Policy on Information Disclosure (whistleblowing)

Transcription

1 Policy on Information Disclosure (whistleblowing) 1 General 1.1 King s College London is committed to high 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. 1.2 The Public Interest Disclosure Act 1998 introduced legal protection to workers against being dismissed or penalised as a result of disclosing to their employers certain serious concerns. Where an individual discovers information which s/he believes raises serious concerns of the type outlined in paragraph 2, this information should be disclosed without fear of reprisal, and may be made independently of line management. 1.3 Although the Act applies only to workers (staff and those who contract personally to provide services to King s) the university believes that it is important that the policy and its procedures should apply to all persons officially connected with King s, including students, lay members of the university Council and independent members serving on the Council s committees. For the purposes of this policy, such persons shall be referred to as members of King s, members of the university or members. 2 Scope of the policy 2.1 The objective of the policy is to ensure that where a member becomes aware of information covered by the policy and wishes to voice her/his concern about it, King s has a proper internal mechanism for reporting and dealing with the matter, safeguarding the interests of both the individual making the disclosure and the university. 2.2 This policy is intended to cover concerns of a serious nature and which may (at least initially) be investigated through this policy, but which may lead to other procedures (e.g. disciplinary procedures) being invoked. Matters which can be raised under this policy that could potentially be considered as a protected disclosure are: a) financial malpractice; b) failure to comply with a legal obligation; c) health and safety; c) damage to the environment d) criminal activity & e) deliberate concealment of any of the above. 3 Safeguards Page 1

2 3.1 Protection This policy is designed to offer protection to those workers and other members of the university who disclose such concerns, provided that in the reasonable belief of the person making the disclosure: a) the disclosure is made in the public interest and b) it tends to show conduct of a kind referred to in paragraph 2.2 above The individual making the disclosure as set out in paragraph above will be protected from disciplinary or other action for making the disclosure if s/he makes the disclosure to a designated person (see paragraph 4 below). The university is forbidden by statute from penalising or dismissing a worker for making such a protected disclosure. Workers are also protected against victimisation and harassment by their colleagues for making a protected disclosure Any detrimental action of any kind by any member of the university against a person for making a protected disclosure may result in disciplinary action up to and including dismissal without notice (in the case of workers) and equivalent action in the case of other members Allegations which are untrue and malicious or vexatious by any member of the university may result in disciplinary action up to and including dismissal without notice (in the case of workers) and equivalent action in the case of other members There is no guidance in the legislation about what is meant by made in the public interest. However, workers and other members of the university should be aware that a disclosure will not necessarily be made in the public interest merely because it conveys information which is or may be of interest to the public. The university s view is that, for the disclosure to be protected, there must be a reasonable belief by the person making it that it is made for the public good or in the interests of society. 3.2 Confidentiality King s shall treat all such protected disclosures in a sensitive manner. The identity of the individual making the protected disclosure shall, if requested by that individual, be kept confidential so long as it does not hinder or frustrate any investigation. The identity of the person making the protected disclosure will be revealed to any persons in respect of whom a disclosure is made at an appropriate point, if the university considers it necessary to do so in the interests of fairness. King s will not consider anonymous disclosures. 3.3 Unsubstantiated allegations An individual who makes a disclosure with the requisite reasonable belief that it is made in the public interest, which is either dismissed by the designated person (see below), or not confirmed by subsequent investigation, shall not have disciplinary or any other action taken against them for reason of making a disclosure. It should be noted that there is unlikely to be legal protection from third parties for allegations which are defamatory. 4 Procedures for making a disclosure 4.1 These procedures are not intended to supersede or take the place of any existing general or specific procedures for making complaints such as those contained in the Student Complaints Procedure or the Grievance Procedure, nor may they be used to reconsider any matters which have already been addressed under any other King s procedure. Furthermore, matters which are currently or prospectively being considered under another King s procedure, or which would be more appropriately raised under another procedure, will not be considered under these procedures; nor shall these procedures be used for Page 2

