Whistleblowing Policy

Policy Intent

The Whistleblowing Policy is designed to: 

• encourage staff to report suspected wrongdoing as soon as possible, in the knowledge that their whistleblowing concerns will be taken seriously and investigated as appropriate, and that their confidentiality will be respected;
• provide staff with guidance as to how to raise those whistleblowing concerns;
• reassure staff that they should be able to raise genuine whistleblowing concerns without fear of reprisals, even if they turn out to be mistaken; and
• protect staff who raise whistleblowing concerns in good faith in the correct way. 

The University is committed to conducting our business with honesty, integrity and transparency and we expect all staff to maintain high standards. However, all organisations face the risk of things going wrong from time to time, or of unknowingly harbouring illegal or unethical conduct. A culture of openness and accountability is essential in order to prevent such situations occurring and to address them when they do occur. The University also wishes to promote an environment where individuals feel safe in the knowledge that raising whistleblowing concerns will be supported and not result in any form of retaliation. 

Legislation

• Employment Rights Act 1996
• Public Interest Disclosure Act 1998 

Definitions

For the purpose of this policy and for ease of reference only: 

• ¡°Staff¡± means:

1. University employees (¡°employees¡±) (whether full or part-time); and
2. ¡°Other individuals¡± working for or with the University to include officers, consultants, trainees, casual workers, agency workers (including those appointed through UniWorkforce), volunteers and interns

• ¡°us¡±, ¡°we¡±, and ¡°our¡± means the University.
• ¡°Whistleblowing¡± means the disclosure of information which is genuinely and reasonably believed to be in the public interest, and which relates to suspected wrongdoing, risk, malpractice, an illegal act or dangers at work. It may include concerns raised regarding:

1. criminal activity;
2. failure to comply with any legal obligation or regulatory requirement;
3. miscarriages of justice;
4. danger to health and safety;
5. damage to the environment;
6. bribery under our Anti-corruption, Fraud and Bribery Policy;
7. slavery and human trafficking under our Modern Day Slavery and Human Trafficking Statement; and
8. attempts to suppress or conceal any information relating to any of the above matters.

• ¡°Whistleblower¡± means a person who raises a genuine whistleblowing concern relating to any of the above.
• ¡°Whistleblowing Concern¡± means a genuine concern related to suspected wrongdoing or danger affecting any of our activities that staff should report under this policy.
• ¡°Whistleblowing Officer¡± or ¡°WBO¡± means the Vice-President (Operations) who has overall responsibility for the effective operation of this policy, and for reviewing the effectiveness of actions taken in response to whistleblowing concerns raised under this policy. The WBO¡¯s contact details can be found at the end of this policy.  

1. Policy Scope

This policy applies to all staff, as defined above, working for or with the University.  

This policy does not apply to students, who, instead, are encouraged to report their concerns to the Student Hub (studenthub@soton.ac.uk or 02380 599599) or via Report and support if they prefer to report anonymously.  

This policy does not apply to third parties who have a concern. Third parties are encouraged to report their concerns in accordance with the University¡¯s complaints process. 

There is a difference between whistleblowing and raising a grievance. This policy should not be used by staff to address their own personal concerns, conflicts or complaints about their own employment with the University, such as issues with terms and conditions, working relations or the working environment. These concerns should first be raised with their line manager, Head of School or Head of Department. If concerns cannot be resolved informally, employees should raise a formal grievance under the Grievance Procedure. Whistleblowing focuses on reporting wrongdoing or malpractice that may have a broader impact on the University and others. A whistleblower may or may not be personally affected by the wrongdoing but raises concerns to alert others to potential harm. If an issue relates to an Employee¡¯s own personal employment but also involves broader concerns set out in the definition of ¡°whistleblowing¡±, employees should discuss with the WBO to determine which is the most appropriate route. 

The University has extensive policies and procedures for staff in relation to many areas including, but not limited to, bullying and harassment, academia, student discipline, health and safety, financial irregularity, research, general complaints and conflict of interest. For ease of reference there are procedures for addressing the following issues: 

• Bullying and Harassment
• Academic Appeals
• Student Discipline
• Student Academic Complaints
• Conflict of Interest 

Staff should refer to those procedures for reporting related concerns. 

If staff are uncertain whether something is within the scope of this policy or another, they should seek advice from the WBO. 

2. Policy Delivery

2.1 The WBO has day-to-day operational responsibility for this policy, and staff should refer any questions about this policy to them in the first instance.  

2.2 The WBO must ensure that appropriate and regular training is provided to all managers and other staff who may deal with whistleblowing concerns or investigations under this policy. 

