UK SBS Whistleblowing Policy Version Date Author Owner Comments 1.0 Dec 2014 Oliver Donaldson Corporate HR Approved by Board 2.0 10/09/2015 M Wilson Corporate HR Approved by Board 3.0 21/1/2016 M Wilson Corporate HR Approved by Board Next Review Date September 2016
Freedom of Information Statement This process is suitable for publication in its entirety in accordance with the Freedom of Information Act 2000. (UK SBS is legally obliged to proactively publish its policies in full. Guidance is to be sought from the Records Manager when a policy is considered unsuitable for publication) Contents: 1. Aim 2. Purpose 3. Scope 4. Process Details 5. Responsibilities 6. Related Policies Page 2 of 5
1. Aim UK SBS is committed to conducting its business with honesty and integrity and honouring all legal obligations and standards expected of a company working in the public service space. The aim of the whistleblowing policy and process is to set out the arrangements for the reporting and investigation of suspected wrongdoing in the Company and the Company s commitment to those who report suspected wrongdoing in the public interest in good faith. This matter is covered by the Public Interest Disclosure Act 1998 and the Enterprise and Regulatory Reform Act 2013. 2. Purpose The purpose of the policy and process is: to explain the circumstances when it may be appropriate to report suspected wrongdoing at work (officially called making a disclosure in the public interest ) to encourage employees and other workers to report any suspected wrongdoing to provide guidance on how to report such issues to reassure employees that they will be protected from disciplinary action or illtreatment provided their disclosure meets certain criteria. 3. Scope This policy applies to all UK SBS employees, secondees, contractors and UK SBS Board members when acting on behalf of UK SBS and in relation to the Company s activities. 4. Policy details and process Everyone working at or for UK SBS has a duty to report things that are not right, are illegal or if anyone at work is neglecting their duties. All allegations, under the terms of this policy, will be treated seriously, investigated thoroughly, and resolved in an appropriate manner. 4.1 Protection for whistleblowers UK SBS encourages openness and people who raise concerns under this process in good faith, even if concerns are not found to be substantiated, will be supported by the Company. Whistleblowers must not suffer any detrimental treatment, provided they honestly think that what they are reporting is true, they tell the right person and the issue meets the criteria of a qualifying disclosure as set out in paragraph 4.2 below. Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment connected with raising a concern. If, having raised a concern in accordance with this policy and process, you feel you are suffering some form of detrimental treatment you should report this immediately to the person investigating the issue you have raised or to Corporate HR. If you are a Trade Union member, you should also contact your Trade Union Representative. You will be protected if you raise a concern in good faith. If allegations are made that are found to be malicious or with a view to personal gain, then disciplinary action could be brought against you. Page 3 of 5
4.2 Qualifying disclosures A qualifying disclosure is when someone reports: that a criminal offence has been, is being or is likely to be committed that someone s health and safety is in danger that the company is not obeying the law damage or danger to the environment a miscarriage of justice improper or unethical conduct potential maladministration that someone is covering up one of the issues above. The whistleblower should also believe that their disclosure is in the public interest. This policy and process is not the appropriate route if you have a dispute about your own personal work contract. The grievance procedure exists for that purpose. 4.3 How to raise a concern If you believe that behaviour as listed in paragraph 4.2 above has been or is going to be carried out, you should report it either to your Line Manager or, if this is inappropriate, to the Company Secretary. When reporting your concern, you should include the following information: The background and history to your concern Any relevant dates The reason why you are concerned about the situation Should your concern involve your Line Manager, you should report your suspicion to the next highest level of authority without notifying the person about whom you are concerned. In the case of a concern that implicates the Company Secretary personally, your disclosure should be to the Executive Director. If your concern implicates the Executive Director personally or you feel uncomfortable reporting your concern to anyone within the Company s line management chain, your concern can be raised with the UK SBS Audit Committee Chair; details of who this is can be found on the Company s intranet home page. It is hoped that employees will feel able to voice any concerns openly under this process as completely anonymous disclosures can be difficult to investigate. At your request, the investigating manager or team will make every effort to keep your identity secret, revealing it only where necessary to ensure proper consideration of the concerns you have raised. If you wish to raise a concern to the Company anonymously, you can do this in writing addressed to the Company Secretary or Executive Director or Audit Committee Chair and indicating that the letter is for the addressee s eyes only. If you feel you cannot report your concern to the Company, you should contact the relevant prescribed person or external body from a government list. You can find this list at www.gov.uk/government/publications/blowing-the-whistle-list-of-prescribedpeople-and-bodies. The guidance from the government is that you should only contact the prescribed person or body if you think that your employer: will cover it up would treat you unfairly if you complained has already been told of the concern but has not taken steps to address it. Page 4 of 5
Before reporting a concern externally, you are encouraged to seek advice. Public Concern At Work is an independent whistleblowing charity and operates a confidential helpline for those thinking of raising a concern. Their contact details are as follows: Helpline: 0207 404 6609 Email: whistle@pcaw.co.uk Website: www.pcaw.co.uk Advice can also be sought from your Trade Union representative. 4.4 Investigation Assuming you do not report your concern anonymously, the person to whom you report your concern will arrange a meeting with you as soon as possible to discuss the issue you have raised. You may bring a union representative or work colleague to this meeting. Both you and your companion should treat any information about the investigation as confidential. In some cases, the Company may appoint an investigator or team of investigators, including Managers with relevant investigations experience or specialist knowledge of the subject matter. The investigator may decide that the nature of the disclosure requires the involvement of Internal or External Auditors and, in circumstances where the indications are that a criminal offence has been committed, the Police. The person who raised the concern will be expected to co-operate with any party involved in the investigation. All investigations will be thorough and fair to all parties. You will be kept informed of the progress of the investigation and likely timescale. However, the need for confidentiality may prevent the Company giving you specific details of the investigation or any disciplinary or other action taken as a result. 4.5 If you are not satisfied All issues raised in accordance with this policy and process will be considered fairly and with care. If you are not happy with the way in which your concern has been handled, you can raise it with an appropriate, more senior person from those identified at paragraph 4.3 of this policy. 5 Responsibilities 5.1 Board The UK SBS Board, including the Executive Director, has a duty to ensure that UK SBS operates legally and ethically. 5.2 The policy owner The Head of Corporate HR is the policy owner and is responsible for monitoring it and providing advice and guidance on its operation. This policy shall be reviewed by the policy owner at least annually or whenever business or statutory reasons dictate. 6 Related Policies Corporate Code of Conduct Counter Fraud and Bribery Policy Managing Information Security Incidents Policy Owner Approver Next Review Corporate HR UK SBS Board September 2016 Page 5 of 5