Even the appearance of a conflict of interest can be damaging, so potential conflicts will be managed carefully but with transparency. The aim of this policy is to protect both the organisation and the individuals involved from any appearance of impropriety, to prevent conflicts of interest having an Adverse Effect, to apply any sanctions required [4], and and to limit any damage as a result of a conflict of interest having material effect.
There are appeals procedures for individual candidates as well as centres and academies that route back to the Governing Body and independent external expertise. No moderators or verifiers will act in the assessor role and no assessors will take part in moderation or verification ensuring that decisions are never solely made by anyone with an individual personal interest in the outcome.
The purpose of this policy is to set out for Centres:
At the end of each section are references to the documents you will need, the documents we will use and Ofqual’s General Conditions of Recognition that apply (Ofqual conditions of recogntion handbook [6], Arrangements with Third Parties [7], General Conditions for Regulated Qualification [8]s). All related documents are available on our website.
Potential situations where conflicts of interest may arise
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.
There are a few situations where conflicts of interest can arise. Examples include, but are not limited to:
The existence of such interests as those outlined above does not necessarily imply conflict but is likely to give an appearance of conflict and as such all should be declared.
TLM will deliver training to Centres about conflicts of interest and guidance material is available. Centres must attend such training and use support material provided by TLM.
Centres must then in turn, maintain a programme of training and staff awareness activities to facilitate appropriate levels of awareness and associated risks. This will enable Centres to assess and appropriately manage both perceived and real, conflicts of interest.
Centres need to actively and routinely, review staff and governance roles to assess the likelihood of each individual either having or giving the appearance of having, a conflict of interest. Roles might include but may not be limited to:
The general principle is that individuals should disclose any interest, financial or otherwise, which is likely or would, if publicly known, be perceived as being likely to influence the exercise of independent judgement.
All Centre staff must be issued with a conflict of interest form to complete on commencement with the organisation and it must be a requirement of their contract that this is completed and updated on an annual basis. The form is to be completed even when the individual has no conflict of interest to declare.
If the individual concerned has any changes to their declared circumstances concerning conflicts of interest, they must inform their line manager immediately in writing.
Centres should transfer all the information held on the conflict of interest forms to a register of interests’ document which is maintained by a designated person at the TLM approved centre or TLM recognised provider. This should be available for review by TLM upon request.
When changes to declared circumstances arise, the register of interests’ document must be updated by the Centre so that the conflict of interest can be evaluated.
The information submitted must then be evaluated by the Centre, to identify if any further action is required and a written record of the outcome of the evaluation must be kept.
Most situations will require no further action other than the completion of the conflict of interest form. In some instances, however, the information declared on the form will require some follow up action, for the conflict of interest to be managed appropriately.
The approach taken to manage the conflict of interest, will be documented by the Centre and held with the conflict of interest forms.
Examples of actions that could be taken:
Centres must keep all records relating to the identification, recording and management of conflicts of interest for a minimum of one year after results have been issued for the relevant assessment activity or examination series or until all certificates have been awarded. Centres need to be able to make such records available to TLM upon request.
TLM is an Ofqual recognised awarding organisation and as such, is subject to Conditions of Recognition. These describe obligations to manage conflicts of interest:
A4.3 An awarding organisation must establish and maintain an up to date record of all conflicts of interest which relate to it.
A4.4 An awarding organisation must take all reasonable steps to ensure that no conflict of interest which relates to it has an Adverse Effect.
A4.5 Where such a conflict of interest has had an Adverse Effect, the awarding organisation must take all reasonable steps to mitigate the Adverse Effect as far as possible and correct it.
A4.6 An awarding organisation must take all reasonable steps to avoid any part of the assessment of a Learner (including by way of Moderation) being undertaken by any person who has a personal interest in the result of the assessment.
A4.7 Where, having taken all such reasonable steps, an assessment by such a person cannot be avoided, the awarding organisation must make arrangements for the relevant part of the assessment to be subject to scrutiny by another person.
A4.8 An awarding organisation must establish, maintain, and at all times comply with an up to date written conflict of interest policy, which must include procedures on how the awarding organisation intends to comply with the requirements of this condition.