2.3 If the WBO is unavailable or absent from the University, the Deputy Vice-President Operations, whose details are at the end of this policy may act as the WBO. If the WBO considers they may be conflicted when a potential whistleblowing concern is raised with them, they will report this to the Chair of Audit and Risk Committee. This may result in the Chair of the Audit and Risk Committee appointing a senior officer of the University to act as the WBO. If the staff member raising the potential whistleblowing concern reasonably considers that the WBO (or in their absence, the Deputy Vice-President (Operations)) may be conflicted, they have the right to raise this potential conflict of interest with the Chair of the Audit and Risk Committee. The Chair of the Audit and Risk Committee will determine whether there is a conflict of interest and may appoint a senior officer of the University to act as the WBO. 

2.4 All staff are responsible for the success of this policy and are expected to use it to disclose any suspected wrongdoing.  

2.5 The University will monitor the effectiveness of this policy and its general compliance within the organisation. This policy will be kept up to date and amended accordingly to reflect any changes in response to revised legislation and applicable standards and guidelines. 

2.6 The WBO will keep the President and Vice-Chancellor and the Chair of the Audit and Risk Committee informed of the outcome of whistleblowing investigations. This will include consideration of whether the outcome should be reported to an external body such as a regulator. The WBO will make an annual report to the Audit and Risk Committee, detailing the number of issues raised under this Policy, and a summary of the outcomes of the actions taken.

3. Confidentiality and Anonymity 

3.1 The University hopes that staff will feel able to voice whistleblowing concerns openly under this policy. If they wish to raise their whistleblowing concern confidentially, we will respect this request and make every effort to keep their identity secret. If it is necessary for anyone investigating a whistleblowing concern to know the identity of the whistleblower, we will discuss this with them. Unless the law requires otherwise, we will only disclose their identity with the whistleblower¡¯s consent. 

3.2 We do not encourage staff to make disclosures anonymously, although we will make every effort to investigate anonymous disclosures. Staff should be aware that proper investigation may be more difficult or impossible if we cannot obtain further information from them. It is also more difficult to establish whether any allegations are credible. Whistleblowers who are concerned about possible reprisals if their identity is revealed should come forward to the WBO or one of the other contacts listed at the end of this policy and appropriate measures can then be taken to preserve confidentiality and provide support. If staff are in any doubt, they can seek advice from their trade union or professional body, an independent legal adviser or Protect, the independent whistleblowing charity, who offer a confidential helpline. Their contact details are at the end of this policy. 

3.4 If staff want to raise their whistleblowing concern anonymously, they can do so via our Report + Support tool, the details for which are at the end of this policy. However, as outlined above, we would be unable to formally investigate and address the concerns in accordance with the whistleblowing policy unless the whistleblower provides contact information when using the Report + Support tool and is able to discuss the matter with us. 

3.5 We will endeavour to ensure that whistleblowers suffer no detriment for raising a whistleblowing concern in accordance with this policy. Concerns about possible reprisals if the whistleblower¡¯s identity were to be revealed should be raised with the WBO or the person with whom staff raise their whistleblowing concern.

4. Raising a Whistleblowing Concern 

4.1 The University hopes that in many cases staff will be able to raise any whistleblowing concerns with their line manager, Head of School or Head of Department. Staff may tell them in person or put the matter in writing. They may be able to agree a way of resolving the whistleblowing concern quickly and effectively. In some cases, they may refer the matter to the WBO. 

4.2 However, where the matter is more serious, or staff feel that their line manager has not addressed the whistleblowing concern, or staff prefer not to raise it with them for any reason, they should contact one of the following: the WBO or in their absence the Deputy Vice-President Operations. Further details are set out at the end of this policy. 

4.3 When a whistleblowing concern is raised with them the WBO will arrange an initial meeting at the earliest opportunity to discuss it. The person raising the whistleblowing concern may bring a colleague or union representative to any meetings under this policy. The companion must respect the confidentiality of the disclosure and any subsequent investigation.  

4.4 A note taker will be present at the meeting to take down a written summary of the whistleblowing concerns.  

4.5 After the initial meeting, the WBO will determine whether the concern raised falls within the scope of this policy (in which case an investigation will proceed in accordance with section 5 of this policy); or whether it should be considered under a different internal policy; and if this policy applies, the scope of any investigation. 

4.6 The whistleblower will be given a written summary of the whistleblowing concern and an indication of how the WBO proposes to deal with the matter. 

5. Investigation

5.1 The University is committed to ensuring that all disclosures are dealt with appropriately, consistently, fairly, and professionally.  

5.2 Where the WBO has determined that an investigation is necessary in accordance with section 4.5, they will outline the scope of any investigation. The whistleblower will be informed that an investigation is to be conducted. During the investigation, they may be required to attend additional meetings to provide further information. 

