The University of Sheffield
Human Resources

Public Interest Disclosure

1. Introduction
2. External disclosures
3. Purpose of the Policy
4. Matters covered
5. Confidentiality
6. Anonymous disclosures
7. Procedure for making a disclosure
8. Individuals named in a disclosure
9. Unfounded disclosures
10. Victimisation
11. Timescales
12. Feedback throughout the process
13. Records
14. Independent Review
15. Review of Policy
Footnotes

1. Introduction

The University of Sheffield as a public body has a duty to conduct its affairs in a responsible and transparent way and to take account of the requirements of its funding bodies for the proper use of public funds and of the standards required in public life.

The Public Interest Disclosure Act 1998, which came into effect on 2 July 1999, protects workers against detriment or dismissal for raising concerns about certain matters of public interest (1) and encourages the resolution of problems within the workplace.

This policy is designed to allow staff, students and all members of University bodies (eg University Committees and Faculty Boards) to raise, at a high level, concerns or information that they believe in good faith provides evidence of malpractice or impropriety. Individuals discovering apparent evidence of malpractice, impropriety or wrongdoing within the University should feel able to disclose the information appropriately, without fear of reprisal. This Policy and Procedure sets out how such disclosures should be made, and how cases will be handled by the University.

A person making a disclosure in good faith, without malice, and in line with this Policy will not be penalised for doing so.

This Policy is intended to be used to raise matters of general concern in the public interest. It is hoped that staff feel able to raise the majority of concerns with their line manager in the first instance. A number of policies and procedures are already available to staff and students, through which individuals may raise and resolve many issues of concern, for example the procedure for reporting financial irregularities within the Financial Directives, Grievance and Disciplinary procedures and Personal Harassment Guidelines.

2. External disclosures

To avoid possible prejudice to any internal investigation process, a disclosure should not normally be made to external bodies before it is raised through the internal mechanisms set out in this Policy.

However, under the Act, in certain limited circumstances (2) an individual making a disclosure to an external body relating to one of the matters covered by the Public Interest Disclosure Act 1998, may be protected from detriment or dismissal.

3. Purpose of the Policy

The purpose of this policy is:

4. Matters covered

This policy is designed to be used to raise serious concerns that are in the public interest. Examples of serious misconduct, impropriety or malpractice that may prompt such a disclosure, are:

This procedure is not designed to be used :

5. Confidentiality

All disclosures under this Policy will be treated in a confidential and sensitive manner. If required, the identity of the person raising the matter will be kept confidential for as long as possible provided that this is compatible with an effective investigation. The investigation process may however at some stage have to reveal the source of the information and the individual making the disclosure may need to make a statement as part of the evidence required.

6. Anonymous disclosures

Individuals are encouraged to put their name to any disclosure they make since part of the purpose of this policy is to promote openness and discourage a fear of reprisals. Disclosures raised anonymously are far less capable of being addressed effectively but may be considered after taking into account the seriousness of the issue, the credibility of the disclosure, the likelihood of being able to investigate the matter and confirm the allegation from alternative sources, and fairness to any individual mentioned in the disclosure.

Any individual wishing to make a disclosure verbally or to give further details as the matter is investigated may be accompanied by another person of his or her choice.

7. Procedure for making a disclosure

Any relevant disclosure should initially be made to the persons designated by the University to receive such disclosures. These "designated persons" are the Registrar and Secretary or A Pro-Vice-Chancellor. If a disclosure involves or implicates the Registrar and Secretary or A Pro-Vice-Chancellor then it should be made to the Vice-Chancellor and/or Chair of University Council, as appropriate.

The designated person to whom the disclosure has been made will consider the matters disclosed, and, if there are grounds for proceeding further, will:

If the designated person decides that there are no grounds for proceeding further, the person making the disclosure will be informed.

As the person conducting the investigation must not be the person who would ultimately take decisions based on the outcomes, the designated person to whom the disclosure has been made will not personally conduct the investigation and will remain separate from it.

Disclosures relating to financial matters will normally be investigated by the Internal Auditor and/or Audit Committee as set out in the Financial Directives, and the Director of Finance will normally be informed.

When the matter has been investigated the person to whom the disclosure was made will decide whether the matter should be taken further and if so, how it should be handled. This may include the initiation of formal procedures within the University or reference to an outside agency. In any event the outcome will be reported, as appropriate, to the Vice Chancellor, the Chairman of Council and (in cases with a financial aspect) the Audit Committee.

Reporting of the findings of any investigation will depend on the nature of the disclosure as it is not appropriate to be prescriptive as to the correct level of reporting in every case.

This Policy does not remove the right of individuals to invoke the relevant statutory procedures.

8. Individuals named in a disclosure

When an allegation is made against a "named individual", s/he will be informed of the allegation and supporting evidence. The point at which this occurs will depend on the specific nature of the case. S/he will be given an opportunity to respond either in writing or verbally and, if interviewed about the matter, will be given an opportunity to be accompanied by a person of his/her choice.

9. Unfounded disclosures

A disclosure made in good faith that is not confirmed by subsequent investigation will not lead to any action against the person making the disclosure. Individuals making disclosures that are found by subsequent investigation to be malicious and/or vexatious may be subject to disciplinary or other appropriate action.

10. Victimisation

Victimisation of a member of the University who has made a disclosure under this policy, may provide grounds for grievance, disciplinary or other appropriate action.

11. Timescales

Investigations will be conducted as speedily as possible, whilst having regard to the nature and complexity of the disclosure.

12. Feedback throughout the process

The person making the disclosure will be kept informed as to the handling of the matter and of decisions taken throughout the process.

13. Records

All concerns raised and action taken in response to disclosures will be recorded, and reports on all disclosures and investigations will be retained by the "designated person" for 5 years.

An official written record will be kept of each stage of the procedure.

14. Independent Review

Further CVCP guidance is awaited before an Independent Review process can be determined.

15. Review of Policy

The implementation of this Policy will be kept under regular review.

Footnotes

(1)criminal activity, failure to comply with a legal obligation, miscarriage of justice, endangering of health and safety, damage to the environment, attempts to suppress or conceal information relating to any of these.

(2)s/he reasonably believes: s/he will be subjected to detriment by the employer, or, that it is likely that evidence will be concealed/destroyed if disclosed to the employer, or, s/he has previously made substantially the same disclosure to his/her employer, or it is of an exceptionally serious nature and in all the circumstances it is reasonable for him/her to make the disclosure, and that s/he is makes the disclosure in good faith, reasonably believing it to be true and does not make it for personal gain (Précis of Act)

(3)The University Statutes, Section 29, Part I, 1(a), provide a "definition" of academic freedom as: ".... freedom within the law to question and test received wisdom, and to put forward new ideas and controversial or unpopular opinions, without placing themselves in jeopardy of losing their jobs or privileges".

Approved by University Council on 20 March 2000