Case examiner conflicts of interest

Last updated: 16 February 2024

• About this guidance
• What is a conflict of interest?
• Expectations of the case examiners
• How do Social Work England manage conflicts of interest?
• What happens if a conflict of interest is not recognised or managed appropriately?
• Processing of data
• Declaration of interests form

About this guidance

This guidance sets out how Social Work England will manage any conflicts of interest that arise when assessing a case examiner’s eligibility to work on a fitness to practise case.

What is a conflict of interest?

​​A conflict of interest is when an individual has competing interests – which might impair or influence their ability to make objective, unbiased decisions. This could include any of the following factors:

• ​family
• ​friendships
• ​professional
• ​financial
• ​social

​While there is no single test to determine whether a conflict of interest exists, it is important to be aware that a conflict of interest may occur where there is an actual conflict, as well as where there may be potential or perceived conflict.

​Examples of possible conflicts of interest include (but are not limited to):

• ​having a financial or personal interest in the outcome of a case
• ​having a previous or existing personal or professional relationship with anyone connected with a case. This includes, but is not limited to, any of the following:
  • ​ the registered social worker
  • ​the complainant
  • ​a witness
• ​being active in an organisation that has declared a stance on the matters involved in the case
• ​having a connection to an organisation involved in a case, such as engaging in paid employment or unpaid work with the organisation

​Where a case examiner has previously considered another fitness to practise case about a social worker, this does not, in itself, create a conflict of interest. Additionally, where a case examiner has previously considered a case which is now the subject of a request for review in line with rule 12G of the Fitness to Practise Rules 2019 (as amended), this also, in itself, does not necessarily create a conflict of interest. However, conflicts of interest may still arise in these situations, depending on the individual circumstances of the case.

Expectations of the case examiners

​It is the responsibility of all of the following to declare any conflict of interest, real, potential or perceived, that could relate to a case:

• ​investigators
• ​case examiners
• ​adjudicators

​Case examiners must make decisions based on the facts and evidence of a case. They must always evaluate whether a reasonable person would consider their ability to make objective, unbiased decisions impaired or influenced by another interest they hold.

​All decisions made by case examiners must be done independently of Social Work England and any other influences or interests.

​A demonstrable commitment to the 7 principles of public life, otherwise known as the Nolan principles, is a core expectation of all case examiners (see rule 5(2) of the rules).

The 7 principles are:

Selflessness

​Holders of public office should act solely in terms of the public interest.

Integrity

​Holders of public office must avoid placing themselves under any obligation to people or organisations that might try inappropriately to influence them in their work.

​They should not act or take decisions in order to gain financial or other material benefits for themselves, their family, or their friends.

​They must declare and resolve any interests and relationships.

Objectivity

​Holders of public office must act and take decisions impartially, fairly and on merit, using the best evidence and without discrimination or bias.

Accountability

​Holders of public office are accountable to the public for their decisions and actions. They must submit themselves to the scrutiny necessary to ensure this.

Openness

​Holders of public office should act and take decisions in an open and transparent manner. Information should not be withheld from the public unless there are clear and lawful reasons for so doing.

Honesty

Holders of public office should be truthful.

Leadership

Holders of public office should exhibit these principles in their own behaviour. They should actively promote and robustly support the principles and be willing to challenge poor behaviour wherever it occurs.

​Case examiners must adhere to all of the following:

• they must make decisions based on appropriate factors and decisions must always be made in the public interest
• ​they must not reach decisions based on in their own private interests or the interests of anyone who might try to inappropriately influence them.
• they must declare any relevant interests and relationships in a declaration of interests form when they’re appointed to the role and at least on a yearly basis thereafter. By doing this, they help maintain of public’s confidence in the regulator and protect themselves from any accusations that they have acted inappropriately or based on their own interests.
• ​they must tell the case examiner operations team about any potential conflicts of interest when they’re assigned a new case.
• ​if a case examiner considers a conflict of interest might arise, or a conflict of interest does arise, they must contact the case examiner operations team immediately. They must avoid any further discussion of the case with the second case examiner, stop working on the case, and their access to any information associated with the case will be removed by the case examiner operations team.
• ​they must be open and transparent and provide any information asked for by the case examiner operations team, case examiner operations manager or head of adjudication.

How do Social Work England manage conflicts of interest?

​​Case examiners must declare any interests that could become a conflict. They are asked to do so when they first start working with Social Work England and at least on a yearly basis thereafter. This information is kept on record for when a case examiner is assigned to a fitness to practise case. We call this the register of interests.

​The case examiners operations team will adhere to all of the following when considering whether to allocate a case to the case examiners:

• ​they will review the case to identify where conflicts of interest might arise and compare this against the register of interests
• they will not allocate fitness to practise cases to a case examiner if they consider there is risk of a conflict. For example, if the social worker or any witnesses are employed by a local authority that the professional case examiner has also worked with outside of Social Work England, the case will not be allocated to them
• ​any conflicts the case examiner operations team identify will be recorded in the case management system

​Once the case has been allocated, the case examiners must review the full case file and confirm whether a potential conflict of interest exists.

​If a case examiner informs the case examiner operations team of a potential conflict of interest, the case examiner operations managers or the head of adjudications must make a decision about how to proceed. They will take all of the following factors into account:

• ​the nature of the declared conflict
• ​the potential effect on the case examiner’s ability to reach an impartial decision
• ​the potential effect on the perceived independence of any of their decisions

​When the case examiner operations managers or the head of adjudications are making a decision, they must consider all of the following:

• ​the purpose of the fitness to practise process
• ​Social Work England’s primary objectives
• ​the social worker’s rights under the Human Rights Act 1998, in particular their right to a fair trial under article 6.

​If they need more information, the case examiner must provide more detail on the potential conflict before a decision is made.

​The case examiner operations manager and the head of adjudications can make one of the following 2 decisions:

​i. That the declared conflict(s) of interest is immaterial and the case examiner may proceed with the case.

​ii. That the declared conflict(s) of interest means that the case must be assigned to a different case examiner.

​All decisions made in relation to declared conflicts of interest must be recorded and given to the case examiner in writing. Case examiners cannot appeal a decision made about their suitability based on conflicts of interest.

​In cases where an actual or apparent bias comes to light after a decision has been made, the head of adjudications or case examiner operations manager can also consider making a request to review the decision under rule 12G of the Fitness to Practise Rules 2019 (as amended).

​Social Work England keeps a record of all cases that case examiners have worked on.​

What happens if a conflict of interest is not recognised or managed appropriately?

​Social Work England is responsible for managing conflicts of interest to make sure all cases are approached fairly.

​Failure to recognise a conflict of interest can also give the impression that Social Work England or its case examiners are not acting in the public interest. If a case examiner has an unresolved conflict of interest, then their decisions could be challenged in judicial review proceedings.

​Conflicts of interest can also damage Social Work England’s reputation and undermine the public’s, and social workers’, confidence in the fitness to practise process.

​Conflicts of interest that are not resolved efficiently can delay the fitness to practise process. It is therefore in the public interest and in the interest of public protection for Social Work England to manage conflicts of interest correctly.​

Processing of data

Information given to Social Work England when carrying out this guidance will be processed in agreement with data protection principles as set out in the Data Protection Act 2018.

Social Work England keeps data on conflicts of interest to help with the delivery of its legal responsibilities.

Declaration of interests form

You can view the form at the end of the case examiner declaration of interest guidance.