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This policy applies to all:

•  employees and any other members of staff of the University and its subsidiary companies (and references to the University in this policy shall be deemed to include reference to its subsidiary companies where applicable), including any temporary or agency staff, unpaid members of staff and voluntary workers (including, in each case, individuals whose relationship with the University has ended but they wish to report information on breaches acquired during their time at the University); and
• activities of the University, whether related to its research, teaching, commercial or other activities.

While students of the University may raise serious concerns under this policy, it is expected that students will normally raise concerns initially under the University’s Complaints Handling Procedure.

A whistleblowing report, for the purposes of this policy, is an act of raising concern by an individual who reasonably believes that something that has happened, is happening, or is likely to happen in future, that could cause a risk of harm, or which relates to suspected misconduct.  This may include a reasonable belief that:

• a criminal offence has been committed, is being committed or is likely to be committed (for example theft, criminal damage);
• there has been or is likely to be a failure to comply with a legal obligation (including an obligation under the Universities (Scotland) Acts or Ordinances made under those Acts);
• a miscarriage of justice has occurred, is occurring or is likely to occur (for example, a member of staff has been dismissed for something that turned out to be a computer error);
• the health or safety of any individual has been, is being or is likely to be endangered (for example, unsafe working practices);
• that sexual harassment has occurred, is occurring or is likely to occur (for example, someone is being sexually harassed by their manager);
• the environment has been, is being or is likely to be, damaged (for example, a chemical leak, or unsafe waste disposal);
• there has been or is likely to be financial maladministration or misconduct (for example fraud);
• there has been or is likely to be an obstruction or frustration of the proper exercise of academic freedom;
• there has been or is likely to be a material breach of any of the University’s internal policies and procedures; or
• there has been the deliberate concealment of information relating to any of the above matters

The above list is not exhaustive.  The alleged misconduct need not have taken place in Scotland.

The misconduct may relate to the University itself, any of its staff or to an individual or organisation performing services for it or on its behalf, such as contractors, suppliers, and other external partners.

A whistleblower is a person who makes a disclosure relating to any of the above in good faith and in the public interest (i.e. the concern affects others beyond the person making it and is not made for personal gain).  It is not necessary for a whistleblower to have proof misconduct is being, has been, or is likely to be committed – a reasonable belief is sufficient. Staff are not responsible for investigating a suspicion or concern – it is for the University to carry out an investigation in accordance with this policy once it has received a whistleblowing report.

 This policy is not intended to cover matters better addressed under other University procedures, such as personal grievances, breach of the University’s Dignity at Work and Study Policy, or matters covered by the University’s Complaints Handling Process, Research Misconduct processes, Anti-Bribery and Corruption Policy or other relevant University policy.

This policy is not therefore intended to:

• replace or bypass existing processes and procedures under existing policies of the University;
• question financial or business decisions taken by the University (unless and to the extent that they are unlawful);
• reconsider any matters which have already been addressed under other University processes or procedures;
• investigate personal disputes or disagreements, or matters of legitimate academic dispute, disagreement, or judgement (noting the University’s obligation to uphold academic freedom under Section 26 of the Further and Higher Education (Scotland) Act 2005).

 1 Protection

The University is committed to protect whistleblowers from detrimental treatment from the moment a whistleblowing report is made under this policy.

Any adverse treatment, harassment, or victimisation of a whistleblower as a result of their disclosure will be treated as a serious disciplinary matter.

The individual may also be protected if they make the disclosure to an appropriate person/body under External Reports of Misconduct.

2 Confidentiality

The University will, as far as reasonably practicable, treat disclosures under this Policy in a confidential and sensitive manner. The University will endeavour to keep the identity of the individual making the allegation confidential so long as it does not hinder or frustrate any investigation. However, if required as part of the investigation process the source of the information may have to be revealed and the individual making the disclosure may be asked to provide a statement as part of the evidence required. If it is necessary for any third person to know the identity of the whistleblower, the whistleblower’s consent to such disclosure will be sought.  The University may also be required to report the concerns raised to certain external bodies, such as funders, regulators, or Government agencies.

No confidentiality clause or non‑disclosure agreement with the University will prevent a worker from making a whistleblowing report in accordance with this policy, including a report concerning sexual harassment.

3 Anonymous Allegations

The University encourages individuals to put their name to any disclosures they make and provide contact details for further communication.   Whistleblowers can raise their concerns anonymously if they wish to do so.  However, this may hinder any subsequent investigation, particularly if the University cannot obtain further information from the whistleblower and the University may determine, in its discretion, that it is not possible to take forward an anonymous whistleblowing report.  In exercising this discretion, the University will consider:

• the seriousness of the issues raised;
• the credibility of the concern; and
• the likelihood of being able to confirm the allegation from attributable sources.

