Whistleblowing PolicyUnclassified
Introduction
- This policy appliesirrespective of length of service or duration of contract:
- to employees of HEFCW;
- to temporary or contract staff engaged by HEFCW, includingwhere their services are contracted via a third party;
- to secondees, where it is specified in their contract.
Statement of Policy
2.The aims of this policy under both the Public Interest Disclosure Act 1998 (PIDA) and the Enterprise and Regulatory Reform Act 2013 (ERRA) is to encourage staff to report matters of proper concernconsidered by them to be in the public interest, about serious malpractice, known as Qualifying Disclosures as defined in the Whistleblowing procedures. Reported incidents should be brought without fear of reprisal or victimisation, while protecting staff and HEFCW from unfounded and malicious allegations.
3.HEFCW encourages employees to report any concerns, either within the workplace or externally, about a danger, risk, malpractice or wrongdoing which affects others.Employeesshould raise their concerns through the appropriate channels which are set out in this policy and in the Whistleblowing procedures. Should the claim be unfounded, employees will not be subject to disciplinary action or any other detriment unless the claim is proved to either have been made in bad faith or where the policy has been deliberately misused.
4.Any employee that does report suspected wrongdoing will be afforded the following protection and support:
- An employee will not be disciplined or subjected to any other detriment;
- HEFCWwill take all reasonable steps to protect the employee from any personal detriment such as harassment or victimisation;
- if an employee requests that their identity be protected, HEFCW will make every effort to do so for as long as it is within HEFCW’s control, provided it is appropriate and legal to do so, and the case can be properly investigated or resolved without revealing the employee’s identity; and,
- HEFCW will inform the employee of how the concern is being dealt with.
5.HEFCW does not tolerate any reprisal against an employee because they have raised a concern under the policy and will treat any such reprisal as a disciplinary matter which might lead to dismissal. This assurance is not extended to those who maliciously raise a concern that they know is false.
6.The Chief Executive will be informed of all whistleblowing cases, unless they relate to the Chief Executive (in which case, the Chair of Council will be informed) and will be kept up to date with the progress of the investigation and resolving the concern.
7.HEFCW is committed to taking the necessary action to address any wrongdoing which is uncovered.
8.This policy must not be used as a basis for generating, circulating or testing unsubstantiated matters or rumours which fall outside the scope of a particular Qualifying Disclosure. NB Any concerns relating to an employee’s own employment position must be reported under the Grievance Policy and its related procedures and not under this Whistleblowing Policy.
9.Where an allegation is found to be mistaken or proved to be inconclusive, HEFCW will take all reasonable steps to protect any individual implicated in it from adverse consequences.
Responsibilities
10.All members of staff are responsible for:
(i)reporting any wrongdoing in accordance with this policy and its supporting procedures;
(ii)complying with any request to assist with an investigation or attend any meeting to resolve a whistleblowing case;
(iii)maintaining confidentiality by not discussing any whistleblowing case with anyone other than those authorised to deal with the case.
11.All Directors/Heads of Teamsare responsible for:
(i)ensuring that staff are aware of thisWhistleblowing policy and its supporting procedures and how to raise a concern;
(ii)ensuring that where a concern is disclosed to them it is dealt with seriously, promptly and thoroughly and that they adhere to the supporting procedures associated with this policy;
(iii)supporting staff who raise a concern and those who may be the subject of or involved in a whistleblowing case until the process is concluded.
12.The Head of Corporate Services is responsible for maintaining and updating the Whistleblowing Policy and its supporting procedures every three years, or earlier if there are legislative changes. The Head of Corporate Services will be required to submit to Management Board and the HR Committee, an annual report on its application.
Supporting documentation
13.The Whistleblowing Policy is supported by the following:
- Whistleblowing Procedures
- Equality and Diversity Policy
- Grievance and Disciplinary policy
- Grievance Procedures
- Disciplinary Procedures
- Fraud and Bribery Policy
- Fraud and Bribery Procedures
Version / Date / Description
1.0 / 09/12/03 / Policy presented to HRC
1.1 / 12/04/05 / Policy updated through HCO network – authority from Jo Thorne
2.0 / Feb 08 / Policy updated to reflect OD, style guide and EIA
3.0 / Nov 08 / Policy reviewed, requested by Chair. Amendments made from Accounting Officer to Chief Executive
3.1 / Aug 09 / Policy amended to reflect the Council Members whistleblowing policy
3.2 / Nov 09 / Amendments made following EIA
3.3 / May 13 / Amendments approved by HRC to reflect OD changes in Oct 12
4.0 / Oct 13 / Reviewed by Head of Corporate Services, HR Manager and Payroll Manager as part of HEFCW Policies and Procedures review.
4.1 / Feb 14 / Reviewed by Head of Corporate Services to take account of the ERRA 2013, BSi’s PAS 1998:2008 Whistleblowing Arrangements Code of Practice and the Whistleblowing Commission’s November 2013 Report on the Effectiveness of Existing Arrangements for Workplace Whistleblowing in the UK.
4.2 / Apr 14 / Policy updated following review by Management Board on 24 Mar 14.
4.3 / May 14 / Policy updated following review by Internal Audit Manager
4.4 / Oct 14 / Updated under general review of all policies and procedures by HEFCW
Author: Head of Corporate ServicesDate: 6/10/14
Page 1 of 3Version: 4.4
Reference: xxxxxNext review: 2017