Conflict of interest Policy

Introduction

1st4sport and the regulators recognise that conflicts of interest exist and cannot always be avoided. There is not an expectation that conflicts be removed but instead a requirement for PRIMO Performance Coaching, as a recognised centre (RC)  and, if required, PRIMO Performance Coaching/1st4sport to have a plan in place to manage and monitor any known conflict of interests.

What is a conflict of interest?

A conflict of interest is where any person involved in, or with access to information regarding, the operations of activity within the RC has a vested interest in the outcome.  This includes:

• A situation in which the concerns or aims of two different parties are incompatible
• A situation in which a person is able to derive personal benefit from actions or decisions made in their official capacity
• When an organisation or an individual has competing interests, which might impair its or their ability to make objective, unbiased decisions.
• Where any person involved in, or with access to information regarding, an assessment of learner(s) has a vested interest in the outcome of the assessment
• A person who is connected to the delivery, or award of qualifications within the RC and has interests in any other activity which have the potential to be influence the outcome.

A conflict of interest can be historic, actual, potential, or perceived. The process for managing all types is broadly the same but specifics and outcomes may vary. These could arise from any of the following (the list is not exhaustive): 

• Previous or current employment at a RC, this could be as a tutor, assessor, IQA or programme manager or attended as a student
• Previous instances of employment or voluntary activity within an educational setting or UK Coaching partner
• Appointments (voluntary or otherwise) e.g., trustee, directorships, local authority membership, to a board, committee, tribunal panel etc 
• Membership of any professional bodies, special interest groups or mutual support organisations, especially with an interest in the development, delivery, or award of qualifications 
• Investments in unlisted companies, partnerships and other forms of business, major shareholdings, and beneficial interests
• Contractual or personal relationship with 1st4sport, their staff or RC, e.g., consultants 
• Personal or professional relationship with a candidate who is undertaking a 1st4sport qualification 
• Has a vested interest or personal stake in the outcome of the learners assessment 
• When an individual has a position of authority in one organisation that conflicts with his or her interests in another organisation 
• Where someone works for or carries out work on the RCs behalf, who has friends or relative taking assessments or exams in the RC
• When an individual has interests that conflict with his or her professional position.

Common examples of conflicts of interest impacting the 1st4sport qualifications PRIMO Performance Coaching offer:

• The RC employee has a niece completing a 1st4sport coaching qualification in the RC
• The employee has access to the assessment materials and can potentially access the learner details
• Depending on their role, the employee may have access to confidential assessment materials
• The RC employee is a coach in a club where others are completing a 1st4sport coaching qualification in the RC
• The employee has access to the assessment materials and can potentially access the learner details
• Depending on their role, the employee may have access to confidential assessment materials
• Associate EQA works for an RC and is allocated a competitor for EQA activity
• The associate may be under pressure for their organisation to succeed and there is potential for the learner to be harshly assessed to reduce their achievement rate
• Associate has previously been or is currently the assessor in a RC that they are now the allocated EQA
•  The associate has a vested interest the achievement of the centre
• The RC employee is married to an assessor in the RC
• The employee has a vested interest in the assessor performance and learner certification
• The employee has access to the assessment materials and can potentially access the learners details 
• Depending on their role, the employee may have access confidential assessment materials
• In a recognised centre, the IQA and assessor are brothers
•  The IQA has a personal relationship with the assessor therefore may not be impartial
• In a recognised centre, 2 learners in the cohort are related
• The learners may work together on their assessments and the evidence may be the same increasing the risk of malpractice and unauthentic evidence.

Why manage a conflict of interest?

Conflicts of interest occur frequently within the education and awarding arenas. Staff movement between organisations and the niche and specific skill set of many individuals are in demand across the industry and often contract for multiple organisations. 

The management of conflicts of interest is not suggesting any individual would use their position to benefit the assessment of individuals but that there is a process in place to protect them from any perceived or actual claim that they have. 

Perceived impartiality from external parties such as the media or organisations who feel others were unfairly advantaged can generate negative attention towards both the organisation and the qualification reputation. It is important that we, as an organisation, are aware of and have strategies in place to manage and/or monitor any potential or actual conflict to protect all parties involved. 

The primary aims of managing any conflicts of interest are:

• Avoid any adverse effect on learners (learner(s) having an advantage compared to others or learner(s) being disadvantaged compared to others)
• Identify and manage trends of behaviour and incidence to predict and mitigate future risk areas
• Be open and transparent
• To protect the value and reputation of the Recognised Centre, 1st4sport qualifications and their qualifications within the industry by evidencing integrity, authenticity and robustness in the assessments
• The regulators have a set of conditions that 1st4sport qualifications must adhere to and evidence that the activity being undertaken is not impacted by any conflict of interest.

How we identify a conflict of interest

Mechanisms for identifying COI:

• All staff complete a conflict-of-interest declaration at least annually.
• All staff  also have responsibility to provide an update if a change occurs in a timely manner. 
• All freelance, contractors, volunteers etc. to complete it as part of induction.
• Any notable conflicts are identified, and summary provided to the relevant managers to review and provide a monitoring and management plan for.
• Quarterly review of any monitoring activity.
• Learner induction and/or application.
• Manual checks.
• External or internal informant.

