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UK Government
Investments
Whistleblowing Policy and Procedure
Introduction
1. This procedure outlines the process that Staff should follow when reporting a
perceived wrongdoing within UKGI, including a breach of the Code or behaviour
that goes against UKGI’s Standards of Conduct. Staff have both a right and a
responsibility to speak up and report behaviour that goes against UKGI’s core
values.
2. The reporting of a wrongdoing under this procedure may be covered by the law
concerning protected disclosures of information. This procedure has therefore been
written with reference to the Public Interest Disclosure Act 1998 (PIDA), which
offers protection to those in both the private and public sectors, who ‘blow the
whistle’, in certain circumstances.
3. It is important that this procedure is followed when raising any concerns, to ensure
that the matter is dealt with correctly. Where a concern is properly raised under this
procedure, the individual will be protected from any unfair or negative treatment
based on their action. PIDA protection may also apply.
Definitions
Code means the most recent version of the Compliance and Code of Conduct
Manual.
Compliance means Lucie Lambert (
Officer
Compliance means UKGiCompliance@”
Team
GRO
HR Team means UKGIHR@
Line Manager means a member of Staff that is the designated manager for another
member of Staff.
Nominated means Lucie Lambert
Officer
Staff means all permanent and temporary employees, contractors, agency
staff, secondees, Board members and non-executive directors.
Standards of _ means the UKGI values, behaviours and standards set out in section 2
Conduct of the Code.
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UKGI means UK Government Investments Ltd.
Whistleblowing means the ‘Whistleblowing: Frequently Asked Questions’ section of the
FAQs Whistleblowing Procedure.
Whistleblowing means this Whistleblowing Policy and Procedure.
Procedure
What is a relevant concern?
4. If a member of Staff is asked to do something, or is aware of the actions of another,
which they consider to be wrongdoing or a breach of the Code or obligations of
UKGI, they can raise it using this procedure.
5. Staff should not act in bad faith or raise malicious, vexatious or knowingly untrue
concerns. Staff who do may be subject to UKGI’s disciplinary procedures.
6. Those who raise genuine concerns will be given protection under this procedure
against retaliation.
7. This procedure should not be used to raise concerns of a HR/personal nature; for
example, complaints relating to a management decision or terms and conditions of
employment. These matters should be dealt with using the relevant alternative
procedure, for example, UKGI’s Grievance Policy. Equally, this policy would not
apply to matters of individual conscience where there is no suggestion of
wrongdoing by UKGI but a member of Staff is, for example, required to act in a way
which conflicts with a deeply held personal belief. Concerns of this nature would be
more appropriately raised through direct discussion with a Line Manager or the HR
Team.
8. If unsure whether a concern should be raised using this Whistleblowing Procedure,
further advice is available in the Whistleblowing FAQs; in particular, Whistleblowing
FAQ 2 and 3 set out the types of concerns that can be raised under this procedure
and those that should be raised under other UKGI policies and procedures. Line
Managers or the Nominated Officer will also be able to assist. See Whistleblowing
FAQ 16 for further information on the role of the Nominated Officer. The Nominated
Officer. in. UKGI.is.. UKGI’s I Compliance Officer (Lucie Lambert,
Raising a concern
9. If you experience something in the workplace which you consider to be in conflict
with the Code or obligations of UKGI, and/or otherwise perceived to be wrongdoing,
it is important that the concern is raised straight away. Proof is not required as
investigating and substantiating any concern that is raised is UKGI’s responsibility.
10. It is important that Staff and Line Managers follow the correct procedure when
raising a whistleblowing concern. The following steps, at paragraphs 11 to 17
below, should be adhered to.
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11. The concern should, in most instances, be raised with your Line Manager. There
may be certain occasions however when this would be inappropriate because, for
example, the concern:
a) may implicate your Line Manager in some way — in which case, see
paragraph 12 below;
b) is about a more senior manager within your line management chain or
somewhere else in UKGI — in which case, see paragraph 13 below;
c) is particularly serious and needs to be dealt with as a matter of urgency — in
which case, see paragraph 14 below.
12. If it is suspected that the concern may implicate your Line Manager in some way,
then it should be raised with somebody more senior in your line management chain
(e.g. your Line Manager's Line Manager). If unable to do this, the concern should
be raised directly with the Nominated Officer.
13. If the concern relates to someone senior to your Line Manager or to another senior
person in UKGI, it will need to be raised at the appropriate level (i.e. a level above
that person). If you feel uncomfortable doing this, it should be raised with the
Nominated Officer.
