Conflict of Interest

Conflict of Interest
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Conflict of Interest Policy and Procedure

Purpose
The purpose of this policy is to protect the integrity of Tove Leeds as a business and the integrity of its qualifications and assessments. The policy is designed to guide any Tove Leeds stakeholders in terms of handling potential conflicts of interest that may arise while performing duties.
This policy:

  • Clarifies scope.
  • Defines what is meant by conflict of interest.
  • Describes the actions to be taken to remove or manage conflict of interest.
  • Sets out the responsibilities for managing conflict of interest.
  • Outlines the procedures to mitigate potential conflicts of interest.

Scope
This policy applies to all staff and other individuals who interact or potentially interact with the work of Tove Leeds. This includes individuals involved with any aspect of the design and development, marketing, sales, distribution, delivery, marking, examining, quality assurance, awarding or any other activity with qualifications and assessments, and supporting resources and services.

The individuals within the scope of this policy include directors, employees, contractors, home and remote workers, agency workers and any associate staff, including external quality assurers, examiners and freelance staff.
Definition of conflict of interest
A conflict of interest is a situation in which an individual, or organisation, has competing interests or loyalties. In the case of an individual, the conflict of interest could compromise or appear to compromise their decisions if it is not properly managed.

Conflicts of interest can arise in a variety of circumstances relating to Tove Leeds activity, for example:

  • Where the training delivery function and the awarding or end point assessment function rest within one umbrella organisation.
  • When an individual has a position of authority in one organisation that conflicts with his or her interests in another organisation.
  • When an individual has interests that conflict with his or her professional position.
  • Where someone works for or carries out work on Tove Leeds’s behalf, but may have personal
  • Interests – paid or unpaid – in another business which either uses Tove Leeds products or services, or produces similar products.
  • Where someone works for or carries out work on Tove Leeds’s behalf, who has friends or relatives taking Tove Leeds assessments or examinations.

Conflicts of interest can:

  •  Inhibit free discussion.
  • Result in decisions or actions that are not in the interests of the organisation.
  • Risk the impression that the organisation has acted improperly.

A conflict of interest can appear in the form of:

  • Direct financial gain.
  • Indirect financial gain e.g. a service or contract is awarded to a relative.
  • Non-financial gain when the beneficiary of a service, award or donation is an employee, contractor or trustee.

Head of Organisation:
 

  • Will review this document annually as part of its self-assessment arrangements. However, a review will be commissioned earlier should an issue arise in relation to an actual or
  • Potential conflict of interest and/or in response to customer, learner or regulatory feedback.
  • Review all processes annually to ensure that conflicts of interest or potential conflicts of interest are managed and resolved.
  • Ensure that the contractual arrangements with qualifications, assessment and quality assurance associates clearly set out any obligations on them to manage conflicts of interest arising from other activities that they undertake.
  • Ensure that anyone who has access to confidential assessment material for a qualification is not permitted to deliver or be present at training events on that qualification.
  • Ensure that all members of staff declare any interest for friends or family sitting upcoming examinations or assessments.

Conflict of interest register
Tove Leeds maintains a conflict of interest register to list all potential areas of conflict. Each conflict’s impact and probability is considered and relevant mitigating actions are implemented to ensure such conflicts are managed appropriately and within specified timescales.
Identifying conflict of interest
If a stakeholder of Tove Leeds has any direct or indirect conflict of interest or relationship with any individual or organisation this must be declared so that Tove Leeds can take action to remove or manage the conflict where appropriate (a Conflict of Interest Declaration Form).

Where a potential conflict of interest is identified by Tove Leeds, steps will be taken to ensure that the conflict is removed, or managed to Tove Leeds’s satisfaction. If this is not possible, the relationship with the party/parties concerned may have to be terminated.

The situation may arise whereby a conflict of interest has not previously been identified as described above, and only becomes apparent after the event. In these circumstances Tove Leeds will:

  • Act urgently to identify any adverse effect arising from the conflict.
  • Take all reasonable steps to mitigate the adverse effect as far as possible and correct it.

Responsibilities
Board of Trustees

  • The ultimate responsibility for the Conflict of interest policy, dissemination of the policy and management of potential and actual conflicts of interest that are escalated by Tove Leeds.
  • The Board is responsible for ensuring continued regulatory compliance including adherence to agreed policies.

Responsible officer

  • The responsible officer is responsible for escalating reports of actual or potential conflicts of interest to an appropriate level within the organisation and, when necessary, to the Board of Trustees and regulatory authorities.

Responsible person for human resources (HR)

  • The HR manager obtains a conflict of interest declaration from all stakeholders on an annual basis and records and maintains these on a conflict of interest declaration register.
  • The HR manager must record and report any conflict of interest declared to the responsible officer, including the nature and extent of the conflict, an outline of the discussion and the actions taken to manage the conflict.

Director of awarding

  • The director of awarding is responsible for managing conflicts of interest of the assessment and quality assurance teams, including ensuring contractual arrangements are in place to oblige staff and contractors to notify conflicts of interest.
  • The Director of awarding is responsible for ensuring conflicts of interest for the assessment team are reviewed prior to each examination series or annually

Directors and senior managers

  • Directors and Senior Managers in each division/department are responsible for communicating and providing training where applicable on the Conflict of interest policy to all relevant individuals within their area of responsibility at least annually.
  • All departments are required to review their procedures annually to ensure that they anticipate and manage potential or actual conflicts of interest.
  • Line managers are responsible for ensuring that all new staff involved in activity with potential or actual conflicts of interest receives training.
  • Any new conflicts identified must be included on the conflicts of interest register with the Responsible officer notified within 48 hours (maximum).

All staff

  • All individuals involved with awarding and/or end point assessment activities must be made aware of this policy as part of their induction and on-going training. The individual is responsible for ensuring that they are fully conversant with the policy and abide by the content.
  • All individuals are responsible for disclosing any activity that might give rise to a potential conflict of interest either to their line manager or directly to the Responsible officer.

Procedures to mitigate potential conflicts of interest
Governance
The Board of Trustees must declare any potential conflicts of interest. If a decision will personally affect any of the board members, they will be asked to leave the meeting and will not have voting rights. This will be detailed in the Board terms of reference.
External quality assurers, assessors and examiners
Tove Leeds ensures that those involved in the assessment process are not responsible for the conduct of assessment or the quality assurance of assessment decisions at a satellite centre in which they have a personal interest.

Assessors, examiners and external quality assurers are contractually required to keep Tove Leeds informed of potential conflicts of interest, such as an association with a centre or a particular candidate. Information is updated each assessment series or annually for independent assessment examiners and recorded, this will not allow material to be despatched to assessors, examiners or external quality assurers with a conflict.
Data protection
Any information collected as a result of this policy will be processed in accordance with the principles set out in the Data Protection Act.
Document storage
Conflict of interest declarations should be signed either in paper or electronic format. Conflict of interest statements will be kept by the manager/contractor for service or activity for a period of 12 months after the end of the contract for services/activity is completed.
Employee Declaration
I declare that the above details of my private interests are correct to the best of my knowledge and I am aware of my responsibilities to take reasonable steps to avoid any real or apparent conflict of interest in connection with my public service employment and to advise my manager of any relevant changes in my personal circumstances.

Signature：
Name ：
Date ：