A4.9 When requested to do so by Ofqual in writing, an awarding organisation must promptly submit to Ofqual its conflict of interest policy and must subsequently ensure that the policy complies with any requirements which Ofqual has communicated to it in writing.
TLM’s Centre agreements set out clearly all obligations on Centres to manage conflicts of interest. TLM will highlight the need for Centre staff to fully understand their responsibilities to identify, record, monitor and manage all conflicts of interest during Centre visits, Workshops and training sessions. All these sessions are audio recorded. It is a condition of Centre approval that all staff who have an account on the TLM Markbook attend at least one training session or Workshop or receive a Centre visit every academic year.
We require each Centre to make available to us its register of interests’ document upon request.
The Annexes below include documentation that TLM advise Centres to use. Centres can tailor the documents or add additional elements, but the core content must be included – this is one of TLM’s Centre agreement requirements.
Actual, potential or perceived conflicts of interest could arise from any of the following (the list is not exhaustive – please indicate any possible interest that you may have):
Full Name |
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Job Role |
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Centre Name |
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Centre Number |
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Address |
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Telephone number |
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Email Address |
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Information for declaration must include:
Declaration |
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I declare that I will not assess, invigilate or internally verify any candidate or their assessments if approval against the above conflict of interest is withheld by TLM.
Signed: ................................................................... Date: ..........................................
Individuals remain under a continuing obligation to declare conflicts of interests as they arise. Therefore, should circumstances change after completion of the initial declaration, or a new situation arises, all information must be promptly disclosed to TLM.
Full Name |
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Job Role |
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Centre Name |
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Centre Number |
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Address |
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Telephone number |
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Email Address |
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Information for declaration must include:
Declaration |
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I acknowledge that the above interests exist and to the best of my knowledge have provided all the information regarding the change in circumstance.
Signed: ................................................................... Date: ...........................................
TLM require that this document is maintained routinely and available to it upon request.
Centre Name |
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Centre Number |
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Address |
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Telephone number |
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Email Address |
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Date document provided to TLM |
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Full Name |
Job Role |
Interest declared (yes/no) |
Nature of interest (brief description) |
Reviewed by |
Action taken |
Notes |
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The purpose of this policy is to set out for Subcontractors i.e., moderators, markers and exam question writers
At the end of each section are references to the documents you will need, the documents we will use and Ofqual’s General Conditions of Recognition that apply (Ofqual conditions of recogntion handbook [6], Arrangements with Third Parties [7], General Conditions for Regulated Qualification [8]s). All related documents are available on our website.
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.
There are a few situations where conflicts of interest can arise. Examples include, but are not limited to:
The existence of such interests as those outlined above does not necessarily imply conflict but is likely to give an appearance of conflict and as such all should be declared.
The issue of conflicts of interest will form part of the required staff induction and assessor training procedures for all TLM personnel. TLM will deliver specific training to Subcontractors about conflicts of interest and guidance material is available. Subcontractors must attend such training and use support material provided by TLM.
Subcontractors must then in turn, maintain a programme of training and professional development activities to facilitate appropriate levels of awareness and associated risks. This will enable Subcontractors to assess and appropriately manage both perceived and real, conflicts of interest.
Subcontractors need to actively and routinely, review their work and declare any conflicts of interest – real or potentially perceived.
The general principle is that individuals should disclose any interest, financial or otherwise, which is likely or would, if publicly known, be perceived as being likely to influence the exercise of independent judgement.
This information is captured in several ways:
TLM will maintain a list of all identified Subcontractors’ conflicts of interest using a register of interests’ document.
This document will be routinely updated and reviewed at appropriate TLM management meetings.
The management of conflicts of interest for Subcontractors is delivered in several ways
There are several routine controls:
In all cases for qualifications at entry level 2 and above, at least one moderator will sample work assessed by a locally based assessor and in most cases, the work of locally based assessors will be additionally overseen by a Principal Assessor.
TLM is an Ofqual recognised awarding organisation and as such, is subject to Conditions of Recognition. These describe obligations to manage conflicts of interest:
A4.3 An awarding organisation must establish and maintain an up to date record of all conflicts of interest which relate to it.
A4.4 An awarding organisation must take all reasonable steps to ensure that no conflict of interest which relates to it has an Adverse Effect.
