INTRODUCTION

The University of Westminster (“the University”) is committed to achieving the highest possible standards of quality, integrity, openness and accountability in all of its practices.  It can only do this with the help of all those who work with and for the University.  This policy has been introduced to help you raise a concern you may have about malpractice such as fraud, a danger to health, safety or the environment, a crime or a serious breach of the University’s internal policies, in the right way and without worry. 

It is not unusual for staff to have a concern about what is happening at work.  Usually these concerns are easily resolved.  However, when the concern is about potentially serious malpractice, it can be difficult to know what to do.  You may feel worried about raising an issue and decide to keep your concern to yourself, perhaps feeling that it is none of your business or that it’s only a suspicion.  Or you may feel that raising the matter would be disloyal to colleagues, managers or the University itself.  Perhaps you have tried to raise the matter, but found out you have spoken to the wrong person or raised the issue in the wrong way and are not sure what to do next.

The University would prefer that you raise any concern about malpractice at the earliest opportunity possible. With this in mind, this policy has been introduced to help you raise any concern about malpractice quickly and appropriately.  It explains the routes open to all University staff, including employees, temporary workers, agency staff and people working for sub-contractors.  (If the categories are not comprehensive, they will be reviewed at a later stage).

The Policy also seeks to balance the need to provide safeguards for individuals who raise genuine concerns about malpractice against the need to protect the University, its staff and its reputation against uninformed, inaccurate, or vexatious allegations which can cause serious difficulties for innocent individuals. It does this by providing a formal but independent route for individuals to raise concerns and to have these properly investigated without needless damage to confidence in the University or its officers.

Please note, if you want to raise a concern or bring a complaint or grievance that is about your personal position, please raise this through your line management chain initially or if this does not resolve it, you may ultimately decide to use the Grievance Procedure.  This Policy is to help you raise a concern where you believe the interest of others – students, members of the public, staff or the University and its reputation – are at risk.

This Policy is designed to ensure that employees who have genuine concerns about the conduct of others have a safe and secure mechanism to raise this without fear of victimisation and without resorting to complaints to the media which might bring the institution into needless disrepute. It is designed to comply with the Public Interest Disclosure Act 1988, as amended and interpreted by the Courts from time to time. It replaces the Public Interest Disclosure Procedure issued in 1998.

If in doubt – please raise it!

OUR ASSURANCES

The Court of Governors of the University is committed to this policy.

Your safety

You will not be at risk of losing your job or suffering any reprisal as a result of your raising a genuine concern under this policy.  Provided that you are acting in good faith it will not matter if your concern proves to be mistaken.  Obviously, if you have done something wrong yourself, raising it as a concern under this policy will not provide you with immunity for your own wrongdoing.  However the University may take account of your help in coming forward and raising it.

Anyone who abuses this policy by maliciously raising a matter they know is untrue may be liable to disciplinary action.

Your confidence

With these assurances, the University hopes you will raise any genuine concern openly and in the normal way. However, it is recognised that there may be some circumstances when you would prefer to speak to someone (a “Designated Officer”, or D.O.) in confidence.  If so, please say so at the outset.  If you ask the D.O. not to disclose your identity, they will not do so without your consent unless required by law.  You should understand that there may be times when the D.O. is unable to resolve a concern without revealing your identity, for example where your personal evidence is essential.  In such cases, they will discuss with you whether and how the matter can best proceed.

Please remember that if you do not tell the D.O. who you are it will be much more difficult for them to look into the matter.  They will not be able to protect your position or to give you feedback.  Accordingly you should not assume that they can provide the assurances described in the same way if you report a concern anonymously.

HOW TO RAISE A CONCERN

Please remember that you do not need to have firm evidence of malpractice before raising a concern.  However it is important that you explain as fully as you can the information or circumstances that gave rise to your concern, providing as much supporting evidence as possible.

Step One

In the first instance it is hoped that you will feel able to first raise your concern openly with your manager. This may be done orally or, if you prefer, in writing. 

Step Two  

If you feel unable to raise the matter with your manager for whatever reason, or if you think the concern has not been properly addressed at step one, please raise it with your Department Head or a senior manager in Human Resources, Finance, or Academic Registry depending upon the nature of the issue.