3 matters where there is a right to appeal or complain to an external agency, such as the Office of the Independent Adjudicator for Higher Education. 4.2 The Head of Administration and College Secretary, the Principal and the Chair of the Audit and Compliance Committee may delegate any function assigned to them under these procedures to another member of King s, provided that person is not the subject of the disclosure. 4.2 Stage one: making a disclosure A member (as defined in paragraph 1.3 above) may make a disclosure to the designated person The designated person shall be the Head of Administration and College Secretary Where the disclosure is about the designated person or about a matter in which the designated person is personally involved then the disclosure may be made to the Principal, who shall be the designated person for the purposes of the following sections. Where the disclosure is about the Principal or about a matter in which the Principal is personally involved, the designated person shall be the Chair of the Audit and Compliance Committee. 4.3 Stage two: consideration by the designated person The designated person shall consider the information made available to her/him. Depending on the nature and circumstances of the disclosure s/he may: a) decide not to proceed with the matter; b) authorise an internal investigation under this procedure; or c) refer the matter to be dealt with under a different King s procedure; d) refer the matter to the police or other appropriate authority Where a disclosure is made in relation to an individual or individuals, the designated person shall determine, at their discretion, whether it is necessary to inform the individual(s) of the disclosure and the evidence supporting it in order to determine how to proceed under paragraph This shall be done by the designated person as soon as is practicable after receiving the disclosure A decision on how to proceed under paragraph shall normally be made within four weeks of the disclosure being made. If the decision is likely to take longer, the designated person shall inform in writing both the person making the disclosure and, as appropriate, any person who may be the subject of the disclosure of the reasons for the delay The designated person shall inform in writing both the person who made the disclosure and, as appropriate, any person who is the subject of the disclosure of her/his decision and the reasons for their decision. 4.4 Stage three: investigation An initial investigation to assist the designated person to decide how to proceed may be conducted by a person or persons nominated by the designated person to carry out such an investigation. This may be an Assistant Director of Audit and Business Assurance or other senior officer or officers of the university considered suitably qualified by the designated person to conduct such an investigation but it may not include any person who may have to reach a decision on the matter at a later stage. Page 3

4 4.4.2 The person or persons so nominated shall report their findings to the designated person, as soon as practicable from the date when the disclosure was made. If the investigation is likely to be protracted, the designated person shall inform in writing both the person making the disclosure and any person who may be the subject of the disclosure of the reasons for the delay Where in the conduct of the investigation the person who made the disclosure is invited to give evidence, make representations or otherwise communicate with the investigator or investigators, s/he shall be given the opportunity to be accompanied by her/his trade union official or a work colleague (in the case of a worker) or a Students Union representative or current fellow student at King s (in the case of a student) Where the disclosure relates to the conduct of an individual, s/he shall normally be given an opportunity to make representations to the person or persons conducting the investigation referred to in paragraph above, and to be represented by her/his trade union official or work colleague. 4.5 Stage four: decision by the designated person On receipt of the report of the investigation referred to in paragraph above, the designated person shall decide what action should be taken. Depending on the nature and circumstances of the disclosure, and the substance of the report by the investigator or investigators, the designated person may: a) decide not to proceed with the matter; b) refer the matter to be dealt with under a different King s procedure; or c) refer the matter to the police or other appropriate authority The designated person shall inform in writing the person making the disclosure of the decision and the reasons for the decision as soon as possible after the decision has been made. At the same time, if the designated person considers it appropriate to do so, the designated person shall inform in writing any persons to whom the disclosure relates of the decision and the reasons for the decision. 4.6 Determination by the designated person concludes the process under this procedure. If evidence not previously available comes to light after determination by the designated person, the individual making the disclosure may raise it with the designated person. In such cases the designated person will decide at his or her discretion whether or not to reconsider the position under this procedure in light of any such new evidence. 5 Other matters 5.1 Exceptional cases The Public Interest Disclosure legislation enables workers to make a disclosure to their employer and to others in certain circumstances, including the case of a failure of an exceptionally serious nature. This term is not defined. But any such disclosure is protected only if reasonably believed to be substantially true, not made for personal gain, and reasonable in all the circumstances, including with regard to the identity of the recipient The foregoing procedures should make it unnecessary for any member of King s to contemplate the need to make a disclosure to someone other than a designated person, even in the case of an exceptionally serious failure, but they do not, of course, take away any statutory rights which might otherwise be available. 5.2 Contractual duties of confidentiality Page 4

5 5.2.1 Any term of a worker s contract of employment is void in so far as it purports to preclude the Public Interest Disclosure legislation This Code does not abrogate or diminish existing contractual or statutory rights of members of King s to disclose information. Approved by Principal s Central Team 13 May Page 5