NCTJ Conflicts of Interest Policy and Procedures

Transcription

1 NCTJ Cnflicts f Interest Plicy and Prcedures Purpse This plicy aims t draw attentin t the pssibility f cnflicts, minimise r prevent a cnflict ccurring and manage cnflicts that have arisen. Definitin f a cnflict f interest Fr the purpses f this plicy we have adpted the definitin used by the regulatry authrities in relatin t cnflict f interests. In essence a cnflict f interest exists in relatin t the NCTJ where: its interests in any activity undertaken by it, n its behalf, r by a member f its staff have the ptential t lead it t act cntrary t its interests in the develpment, delivery and award f qualificatins in accrdance with the requirements f the regulatr s cnditins f recgnitin, a persn wh is cnnected t the develpment, delivery r award f qualificatins at the NCTJ has interests in any ther activity which have the ptential t lead that persn t act cntrary t his r her interests in that develpment, delivery r award and impact n ur cmpliance with the requirements f the regulatr s cnditins f recgnitin, an infrmed and reasnable bserver wuld cnclude that either f these situatins was the case. Intrductin Key stakehlders, and the individuals wh wrk fr them, are invlved in a range f activities and have a range f functins with the NCTJ. The NCTJ recgnises the need t prevent r minimise ptential cnflicts, identify and manage cnflicts f interest t maintain the integrity f its qualificatins and awarding rganisatin functins. Cnflicts may ccur where: 1 NCTJ interests in any activity undertaken by it, n its behalf, r by a member f it, have the ptential t lead it t act cntrary t its interests in the develpment, delivery and award f qualificatins in accrdance with the NCTJ s cnditins f recgnitin. 2 a persn wh is cnnected t the develpment, delivery r award f qualificatins by the NCTJ has interests in any ther activity which have the ptential t lead that persn t act cntrary t his r her interests in that develpment, delivery r award in accrdance with the NCTJ s cnditins f recgnitin. 3 an infrmed and reasnable bserver wuld cnclude that either f the abve situatins have arisen. 1

2 It may frm time t time be prvided t the regulatrs upn request t satisfy them f ur ability t cmply with their requirements in relatin t cnflicts f interest and t prevent such cnflict becming Adverse Effects (as defined by the regulatrs). Relevance This plicy is relevant t all key stakehlders including emplyers, trainers, curse prviders, tutrs, examiners, external cnsultants, NCTJ staff and bard members. If a cnflict r ptential cnflict is identified by any ne individual wrking fr the NCTJ, they must always disclse it t the chief executive even if they are in dubt abut whether it represents a cnflict f interest. Review arrangements This plicy will be reviewed annually as part f its self-evaluatin arrangements and by the Quality Assurance and Standards Cmmittee. Hwever, a review will be cmmissined earlier shuld an issue arise in relatin t an actual r ptential cnflict f interest and/r in respnse t custmer, learner r regulatry feedback. Minimising and preventing cnflicts The NCTJ recgnises the ptential fr cnflict between its awarding rganisatin functins and training prvider rle. T negate ptential cnflicts, the awarding rganisatinal structure is designed t ensure there is a firewall between respnsibilities fr these tw functins. By adhering t the principles f penness and fairness, cnflict can be avided r managed withut cmprmising the integrity f the NCTJ s qualificatins develpment plan, the individual r staff teams. This can be achieved by: Open and regular dialgue between the teams within the NCTJ Aviding the use f trainers with any rle in the develpment f NCTJ qualificatins The rle f the NCTJ s Jurnalism Qualificatins Bard includes prviding external guidance, advice and versight f the syllabuses, examinatins and awards f the NCTJ. It will cnsider and advise n the dependability f the examinatins and assist in maintaining the credibility and relevance f NCTJ qualificatins and awards i.e. t be practive in administering a plicy f risk management. It als has a duty t ensure access and equality f pprtunity in the prvisin f examinatins while safeguarding the integrity f the qualificatins. The rle f the NCTJ s Quality Assurance and Standards Cmmittee includes reviewing and cmparing mnitring activities t ensure the delivery f NCTJ qualificatins is fair, pen and transparent and agrees the implementatin f any changes, if required. It will als review the management f ptential cnflicts f interest in relatin t the delivery f qualificatins. The rle f the Accreditatin Review Bard includes the review f the NCTJ s malpractice plicy and cases and custmer service mnitring activities ensuring the fair, pen and transparent delivery f its qualificatins by apprved centres. 2

