YORK ST JOHN UNIVERSITY

Disclosure of Information: Public Interest Disclosure

1. Purpose
1.1 The University has a duty to conduct its affairs in a responsible and
transparent way. This procedure encourages staff who believe that an
individual’s or group of individuals’ behaviour will result in fraud, crime, a threat
to health and safety, including public safety issues or a miscarriage of justice
to disclose the matter to the University using internal channels.

1.2 The procedure further seeks to ensure that any individual reporting such
matters will not suffer any detriment as a result at the time of the complaint or
subsequently.

2. Scope
2.1 This procedure applies to all employees and members of staff employed under
agency contracts.

2.2 Any concern or complaint regarding an individual employee’s terms and

conditions of employment should be raised through the grievance procedure.
Any collective dispute or grievance should be raised through the Joint
Consultative Groups.

3. Procedure
3.1 Any concern will usually be raised with the employee’s immediate manager.
However, given the seriousness of concerns or knowledge of those who may
be involved, this may not always be possible. In such situations the member
of staff should report the matter to a senior manager – The Vice Chancellor,
Deputy Vice Chancellor, Registrar, Director of Finance or Director of Human
Resources.

3.2 The employee will be encouraged to make the complaint in writing and to put
her/his name to the complaint. Whilst the University will make every effort to
protect the identity of any individual making a complaint it must be recognised
that the investigation process may reveal them as the source. Where formal
disciplinary action or criminal or civil proceedings result from an investigation it
may not be possible to keep the identity of the complainant confidential.

3.3 Anonymous complaints will be investigated but it must be recognised that

being unable to clarify details of the complaint may hinder any investigation.

3.4 The manager should make initial investigation into the complaint to ascertain if
there are sufficient grounds for proceeding further. Where it is decided not to
proceed the decision will be explained fully to the member of staff.

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3.5 Where subsequent investigations are to be made the appropriate manager
may involve other managers to assist or lead the investigation (for example, in
cases of financial irregularity the Director of Finance, in cases involving
individual misconduct or gross misconduct the Director of Human Resources)
unless there is good reason for them not to be involved.

3.6 Any breach of conduct will be subject to the normal disciplinary proceedings.
Any instance of fraud or attempted fraud will be subject to the Anti-Fraud
Procedure.

3.7 The member of staff who made the complaint will be notified of the outcome of
the investigation.

3.8 Members of staff may also use external routes if they do not have confidence
to raise matters internally within the University such as the external auditor or
regulatory and funding bodies. However, given the conditions for protection
under the legislation, employees are strongly advised to seek advice from their
trade union, professional association or confidential advisory organisation,
such as Public Concern at Work, before pursuing this route.

3.9 Regardless of whether a complaint is found the University will seek to ensure
that any individual acting in good faith is not subjected to any future detriment.
If an employee feels that they are being subjected to detrimental treatment
they should immediately report this to their line manager under the grievance
procedure or make a report under this procedure. Where it is found that the
employee has suffered a detriment action will be taken to redress this and
disciplinary action will be taken against those responsible.

3.10 Nothing in this procedure prevents an individual from exercising her/his

statutory rights under the Public Interest Disclosure Act 1998. Individuals are
advised to seek advice from their professional association or trade union
before deciding to disclose matters to a third party outside the University
without attempting to use this procedure in the first instance.

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