FXU Is Committed to the Highest Standards of Openness, Probity and Accountability. It Seeks

Document / FXU-BOT-303
Whistle blowing Policy
Version / Version a
Subject to Approval By / FXU Board
Approved / 31st October 2016
Subject to review / No more than 2 years
Next Review Date / Oct2018
Signed

FXU 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 staff and membership.

Whilst it is a fundamental term of every contract of employment that an employee will faithfully serve her or his employer and not disclose confidential information about the employer’s affairs, where an individual discovers information which s/he believes shows malpractice or impropriety within the organisation then this information should be disclosed without fear of reprisal. With effect from 1st January 1999 the Public Interest Disclosure Act has aided such disclosure by giving legal protection to workers making certain disclosures about matters of concern, where those disclosures are made in accordance with the provisions of the Act.

This procedure is intended to assist individuals who believe they have discovered malpractice within the Union. It is not designed to question financial or business policy decisions taken by the Union; nor may it be used to reconsider any matters which have already been addressed under other institutional processes, including inter alia grievance and disciplinary procedures.

SCOPE OF PROCEDURE

Whilst the Public Interest Disclosure Act covers primarily employees, agency workers and the self-employed, this procedure applies equally to the membership and volunteers.

This policy covers your disclosure of information to us (or, in extreme circumstances) to an external person or body where you reasonably believe that one or more of the following is taking place, took place in the past or is likely to happen in the future:

• a criminal offence;
• the breach of a legal obligation (e.g. breach of a contractual or other common law obligation, statutory duty or requirement or administrative requirement, including suspected fraud, malpractice or breach of a code of conduct);
• a miscarriage of justice;
• a danger to the health and safety of any individual;
• damage to the environment; or
• a deliberate covering up of information relating to any of the above.

Concerns may include:

• financial malpractice or fraud
• failure to comply with a legal obligation or with the Rules and Regulations of Union Operations

SAFEGUARDS

Protection

This Procedure is designed to offer protection against disciplinary action to those members/staff of the Union who disclose such concerns provided the disclosure is made:

1. in good faith; and
2. in the reasonable belief of the individual making the disclosure that it tends to show malpractice.

For the avoidance of doubt, disciplinary action may still be taken if we have reasonable grounds for thinking that you have committed a misconduct and/or criminal offence yourself.

Confidentiality

The Union will seek to treat all such disclosures in a confidential and sensitive manner. The identity of the individual may be kept confidential so long as it does not hinder or frustrate an investigation. However, the investigation process may reveal the source of information and the individual making the disclosure may need to provide a statement as part of the evidence required.

Anonymous Allegations

Individuals are expected to put their name to any disclosures they make. Concerns expressed anonymously may be rendered much less powerful, although they will be considered at the discretion of the Union.

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

• the gravity of the issues raised;
• the credibility of the concern; and
• the likelihood of confirming the allegation from alternative credible sources.

Given the potential seriousness of a complaint FXU may be required to disclose your identity. However, we will not do so without informing you.

Untrue Allegations

No action will be taken against any staff or member of the Union who makes an allegation in good faith which is not subsequently substantiated. If, however, an individual is adjudged to have made malicious or vexatious allegations, then disciplinary action may be taken against him/her.

PROCEDURES FOR MAKING A DISCLOSURE

Initial Step

The disclosure should be made to the Designated Person, who would normally be the Chief Executive Officer. If, however, the matter directly concerns the holder of that post or you do not feel comfortable approaching that post holder then the disclosure may be made to any other member of the Senior Management Team. If the matter directly concerns all of these individuals then it should be referred to one of the Presidents, who shall consult with a senior member of Falmouth or Exeter University (See appendix 1). If, in an extreme case, the matter directly concerns all members of the Senior Management Team and the Presidents, then the individual may approach the senior member of University staff. You do not have to put your complaint in writing, but it would help if you did so and we would suggest you use the attached form.

Process

The Designated Person will consider the information made available to her/him and decide:

1. whether or not the matter should be dealt with under the Procedure;and, if so
2. whether or not there is a clear case to answer.

In so doing, the Designated Person will decide whether a formal investigation should be conducted and, if so what form it should take. This will depend on the nature of the matter raised and may involve

• an internal investigation conducted by an independent senior member of the Union or by the Union’s Financial Auditor;
• referral to the Police;
• the establishment of an independent external inquiry.

Should a formal investigation be instituted, the Designated Person will use the outcome of this to decide whether or not the matter should be pursued further.

In some instances, it might be necessary to refer the matter to an external authority for further investigation and/or action.

The person or persons against whom the disclosure was made will be informed of the evidence supporting it and will be allowed to respond at an appropriate stage.

