HM Inspectorate of Education’s policy came into effect on December 22 2010 after consideration by
HMIE Senior Management Group and endorsement by HMIE Management Board. It supersedes all
previous versions.
Policy on Conflict of Interest
1. INTRODUCTION
The Scottish Government’s policy on Standards of Propriety: Conflict of Interest1 states that:
As a public servant you have a particular duty to ensure that your official position is not used
to further your own personal interests or the personal or other interests of others who have
no legitimate entitlement to benefit. You also have a duty to ensure that in your conduct no
appearance of such bias or misuse of position is given, or can reasonably be inferred.
If you are in doubt about what might constitute a conflict of interest or the proper course of
action you should consult your line manager. The guiding principle should be that, when in
doubt, it is always better to declare any possible conflict of interest rather than risk being
challenged, and facing disciplinary or legal action.
The circumstances of different parts of the Scottish Government vary widely, and senior
management in each business area may, in consultation with the HR Shared Service
Centre, issue additional guidance from time to time which is more sharply focused on the
work of individual units.
HMIE adheres to the above Scottish Government (SG) policy, as well as the SG policy on
Outside Occupations or Activities2.
This HMIE-specific policy has been drawn up to clarify HMIE’s procedures with regard to
conflict of interest, taking into account all the categories of staff we employ/deploy, namely
HM Inspectors, Health and Nutrition Inspectors, Corporate Services staff, secondees,
Assistant Inspectors, Associate Assessors and Lay Members. It sets out detailed
arrangements to ensure that the likelihood of conflict of interest is minimised.
2. GUIDING PRINCIPLES
For those employed by HMIE, outside activities can enrich the contribution made to the work
of the organisation. Similarly, Associate Assessors and Lay Members bring outside
experience which enhances their work for HMIE. However, it is vital to the credibility of HMIE
that any outside activities do not compromise the reputation of the organisation. It is also
important to ensure that conflict of interest does not compromise the integrity of individuals.
Where outside activities are undertaken beyond Scotland, the potential for conflict of interest
may be lower. Where they involve educational establishments, services or organisations in
Scotland, the potential for conflict of interest is greater.
1
Scottish Government policy on Standards of Propriety: Conflict of Interest
2
Scottish Government policy on Outside Occupations or Activities
1
HM Inspectorate of Education’s policy came into effect on December 22 2010 after consideration by
HMIE Senior Management Group and endorsement by HMIE Management Board. It supersedes all
previous versions.
All the categories of staff deployed by HMIE are expected to consider whether any activities
they are undertaking might constitute a conflict of interest, whether real or perceived, or
whether these activities impact on their ability to undertake their work in HMIE. Where a
potential conflict of interest arises, staff have a duty to take all necessary steps to avoid any
risk.
Any member of staff employed by HMIE who plans to undertake work outwith HMIE and
which relates directly or indirectly to education, should submit a proposal in writing to his/her
line manager. The written submission should make clear that any possible conflict of interest
has been considered in detail, taking account of all the advice contained in this policy. It
should outline how the member of staff proposes to manage any possible risks.
Associate Assessors and Lay Members should consider whether any work or activities
they are undertaking which relates directly or indirectly to education might constitute a
conflict of interest, whether real or perceived, or whether these activities impact on their
ability to undertake their work in HMIE. If there is any potential risk of a conflict of interest,
they should write to the inspector who has responsibility for their work. The written
submission should make clear that any possible conflict of interest has been considered in
detail, taking account of all the advice contained in this policy. It should outline how the
member of staff proposes to manage any possible risks.
Once s/he is content that the written submission is clear and makes a reasonable case, the
line manager or the inspector responsible for the Associate Assessor or Lay Member will
pass the written submission to the HR Manager. A panel made up of the Chief Inspector and
Assistant Chief Inspector with responsibility for HR, and the HR Manager will then consider
each case on an individual basis. This panel will be responsible for deciding whether or not
there is a conflict of interest.
The following questions will always be considered.




Is the work, or some of it, in Scotland?
Is the work with education establishments or services which we might inspect, or
which have close links with the work of HMIE?
Is the work paid?
Is there any impact on the individual being able to carry out his/her work in HMIE?
The panel will take account of the examples in Appendix 1, and will consult as appropriate
with the Chief Inspector of the relevant Directorate, or the Director of Corporate Services.
In the case of staff employed by HMIE, the panel will then make a recommendation to the
Senior Chief Inspector as to whether or not the activity is acceptable, who will inform those
concerned.
In the case of Associate Assessors and Lay Members, the panel’s decision will be final
and the HR Manager will inform those concerned.
3. INCIDENTS
Staff should report immediately to their line manager any incident which may occur as part of
the additional work they undertake which could have an impact on the reputation of HMIE or
the Scottish Government. Associate Assessors and Lay Members should inform the
inspector who has responsibility for their work.
2
HM Inspectorate of Education’s policy came into effect on December 22 2010 after consideration by
HMIE Senior Management Group and endorsement by HMIE Management Board. It supersedes all
previous versions.
4. POLITICAL ACTIVITY
In line with the SG policy on Political Activity3, HMII, Corporate Services staff in Band C, any
secondees undertaking work at an Inspector level and Assistant Inspectors are completely
barred from national political activities, although they may seek permission to take part in
local political activities. If permission is granted, it will be subject to the observance of the
general rules set out in the policy. If individuals are given permission to take part in local
political activities, they must inform the Scottish Government if they are elected to a local
authority. Health and Nutrition Inspectors and Corporate Services staff at Bands A and B
must make individual application for permission to take part in national or local political
activities.