14, If you feel that the concern is particularly serious and urgent and are worried that
approaching your Line Manager in the first instance may delay the resolution, for
example in the case of National Security, then the concern should be raised
immediately with the Nominated Officer.
15. Where a concern has already been raised within the line management chain, but
you feel that the concern has not been adequately addressed, you can raise the
concern with the Nominated Officer.
16. If confident that the concern is extremely serious and urgent and it cannot be raised
with your Line Manager, or somebody more senior in your line management chain,
or the Nominated Officer, then it can be raised with the CEO or UKGI Board Chair.
The concern should only be raised in this way if you have given serious
consideration to all other internal options. You may be asked to explain why you did
not raise the concern with your Line Manager or the Nominated Officer in the first
instance.
17. If unable to raise the concern with the CEO or UKGI Board Chair, it may be
necessary to raise the concern with the Permanent Secretary of HM Treasury.
External disclosures
18. UKGI encourages concerns to be raised internally and at the earliest time possible.
This will allow UKGI the opportunity to address and resolve any concerns quickly
and by the most appropriate means. UKGI is confident that there are sufficient
internal avenues available to deal with any concerns raised. For more information
see the Whistleblowing FAQs.
19. lf a member of Staff feels they cannot raise their concerns internally and they
reasonably believe the information and any concerns are substantially true, the law
recognises that it may be appropriate for them to report their concerns to certain
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regulatory bodies, known as ‘prescribed persons’ under PIDA. For more
information, see Whistleblowing FAQ 22.
20. Raising a concern outside the prescribed routes listed in this procedure, for
example, with the media, campaign groups, on social media or with political parties,
is protected by PIDA only in very limited circumstances and could, if it amounts to
an unauthorised disclosure, result in disciplinary action. It may also breach the
Official Secrets Act. Please note that this list is not exhaustive.
Information needed to raise a concern
21. When raising a concern you should try to provide the following information:
a) the background and reason behind the concern
b) whether they have already raised the concern with anyone and the response
c) any relevant dates.
22. This information should demonstrate that there are reasonable grounds for the
concern to be acted upon. It is important that matters are not investigated by you.
Remember, proof is not needed, just a reasonable, honest belief that wrongdoing
has or is likely to occur.
23. If applicable, any personal interests you may have in the subject matter of the
concern should be stated from the outset.
24. UKGI appreciates that raising concerns might be a difficult time for Staff, who may
feel uncertain about how to progress a concern. Support is available at all stages of
the process: see Whistleblowing FAQ 15 below for a list of support available to
Staff.
How the concern will be handled
25. All investigations will be conducted sensitively and as quickly as possible. While
UKGI cannot guarantee that the outcome will be as you may wish, it will handle the
matter fairly and in accordance with this procedure.
26. Once a concern has been raised, UKGI will carry out an initial assessment to
determine if the concern constitutes a ‘report’ within the scope of the Whistleblowing
Procedure. If it does, the concern will be directed to the appropriate function for
investigation. If a concern is not considered to be within the scope of the
Whistleblowing Procedure, it will be directed to the most appropriate function to
decide upon any required response.
27. Where feasible and appropriate, UKGI will establish who will be dealing with the
matter and a written confirmation will be sent to you, if it has been requested. UKGI
will aim to provide this within five working days, however this may not be possible
depending on the nature of the concern.
28. Staff who raise concerns may be required to attend additional meetings in order to
provide further information in relation to the concern they have reported. The
meeting can be conducted over the telephone rather than face to face, as
appropriate.
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29. UKGI will aim to update the member of Staff on the progress of the concern within
28 days where possible and appropriate. However, in the event of a formal
investigation or the involvement of police/security, it may not be possible or
appropriate to
30. provide full details.
31. UKGI will confirm when the matter is concluded and, if appropriate, the outcome of
the investigation, maintaining security and confidentiality for all parties as far as
possible.
32. Throughout any investigation, the member of Staff will still be expected to continue
their duties/role as normal unless deemed inappropriate.
Confidentiality and anonymity
33. The best way to raise a concern is to do so openly as this makes it easier for UKGI
to investigate and provide feedback.
34. Any disclosures made under this procedure will be treated in a sensitive manner,
however UKGI recognises that Staff may want to raise a concern in confidence i.e.
you may want to raise a concern on the basis that your name is not revealed
without your consent.
