Whistleblowing (Public Interest Disclosure) Code

Whistleblowing Procedure

1.

To whom should a report be made?

(a)

Any member of staff of the University, or student or lay member of the University who wishes to disclose malpractice to the University should inform the Registrar [Note 1] of the circumstances. The Registrar will in all cases inform the President of Council of the disclosure. (In cases of disclosure relating to the Registrar, disclosure should be made to the Chief Financial Officer. In cases relating to the Chief Executive Officer of the University of Nottingham in Malaysia or the University of Nottingham Ningbo, China, disclosure should be made to the Registrar, UK).

(b)

You can raise your concerns orally or in writing and you must state that you are using the Whistleblowing Code.

2.

What kind of concerns should be reported?

(a)

Normally any concern about a workplace situation should be raised with the employee's immediate manager or Head of School or Department; in the case of students, concerns would normally be raised through the complaints procedures. However, it is recognised that the seriousness or sensitivity of the issue may sometimes make this extremely difficult. You should therefore use this Code if you have a genuine concern that there are reasonable grounds for believing that:

(i)

a criminal offence has been committed, is being committed, or is likely to be committed; or

(ii)

a person has failed, is failing, or is likely to fail to comply with their legal obligations; or

(iii)

a miscarriage of justice has occurred, is occurring, or is likely to occur; or

(iv)

the health and safety of any individual has been, is being, or is likely to be endangered; or

(v)

the environment has been, is being or is likely to be damaged; or

(vi)

any of the above are being, or are likely to be, deliberately concealed.

(b)

In general, this Code covers actions or omissions you consider are illegal, contrary to policy or established procedure or outside the scope of an individual's authority, actions which could damage the University's reputation and conflicts of interest. Examples include academic malpractice, financial and procedural irregularity, deliberate suppression or concealment of malpractice. However, only disclosures concerning those actions falling strictly within the categories in paragraph 2(a) (i) to (vi), will be eligible for the relevant statutory protection under PIDA. [Note 2]

3.

What concerns should not be reported under this procedure?

(a)

Issues for which appropriate procedures already exist. These include Staff Grievances, Harassment, Academic Appeals, Student Discipline and Complaints Procedures.

(b)

Personal grievances.

4.

What about confidentiality?

(a)

The Registrar [Note 3] will treat disclosure as confidential and the identity of the discloser will not be revealed unless this is essential to the investigatory process.

(b)

Individuals making a disclosure are expected to reveal their identities and the University will generally decline to investigate disclosures made anonymously.

(c)

In making this provision, it should be recognised that the discloser must act in good faith. The University will not pursue matters which arise from disclosures which are shown to be malicious or frivolous.

5.

What happens when a concern is raised?

(a)

If there is prima facie indication of malpractice or wrongdoing, the Registrar (or Chief Financial Officer or CEO in appropriate cases) will arrange for an investigation and a report to be made or, if appropriate, will refer that matter to the Internal Audit Service, for action under another policy (such as the Fraud Policy) or to an external agency as circumstances warrant. It will be recognised that the resultant report may lead to the matter being referred to the relevant discipline, harassment, complaint or grievance procedure.

(b)

The investigating body will report its findings to the Registrar (or Chief Financial Officer or CEO) and he/she shall:

(i)

take no further action save to inform the discloser of the decision and reasons for it; or

(ii)

refer the matter to the police in the case of alleged criminal activities; or

(iii)

refer the matter for appropriate action within existing University procedures.

Note that the need for confidentiality may prevent the Registrar from providing specific details of the investigation or actions taken to the discloser.

6.

Further provisions

(a)

Individuals who raise genuinely-held concerns in good faith under this procedure will not be dismissed or subjected to any detriment as a result of such action. Detriment includes unwarranted disciplinary action and victimisation. If you believe that you are being subjected to a detriment as result of raising concerns under this Code, you should raise the matter under the staff grievance or student complaints procedure, as appropriate. Any staff member or student who victimises or retaliates against those who have raised concerns under this policy will be subject to disciplinary action.

(b)

If an investigation under this procedure concludes that a disclosure has been made maliciously, vexatiously, in bad faith or with a view to personal gain, the whistleblower will be subject to disciplinary action.

1

or the relevant Chief Executive Officer if the issue relates to the University of Nottingham in Malaysia or the University of Nottingham Ningbo, China. The CEOs will report disclosures to the Registrar, UK

2

Note that the terms of PIDA itself only apply to individuals employed in the UK

3

or other officer to whom disclosure is made under the terms of Paragraph 1(a)