Procedure for the management, review, and mitigation of conflict of interest 

Notification of a conflict of interest to PRIMO Performance Coaching

A notification of a conflict of interest is received through PRIMO Performance Coaching’s annual conflict of interest declaration or notification of a conflict of interest, either internally or externally, to info@primoperformancecoaching.co.uk email inbox. A conflict of interest that has been deemed by PRIMO Performance Coaching as manageable in-house will follow the below procedure and review, with any records being reviewed by the EQA during their monitoring activities.

It is initially processed by the Head of Centre and a summary is recorded into the COI register.

The Head of Centre will discuss the COI with the relevant member of staff to establish the full impact of the scenario. Attention is especially paid to the following specifics:

• Does this directly impact a specific learner/cohort, and could they have been advantaged or disadvantaged by the conflict of interest?

If yes, is it isolated to just the one occasion or is there potential for a wider impact? 

• What are the timescales? 
• What mitigations, management and monitoring are already in place?
• Is this sufficient?
• What is the risk rating of the activity currently? 
• Is there currently a prominent level of media focus on the scenario/centre/qualification area/subject or awarding organisation? 
• What are the aims of managing this conflict of interest? 
• Are there any previous COIs with similar scenario to standardise against or implement the lessons learnt? 

COI register and levels of risk

A low-risk activity can mostly be managed internally between the Head of Centre and the individual member of staff. 

A medium risk would have a wider impact and not be isolated, this would benefit from input from the wider staff team e.g., the internal quality assurer. 

A higher risk would require input from a conflict-of-interest review panel due to the inherent risk of adverse effects.  This panel would involve other tutors, assessors and IQA’s whom the COI is not atreributed to.

It should be noted however, that this initial scoping and risk will be fluid and the risk management plan and team input can be adjusted as the process continues. 

The agreed impact and desired outcomes are documented on the COI declaration and updated in PRIMO Performance Coaching’ sCOI register.

The Head of Centre decides on the plan to manage and monitor. Possible suggestions for agreed outcomes include (this list is not exhaustive): 

• Reallocation of activity to a different staff member.
• Password protection to protect the confidentiality of documents. 
• Internal additional monitoring within Oarsome Sport and Fitness/PRIMO Performance Coaching, for instance requesting observation of a specific learner’s practical assessment be observed by the IQA.
• Strategic sampling to include specific learners/assessors/IQAs who have COI involvement. 
• Additional monitoring of the activity through EQA supervision, report review, increase in sample size and/or frequency.
• Planned standardisation activity. 
• Increase in risk rating and associated monitoring activity. 
• Ensuring all parties are aware of the COI through effective communication.
• Where none of the above, or any alternative plans can be identified and agreed, the conflict of interest cannot be managed and must be removed. This may result in a change in staffing internally. This suggested decision must be presented to a conflict-of-interest review panel for consideration by the Head of Centre.
• All agreed plans and outcomes are documented on the COI declaration and updated in Oarsome Sport and Fitness/PRIMO Performance Coaching’ COI register. An overview of the planned management and monitoring is communicated to the relevant parties.

Conflict of interest review panel

• A panel may be convened at any stage of the process to discuss the conflict, impact, and options. This will be chaired by the Head of Centre; relevant parties will be invited to attend. The panel will review all the information available and be used as an opportunity to agree any higher level of sanction or mitigation. Meeting notes will be kept agreeing this outcome.

Timescales for monitoring, management, and review of the conflict of interest

• Initial management plans and outcomes should be agreed and communicated to parties within 15 working days of receipt. 
• An initial review of the management should be scheduled no later than six months after declaration. This will confirm if the management plan is being effective, and the conflict is being mitigated and provide an update on the COI. Where the activity is completed (for instance, learner is certificated) this review can be completed earlier. 
• Follow-on reviews will be planned in around the scheduled activity to have the most impact. 
• Longer term conflicts can then be reviewed and updated annually after the initial six months shows that the management plan is effective. However, this should be strategically planned to be in line with higher risk activity, for instance, around the normal time of certification for the centre or review meetings with a partner.

Closing the conflict-of-interest declaration

• The conflict of interest can be closed following a review of the gained information. 
• Once the risk posed by the conflict of interest is no longer in place the COI can be closed and documented on Oarsome Sport and Fitness/PRIMO Performance Coaching’ COI risk register and on the COI declaration.

Lessons learnt

• Any new or under review COIs are reported to Oarsome Sport and Fitness/PRIMO Performance Coaching  team meeting by the Head of Centre for update and discussion where required. Any lessons learnt are outlined within this. 
• The management plan and review of all conflict-of-interest declarations will include a review of lessons learnt to mitigate the conflict from occurring in future and/or standardising the approach across other similar conflicts. This may result in the recommendation to a change in process or terminology within documentation or adjustment to the recruitment activity and will inform future mitigation plans with the effectiveness of the controls that were implemented. 
• Oarsome Sport and Fitness/PRIMO Performance Coaching can, at any time, escalate these to 1st4sport for further support and guidance.

