Public interest disclosure ('whistleblowing'): college policy

Introduction

Application of the Policy

Confidentiality and good faith

Procedures

Introduction

The College is committed to the highest standards of openness, probity and accountability. It seeks to conduct its affairs in a responsible manner, taking into account the requirements of the funding bodies and the standards in public life set out in the reports of the Nolan Committee.

The Public Interest Disclosure Act, which will come into effect on 1 January 1999, gives legal protection to employees against being dismissed or penalised by their employers as a result of publicly disclosing certain serious concerns. To quote the Act, the legislation relates to "any disclosure of information which, in the reasonable belief of the worker making the disclosure, tends to show one or more of the following-

1. that a criminal offence has been committed, is being committed or is likely to be committed,

2. that a person has failed, is failing or is likely to fail to comply with any legal obligation to which he is subject,

3. that a miscarriage of justice has occurred, is occurring or is likely to occur,

4. that the health or safety of any individual has been, is being or is likely to be endangered,

5. that the environment has been, is being or is likely to be damaged, or

6. that information tending to show any matter falling within any one of the preceding paragraphs has been, is being or is likely to be deliberately concealed."

It is an implied condition of service that an employee will faithfully serve his or her employer and not disclose confidential information about the employer's affairs. However, where an individual discovers information which he or she believes shows malpractice/wrong doing within the organisation, then this information should be disclosed without fear of reprisal and the disclosure may be made independently of line management. In such circumstances the College will take every reasonable step to protect that individual from suffering any detriment.

It should be emphasised that the policy is intended to assist individuals who believe they have discovered malpractice or impropriety. It is not designed to question strategic, academic or financial decisions taken by the College; nor may it be used to reconsider any matters which have already been the subject of a formal harassment, grievance or disciplinary procedure. This will not, however, preclude the admission of evidence which has previously been submitted under that procedure. While it is reasonable to expect that College members will use these procedures, nothing in the Policy shall limit the statutory or legal rights of a member of the College under the current legislation or to seek advice from a trade union.

back to top

Application of the Policy

The Policy applies to all members of the College, i.e. staff, students and governors, even though the latter two groups are not protected by the Act.

The Policy applies to situations where there are allegations of malpractice made about an individual or individuals in relation to their work for the College, whether they are made by or about a member of staff, a governor, a student or someone who provides or has provided goods and services to the College. The term 'malpractice' might include:

• financial malpractice or impropriety or fraud;

• failure to comply with a legal obligation or the College's Charter and statutes;

• criminal activity;

• academic malpractice;

• improper conduct or unethical behaviour;

• attempts to conceal any of the above.

back to top

Confidentiality and good faith

The College will treat all such allegations in a confidential and sensitive manner, as far as practicable. The identity of the individual making the allegation will be kept confidential by the College except where it is no longer possible to do so because of procedural or legal. However reasons or where disclosure is agreed by the complainant. However the individual making the allegation may be required to provide a statement or act as a witness in any investigation.

If an individual makes an allegation in good faith, which is not confirmed by subsequent investigation, no action will be taken against that individual. If, however, in the opinion of the designated person (see below for the definition of a designated person) an individual makes malicious or vexatious allegations, and particularly if he or she persists in making them, disciplinary action or other sanctions may be taken against the individual concerned.

This Policy encourages individuals to put their names to any allegations they make. Anonymous allegations are much less powerful and more difficult to investigate, but they will be considered at the discretion of the designated person.

In exercising this discretion, the factors that will be taken into account include:

• the seriousness of the issue(s) raised;

• the nature of the allegation;

• the likelihood of confirming the allegation from alternative credible sources or the nature of the supporting evidence.

back to top

Procedures

1. If someone believes that there is evidence of such behaviour he or she should raise the allegation first with the Secretary and Clerk to the Governors as soon as possible, perhaps if he or she wishes, via a College trade union representative. If the allegation concerns the College Secretary, the matter should instead be raised with the Master. If the allegation concerns the College Secretary and the Master, the individual should raise it with the Deputy Chairman of Governors or, in the case of possible financial malpractice, with the Chairman of the Audit Committee.

2. Having received the allegation the College Secretary, Master, Deputy Chairman of Governors or the Chairman of the Audit Committee (henceforth termed the designated person) will consider the information made available to him/her and decide if there is a prima facie case to answer. In doing so he or she will decide whether an investigation should be conducted and if so what form it should take. Depending on the nature of the matter raised it may be:

• investigated internally in the College;

• referred to the Police;

• form the subject of an independent inquiry.

3. If the designated person decides that an internal investigation needs to be conducted to establish all the relevant facts, he or she will ask a senior officer of the College (or if necessary two senior officers) to conduct the investigation and to report back their findings. The investigation will be conducted as sensitively and speedily as possible.

4. Having considered the report based on the investigation and having taken the advice of the investigating officer(s) into account, the designated person will decide if there is a case to answer and what procedures to follow. The internal procedures which may be followed include disciplinary action or might form the basis of a special investigation.

In some instances it may be necessary to refer the matter to an external authority or organisation for further investigation.

5. The designated person will inform the individual making the allegation what action, if any, is to be taken. If no action is to be taken the individual concerned will be informed of the reason for this or if the individual making the allegation believes the action taken is inadequate he or she will be allowed the opportunity to remake the allegation to another appropriate person, if he or she wishes. For example, if the initial allegation was made to the College Secretary, the matter could be referred to the Master. If the initial allegation was made to the Master, the matter could be referred to the Deputy Chairman of Governors or the Chairman of the Audit Committee. If the initial allegation was made to the Chairman of the Audit Committee, the matter could be referred to the Deputy Chairman of Governors and vice versa. In all these circumstances, the latter person will decide on an appropriate course of action based on the information available to him or her.

Where an allegation is made the person or persons against whom the allegation is made will be told of it, the evidence supporting it and will be allowed to respond before any investigation, or further action, is concluded.

6. A report of all allegations and of any subsequent actions taken will be made by the designated person who will retain such reports for a period of three years, as a formal record and for reference purposes.

[Approved by Governors in December 1998]