Purpose

The purpose of this policy is to ensure that, when Conflicts of Interest arise, they are identified, disclosed, recorded and appropriately managed to ensure:

• Board members and employees comply with their duties to CAP
• CAP complies with its obligations to clients and does not compromise their interests

This policy applies to all CAP Board members, Support Office employees, contractors, coaches and other volunteers, effective from: 27th March 2023.

Definitions

A “Conflict of Interest” occurs where:

• A board or employee’s personal interests or their relationship with or duties to a third party conflict with that member’s duties to CAP, such as to give rise to an actual or perceived risk that they will not discharge their duties to CAP or will fail to act in its best interests.
• A board or employee’s personal interests or their relationship with or duties to a third party conflict with that member’s duties to a CAP client, such as to give rise to an actual or perceived risk that they will not discharge their duties to that client or will fail to act in his or her best interests.

A conflict of interest may take a number of forms; it may be financial or non-financial, it may be direct or indirect. Situations where a conflict of interest may arise from include, but are not limited to:

• Family relationships
• Existing professional or personal relationships
• Memberships or other employment
• Interests in business enterprises or professional practices
• Relationships with third parties to whom a CAP client is indebted

CAP views the following as Conflicts of Interest (These examples are not exhaustive and should be used as a general guide):

• Use of CAP facilities or equipment for non-CAP purposes
• Being a member of, owning or holding a financial interest in a business supplying goods or services to CAP, or in direct competition with it, (whether the employee or their immediate family)
• Actively promoting the interests of an organisation which competes with CAP on a commercial services basis (e.g. financial capability services, events, training or fundraising)
• Requesting or accepting personal gifts or gestures from clients or third parties (including suppliers, partners, funders) who are parties to or wish to be parties to any transaction or business arrangement with CAP
• Using CAP’s name for personal financial gain, or, as a private person, acting in a way that could create the impression of representing CAP, unless authorised to do so
• Being involved in a personal relationship that may impact on the organisation
• Entering into a personal financial arrangement with a client. For example, selling goods or services to a client, or paying a client for goods or services

CAP expects its employees to act in the interest of the organisation at all times. Employees should avoid circumstances where an independent observer might reasonably question whether the employee’s actions are determined by considerations of personal gain – financial or otherwise.

Restrictions on External Activities

While CAP does not wish to unreasonably limit employee activities, it wants to ensure those activities do not lead to a Conflict of Interest, nor make demands on the employee’s time and energy to the extent that it adversely affects their work performance or safety. Employees must therefore not engage in activities that interfere with the performance of their duties and responsibilities to CAP.

A paid employee may undertake secondary employment with another employer, provided that:

• It does not impact on legislative requirements or their work performance, energy or safety in successfully carrying out the requirements of their primary employment with CAP
• The secondary employment/role/services do not directly compete with CAP
• The secondary employment does not cause the employee to breach any CAP policy, particularly those relating to the protection of information belonging to and confidential to CAP
• There is a written request to your manager and the People & Culture Director to ensure no conflict of interest exists

CAP recognises that volunteers have other commitments and does not want to unreasonably impede them from pursuing them. Nevertheless, actual or potential Conflicts of Interest must be raised to their CAP Manager and approved by the Head of Partner Services & Support for coaches, or the People & Culture Director for Support Office in line with this policy.

Policy Implementation

Conflicts of interest must be dealt with quickly and transparently, as follows:

• Acknowledged
• Disclosed
• Recorded on the Employee or Board Conflict of Interest Register
• Effectively managed or avoided

Disclosure

Employees should promptly disclose any potential Conflict of Interest to their manager as follows:

• Coaches must disclose to and seek written approval from the Head of Partner Services & Support for any current or future activities, or involvement in interests which may (or reasonably appear to) conflict with their duty to CAP.
• All other employees must disclose to and seek written approval from their department director for any current or future activities, or involvement in interests which may (or reasonably appear to) conflict with their duty to CAP.

Failure to disclose actual or potential Conflicts of Interest may lead to disciplinary proceedings against the employee.

Management of Conflicts of Interest

If the relevant supervisor determines that an actual or perceived Conflict of Interest exists, he or she will:

• In consultation with the employee, determine what steps should be taken to avoid or resolve the Conflict (Conflict Resolution Action). Options for managing Conflicts of Interest include simply disclosing the relevant details, delegating the relevant responsibility or client giving rise to the Conflict to another employee, instructing the employee to refrain from a particular activity.
• Record the Conflict of Interest and the Conflict Resolution Action in the Conflicts of Interest Register. The Conflict of Interest Register will be overseen by the EA to the CEO, who will manage the Board section. The Employees & HO Volunteers section will be managed by the People & Culture Director and the Coaches section will be managed by the Head of Partner Services & Support – neither of these positions will have access to the Board section, neither will the Head of Partner Services & Support have access to the Employee section.
• Undertake periodic checks to ensure the Conflict Resolution Action continues to be complied with and effective to resolve the Conflict of Interest. If not, he or she will take further action to address the shortcoming in compliance and/or effectiveness.

If an employee thinks they have been unfairly dealt with, they can raise this firstly, through their upline manager and then People & Culture if necessary.

Board Members

If a board member has an actual or perceived Conflict of Interest, they must promptly disclose it to the Board, and this disclosure must be recorded in the minutes of the board meeting and in the Board Conflicts of Interest Register.

The board will then determine whether that board member should be excluded from voting on or participating in that part of a board meeting addressing the subject matter giving rise to the conflict.