectiveness and / or regulatory compliance. iv. Strive to identify and deal with conflicts of interest sooner rather than later. v. Make sure the Institute AB s controls to manage any potential conflicts of interest are proportionate to the risks associated with the identified conflict (s). 5. DEALING WITH CONFLICTS OF INTERESTS AND / OR BREACHES TO THE PROCEDURES OUTLINED IN THIS POLICY 5.1 The overall responsibility for conflict of interest within the Institute AB lies with the Executive Council. 5.2 Overall responsibility for conflicts of interest relating to the development, delivery and awarding of Institute AB qualifications lies with the of the Institute AB. 5.3 The is responsible for making sure that any issues relating to conflicts of interest are dealt with appropriately, and escalated internally where necessary (see Incident Management Procedures). 5.4 All potential / actual conflicts of interest should be notified to the as soon as possible. Details of the nature of the actual / potential conflict of interest should be given and an investigation carried out immediately along with a review of the associated procedures. If any action is to be taken the relevant parties will be notified as soon as possible. 5.5 Conflicts of interest are covered in the Centre Approval process, and approved centres are required to have a conflict of interest policy in place, which is checked by the Centre Approval Manager and monitored through the annual Centre Approval visit. 5.6 If necessary, conflict of interest issues will be escalated internally (see Incident Management Procedures). 5.7 In some cases, it is not always clear what may constitute a potential / actual conflict of interest. In deciding on whether a situation presents a possible conflict of interest, consideration should be given to the individual circumstances, and the potential for influencing the outcomes of the development, delivery and awarding process through the associated interests or activity. 5.8 Should an external party feel there has been an actual conflict of interest involving the Institute AB then they should raise the matter with the who will begin an Institute of Hospitality, 2014 Page 5 of 15

6 investigation. If the has an involvement / interest in the allegation it will be passed to the Chief Executive or leader of the investigation (or if required an alternative member of staff or external party appointed to carry out the review) and the outcomes reported to the Executive Council. 5.9 At all times the Institute AB will make sure that members of staff assigned to the investigation have the appropriate level of training and competence and they have had no previous involvement or personal interest in the matter All conflicts of interest will be logged internally and will be taken into account in the Institute AB s Annual Review of its awarding activities If a breach is also classified as an Adverse Effect then the, must promptly inform Ofqual in accordance with the Institute AB s procedure for dealing with Adverse Effects (Condition A4.3, and, A4.4). In doing so, the will inform Ofqual of the reasonable steps that the Institute AB has taken or intends to take to prevent, correct or mitigate the Adverse Effect. Including details of any reviews the Institute AB are / will carry out For information, the Ofqual definition of an Adverse Effect is: An act, omission, event, incident, or circumstance has an Adverse Effect if it (A) gives rise to prejudice to Learners or potential Learners, or (B) adversely affects i. the ability of the awarding organisation to undertake the development, delivery or award of qualifications in accordance with its Conditions of Recognition, ii. the standards of qualifications which the awarding organisation makes available or proposes to make available, or iii. public confidence in qualifications EXAMPLES OF CONFLICTS OF INTEREST 6.1 The following examples provide some guidance on what constitutes a potential conflict of interest. However, if in doubt, notify the who will advise on whether the issue raised is a potential / actual conflict of interest which must be declared, or not. 6.3 Example A A centre tutor is teaching on a programme, leading to an Institute AB qualification. The tutor was involved in producing the examination papers for the qualification (Condition A4.3). 6.4 Example B A Centre Approval Manager is teaching on a programme, leading to an Institute AB qualification. The learners, whose scripts they are marking, are from their own approved centre (Condition A4.3). 1 Part 2, Section J, p.71, General Conditions of Recognition, September Institute of Hospitality, 2014 Page 6 of 15