5. RECORDING POTENTIAL CONFLICTS OF INTEREST
HMII, Health and Nutrition Inspectors, secondees, Assistant Inspectors and Corporate
Services staff in bands A-C must register their interests, and those of close family members,
on eHR. Further information is at Appendix 2.
6. OTHER RELEVANT OR RELATED POLICIES OR STRATEGIES
HMIE HR Policy and Strategy
HMIE Equality and Diversity Policy
HMIE Risk Management Policy
HMIE Communications Policy and Strategy
HMIE IT Strategy
Scottish Government Policies referred to in Sections 1 and 2
Scottish Government Policy on Dignity at Work
7. IMPLEMENTATION, QUALITY ASSURANCE & REPORTING PROCEDURES
All discussions regarding potential conflict of interest and their outcomes will be recorded by
line managers, and the inspectors who have responsibility for Associate Assessors and Lay
Members as appropriate, and forwarded to the HR Manager.
The HR Manager will keep records of panel discussions.
Once a year, the HR Manager will produce a report for SMG which will inform the review of
this policy.
8. REVIEW ARRANGEMENTS
This policy will be reviewed as part of the setting up of policies for the Scottish Education
Quality Improvement Agency after July 1st 2011, and no later than December 2011.
3
Scottish Government policy on Political Activity
3
HM Inspectorate of Education’s policy came into effect on December 22 2010 after consideration by
HMIE Senior Management Group and endorsement by HMIE Management Board. It supersedes all
previous versions.
9. CONTACT DETAILS
Any comments or queries on this policy should be addressed to:
Business Management and Communications Team, HM Inspectorate of Education,
2nd Floor, Denholm House, Almondvale Way, Livingston EH54 6GA.
telephone: 01506 600265
e-mail: laura.burman@hmie.gsi.gov.uk
4
HM Inspectorate of Education’s policy came into effect on December 22 2010 after consideration by
HMIE Senior Management Group and endorsement by HMIE Management Board. It supersedes all
previous versions.
Appendix 1
Examples of outside activities and HMIE’s position
OUTSIDE ACTIVITY
1. Work for another scrutiny body
HMIE’s POSITION
In recent years, it has been considered
acceptable for Assistant Inspectors to
undertake work for educational scrutiny
bodies outwith Scotland. It has not been
considered suitable for part-time or full-time
HMII to do so, unless assigned to do so by
HMIE.
2. Consultancy work, for example for an
education authority (EA), a university teacher
education department, a college, or for
organisations such as LTS and SQA.
Such work is likely to lead to a conflict of
interest. For example, if an individual
inspector had advised an education authority
about an aspect of its work, and this aspect
then became an area of focus as part of
validated self-evaluation and the EA were
able to claim it had acted on HMIE advice.
For this reason, it is unlikely that that
agreement will be given for this type of work.
In some recent cases, there was deemed to
be little risk of conflict of interest as long as
the individual was not deployed to inspect in
the education authority, university teacher
education department or college concerned.
However, such a position could limit our
ability to deploy our staff resources to meet
business needs.
3. Voluntary work e.g. as a panel member for
children’s hearings; with a church
organisation.
Very little risk of conflict of interest.
4. Publications and articles
In the recent past, we have agreed to an
HMI’s PhD thesis being published, as long
as it was made clear that the findings were
not representative of views held by HMIE.
We have agreed to a member of staff writing
a newspaper column on the basis that
contributions were not on the theme of
education and it was clear that they were
personal views and were not representative
of HMIE.
5. Membership of committees and
professional organisations
Decisions will depend on the nature of the
committee or organisation, and on whether
the member of staff is an office bearer likely
to have a national profile relating to
educational issues.
5
HM Inspectorate of Education’s policy came into effect on December 22 2010 after consideration by
HMIE Senior Management Group and endorsement by HMIE Management Board. It supersedes all
previous versions.
Associate Assessors or Lay Members may
have to stand down during the period they
hold any office-bearing positions.
6. Corporate Services staff taking on other
jobs not related to education.
Some A band staff have taken on additional
jobs such as working in call centres, or bar
work. This is acceptable as long as it does
not impact on the individual’s ability to
undertake work for HMIE.
6
HM Inspectorate of Education’s policy came into effect on December 22 2010 after consideration by
HMIE Senior Management Group and endorsement by HMIE Management Board. It supersedes all
previous versions.
Appendix 2
Recording Potential Conflicts of Interest (including financial and
business)
HMII, Health and Nutrition Inspectors, secondees, Assistant Inspectors or Corporate
Services staff in bands A-C are must register their interests, and those of close family
members, on eHR.
Interests should be registered by staff where there is the potential for a conflict of interest to
arise which might call into question their impartiality in carrying out their job.
Such interests can include:




business interests;
shareholdings or other securities/financial interests;
trusts of any type including unit trusts etc, PEPs, ISAs (cash-only ISAs need not be
declared); and
any other financial or private interest such as membership of clubs, societies and
other organisations where there is the potential for a conflict of interest to arise as a
result of your official position.
Colleagues in doubt about what might constitute a conflict of interest or the proper course of
action to take should consult their line manager and the HR Shared Service Centre Phone:
0131-244-8500 email: hr.help@scotland.gsi.gov.uk.
Guidance on how to record the information on the eHR system, Case Management Section
and full guidance on standards of propriety including Conflict of Interest is available on
Saltire.
7