A4.5 Where such a conflict of interest has had an Adverse Effect, the awarding organisation must take all reasonable steps to mitigate the Adverse Effect as far as possible and correct it.
A4.6 An awarding organisation must take all reasonable steps to avoid any part of the assessment of a Learner (including by way of Moderation) being undertaken by any person who has a personal interest in the result of the assessment.
A4.7 Where, having taken all such reasonable steps, an assessment by such a person cannot be avoided, the awarding organisation must make arrangements for the relevant part of the assessment to be subject to scrutiny by another person.
A4.8 An awarding organisation must establish, maintain, and at all times comply with an up to date written conflict of interest policy, which must include procedures on how the awarding organisation intends to comply with the requirements of this condition.
A4.9 When requested to do so by Ofqual in writing, an awarding organisation must promptly submit to Ofqual its conflict of interest policy and must subsequently ensure that the policy complies with any requirements which Ofqual has communicated to it in writing.
TLM’s Subcontractor contracts set out clearly all obligations on Subcontractors to manage conflicts of interest. TLM will highlight the need for Subcontractor staff to fully understand their responsibilities to identify, record, monitor and manage all conflicts of interest during workshops and training sessions. All these sessions are audio recorded.
TLM will manage Subcontractor conflicts of interest through several layers of controls:
The Annexes below include documentation that TLM Subcontractors use.
Actual, potential or perceived conflicts of interest could arise from any of the following (the list is not exhaustive – please indicate any possible interest that you may have):
Full Name |
|
Job Role |
|
Address |
|
Telephone number |
|
Email Address |
|
Information for declaration must include:
Declaration |
|
I declare that I will not assess, invigilate or internally verify any candidate or their assessments if approval against the above conflict of interest is withheld by TLM.
Signed: ................................................................... Date: ..........................................
Individuals remain under a continuing obligation to declare conflicts of interests as they arise. Therefore, should circumstances change after completion of the initial declaration, or a new situation arises, all information must be promptly disclosed to TLM.
Full Name |
|
Job Role |
|
Address |
|
Telephone number |
|
Email Address |
|
Information for declaration must include:
Declaration |
|
I acknowledge that the above interests exist and to the best of my knowledge have provided all the information regarding the change in circumstance.
Signed: ................................................................... Date: ...........................................
Appendix 3: Subcontractor register of Interests
TLM will maintain this document routinely, and review at appropriate management meetings.
Subcontractor name |
Job Role |
Interest declared (yes/no) |
Nature of interest (brief description) |
Reviewed by |
Action taken |
Notes |
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The purpose of this policy is to set out for Staff i.e., individuals with an employment contract with TLM and those involved in its governance:
At the end of each section are references to the documents you will need, the documents we will use and Ofqual’s General Conditions of Recognition that apply (Ofqual conditions of recogntion handbook [6], Arrangements with Third Parties [7], General Conditions for Regulated Qualification [8]s). All related documents are available on our website.
The purpose of this policy is to protect our integrity as a business and the integrity of our qualifications and assessments. It is designed to support our Staff by providing guidance on handling possible conflicts of interest that may happen as a result of our role as an awarding organisation.
It is the responsibility of all staff at TLM to ensure that they are familiar with this conflict of interest policy and the requirement to disclose any activity that has the potential to represent a 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.
There are a few situations where conflicts of interest can arise. Examples include, but are not limited to:
The existence of such interests as those outlined above does not necessarily imply conflict but is likely to give an appearance of conflict and as such all should be declared.
TLM will deliver training to Staff about conflicts of interest and guidance material is available. Staff must attend such training and use support material provided by TLM. In turn, maintaining a programme of training and professional development activities to facilitate appropriate levels of awareness and associated risks. This will enable Staff to assess and appropriately manage both perceived and real, conflicts of interest.
Staff need to actively and routinely, always review their work and consider potential conflicts of interest. The general principle is that individuals should disclose any interest, financial or otherwise, which is likely or would, if publicly known, be perceived as being likely to influence the exercise of independent judgement.
All Staff will be issued with a conflict of interest form to complete on commencement with the organisation and it is a requirement of their contract that this is completed and updated on an annual basis. The form is to be completed even when the individual has no conflict of interest to declare.
