Bath Spa University

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Public Interest Disclosure Policy and Procedures

Introduction

1. The University has a duty to conduct its affairs in a responsible and transparent way. This procedure has been developed in the light of the Public Interest Disclosure Act 1998 and the second report of the Nolan Committee into Standards into Public Life 1996. This policy is in addition to the University's Anti-Fraud and Anti-Corruption Strategy and separate from its jointly agreed Grievance Procedure.

Purpose of the Procedures

1. The purpose of the procedure is to encourage staff to raise genuine concerns about malpractice within the University without being subject to any detriment including victimisation and disciplinary action up to and including dismissal.

Malpractice

1. The malpractice referred to in paragraph two above may consist of:

1. a criminal offence which has been, is being or is likely to be committed;
2. a situation in which a person has failed, is failing or is likely to fail to comply with any legal obligation to which he/she is subject;
3. a miscarriage of justice has occurred, is occurring or is likely to occur;
4. the health or safety of any individual has been, is being or is likely to be endangered;
5. the environment has been, is being or is likely to be damaged; or
6. information tending to show any matter falling within any of the above categories has been, is being, or is likely to be deliberately concealed.

Internal Procedures for Disclosure

1. Any employee concerned about malpractice within the University as described in paragraph 3 a-f above should put their concerns in writing to the Director of Human Resources or the Deputy Vice-Chancellor responsible for the Human Resources Service. The Director of Human Resources (or Deputy Vice-Chancellor) will confirm receipt of the complaint in writing and in 'strictest confidence'. The complaint will be discussed with the Vice-Chancellor and a senior member of staff will be appointed to carry out an internal investigation. When appointing the investigating manager the University will have due regard to the appropriateness of his/her position within the University. The investigation will begin with an interview with the member of staff making the complaint.
2. Where the complaint alleges malpractice by another member of the University staff then the Senior Manager investigating the complaint will invoke the University's jointly agreed Disciplinary Procedures beginning with a Disciplinary Investigation.
3. Without prejudice to Section 5, 6 and 7 of this policy, where complaints allege malpractice by the Vice-Chancellor, the matter will be dealt with in accordance with procedures approved by the Board of Governors.
4. The Senior Manager conducting the investigation into the complaint will advise the complainant of the outcome of the investigations in writing, normally within ten working days. However, it may be necessary to extend the investigation in which case the complainant will be advised.

Public Disclosure

1. Following internal procedures, the complainant is entitled to raise the issue with an appropriate public body if
   1. the allegation is made in good faith,
   2. the complainant reasonably believes the information disclosed is substantially true,
   3. The disclosure is not made for purposes of personal gain

and at least one of the following applies:

1. The complainant reasonably believes the internal procedure was compromised or incomplete, or
2. s/he reasonably believes the University's response to have been inappropriate in view of the facts brought to light.

2. The complainant is entitled to bypass internal procedures only if the matter is exceptionally serious, and.
   2. the allegation is made in good faith,
   3. the complainant reasonably believes the information disclosed is substantially true,
   4. the disclosure is not made for purposes of personal gain.

in addition, at least one of the following must be true:

1. the complainant has reason to believe s/he will be subject to a detriment by his/her employer or manager if s/he discloses malpractice to his/her employer or to a prescribed person, or,
2. the complainant has reason to believe that evidence will be concealed or destroyed if s/he discloses malpractice to his/her employer or to a prescribed person within the University, or,
3. the complainant has reason to believe the internal procedures are being unreasonably delayed or sabotaged.

Inappropriate Public Disclosure

1. The University has the right to invoke its jointly agreed disciplinary procedures against the complainant, beginning with a disciplinary investigation where at least one of the following circumstances apply:
   1. the University considers it has carried out the internal procedures fairly and reasonably and has taken action, or not taken action, as was appropriate in the light of the investigation.
   2. the University considers that the complainant has bypassed the internal procedures unreasonably.
   3. the complainant did not make the disclosure in good faith,
   4. the complainant did not reasonably believe that the allegation was substantially true.
   5. the disclosure was made for the purpose of personal gain.

Safeguards

1. The identity of the complainant and the content of all relevant documentation will remain confidential to the Director of Human Resources (or the Deputy Vice-Chancellor) the Vice-Chancellor and the Senior Manager investigating the disclosure, subject to the University's jointly agreed Disciplinary and Grievance procedures (including equality procedures).
2. The complainant will be protected from detriment as described in paragraph two above except for the circumstances described in paragraph 6 above.

Amendment and Review of the Public Interest Disclosure Policy and Procedures

1. This Policy and Procedures may be amended by the University in consultation with the Joint Consultative and Negotiating Committee.
2. The Policy and Procedures will be reviewed at regular intervals.

Notes

Items (a) to (f) in the Malpractice section are set out in the Public Interest Disclosure Act 1998.