35. UKGI will respect any request for confidentiality as far as possible, restricting it to a
‘need to know basis’. However, if the situation arises where it is not possible to
resolve the concern without revealing your identity, (for example in matters of
criminal law) UKGI will advise you before proceeding. The same degree of
confidentiality should also be afforded to the member(s) of Staff at the centre of the
concern, as far as appropriate.
36. Staff may choose to raise concerns anonymously, i.e. without providing their name
at all. If this is the case, the investigation itself may serve to reveal the source of
information (although this will not be the purpose of the investigatory steps taken).
In addition, where a report received is anonymous, whistleblowers will not ordinarily
be able to receive feedback and details of action taken by UKGI may be limited.
Staff are therefore encouraged, where possible to put their names to concerns
raised. However, raising a concern anonymously is preferred to silence about
potential serious wrongdoing. For more detail about how to raise concerns
anonymously, please see Whistleblowing FAQ 11.
37. When anonymous concerns are raised they will be treated as credible, unless they
are obviously a hoax, and investigated as far as possible. Where concerns cannot
be validated, the Nominated Officer must be informed.
Protection
38. UKGI does not condone retaliatory acts in response to Staff raising genuine
concerns. In addition, if a concern is raised in the public interest and in accordance
with the provisions of UK employment legislation, Staff are protected by law from
victimisation or dismissal motivated by their whistleblowing. Where a member of
Staff has been victimised for raising a concern, UKGI will take appropriate action
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against those responsible, in line with UKGI’s disciplinary policy and procedures. If
a member of Staff believes they have been subjected to such behaviour, they
should inform the HR Team or their Line Manager immediately.
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Whistleblowing: Frequently Asked Questions
1. What is Whistleblowing?
‘Blowing the whistle’ occurs when a person raises a concern about past, present or
imminent wrongdoing, or an attempt to cover wrongdoing up, in an organisation or a body of
people.
In order to qualify for legal protection, the information that they disclose should be in the
public interest, meaning (broadly) that the issue must affect others, for example UKGI, work
colleagues or the general public. Further information on whistleblowing can be found on
gov.uk.
2. What can I raise under the Whistleblowing Procedure?
The Whistleblowing Procedure can be used to raise a concern about wrongdoing, including
breaches of the Code. Below is a list of concerns which could be raised using the
Whistleblowing Procedure. Please note that these are only examples and the list is not
exhaustive.
Wrongful use of information/abuse of position:
« using information gained in the course of official duties to further private interests or
gain unfair advantage
e falsifying statistics to achieve objectives
« posting derogatory comments about UKGI on social media sites
Leaking of classified information:
* giving details of policy changes to the media ahead of official announcements
* using unpublished data on social media sites.
A threat to National Security:
¢ failure to follow security vetting procedures
¢ falsifying documentation.
Being coerced into taking part in or concealing wrongdoing:
being threatened by a manager with disciplinary action if you don’t keep quiet about
the misuse of government procurement card.
Failure to comply with legal obligations:
e not protecting personal data as required by the Data Protection Act 2018, Gender
Recognition Act 2004, Health and Safety regulations or any other relevant
legislation.
Criminal offence impacting on the work of UKGI:
¢ fraud and corruption such as using favoured contractors in exchange for payment or
other reward.
Endangering of individuals’ health and safety:
* suppressing known failings in a fire alarm system
« covering up the presence of asbestos
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* neglecting to follow UKGI’s safety procedures.
Miscarriage of justice:
« withholding or destruction of evidence.
Danger to the environment:
« improper disposal of hazardous materials.
Potential maladministration:
« misuse of public money
e abuse of position
* awarding contracts without following the correct procedures
« misuse of public money or resources.
Improper or unethical conduct:
« a solicitor divulging information held under legal privilege.
A deliberate concealment of any of the above.
The above list includes, but is not limited to, the type of information set out in the PIDA
legislation.
3. What is not covered by the Whistleblowing Procedure?
Issues around your treatment as a member of staff or personal complaints about your
employment, for example: complaints about your terms and conditions; promotion or
selection procedures. Any other complaints connected to your conditions of working,
including harassment, bullying and discrimination are also not covered by this procedure.
These would normally be dealt with by your Line Manager through day-to-day management
action, or through appropriate organisational procedures, such as UKGI’s Grievance
Policy.