7 6.5 Example C A member of the Executive Council who is also a member of staff at a Further Education college that delivers the Institute AB qualifications (Condition A4.3). 6.6 In the event of either of the above two examples happening, the Institute AB should make sure that the conflict of interest does not result in an Adverse Effect (see, 5.12 above). If an Adverse Effect does occur the Institute AB will take all reasonable steps to mitigate the Adverse Effect as far as possible and correct it (Condition A4.4). 7. MONITORING AND EVALUATING THE CONFLICT OF INTEREST POLICY 7.1 Records of all conflicts of interest, their investigation and findings are archived by the Institute AB for a period of at least five years and are subject to regular monitoring and review. 7.2 The policy is subject to annual (Condition I1.1) monitoring and evaluation by the Institute AB through comparative performance data and assessment sampling, as required, to make sure that improvements are made in line with the Institute AB s customer service commitments to maintain the highest possible standards of consistency and quality. 7.3 The policy is reviewed as part of the Institute AB s self-evaluation arrangements. It is revised as and when necessary in response to customer and learner feedback or requests from, or good practice guidance issued by, the regulatory authorities, for example, to align with any appeals and complaints process established by the regulatory authorities, such as Ofqual (Condition I2.1). 7.4 The policy is formally approved by the Institute AB s Executive Council, the supreme authority within the Institute of Hospitality AB, in respect of the programmes of learning that it provides its customers. 7.5 The policy has been developed to comply with all relevant legislation. 7.6 The policy has been externally benchmarked to be in line with recognised best practice. 7.7 Any feedback is gratefully appreciated and can be sent to the Institute AB using the CONTACT DETAILS found at the end of this document. Institute of Hospitality, 2014 Page 7 of 15

8 8. Appendix. Appendix 1 Potential conflicts of interest (Condition A4.2) Potential conflict of interest Members of the Executive Council, SMT or committee members may unduly influence decisions so as to ensure a personal or commercial material benefit (for example, in relation to interests they may have which are external to the Institute AB). Investigations into possible conflicts of interest into direct / indirect members of Institute AB carried out by someone who may have a vested interest in the outcome. Reasonable steps to make sure that no conflicts of interest have an Adverse Effect and / or that such effects are mitigated as far as possible 1. All members of staff and invited members of committees of the Institute AB will be required to declare at the beginning of meetings any private interest which they have in an agenda item to be discussed, and certainly before any discussion of the item. This declaration of possible conflicts of interest will be a standard item on all agenda. In doing so they will then: Abstain from any vote / decision that may pose a conflict of interest to the member especially where they may directly or indirectly receive a material benefit from the decision and/or has a conflict in loyalties, for example their overriding duty is to act in the best interests of the other party May be allowed to engage in the discussion if the other members of the meeting do not object and / or the potential conflict is already known to the rest of the members / attendees. 2. Agenda items that are confidential and would cause a conflict of interest if raised in front of all members of the meeting are discussed outside of the meeting with the member deemed to have a conflict excluded from the discussions / review. 3. All decisions under a conflict of interest will be recorded by the meeting secretariat and reported in the minutes of the meeting with details of: the nature and extent of the conflict; an outline of the discussion; the actions taken to manage the conflict. 4. Access to documentation that is deemed confidential and / or may lead to a possible conflict of interest are restricted in their circulation before and after the meetings. 5. Where a group has a member who also works for an approved centre, the Institute AB will make sure that any reports / issues presented to the group that relate to specific approved centres will be anonymous in that they will have centre names removed / redacted. 1. Institute AB makes sure that all complaints are reviewed by the and they are responsible for assigning a relevant member of staff to lead on and / or be involved in the investigation. 2. At all times the will make sure that the member of staff assigned to the investigation will have the appropriate level of training and competence and they have had no previous involvement or personal interest in the matter. Responsibility for monitoring this process Chair Executive Council Chief Executive Respective Committee Chairs Institute of Hospitality, 2014 Page 8 of 15

9 Potential conflict of interest Members of staff who may have a conflict of interest that impacts on their ability to carry out their role appropriately, consistently and with integrity. Quality assurance staff involved in the design of assessments fail to highlight issues with the delivery of the assessments Reasonable steps to make sure that no conflicts of interest have an Adverse Effect and / or that such effects are mitigated as far as possible 1. All staff at Institute of Hospitality is committed to carrying out their role to the best of their ability and are aware of the need to identify and manage any potential conflicts of interest. 2. Members of staff, the Executive Council Staff, and committee members must declare any possible conflicts they have in the Register of Interests upon starting work with Institute AB. They should update this should their circumstances change by completing and submitting a new Declaration of Interest Form to the appropriate responsible person (see adjacent column) who maintains the Register of Interests. 3. To make sure that the Institute AB actively reduces the risk of conflicts of interest arising amongst staff and the activities they undertake, the Institute AB expect members of staff to comply with the spirit of the Nolan Principles of public life, namely: Selflessness members of staff have a general duty to act in the best interests of the Institute AB. Integrity members of staff should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their role. Objectivity - in carrying out their role, members of staff should make sure that decisions are made solely on merit. Accountability members of staff are accountable for their decisions and actions. Openness members of staff should be as open as possible about their decisions and action that they take. They should, where appropriate, give reasons for their decisions and restrict information only when the wider interest or procedure clearly demands. Honesty members of staff have a duty to declare any interests relating to their role in the Institute AB s Register of Interests and to take steps to resolve any conflicts that may arise. Leadership members of staff should have a good working relationship with colleagues and provide appropriate leadership and professionalism when carrying out their own role. 1. All members of staff at Institute AB are committed to carrying out their role to the best of their ability and are aware of the need to identify and manage any potential conflicts of interest. 2. The work of all EVs is subject to review by the Head of Awarding to make sure that they have carried out their role effectively and consistently as they would with qualifications / assessments that they have had no involvement with in their design. 3. In particular, the will consider, as part of the Institute AB s ongoing standardisation and review Conflict of Interest Policy Responsibility for monitoring this process Chair Executive Council Chief Executive Respective Committee Chairs Respective Committee Chair Institute of Hospitality, 2014 Page 9 of 15

