Whistleblowing policy

Why do we need this policy? 

The Crick is committed to the highest standards of transparency, probity and accountability.  

It is therefore essential that where serious concerns relating to malpractice are identified, anyone working at the Crick feels confident in raising them, knowing that they will be properly addressed and without fear of losing their job, feeling victimised, or being exposed to subsequent discrimination or disadvantage.  

Is this the right route for escalating my issues and concerns? 

It is important that the formal whistleblowing process is viewed in the context of the other policies and procedures that are in place to help address issues of concern and which may be more appropriate to use in the majority of situations.  For example, an employee’s own personal situation or working conditions should usually be addressed through the grievance policy or dignity at work policy.  Also, the procedure for investigating allegations of scientific misconduct would be more appropriate for formally raising concerns relating to scientific research misconduct or malpractice.  These formal safeguards are in addition to the informal support available from your line manager in helping you address day to day issues or concerns.  A list of policies which may help you is below.

The whistleblowing process set out in this policy should be used for serious concerns relating to malpractice.  Examples of matters which might prompt serious concerns being raised under this policy include: 
•    Financial malpractice, impropriety or fraud
•    Activities which involve or have the potential to involve bribery or corruption
•    Failure to comply with a legal obligation
•    Endangering of health and safety or damage to people, equipment or the environment
•    Criminal activity
•    Professional malpractice
•    Improper conduct or unethical behaviour
•    Conflict of interest
•    Attempts to conceal any of the above

Are there external standards that the Crick needs to meet? 

The Public Interest Disclosure Act (PIDA) 1998 (and amended by the Enterprise and Regulatory Reform Act 2013 ) provides statutory protection for workers who raise genuine concerns based on a reasonable belief that malpractice is being, has been, or is likely to be committed.  This policy reiterates that the PIDA protections apply to everyone working at the Crick.  The policy meets the Crick’s regulatory requirements and reflects established best practice for whistleblowing.  PIDA also provides protection to individuals who make protected disclosures outside internal whistleblowing mechanisms.  This can include referrals to regulatory bodies, government ministers and in limited circumstances, the media.  However, further tests must be met for these disclosures to be protected.  

The Fraud Act 2006 deals with any act or omission which is committed dishonestly and with intent to cause gain or loss. The Crick seeks to prevent fraud and corruption from happening and has a policy against fraud, corruption and money laundering to deal with these matters. 
Offences covered by the Proceeds of Crime Act 2002 and the Money Laundering Regulations 2007 may be considered and investigated in accordance with the policy against fraud, corruption and money laundering.  

Who does the whistleblowing policy apply to? 

This policy applies to the whole Crick community which includes all Crick employees, students, visitors (including visiting scientists), contractors, agency staff, service providers and anyone else engaged to work at the Crick, whether by direct contract with the Institute or otherwise.  

The policy covers incidents at the Crick and at any work-related setting outside the institute, e.g. conferences, retreats and Crick-related social events.  

What role do I play and what are my responsibilities? 

Everyone at the Crick has a responsibility to raise any serious concerns they may have relating to existing, previous or likely acts of malpractice.  In order to raise a serious concern, proof of malpractice is not necessary.  Holding a genuine, reasonable belief is sufficient. The individual should report their concern as soon as possible after forming their genuine and reasonable belief. It is the Crick’s responsibility rather than the that of the individual to investigate, gather and assess evidence relating to each allegation raised.  

How do I raise a concern? 

Concerns can be raised via Speak Up, our external reporting service.  Speak Up is a confidential way for you to raise serious concerns including whistleblowing, anonymously if necessary.  Concerns can be reported via the Speak Up website or by calling the freephone UK hotline 0800 098 8387.  Due to the seriousness of this type of concern, and the amount of detail required, the mobile reporting system is not advised.  To find out more about Speak Up, please read the Speak Up page on CrickNet.

Alternatively, concerns can be raised by email to whistleblowing@crick.ac.uk.  This email address is accessed only by the Deputy General Counsel or their nominated deputy.

Concerns relating to the Deputy General Counsel personally or personnel in the Deputy General Counsel’s office, should be sent to the Chief People Officer or the COO clearly marked ‘whistleblowing’ in the subject.

Concerns should include as much information, background and context and history as possible.  If you are comfortable doing so, you should include your contact details so that you can be contacted with updates and asked to assist in any enquiries. It is also important to help the Crick ensure protection for you against any reprisals following disclosure.  

Whilst anonymous disclosures are preferable to remaining silent, they are less powerful and may hinder proper investigation of the concern.  

The process that will be followed in investigating, addressing and reporting back on your concern is provided below.  

What protections will I have if I raise a concern? 

An individual making a 'qualifying disclosure in the public interest' has the right not to be dismissed, subjected to any other detriment, or victimised for having made the disclosure. A “qualifying disclosure” means any disclosure of information that, in the reasonable belief of the individual, is made in the public interest.  However, disciplinary action may be taken in relation to disclosures that are determined to be malicious or vexatious following investigation.  Misconduct discovered as a result of investigations conducted under this policy may result in the Crick’s disciplinary policy being initiated (or legacy MRC disciplinary policy if appropriate).  

All disclosures will be treated in a confidential and sensitive manner and in accordance with the principles of the Data Protection Act 2018.  The identity of the individual making the disclosure will be kept confidential insofar as practicably possible.  Identity may in certain circumstances need to be revealed to enable an effective investigation or where notification to a third party, such as the police, is required.  In these circumstances the consent of the individual will usually be sought before their details are passed on.  The substance of the allegation may be passed on without the individual’s details, without their consent.  

The Crick may be liable should we fail to take reasonable steps to prevent the harassment or victimisation of whistle-blowers by their colleagues.  Any employee can also be personally liable if they subject a whistle-blower to a detriment.  