4. Is a ‘crisis of conscience’ complaint the same as blowing the whistle?
A ‘crisis of conscience’ may occur when you are asked to do work which conflicts with your
faith or personal beliefs. This is not the same as whistleblowing where there is suspicion of
wrongdoing by UKGI. If you have a crisis of conscience you should discuss this with your
Line Manager in the first instance.
5. Do I need to formally raise a concern under the Whistleblowing Procedure?
You and your Line Manager should engage in regular, open discussion about your work
and working environment. If something is on your mind, you may wish to informally discuss
this with your Line Manager before raising more formally under the Whistleblowing
Procedure. What is important is that it is raised within UKGI, not how it is done.
6. I don’t have any proof of my concern yet. What should I do?
You do not need to wait for proof when reporting a concern. When raising a concern with for
example, your Line Manager or the Nominated Officer you only need to have a reasonable
belief that wrongdoing has occurred, is occurring, or is likely to occur. It is not for you to
investigate or prove that your concerns are justified, as that is the responsibility of UKGI.
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7. Why should I follow the Whistleblowing Procedure?
The Whistleblowing Procedure has been designed to:
* offer you protection when raising a concern that is accepted under the Whistleblowing
Procedure
* ensure that your concerns are addressed and resolved at the right level and as
quickly and effectively as possible.
8. What are the benefits of Whistleblowing?
A positive whistleblowing culture has numerous advantages. For example, it can:
* encourage an open culture where Staff feel confident that concerns can be raised
and dealt with quickly and that they will not be subjected to detriment for doing so
e detect and deter wrongdoing
« provide managers with the information they need to make decisions and control risk
e save lives, the environment, property, jobs, money and both personal and
organisational reputations
« reduce the chance of anonymous or malicious leaks (including to the media)
e reduce the chance of legal claims against UKGI.
9. Will there be repercussions if I blow the whistle?
If the Whistleblowing Procedure is correctly followed it will afford you protection from
detrimental treatment or victimisation on the grounds of raising the concern.
10. Will my identity remain confidential?
The best way to raise a concern is to do so openly, as this makes it easier for UKGI to
investigate and provide feedback. You can however request that UKGI keeps your identity
confidential and they will respect this request as far as possible. If requested, your identity
will be restricted to a ‘need to know basis’. However, a situation may arise where it is not
possible to resolve the concern and guarantee confidentiality (for example in matters of
criminal law). If this is the case, UKGI will advise you of this before proceeding.
11. Can I raise a concern anonymously?
If you raise your concern openly, this makes it easier for UKGI to investigate your concern and
provide feedback. You may choose to raise concerns anonymously, i.e. without providing your
name at all. However, the investigation itself may serve to reveal the source of information. In
addition, where a report received is anonymous, whistleblowers will not ordinarily be able
to receive feedback and details of action taken by UKGI may be limited. Staff are therefore
encouraged, where possible, to put their names to concerns raised, but raising a concern
anonymously is preferred to silence about potential serious wrongdoing. To raise a
whistleblowing concern anonymously within UKGI, you can fill in this form.
12. lam a civil servant who has been seconded to UKGI and I want to raise a
concern. What procedure should I use?
If you are a civil servant seconded to a Non-Departmental Public Body (NDPB), you retain
your status as a civil servant. This means you will continue to be bound by the Civil Service
Code and the Civil Service Management Code. You should therefore use the
Whistleblowing Procedure of UKGI’s parent department (HM Treasury) and will have
recourse to the Civil Service Commission.
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13. lam a service provider i.e. contractor, working within UKGI and I want to raise
a concern. What procedure should I use?
Service providers will normally be dealt with under the procedures pertaining in their host
organisations and so the principles of the Whistleblowing Procedure should still apply, and
you should follow this to raise a concern.
14. lam an employee working for UKGI and I want to raise a concern. What
procedure should I use?
As you are not a civil servant you are not subject to the Civil Service Management Code,
nor the Civil Service Code. You will need to follow the Whistleblowing Procedure.
15. Where can I go for support during this process?
We recognise that you may experience anxiety when raising or considering whether to
raise a concern. There are various channels of support available to you throughout the
process. Your Line Manager, or another Line Manager and the Nominated Officer can
advise on available support.
Please note however that other than Line Managers and the Nominated Officer, the
following are not themselves bodies to whom you can formally raise your concern under
the Whistleblowing Procedure. They can only provide help and advice and you should not
divulge details of the matter itself to them.