10 Potential conflict of interest Members of staff involved in the design of assessments knowingly or unknowingly disclose confidential information about the assessments to unauthorised individuals or organisations or at external events. Allocating External Verifiers to centres that may have a conflict of interest such as: has worked for the approved centre, has worked for a competitor centre, has a family member working at the centre, has a financial stake or shares in the centre is a governor at the centre. Reasonable steps to make sure that no conflicts of interest have an Adverse Effect and / or that such effects are mitigated as far as possible arrangements, the nature of the findings / reports / activities of such individuals to make sure they have acted consistently and appropriately. 1. All members of staff at the Institute AB are committed to carrying out their role to the best of their ability and are aware of the need to identify and manage any potential conflicts of interest. Their work is subject to review by their line manager to ensure that they have carried out their role effectively and consistently in accordance with agreed expectations. 2. Third parties sign appropriate confidentiality and / or nondisclosure agreements as part of their contract or as part of a separate document. The recruitment process and / or agreement (Condition G4.1 G4.6) seeks to protect the confidentiality of the Institute AB s assessment arrangements via: confidentiality clauses that aim to make sure that such confidentiality is maintained a clause that makes sure that they must not provide or endorse any prohibited training, and do not provide or endorse any prohibited training (or seek approval / endorsement from Institute AB s members of staff or those connected to the Institute AB). 3. Should an issue arise that suggests a conflict of interest and / or breach of confidentiality (including through the loss or theft of confidential assessment materials) is either suspected or alleged by any other person and where there are reasonable grounds for that suspicion or allegation, the will be informed and will investigate that breach rigorously, effectively, and by someone of appropriate competence who have no personal interest in its outcome. The investigation will, so far as possible, establish whether or not a breach of such confidentiality or conflict of interest has occurred and highlight the action (s) that needs to be taken. 1. The Institute AB will record the details of any actual / potential conflicts of interest in the EV s profile record and this will be checked when approved centres are allocated by the Centre Approval Manager, to make sure an EV is not allocated to an approved centre at which they have had or have a personal interest. 2. Where this cannot be avoided, the Centre Approval Manager will scrutinise the work of the EV at the centre to make sure no conflicts have occurred. Conflict of Interest Policy Responsibility for monitoring this process Chief Executive Institute AB members of staff Centre Approval Manager Institute of Hospitality, 2014 Page 10 of 15

11 Potential conflict of interest Making sure members of staff involved in sales do not unduly influence the centre recognition / qualification approval processes in a way that would pose a risk to learners, the integrity of the Institute AB s qualifications and the reputation of Institute AB in order to achieve the sale and / or receive commission. Making sure assessments are not undertaken by any person who has a personal interest in the result of the assessment. Making sure all contracted staff sign appropriate service agreements / contracts that include relevant clauses that govern confidentiality and ownership of information, and prevents them from trading on the name of Reasonable steps to make sure that no conflicts of interest have an Adverse Effect and / or that such effects are mitigated as far as possible 1. The sales staff are only tasked with identifying potential prospects and informing them of the range of services and qualifications offered by Institute of Hospitality. 2. They will have no role in the formal decision of granting centre recognition this process and the final recognition will be managed by the Centre Approval Manager. With recognition only issued once the approved centre meets the requirements of our approved centre recognition process. 1. The Institute AB will issue guidance to approved centres on how to manage and prevent conflicts of interest from occurring in assessment undertaken at the approved centre which will state that approved centres are not permitted to offer financial reward for any of its staff involved in the assessment of students in respect of the assessment outcomes of those learners, other than normal pay associated with the role of assessors, etc, that may lead to doubts about the integrity of their decisions. Such a practice, where it is found or suspected, may be treated as malpractice and dealt with through the Institute ABs Malpractice and Maladministration Policy. 2. In addition, EVs will check this aspect when reviewing assessment arrangements at approved centres and will record details of any such checks / conflicts recorded in the associated approved entre engagement reports. 3. If such conflicts cannot be avoided, for example, due to a lack of competent staff at the centre, the EV will make arrangements for the relevant part of the assessment to be subject to scrutiny by another person and in doing so will seek approval for such arrangements with the Head of the Awarding. 1. All external parties recruited for specific activities will be required to sign an appropriate service agreement / contract along with a non-disclosure agreement (if not already covered by the service agreement / contract). 2. With the normal process being to invite them to respond to a tender / work specification, shortlisted and interviewed before a final selection is made based on their relevant experience, expertise and track record. 3. They will be asked to declare any conflicts of interest in accordance with their duty of confidentiality and / or any other legal duty. Conflict of Interest Policy Responsibility for monitoring this process Sales and marketing members of staff Centre Approval Manager Centre Approval Manager Institute of Hospitality, 2014 Page 11 of 15