If the Designated Person decides that the matter does not fall within the procedure or that a clear case has not been made, the individual making the disclosure will be informed of this without delay and given the reasons. If the investigation finds that your concern(s) are well founded, disciplinary action will normally be taken against the person(s) who are the subject of the concern(s). Regardless of whether or not your concern(s) were substantiated, provided that your disclosure was made in good faith because you reasonably believed it to be true, your manager and/or the Designated Person will ensure that you are protected from reprisal or victimisation as a result of your complaint.

You will be given feedback with regard to the outcome of the investigation within five working days of completion of the investigation (including any disciplinary investigation). The exact nature of any disciplinary action taken against any person will, however, remain confidential.

There will then be an opportunity to repeat the disclosure to another appropriate person. For example, if the initial disclosure had been made to the Chief Executive Officer, then the subsequent disclosure would be made to another member of the Senior Management Team, or, if the latter had been the Designated Person, to the Presidents, in consultation with the appropriate member of University staff.

Report

A written report concerning each disclosure and any subsequent action taken will be made by the Designated Person to the Board of Trustees in order that the members of the Board may be assured that disclosures made under this Procedure are dealt with appropriately.

LINE MANAGEMENT

This policy is not to be considered a replacement for normal communication within the line management structure and indeed we encourage staff to address issues in this manner wherever possible to ensure good management. If, however, for any reason you do not feel comfortable or able to discuss the issue in the normal manner then this procedure is in place to empower you to discharge your duty of care to the organisation through an alternative outlet.

RAISING YOUR CONCERN EXTERNALLY (EXCEPTIONAL CASES)

The main purpose of this policy is to provide you with the opportunity and protection you need to raise concerns internally. We would expect that in almost all cases the most appropriate course of action would be for you to raise your concern internally.

However, if you are not satisfied with the outcome of the internal investigation and have already raised it with the Chief Executive Officer or another member of the Senior Management Team or University staff, or feel that you cannot raise your concerns internally, you can consider raising any of the matters of concern set out above with the appropriate regulator. In order to do so, however, you must honestly and reasonably believe them to be true and you must raise it with the appropriate regulator. A summary of the main bodies recognised for this purpose is set out below.

However, we hope that, having discussed your concerns, you will feel confident about raising them internally.

You have to comply with strict conditions when making external disclosures in order to retain the statutory protection provided by the Act.

List of Appropriate Regulators

The identity of the appropriate regulator will depend on the nature of your concern. However, the regulator must be one of those prescribed by the Public Interest Disclosure (Prescribed Persons) Order 1999 as amended. Some of the key regulators prescribed are set out below.