Where can I get support and advice? 

Anyone unsure about whether to raise a concern under this or another procedure can discuss matters confidentially with any of the following: 
•    The Speak Up UK freephone hotline 0800 098 8387
•    Their manager or mentor 
•    A People Partner or the Chief People Officer 
•    Any Staff Forum Representative  
•    Protect, an independent charity which provides free confidential advice on whistleblowing. Their advice line is 020 3177 2520.

Alternatively, guidance on:

•    Ways to raise concerns at the Crick is available on CrickNet
•    The Crick has a 24-hour, independent assistance programme, Spectrum.Life, which offers confidential advice and a counselling service. For further information and support, please contact your People Partner or Advisor.

How will a whistleblowing concern be investigated, addressed and reported back?
If the concern has been submitted via Speak Up, an acknowledgement of receipt will be automatically sent to the reporter’s email address. If the concern has been raised anonymously, the reporter will need to access Speak Up to follow up using their report key and password.

If a concern is submitted to whistleblowing@crick.ac.uk an acknowledgement of receipt will be sent as soon as practically possible.

A suitable reviewer will be appointed who will consider the information made available and decide whether there are grounds for proceeding further.  The reviewer may wish to clarify concerns raised by the individual, make some initial enquiries, and/or seek advice in confidence from relevant colleagues in reaching a considered decision as to next steps.  To do so, the reviewer will add questions and/or comments onto the external Speak Up system.  The person raising the concern will be required to access Speak Up and follow up, using their Report Key and password to read and respond to the reviewer.  An anonymous exchange can be conducted this way.  

If the whistleblowing@crick.ac.uk email has been used, the reviewer will respond to the reporter’s email address.  

The action taken will depend upon the nature of the concern, the appropriate method of investigation, the skills needed and nature of evidence required to substantiate (or otherwise) the concern.  Concerns will be triaged according to area of expertise. A process flow can be found below. Where it is found that action is required to address concerns substantiated by the review, actions will be taken to communicate to those affected without compromising the anonymity or protections afforded to the person who raised the concern.  

Where no further action is considered necessary, the reason for this will be communicated to the individual via the external Speak Up system, or to the email address if the whistleblowing@crick.ac.uk email address was used to report the concern.  

The reviewer assigned to the case on Speak Up will decide what, if any, further action to take.
If the case was reported to the whistleblowing@crick.ac.uk email address, the Deputy General Counsel, or COO as appropriate, will decide what further action is required.

If there are grounds for proceeding further, concerns may be: 

•    Investigated internally
•    Referred to the police
•    Referred to our auditors
•    Referred to the appropriate government department or regulatory agency, and/or 
•    Form the subject of an independent inquiry.

The investigation may require the individual who has raised the concern and other individuals involved being asked to provide written statements and being asked to comment on any additional evidence obtained.  Investigators need to have the required training and experience to conduct investigations, including interview techniques and proper evidence handling.  Employees who are asked to attend an investigatory meeting can be accompanied by a Staff Representative or work colleague.  

Where serious wrongdoing is suspected, alleged wrongdoers may be suspended on full pay if the investigation might otherwise be prejudiced.  Suspension is a safeguarding act.  It is not a disciplinary sanction and does not in itself imply guilt or misconduct.  

Subject to confidentiality requirements, on conclusion of any investigation and as soon as reasonably practicable, the whistle-blower will be notified in writing of the outcome and what has been or will be done.  If no action is to be taken, the reason for this will be explained.  

The Deputy General Counsel will review the records of all whistleblowing cases on an annual basis and will produce a report which will be sent to the Audit and Risk Committee.  The report will include a summary of the concerns raised, the type of matter raised, the department to which the concerns related, if relevant, and any lessons learnt.  The report will not include any employee names.  The aims of the report are to ensure that the Crick learns from any matters raised, and to ensure that all matters are dealt with consistently.  

Whilst it is hoped that individuals who raise concerns are satisfied with any outcome and action taken under this policy, there may be instances whereby they continue to be concerned and wish to raise it further, individuals should either report their reasons for dissatisfaction via Speak Up, or write to the COO making it clear as to why they are dissatisfied.  Individuals will then be contacted by the Deputy General Counsel, or the COO or nominated deputy to discuss any further proposed actions.  

Individuals are encouraged to raise concerns internally however, if an individual feels that appropriate action has not been taken, they should report the concern to the correct prescribed body or person.  This information can be found at www.gov.uk

Individuals considering raising their concerns with the media should seek independent legal advice before doing so as they may not be protected unless certain conditions are met.  

What is the role of the policy owner? 

The policy owner is responsible for ensuring that: 
•    There is an appropriate level of awareness of this policy at the Crick.  
•    The necessary supporting policies and guidelines are in place to provide sufficient clarity as to the role-specific expectations for each member of the Crick community.  
•    This policy is reviewed regularly and updated to align with external legislative, regulatory and other developments and to reflect current best practice.  

What is the role of the policy sponsor? 

The sponsor is responsible for monitoring the implementation of the policy and evaluating its continued effectiveness.

The Audit and Risk Committee of the Board of Trustees of the Crick reviews the arrangements for colleagues to raise concerns and has ultimate responsibility for ensuring that those arrangements allow proportionate and independent investigation of concerns that are raised and appropriate follow up action.  

Where can you find more information?

•    Speak Up
•    Ways to raise concerns

What related and legacy policies apply to you?

•    Code of conduct 
•    Procedure for investigating allegations of scientific misconduct
•    Disciplinary policy
•    MRC disciplinary policy
•    Grievance policy
•    Dignity at work policy
•    Policy against fraud, corruption and money laundering
•    Conflict of interest policy