5.3 In some cases, the WBO may appoint an investigator or team of investigators, including staff with relevant experience of investigations or specialist knowledge of the subject matter. The investigator (or investigators) may make recommendations for change to enable us to minimise the risk of future wrongdoing. The investigator(s) may also recommend that the matter should be referred to an external auditor, agency, or other relevant body (such as the Police, the Health & Safety Executive or the Office for Students).  

5.4 The WBO will aim to keep the whistleblower informed of the progress of the investigation and its likely timescale. However, sometimes the need for confidentiality may prevent us giving specific details of the investigation, an outcome or any disciplinary action taken as a result. Staff should treat any information about the investigation as confidential. 

5.5 If a decision is made not to proceed with an investigation, the decision will be explained as fully as possible to the individual who raised the whistleblowing concern. 

6. Outcome 

6.1 While we cannot always guarantee the outcome staff are seeking, we will try to deal with the whistleblowing concern fairly and in an appropriate way. By using this policy, staff can help us to achieve this. 

6.2 The outcome of any investigation will be reported to the WBO so that they may decide whether any further action should be taken to minimise future wrongdoing or support the whistleblower. A summary of the outcome will also be provided to the whistleblower, subject to any confidentiality concerns.  

6.3 If the whistleblower is dissatisfied about the way in which their whistleblowing concern has been handled, they can raise it with one of the other key contacts outlined at the end of this policy. Alternatively, staff may contact the Chair of the Audit and Risk Committee or our external auditors. Contact details are set out in Section 10 at the end of this policy. 

7. External disclosures 

7.1 The aim of this policy is to provide an internal mechanism for reporting, investigating, and remedying any wrongdoing in the workplace. In most cases those with a whistleblowing concern should not find it necessary to alert anyone externally.  

7.2 The law recognises that in some circumstances it may be appropriate for staff to report whistleblowing concerns to an external body such as a professional body or regulator such as the Office for Students or the Health and Safety Executive. We strongly encourage staff to seek advice before reporting a concern to anyone externally. The independent whistleblowing charity, Protect (formerly known as Public Concern at Work), operates a confidential helpline. They also have a list of prescribed regulators for reporting certain types of concern. Their contact details are at the end of this policy. Staff can also seek advice from their Trade Union, whose contact details are found at the end of this policy.  

7.3 Whistleblowing concerns usually relate to the conduct of our staff, but they may sometimes relate to the actions of a third party, such as a funding body, government agency, supplier or service provider. In some circumstances, the law will protect staff if they raise the matter with the third party directly. However, we encourage staff to report such whistleblowing concerns internally first, in line with this policy.  

8. Protection and Support for Whistleblowers 

8.1 It is understandable that whistleblowers are sometimes worried about possible repercussions. We aim to encourage openness and will support staff who raise genuine concerns under this policy, even if they turn out to be mistaken. 

8.2 Whistleblowers must not suffer any detrimental treatment as a result of raising a whistleblowing concern. Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment connected with raising a whistleblowing concern. If whistleblowers believe they have suffered any such treatment, they should inform the WBO, line manager or HR immediately. Alternatively, they should contact the Chair of the Audit and Risk Committee ¨C see details in Section 10 at the end of the policy. If the matter is not remedied for employees, it should be raised formally using our Grievance Procedure.  

8.3 Staff must not threaten or retaliate against whistleblowers in any way. If employees are involved in such conduct they will normally be subject to disciplinary action. In some cases, the whistleblower could have a right to sue the staff member personally for compensation in an employment tribunal. 

8.4 The University takes its duty of care to its staff very seriously and it is our responsibility to ensure that they are supported through their time working with the University. To access the range of support available at the University for employees please visit the Support SharePoint Site.  

9. Compliance with this Policy 

9.1 If employees fail to comply with this policy it may result in disciplinary action being taken against them under the University¡¯s relevant procedures, up to and including summary dismissal. 

9.2 If we conclude that an employee has made false whistleblowing allegations maliciously, vexatiously or in bad faith, the employee will be subject to disciplinary action. Making an external disclosure in good faith, regardless of whether it was first raised internally, will not itself be grounds for disciplinary action. 

9.3 If other individuals fail to comply with this policy it may result in the termination of their engagement with the University. 

10. Contacts

Roles and Responsibilities 

Vice-President (Operations) will ensure the effective operation of this policy.  

Line Manager 

• Will handle or resolve whistleblowing concerns informally where appropriate
• Will escalate serious whistleblowing concerns they received to the WBO  

Staff 

• Will read, seek to understand, and comply with the policy
• Will raise any whistleblowing concerns promptly in line with section 3 of this policy 

Governance Services 

• Will provide support to the WBO to operate this policy. 

Audit and Risk Committee 

• Will receive an annual report on whistleblowing complaints raised under this policy.