Relevant matters / Prescribed person
Tax, benefits and statutory payments
Matters relating to:
Income tax, corporation tax, capital gains tax, petroleum revenue tax, inheritance tax, stamp duties, national insurance contributions, VAT, insurance premium tax, excise duties and landfill tax.
Statutory Maternity Pay and Statutory Sick Pay.
Tax credits, child benefits and the collection of student loans.
Enforcement of the national minimum wage. / Commissioners of HM Revenue and Customs
Health & Safety and environmental risks
Actual or potential risks to the environment or the management or regulation of the environment / In England: Environment Agency
In Scotland: Scottish Environment Protection Agency
Matters that may affect the health or safety of:
Any individual at work
Any member of the public arising from the activities of persons at work / Health & Safety Executive
Matters that may affect public health or consumer interests in relation to food / Food Standards Agency
Consumer safety / Secretary of State for Trade & Industry
Compliance with food safety legislation / Local authorities that are responsible for the enforcement of food standards
Consumer rights
Matters concerning the sale of goods or the supply of services / Office of Fair Trading
Compliance with consumer protection legislation / Local authorities
Financial issues and fraud
Serious or complex fraud / In England and Wales: Director of the Serious Fraud Office
In Scotland: Lord Advocate
Fraud, and other misconduct, in relation to companies, investment business, insurance business, or multi-level marketing schemes (and similar trading schemes) / Secretary of State for Trade & Industry
Insider dealing / Secretary of State for Trade & Industry
The carrying on of insurance business / HM Treasury
The carrying on of investment business or of insurance business. / Financial Services Authority
The operation of banks and building societies, deposit-taking businesses and wholesale money market regimes / Financial Services Authority
The operation of friendly societies, benevolent societies, working men's clubs, specially authorised societies and industrial and provident societies / Financial Services Authority
The functioning of financial markets, investment exchanges and clearing houses / Financial Services Authority
Money laundering, financial crime, and other serious financial misconduct, in connection with activities regulated by the Financial Services Authority / Financial Services Authority
Fraud (and other irregularities) relating to the financial affairs of trade unions and employers' associations / Certification officer
Data protection and freedom of information
Compliance with the requirements of legislation relating to data protection / Information Commissioner
Compliance with the requirements of legislation relating to freedom of information / In England and Wales: Information Commissioner
In Scotland: Scottish Information Commissioner
Utilities
The generation, transmission, distribution and supply of electricity / Gas and Electricity Markets Authority
The transportation, shipping and supply of gas through pipes / Gas and Electricity Markets Authority
The provision of electronic communications networks and services and the use of electronic magnetic spectrum
Broadcasting and the provision of television and radio services
Media ownership and control
Competition in communications markets / Office of Communications
The supply of water and the provision of sewerage services / In England and Wales: Water Services Regulation Authority (OFWAT))
In Scotland: Water Industry Commissioner for Scotland
Transport
The provision and supply of railway services / Rail Regulator
Compliance with merchant shipping law, including maritime safety / Secretary of State for Transport
Compliance with civil aviation law, including aviation safety / Civil Aviation Authority
Public bodies and business
The proper conduct of centrally-funded public services / Comptroller and General of the National Audit Office
The proper conduct of public services in Scotland and Wales / In relation to Wales: Auditor General for Wales
In relation to Scotland: Auditor General for Scotland (and auditors or examiners appointed to act on his behalf)
The proper conduct of public bodies in Scotland / Audit Scotland
The proper conduct of local government bodies and health service bodies / Audit Commission for England and Wales (and auditors appointed by the Commission)
The proper conduct of local government bodies in Scotland / In Scotland: Accounts Commission for Scotland (and auditors appointed by the Commission)
Matters relating to the conduct of a person serving with the police / Independent Police Complaints Commission
Breaches by a member (or co-opted member) of a relevant authority of that authority's code of conduct / In England: Standards Board for England
In Wales: The Local Commissioner in Wales
Breaches by a councillor or a member of a devolved public body of the code of conduct applicable to that person under the Ethical Standards in Public Life etc. (Scotland) Act 2000 / The Standards Commission for Scotland and the Chief Investigating Officer
Healthcare and social services
The provision of health care for the purposes of the National Health Service
The provision of independent health services / In England and Scotland: Healthcare Commission
In Wales: the National Assembly
Matters relating to the provision of regulated social care services / In England: Commission for Social Care Inspection
In Scotland: Scottish Commission for the Regulation of Care
In Wales: National Assembly for Wales
Matters relating to the registration of social care workers / In England: General Social Care Council
In Wales: Care Council for Wales
In Scotland: Scottish Social Services Council
Matters relating to the rights and welfare of children in Wales / Children’s Commissioner for Wales
Matters relating to the views and interests of children. / Children’s Commissioner
Matters relating to promoting and safeguarding the rights of children and young people. / Commissioner for Children and Young People in Scotland
Other
The import and export of prohibited or restricted goods / Commissioners of HM Revenue & Customs
The listing of securities on a stock exchange; prospectuses on offers of transferable securities to the public / Financial Services Authority
Matters relating to occupational pension schemes and other private pension arrangements / Pensions regulator

Appendix 1

Any disclosures should be made to:

Chief Executive Officer (Designated Person)

Or, if the disclosure is about the Chief Executive Officer, or you do not feel comfortable approaching him / her, to:

A member of SMT

Or, if the disclosure is about all of the above, or you do not feel comfortable approaching any of the above, to:

One of the Presidents, who will consult with either the Chief Operating Officer (Falmouth University) or Head of Professional Services (University of Exeter, Cornwall Campuses).

Or, if the disclosure is about all of the above, including the Presidents, to:

Chief Operating Officer (Falmouth University) or Head of Professional Services (University of Exeter, Cornwall Campuses)

WHISTLEBLOWING AT WORK FORM

Your name:......

Department: ......

Where necessary, please continue on a separate sheet of paper and attach it to this form.

I believe that the following type of malpractice or misconduct is occurring/has occurred/is likely to incur [please delete as appropriate] within the FXU:

I believe that this amounts to:

Nature of allegation / Please tick the box that applies
A criminal offence
A breach of a legal obligation (e.g. breach of a contractual or other common law obligation, statutory duty or requirement or administrative requirement, including suspected fraud or malpractice)
A miscarriage of justice
A danger to the health and safety of any individual
Damage to the environment
Deliberate covering up of information relating to any of the above

I believe that the following individuals are involved in the malpractice or misconduct:

Name of individual / Department

I have the following documents that are relevant (please attach copies):

I am happy for my identity to be disclosed during the investigation

OR

I wish you not to disclose that I have made this complaint, but given the potential seriousness of such a complaint I understand that there are circumstances in which you may be required to disclose your identity. I understand that you will not do so, however, without informing me.

[Please delete as appropriate]

Signed ......

Dated......

Please return this form marked private & confidential the relevant listed in Appendix 1 of the Whistle Blowing Policy.