4 Untrue Allegations

If an individual raises a concern, in the public interest, which they believe to be true, which is not confirmed by subsequent investigation, no action will be taken against that individual. If, however, an individual is found to have made vexatious allegations which they do not believe to be true, and which are not confirmed by subsequent investigation (and particularly if the individual persists in making them), disciplinary action may be considered against the individual.

1 Making a whistleblowing report

Where possible, concerns should be raised initially and resolved at the lowest appropriate level in the organisational and management structure of the University.  However, more serious concerns, concerns requiring an urgent response, or concerns in which the relevant line manager(s) may be implicated, shall be raised with or escalated to one of the following Designated Persons, in writing:

• The Principal;
• University Secretary; or
• Chief Operating Officer.

The Designated Person may also be contacted if the individual would like to discuss the matter informally in the first instance before submitting a formal whistleblowing report. 

If the disclosure involves or implicates a Designated Person, the report should be made to another.  If it implicates one or more Designated Persons,  it may alternatively be raised with the Convener of Court or Vice-Convener of Court (in which case, the Convenor or Vice-Convener shall be a Designated Person for the purposes of this policy).  Disclosures can also be made via the generic email address, which may be accessed by or on behalf of any of the Designated Persons.

A whistleblowing report should include, as a minimum, the background and history of the concern (giving names, dates, places, etc. where relevant), details of why the individual is concerned, and what prior steps have been taken, if any, to address the matter.  If the individual wishes to remain anonymous, this should be stated in the report.

The contact details for each Designated Person, and a generic email address, are included in Appendix 1 to this Policy.

2 Process and Conduct of Investigations

On receipt of a whistleblowing report the Designated Person will assess the concern(s) and will determine the appropriate course of action, which may include instructing an internal investigation, referral to another more appropriate University policy, referral to external authorities, determining that there is no clear case to take forward, or initiating an independent external investigation.  The Designated Person will also have regard (and ensure compliance with) any external reporting requirements that the University may have with respect to the concern(s) raised.

The scope, form, record-keeping and reporting requirements of the investigation to be undertaken will depend on the nature of the matter raised and will be at the reasonable discretion of the relevant Designated Person.  Any investigation is expected to be conducted sensitively, by a person or persons independent of the matters under consideration, and without undue delay. 

Notwithstanding the investigation, the Designated Person may, in consultation with at least one other Designated Person, recommend taking precautionary action to, for example, curtail alleged malpractice pending the outcome of the investigation, to ensure the safety and wellbeing of the University community, and/or to ensure that potential witnesses or other evidence are not subject to interference or destruction.

Where a disclosure is made, the person or persons against whom the disclosure is made may be told of it, the evidence supporting it and may be allowed to comment before any investigation or other action is concluded.

3 Outcomes and Reporting

On conclusion of the investigation and receipt of the final investigation report, the Designated Person will, in consultation with at least one other Designated Person, determine what action to take which may include, without limitation, initiating disciplinary proceedings, process review, external reporting, additional training, or systemic change.

An anonymized report detailing the whistleblowing report concerns, the outcome of the investigation, and the action(s) taken will be made to the Audit and Risk Committee. In addition, an annual summary report will be provided to the Audit and Risk Committee.  The Designated Person will ensure that a copy of all such reports and relevant records is maintained for at least 5 years. 

Reports may also be made to relevant external bodies, such as funders, regulators, or Government agencies, as required or otherwise considered expedient.

The Designated Person will keep the whistleblower reasonably informed (subject to any legal constraints and obligations of confidentiality) of the progress of any investigation, its likely timescales, the outcome and any actions taken.

The Audit and Risk Committee has overall responsibility for this policy, and for reviewing the effectiveness of actions taken in response to concerns raised under this policy.

The University Secretary has day-to-day operational responsibility for this policy and must ensure that all managers and other staff are familiar with it.

All staff are responsible for the success of this policy and should ensure that they use it to disclose relevant suspected danger or wrongdoing.

While the University encourages internal reporting in the first instance, individuals may make disclosures to certain external bodies prescribed in accordance with the Act.  An up to date list is available at the following link:  Whistleblowing: list of prescribed people and bodies.  In addition, you can also make a whistleblowing report to your legal adviser, your MP, or your MSP.

Nothing in this policy prevents an individual from making a protected disclosure to a prescribed external body where the legal conditions for doing so are met.

If the disclosure is made externally without first using the internal route, the individual should seek advice (for example from a trade union, legal adviser or whistleblowing charity such as Protect (https://protect-advice.org.uk/)) to ensure that the disclosure will qualify for protection under the Act and that they have followed the correct steps.