12 Potential conflict of interest the Institute AB or offering services or advice to students or approved centres based on information they obtained whilst working at the Institute AB. Making sure members of staff do not receive undue gifts or hospitality that may affect their judgment or be considered by others as impacting on their judgment. Reasonable steps to make sure that no conflicts of interest have an Adverse Effect and / or that such effects are mitigated as far as possible 4. Their work will be monitored by their line manager to make sure they operate effectively and in accordance with the expectations for the role they have been recruited for and to make sure that if they have an external role outside of their Institute AB activities they do not take any actions that are contrary to interests of Institute AB in the development, delivery or award of the Institute AB s qualifications. 1. Hospitality of any kind which might reasonably be seen to compromise an employee s personal judgment or integrity and be viewed as exerting influence to obtain preferential consideration should be refused. 2. Staff must not allow themselves to be put in a position that might be deemed by others to have been influential in making a business decision as a consequence of accepting hospitality. 3. Offers of one off gifts should be politely but firmly declined. If they are pressed, the recipient should inform their line manager and the. 4. Gifts or low intrinsic value such as calendars, diaries, flowers or chocolates need not be regarded as subject to this rule. In cases of doubt, the line manager and / or the Head of Awarding should be consulted. Conflict of Interest Policy Responsibility for monitoring this process Members of staff Institute of Hospitality, 2014 Page 12 of 15

13 Appendix 2 Declaration of Interest Form Each member of the Institute AB s members of staff, including the Executive Council, and committee members, must complete the following template to help make sure that the Institute AB actively identifies and manages any potential conflicts of interest. INSTITUTE OF HOSPITALITY AWARDING BODY DECLARATION OF INTEREST FORM Name Title/role Details of any external interests that may lead to a possible conflict of interest occurring. Signed Date Institute of Hospitality, 2014 Page 13 of 15

14 Appendix 3 Register of Interests This Register of interests will be reported to, and reviewed by the Chief Executive and the Executive Council in tandem with their review of the Institute AB s conflict of interest policy. INSTITUTE OF HOSPITALITY AWARDING BODY REGISTER OF INTERESTS Name Conflict Conflict Date Conflict controls Additional title details registered (eg how is the Notes potential/actual conflict being mitigated or prevented) Institute of Hospitality, 2014 Page 14 of 15

15 Published by the Institute of Hospitality. This publication may not be reproduced, stored or transmitted in any form or by any means except with the prior permission in writing of the publisher, or in the case of reprographic reproduction in accordance with the terms and licences issued by the Copyright Licensing Agency. ABOUT THE INSTITUTE OF HOSPITALITY The Institute of Hospitality represents professional managers in the hospitality and tourism industries and has a worldwide membership. The Institute of Hospitality is managed as an educational charity, and exists to benefit its members in their career and professional development, as well as continuing to improve industry sector standards. The primary purpose of the Institute of Hospitality is to: promote the highest professional standards of management and education in the international hospitality, leisure and tourism industries. The Institute of Hospitality Awarding is an awarding organisation regulated and accredited in England by: Office of Qualifications and Examinations Regulation (Ofqual) in England CONTACT DETAILS For further information or guidance please contact: Institute of Hospitality Awarding Trinity Court 34 West Street Sutton, Surrey SM1 1SH United Kingdom Tel: +44 (0) Fax: +44 (0) awardingbody@instituteofhospitality.org Web: The Institute of Hospitality Awarding documents can be found on the Institute of Hospitality Awarding s website and virtual learning website or obtained directly from the Institute of Hospitality Awarding. Institute of Hospitality, 2014 Page 15 of 15