Raising Matters of Concern
All of us at one time or another have concerns about what is happening at work. Usually these concerns are easily resolved. However, when they are about serious malpractice like financial irregularities, dangerous working conditions, discrimination or fraud, it can be difficult to know what to do.
You may be worried about raising such issues or may want to keep the concerns to yourself, perhaps feeling it's none of your business or that it's only a suspicion. You may feel that raising the matter would be disloyal to colleagues, managers or the University. You may decide to say something but find that you have spoken to the wrong person or raised the issue in the wrong way.
The Governing Council has therefore introduced this procedure to enable you to raise your concerns about serious malpractice at an early stage. We want you to raise the matter when it is a concern rather than wait for proof.
If in doubt - raise it!
This procedure should not be confused with the University's established Staff and Student Grievance and Equal Opportunities Procedures (which can be obtained upon request from Human Resources or Student Services). The Clerk to the Governing Council will advise you of the appropriate procedure if required.
This procedure is not for anonymous complaints.
How to Proceed
Where you have a concern, we hope you will feel able to raise it with your line manager or through heads of faculties/departments, at official committees or through staff/student representatives including recognised trade unions. If you feel unable to follow that route, for whatever reason, you should follow the procedure below:
1. Concerns relating to financial misconduct
Concerns relating to financial misconduct should normally be made to the Vice-Chancellor as the Chief Executive and as the designated officer of the University accountable to the Higher Education Funding Council for England; or the Deputy Chief Executive and Finance Director. The Vice-Chancellor or Deputy Chief Executive may ask the internal auditors (RSM Tenon) to investigate the concern. If you feel unable to follow that route for whatever reason you should raise your concern with the Chairman of the Governing Council or the Chairman of Audit and Risk Committee.
2. Concerns relating to non-financial issues
Concerns relating to non-financial issues should normally be made to the Vice-Chancellor, Deputy Chief Executive and Finance Director, or either of the two Pro Vice-Chancellors (whether or not you report directly or indirectly to the person concerned). Alternatively, you can contact the Chairman of Governing Council or the Chairman of Audit and Risk Committee.
What happens next?
Having alerted us to the concern, it is our responsibility to investigate the matter. The initial stage will be to discuss the matter with you and then assess what further action should be taken. We will ask you how you wish to see the concern resolved, and whether you would want to be told about how we will conduct the investigation. If the person approached feels that the concern can be resolved quickly, or in a straightforward manner, it will be brought to the attention of the appropriate manager. The procedure may lead to other processes being implemented such as the disciplinary procedure or investigations by the internal auditors.
Assurances
Concerns raised under the procedure will be treated seriously and sensitively. Where it is practicable, immediate steps will be taken to remedy the situation. However the final outcome may take longer depending on the issue that is raised.
We will make every effort to keep your identity confidential if you wish this to be the case. If this is not possible, for example if you are asked to give evidence, you will be told and we will discuss the action with you. The earlier and more open the expression of a concern, the easier it will be to take action.
The University takes malpractice seriously. Staff have a responsibility to raise genuine concerns about dangers to public health and safety, fraud, maladministration or other serious malpractice. This is consistent with the duty of universities to conduct their affairs in a responsible and transparent way and to take into account the requirements of the Funding Councils and other regulatory bodies, together with the standards of public life enunciated in the reports of the Committee of Standards in Public Life (Neill Committee).
The Council will not tolerate harassment or victimisation of anyone raising a concern under the procedure in good faith, regardless of whether or not it proves well-founded.
What the Governing Council asks of you
The purpose of this procedure is to enable you to raise your concerns within the University in confidence without any fear of reprisal. We therefore ask that you do not take your concerns outside the University except to Public Concern at Work which will provide confidential advice. It's telephone number is 0207 404 6609.
You may raise your concerns accompanied by a friend, who should be another member of the University (employee or student).
When raising your concern you must declare any personal interest you have in the matter. Your employment with the University shall be fully protected unless the subsequent investigation indicates, and separate disciplinary proceedings find, that an allegation was made for malicious reasons and was without foundation.
At the end of the process
Where concerns have been raised, the person receiving them shall make a record of its receipt and the action subsequently taken. The results of the investigation will be reported to the Audit and Risk Committee and to yourself. Sometimes, however, it may not be possible to reveal the full extent of the investigation.
You will be given an explanation where action is not taken.
The names of the officers at the present time are as follows:
- The Vice-Chancellor: Professor John Coyne
- The Deputy Chief Executive and Finance Director: Hari Punchihewa
- Pro Vice-Chancellor: Professor Liz Barnes
- Pro Vice-Chancellor: Professor Philip Plowden
- Chairman of Governing Council; Mr Chris Hughes*
- Chairman of Audit and Risk Committee: Mr Martin Rogers*
*Contacted through the Clerk: p.h.bridges@derby.ac.uk
First edition prepared by Mr Richard Gillis, Clerk to Council and Company Secretary (2002)
Updated by Paul H Bridges, Clerk to Council and Company Secretary
Prof Paul H Bridges
Clerk to the Governing Council
21 February 2012