Notification of a conflict of interest to 1st4sport

A conflict of interest that has been identified by a Oarsome Sport and Fitness/PRIMO Performance Coaching as needing to be notified to 1st4sport or a conflict identified by 1st4sport (internally or externally) will follow the below procedure and review.

A notification of a conflict of interest is received into the centreservices@1st4sportqualifications.com email inbox. It is initially processed by the Customer Service and Compliance Co-ordinator (CSCC) and a summary is recorded into the COI central register and the Quality and Assessment Manager (QAM) and section manager are notified. 

The QAM and section manager discuss the declaration to establish the full impact of the scenario. 

Attention is especially paid to the following specifics: 

• Does this directly impact a specific learner/cohort, and could they have been advantaged or disadvantaged by the conflict of interest?

If yes, is it isolated to just the one occasion or is there potential for a wider impact? 

• What are the timescales? 
• What mitigations, management and monitoring are already in place?
• Is this sufficient?
• What is the risk rating of the activity currently? 
• Is there currently a prominent level of media focus on the scenario/centre/qualification area/subject or awarding organisation? 
• What are the aims of managing this conflict of interest? 
• Are there any previous COIs with similar scenario to standardise against or implement the lessons learnt? 
• 
  

COI register and levels of risk

A low-risk activity can mostly be managed internally between the section manager and individual/centre.

A medium risk would have a wider impact and not be isolated, this would benefit from QAM input.

A higher risk would require input from a conflict-of-interest review panel due to the inherent risk of adverse effects.

It should be noted however, that this initial scoping and risk will be fluid and the risk management plan and team input can be adjusted as the process continues.

The agreed impact and desired outcomes are documented on the COI declaration and updated in the central COI register.

The section manager (and QAM where required) decide on the plan to manage and monitor. Possible suggestions for agreed outcomes include (this list is not exhaustive): 

• Reallocation of activity to a different staff member 
• Password protection to protect the confidentiality of documents 
• Internal additional monitoring within a recognised centre, for instance requesting observation of a specific learner’s practical assessment be observed by the IQA 
• Strategic sampling to include specific learners/assessors/IQAs who have COI involvement 
• Additional monitoring of the activity through a senior EQA supervision, report review, increase in sample size and/or frequency 
• Planned standardisation activity 
• Increase in risk rating and associated monitoring activity 
• Removal of ICA status (must be agreed via a review panel) 
• Ensuring all parties are aware of the COI through effective communication 
• Communication with all relevant parties and 
• Document outcome on Parnassus notes (centre and/or individual) that there is a COI in place and where to source more information on this
• Where none of the above, or any alternative plans can be identified and agreed, the conflict of interest cannot be managed and must be removed. This may result in a sanction on the centre (e.g., removal of qualification approval or recognised centre approval) or change in staffing internally. This suggested decision must be presented to a conflict-of-interest review panel for consideration by the Head of Awarding
• All agreed plans and outcomes are documented on the COI declaration and updated in the central COI register. An overview of the planned management and monitoring is communicated to the relevant parties. 

Conflict of interest review panel 

• A panel may be convened at any stage of the process to discuss the conflict, impact, and options. This will be chaired by the Head of Awarding; relevant parties will be invited to attend. The panel will review all the information available and be used as an opportunity to agree any higher level of sanction or mitigation. Meeting notes will be kept agreeing this outcome.

Timescales for monitoring, management, and review of the conflict of interest

• Initial management plans and outcomes should be agreed and communicated to parties within 15 working days of receipt. 
• An initial review of the management should be scheduled no later than six months after declaration. This will confirm if the management plan is being effective, and the conflict is being mitigated and provide an update on the COI. Where the activity is completed (for instance, learner is certificated) this review can be completed earlier. 
• Follow-on reviews will be planned in around the scheduled activity to have the most impact. 
• Longer term conflicts can then be reviewed and updated annually after the initial six months shows that the management plan is effective. However, this should be strategically planned to be in line with higher risk activity, for instance, around the normal time of certification for the centre or review meetings with a partner.

Closing the conflict-of-interest declaration

• The conflict of interest can be closed following a review of the gained information
• Once the risk posed by the conflict of interest is no longer in place the COI can be closed and documented on the COI central risk register and on the COI declaration.

Lessons learnt 

• Any new or under review COIs are reported to 1st4sport team meeting by the CSCC for update and discussion where required. Any lessons learnt are outlined within this
• The management plan and review of all conflict-of-interest declarations will include a review of lessons learnt to mitigate the conflict from occurring in future and/or standardising the approach across other similar conflicts. This may result in the recommendation to a change in process or terminology within documentation or adjustment to the recruitment activity and will inform future mitigation plans with the effectiveness of the controls that were implemented.