If the individual concerned has any changes to their declared circumstances concerning conflicts of interest, they must inform their line manager immediately in writing.
TLM will maintain a list of all identified Staff conflicts of interest using a register of interests’ document.
This document will be routinely updated and reviewed at appropriate TLM management meetings.
When changes to Staff’s declared circumstances arise, the register of interests’ document will be updated by TLM so that the conflict of interest can be evaluated.
The information submitted by Staff will be evaluated by TLM management, to identify if any further action is required and a written record of the outcome of the evaluation will be kept.
Most situations will require no further action other than the completion of the conflict of interest form. In some instances, however, the information declared on the form will require some follow up action, for the conflict of interest to be managed appropriately.
The approach taken to manage the conflict of interest, will be documented by TLM and held with the conflict of interest forms.
Examples of actions that could be taken:
TLM is an Ofqual recognised awarding organisation and as such, is subject to Conditions of Recognition. These describe obligations to manage conflicts of interest:
A4.3 An awarding organisation must establish and maintain an up to date record of all conflicts of interest which relate to it.
A4.4 An awarding organisation must take all reasonable steps to ensure that no conflict of interest which relates to it has an Adverse Effect.
A4.5 Where such a conflict of interest has had an Adverse Effect, the awarding organisation must take all reasonable steps to mitigate the Adverse Effect as far as possible and correct it.
A4.6 An awarding organisation must take all reasonable steps to avoid any part of the assessment of a Learner (including by way of Moderation) being undertaken by any person who has a personal interest in the result of the assessment.
A4.7 Where, having taken all such reasonable steps, an assessment by such a person cannot be avoided, the awarding organisation must make arrangements for the relevant part of the assessment to be subject to scrutiny by another person.
A4.8 An awarding organisation must establish, maintain, and at all times comply with an up to date written conflict of interest policy, which must include procedures on how the awarding organisation intends to comply with the requirements of this condition.
A4.9 When requested to do so by Ofqual in writing, an awarding organisation must promptly submit to Ofqual its conflict of interest policy and must subsequently ensure that the policy complies with any requirements which Ofqual has communicated to it in writing.
TLM’s Staff employment contracts set out clearly all obligations on Staff to manage conflicts of interest. TLM will highlight the need for Staff to fully understand their responsibilities to identify, record, monitor and manage all conflicts of interest during their work, workshops and staff training sessions. All these sessions are audio recorded.
The Annexes below include documentation that TLM require Staff to use.
Actual, potential or perceived conflicts of interest could arise from any of the following (the list is not exhaustive – please indicate any possible interest that you may have):
Full Name |
|
Job Role |
|
Address |
|
Telephone number |
|
Email Address |
|
Information for declaration must include:
Declaration |
|
I declare that I will not involve myself in the assessment, delivery or award of a TLM qualification if approval against the above conflict of interest is withheld by TLM.
Signed: ................................................................... Date: ..........................................
Individuals remain under a continuing obligation to declare conflicts of interests as they arise. Therefore, should circumstances change after completion of the initial declaration, or a new situation arises, all information must be promptly disclosed to TLM.
Full Name |
|
Job Role |
|
Address |
|
Telephone number |
|
Email Address |
|
Information for declaration must include:
Declaration |
|
I acknowledge that the above interests exist and to the best of my knowledge have provided all the information regarding the change in circumstance.
Signed: ................................................................... Date: ...........................................
TLM will maintain this document routinely.
Staff name |
|
Role |
|
Address |
|
Telephone number |
|
Email Address |
|
Full Name |
Job Role |
Interest declared (yes/no) |
Nature of interest (brief description) |
Reviewed by |
Action taken |
Notes |
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Links
[1] https://theingots.org/community/ofqualA#A4
[2] https://theingots.org/community/ofqualA#A4.5
[3] https://theingots.org/community/ofqualA#A4.1
[4] https://theingots.org/community/Sanctions2019
[5] https://theingots.org/community/Quality
[6] https://www.gov.uk/guidance/ofqual-handbook
[7] https://theingots.org/community/ofqual_policies
[8] https://theingots.org/community/ofqualGR