Step Three

If you still have concerns, or feel that the matter is so serious that it cannot be dealt with through Steps One or Two, then please raise it with any of the 3 individuals (known as the “Designated Officers” **) named in the Appendix:

Raising a concern may be done orally, or if you prefer, in writing. The D.Os have all been trained in how to handle whistle-blowing concerns. They will ask you to give details of the allegations and of any evidence or witnesses which may support your complaint. The D.O. has discretion to decide whether the issue raised should be considered under this policy or should be referred elsewhere. 

If you want to raise the matter in confidence, please say so at the outset so that appropriate arrangements can be made.

HOW WE WILL HANDLE THE MATTER

Once you have reported your concern, the Designated Officer (D.O.) will as soon as it is practicable review it and consider what action may be appropriate.  This may involve an informal review, an internal inquiry or a more formal investigation.  They may also decide that the matter should be considered under an alternative procedure and refer it as appropriate. The initial investigation should take place as expeditiously as possible in the interests of all concerned, and every effort will be made to preserve the anonymity of University staff who may be implicated while the investigation is underway. The D.O. may require a member or members of staff to assist with the investigation. The investigation will produce a Report with recommendations either for further action or to inform best practice for the future. Their recommendations may (without limitation) include one or more of the following:

• an investigation by the D.O. either singly, in a group, or as part of a Board of Enquiry set up for the purpose;
• an internal investigation by the University, or by the Audit Committee, or some other Committee of the Court of Governors and/or external or internal auditors appointed by the University;
• that the matter be reported to the Higher Education Funding Council for England, the Office of the Independent Adjudicator, the Department for Education and Employment, the National Audit office or some other public authority;
• that the matter be reported to the Police

The Designated Officer/s will tell you who will be handling the matter, how you can contact them, and what further assistance the Designated Officers may need from you.  The Designated Officers may, for example, call you to attend a confidential interview. If you ask, the Designated Officers will write to you summarising your concern and setting out how the Designated Officers propose to handle it.   

When you raise a concern it will be helpful to know how you think the matter might best be resolved.  If you have any personal interest in the matter, the Designated Officer/s ask that you tell us at the outset.  If the Designated Officers think your concern falls more properly within the Grievance Procedure, the Designated Officer/s will tell you.

Whenever possible, the Designated Officer/s will give you feedback on the outcome of any investigation.  Please note, however, that the Designated Officer/s will not be able to tell you details of any disciplinary or other action when it would infringe a duty of confidence the Designated Officer/s owe to another person.

While we cannot guarantee that we will respond to all matters in the way that you might wish, we will handle the matter fairly and properly.  By using this policy you will help us to achieve this.  Remember, if the malpractice is ongoing you can raise it with any of the other individuals/bodies listed in this policy.

INDEPENDENT ADVICE

If you are unsure whether to use this policy or you want independent advice at any stage, you may contact

• if applicable, your trade union or professional body; or
• the independent charity Public Concern at Work on 020 7404 6609.  Their lawyers can give you free confidential advice at any stage about how to raise a concern about serious malpractice at work. 

EXTERNAL CONTACTS

While we hope this policy gives you the reassurance you need to raise such matters internally, or through one of the external Designated Officers. We recognise that there may be circumstances involving criminal activity, for example, where you can properly report matters to outside bodies, such as regulators or the police.  Public Concern at Work will be able to advise you on such an option and on the circumstances in which you may be able to contact an outside body safely.

MONITORING AND REVIEW

The Court of Governors will monitor this policy and review its effectiveness annually. The Policy may be amended by the Court of Governors from time to time.

Version 5, April 2007

** Eligibility criteria

1)       Should be independent of University of  Westminster

2)       Should have experience at a senior level of dispute resolution or investigation

Appendix 1 – Designated Officers

Juliet Amos

Email is J.Amos@tees.ac.uk

Andrew Dodman

Email is A.Dodman@Sheffield.ac.uk

Rob Letham

Email is rob.letham2@btinternet.com

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