Code of Conduct for Panels
Preamble1.

This Code sets out general guiding principles regarding potential conflict ofinterest, upholding of confidentiality and prevention of bribery for the chairs
and members of HKCAAVQ panels conducting accreditation, review orother assessment activities (hereafter referred to generally as accreditation
activity); and members of HKCAAVQ standing panels and committees.

Role of the panel
2.

Panel members are reminded that the panel's role in any accreditation
activity is to advise HKCAAVQ. The accreditation panel’s views are
regarded as recommendations to HKCAAVQ and HKCAAVQ is the finalauthority on the accreditation determination and the wording of theaccreditation report. The panel's role is explained in more detail in theGuidance Notes for Panels, and panel members are expected to familiarise
themselves with these notes before undertaking their role.

Conflict of Interest
3.

A conflict of interest exists if the circumstances are reasonably believed tocreate a risk that a decision or recommendation may be unduly influenced
by other, secondary interests. The existence of a conflict of interest is notdependent on whether a particular individual is actually influenced by asecondary interest. Even the appearance of a conflict of interest may
undermine the integrity of the accreditation process. HKCAAVQ therefore
requires panel members to be rigorous about avoiding actual or possible
conflicts of interest.

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4.

Conflicts of interest may arise between panel members' role(s) assisting
HKCAAVQ and their other activities.

5.

If a possible or actual conflict of interest arises, panel members should
advise HKCAAVQ as soon as they become aware of it, which may be either
before, during or following an accreditation activity, and make full disclosureof the matter to HKCAAVQ.

6.

If a possible or actual conflict of interest issue is identified in the course of apanel member's engagement in an accreditation activity, the panel member
should immediately bring such matter to the attention of the respective panel
chair and seek instructions. Depending on the circumstance, he/she may berequired by the panel chair to withdraw from the accreditation exercise or beexcused from the discussion or decision-making of a particular subject
matter. In the event that the conflict of interest is considered by the panel
chair to be immaterial or (in the case of the possible conflict of interest) therisk of any actual conflict of interest arising is remote, the panel member may
be allowed to continue in the panel’s work but details of the conflict and thereason for dispensing with the conflict of interest must be put on record.

7.

It is however not intended that a panel member should make a declaration ofinterest simply because he or she has particular knowledge or experience ona subject matter.

8.

For illustration, the following are examples of actual or possible conflicts ofinterest:(a)

The panel member was/is serving, with or without pay, as an adviser,
examiner, consultant to the client organisation concerned; or he/she
has recently been an applicant for a position (irrespective of whether
the outcome is known to the applicant), or is a current applicant or
intending applicant for a position in the client organisation.

(b)

The panel member has any other close association/partnership withthe client organisation concerned. Examples of such may include any
joint commercial or professional activity carried out by the panel
member in a personal capacity in conjunction with staff member(s) ofAugust 2018 (Version 1.2)

the client organisation concerned and who are closely associated withthe accreditation activity, or any potential involvement of a similar
nature.

9.

(c)

The panel member has, as a barrister, solicitor, accountant or otherprofessional adviser, personally or otherwise advised or represented or
had frequent dealings with the client organisation concerned, or any
person or body closely connected with the client organisation.

(d)There are ongoing legal proceedings between the panel member (orany person, business or organisation closely connected to the panelmember) and the client organisation.

(e)

Pecuniary interests in a matter under consideration by HKCAAVQ,
whether held either by the panel member or by any close relative ofhis/hers.

(f)Kinship or some friendship which may be so close as to warrant
declaration in order to avoid situation where any reasonable person
may cast doubt that an advice from the panel member could havebeen influenced by the closeness of the association.

(g)

Personal conflicts may also include animosity or any interest likely tolead any reasonable person to cast doubt that the panel member’s
advice might have been motivated by personal interest rather than aduty to give impartial advice.

For illustration, the following may not be considered as conflicts of interests:(a)

It is known to HKCAAVQ, the panel and the client organisation
concerned that a panel member is working in an organisation which isin the same industry, will enter the same industry in 6 months, isoffering programmes or will in 6 months’ time offer programmes in thesame disciplines as the client organisation subject to accreditation byHKCAAVQ.

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(b)The panel member was a member of the board of examiners for the
doctoral degree studies of the programme leader of the clientorganisation.

(c)

The panel member and a member of the programme team of the clientorganisation briefly participated in the same voluntary service.

(d)

The panel member and a member of the senior management of theclient organisation were former classmates in a secondary school.

10. In order to avoid any conflict of interest or appearance of a conflict ofinterest, panel members should not, at any point in the accreditation process:(a)solicit, negotiate, accept or perform any consultancy or other paid or
unpaid services for the client organisation concerned; or(b)solicit, negotiate or accept any advantage, loan or hospitality from theclient organisation concerned.

Upholding of Confidentiality
11. All information obtained or generated through the HKCAAVQ accreditation
process is confidential and should be used solely for the purpose of theaccreditation exercise concerned.
12. Panel members must treat as confidential any information or material madeavailable to them either through HKCAAVQ or the client organisation for thepurpose of conducting the accreditation exercise concerned. Panel members
must not, without prior approval of HKCAAVQ, communicate or disclose any
information collected during the accreditation activity or any views expressedby any member or any person involved in the accreditation activity to any
third party outside the panel.
13. Panel members are entitled to ask for (and receive) through HKCAAVQ anyinformation and explanation they reasonably require in order to perform theirroles and duties in the context of an accreditation activity. However,commercially sensitive information should only be requested whenAugust 2018 (Version 1.2)

absolutely necessary and only to the extent strictly required for theaccreditation activity.
14. Panel members should not request information which constitutes personal
data within the scope of the Personal Data (Privacy) Ordinance (Cap. 486).
Essentially, personal data is information relating to individuals within theclient organisation. If panel members are given access to personal data by aclient organisation during a site visit, they must not collect or retain any such
personal data in any form. This includes taking notes, making physical orelectronic copies or taking photos.
15. The materials and information obtained by panel members through
HKCAAVQ, including those collected from the client organisation for thepurpose of the accreditation exercise, shall remain the property ofHKCAAVQ or the client organisation (as appropriate) and shall not be used
for any purpose other than the accreditation exercise.
16. Panel members may make personal notes during the course of anaccreditation activity in order to facilitate the performance of their roles in theaccreditation exercise. These notes should not be divulged to any third party
outside the panel.
17. Upon completion of the accreditation exercise and the issuance by
HKCAAVQ of the accreditation report, panel members are required toarrange for the secure destruction of all personal notes and other records ofinformation gathered in the accreditation process which is not in the publicdomain.
Prevention of Bribery
18. All HKCAAVQ Specialists / panel members are expected to be aware of andcomply with the provisions of the Prevention of Bribery Ordinance (Cap.
201), which is applicable to HKCAAVQ. They are not to offer any advantage
to HKCAAVQ staff in connection with their appointment as a Specialist /panel member and serving as a panel member. They must not solicit oraccept any advantage, loan, hospitality or entertainment from an operator inrelation to an accreditation activity that they are engaged in. Panel members
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should not participate in entertainment (e.g. lunch and dinner) offered by anoperator throughout the course of the accreditation activity until the issuanceof the relevant accreditation report.
Reporting suspected criminal offences and irregularities
19. All instances of bribery or attempted bribery should be reported promptly tothe Independent Commission Against Corruption of Hong Kong.
20. Any irregularities by employees of HKCAAVQ of which panel members
become aware in the course of the accreditation exercise should be reported
promptly to the Executive Director of HKCAAVQ in the strictest confidence.

HKCAAVQ
August 2018

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