Available support:
* UKGI’s Employee Assistance Programme (EAP) may provide counselling and other
services to Staff.
e UKGI may provide legal representation or cover legal costs if you are involved in
legal proceedings as a result of blowing the whistle. This will be decided on a case
by case basis.
« The Nominated Officer can offer guidance to whistleblowers on how to raise a
concern under the Whistleblowing Procedure, per FAQ 16 below.
e The ACAS Helpline 0300 123 1100 offers free and impartial advice to Staff on a
range of issues, including whistleblowing in the workplace www.acas.org.uk.
« Protect www.protect-advice.org.uk is a whistleblowing charity which advises
individuals on whistleblowing matters at work.
« Trade union members can seek advice and support from their representatives.
e Staff networks may be able to offer additional support.
16. What is a Nominated Officer and how might I contact them?
The Nominated Officer is an employee who is trained to offer impartial support and advice,
outside of the management chain, to those who have a potential whistleblowing concern.
They are able to provide advice on:
e whether your concern falls under the Whistleblowing Procedure
e the appropriate channels available for you to raise your concerns
e the alternative channels to follow where your concern falls outside of the
Whistleblowing Procedure
« whether the Permanent Secretary of HM Treasury, CEO or Board member needs to
be consulted/informed
« what the next steps should be.
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The Nominated Officer in UKGI is the UKGI Compliance Officer (Lucie Lambert,
.
17. Will I be able to find out the outcome of the investigation?
UKGI will try to keep you informed of progress and where possible provide you with an
update within 28 days. You will be advised when the matter has been concluded.
However, it cannot be guaranteed that you will be given all the details of the
investigation and the final outcome will be disclosed. Security and confidentiality must
be maintained for all parties.
18. lam not happy with the outcome of the investigation, what now?
lf you have raised the concern with your Line Manager, someone else in your
management chain or the Nominated Officer in accordance with the overarching
Whistleblowing Procedure, and you do not think that you have received a satisfactory
outcome, you may raise your concern with the CEO, the UKGI Board Chair or the
Permanent Secretary of HM Treasury. Although UKGI cannot guarantee that the
outcome would be as you may wish, it will seek to handle the matter fairly and correctly.
19. Can I go straight to a Board member, the CEO or the Permanent Secretary of
HM Treasury with a concern?
Concerns should be raised through the relevant escalation channels set out in the
Whistleblowing Procedure i.e. if confident that the concern is extremely serious and
urgent and it is not appropriate to raise with other senior Staff, then you may raise a
concern directly with the Board member or CEO if you feel that it is justified (or with the
Permanent Secretary of HM Treasury if unable to raise the concern within UKGI).
20. What would happen if a member of Staff acted in bad faith or raised malicious,
vexatious or knowingly untrue concerns?
lf a member of Staff acts in bad faith or raises malicious, vexatious or knowingly untrue
concerns in order to harm colleagues or their organisation, they will face disciplinary
action.
21. What would happen if a member of Staff is treated badly by a co-worker
because they raised a concern?
A person who reports a concern in good faith should not suffer any victimisation or
detrimental treatment as a result of doing so. If a member of Staff feels they are being
treated badly because they have raised a concern, they should report this to their Line
Manager, the HR Team or someone else in their line management chain, or they should
seek advice from the Nominated Officer.
Where a member of Staff has been victimized or suffered detrimental treatment for
raising a concern, UKGI will take appropriate action against those responsible, in line
with UKGI’s disciplinary policy and procedures.
22. What is PIDA and how does it link with UKGI’s Whistleblowing Procedure?
The Public Interest Disclosure Act 1998 (PIDA) is more commonly known as
‘whistleblowing legislation’ and is part of employment law under sections 43A-L and 103A
of the Employment Rights Act 1996. Whilst not permitted under the Whistleblowing
Procedure, disclosures to certain regulatory bodies, known as ‘prescribed persons’ may
also be qualifying disclosures under PIDA in certain circumstances. If Staff decide to
raise a concern to a prescribed person rather than via the prescribed routes listed in this
procedure, they must make sure that they have chosen the correct person or body for
their concern. See Gov.uk for information on ‘prescribed persons’; the Comptroller &
Auditor General may be appropriate for Staff as it is prescribed under PIDA as someone
to whom a protected disclosure can be made about ‘the proper conduct of public
business, value for money, fraud and corruption in relation to the provision of public
services’. In order to be protected under PIDA, however, Staff will need to follow the
procedure set out in the Act and it is advisable for the member of Staff to seek legal
advice.
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