3 Interests in assessment The NCTJ is respnsible fr ensuring assessments are nt undertaken by any persn wh has a persnal interest in the result f the assessment (e.g. smene assessing the wrk f a family member; r smene whse pay is influenced by psitive assessment results). Guidance t centres n hw t manage and prevent cnflicts f interest frm ccurring in assessment undertaken at the centre will be prvided and the NCTJ states that centres are nt permitted t ffer financial reward fr any f its staff invlved in the assessment f learners in respect f the assessment utcmes f thse learners (ther than nrmal pay assciated with the rle f assessrs, etc.) that may lead t dubts abut the integrity f their decisins. Such a practice, where it is fund r suspected, may be treated as malpractice and dealt with thrugh NCTJ s Malpractice and Maladministratin Plicy. Identifying cnflicts The NCTJ acknwledges that it is nt always pssible t anticipate when a cnflict f interest is likely t ccur and this plicy cannt cver every eventuality. But if an individual s interest cnflicts with the NCTJ s strategy t develp, deliver and award valid qualificatins that are fit fr purpse and meet the needs f the media industry, then there will be a cnflict f interest. As an rganisatin that keeps all aspects f its business under review, individual staff are expected t identify and infrm the chief executive f any actual/ptential cnflicts f interest that culd impact NCTJ and which are nt already identified in its ptential cnflicts table. In additin, they are required t manage and mnitr any identified cnflicts f interest that relate t their area f peratins. Shuld the status f any identified cnflict, r the assciated cntrls change, then the manager fr the team shuld infrm the chief executive and update its ptential cnflicts table. Overall the NCTJ s cmpliance with regard t identifying and managing any cnflicts f interest will be reviewed regularly by the management team and annually by the Quality Assurance and Standards Cmmittee. Respnsibilities It is the respnsibility f all persns, when invlved in the develpment, delivery r awarding f NCTJ qualificatins, t: cnduct their activities in line with the NCTJ s aims and bjectives t develp, deliver and award valid qualificatins that meet the needs f the industry and are fit fr purpse ensure they understand their rle and separate this frm any ther functins they may cnduct mnitr their activities t maintain the integrity f the NCTJ and its qualificatins recgnise and reprt any ptential r existing cnflicts t the chief executive. 3

4 In implementing ur apprach t identifying and managing actual/ptential cnflicts f interest, staff are required t abide by the fllwing principles: all managers and staff must cmmit t identifying and managing all actual/ptential cnflicts f interest that may affect NCTJ and in ding s raise pssible cnflicts f interest with the chief executive if in dubt staff must be practive in the identificatin and management f cnflicts f interest that may affect ur effectiveness, level f regulatry cmpliance and/r reputatin staff must be pen abut the nature f any ptential/actual cnflicts f interest and nt try t hide r present them in a better light managing cnflicts f interest is abut preventing issues frm ccurring that may impact n ur peratinal effectiveness and/r regulatry cmpliance strive t identify and deal with cnflicts f interest sner rather than later cntrls t managing any ptential cnflicts f interest must be prprtinate t the risks assciated with the identified cnflict(s). The pssibility f a cnflict r ptential cnflict f interest may be declared by any key stakehlder. Managing cnflicts The NCTJ will take all reasnable steps t ensure that n cnflict f interest which relates t it has an adverse effect. Where such a cnflict has had an adverse effect, the NCTJ will take all reasnable steps t mitigate the adverse effect as far as pssible and crrect it. If the breach is classified as an adverse effect then the chief executive must prmptly infrm Ofqual in accrdance with ur prcedure fr dealing with adverse effects. In ding s they will infrm Ofqual f the reasnable steps that we have taken r intend t take t prevent, crrect r mitigate the adverse effect including a detail f any reviews we are/will carry ut. Fr infrmatin, the Ofqual definitin f an adverse effect is: An act, missin, event, incident, r circumstance has an Adverse Effect if it (a) gives rise t prejudice t learners r ptential learners, r (b) adversely affects the ability f the awarding rganisatin t undertake the develpment, delivery r award f qualificatins in accrdance with its Cnditins f Recgnitin, the standards f qualificatins which the awarding rganisatin makes available r prpses t make available, r public cnfidence in qualificatins. It is envisaged that simple measures will be enugh t manage cnflicts f interest in mst cases. An activity may be able t be managed differently s that cnflicts f interest are avided. Only in extreme circumstances where the cnflict f interest may be ttally unmanageable, will an individual be prevented frm undertaking specific activities. 4

5 Cnflicts f interest prcedures 1 Declare interest An individual r stakehlder will declare an identified ptential r actual cnflict t the chief executive. 2 Reslutin f cnflict The NCTJ chief executive (unless they are under investigatin, in which case the investigatin wuld be led by the chairman r if required an alternative member f staff r external party will be appinted t carry ut the review), will discuss the cnflict r ptential cnflict with the relevant staff t reach a decisin n hw the cnflict/ptential cnflict shuld be managed. The circumstance f the disclsure will dictate wh else is invlved in the discussin. The individual raising the pssible cnflict f interest will als take part in the discussin, if apprpriate. The chief executive will make the decisin n wh is invlved at this stage. 3 The decisin Once a slutin has been agreed the fllwing steps will be taken: rerganise activities and/r key functins s that the cnflict r ptential cnflict is mitigated. gain an undertaking frm the individual r stakehlder t cnduct their respnsibilities s that the integrity f the NCTJ and its qualificatins is maintained. cntinue t mnitr the situatin and related activities t ensure the cnflict r ptential cnflict n lnger has r may have an adverse effect. If the abve steps are nt pssible, anther slutin must be agreed by the discussin grup and, in this case, an independent persn may jin the grup at the request f the chief executive. In extreme circumstances, activities may need t be restricted. The chief executive s decisin as t hw the cnflict r ptential cnflict is managed is final. 4 Recrding and reprting the cnflict and reslutin The NCTJ table f ptential cnflicts f interested will be cmpleted each time a ptential cnflict is identified and recgnised. The NCTJ table f ptential cnflicts f interest will be discussed and reviewed by the management team and annually by the Quality Assurance and Standards Cmmittee.. 5