Holland & Sherry Ltd Whistleblowing Policy
This policy applies to all directors and employees of the Company. The Company recognises that any fraud, misconduct or wrongdoing by employees should be reported and properly dealt with. The Company, therefore encourages any employee, who has concerns about the conduct of a colleague(s) or the way in which a business dealing has or is taking place, to raise such concerns. This policy sets out the way in which employees may raise a concern relating to fraud, misconduct and wrongdoing and how the concern will be dealt with.
UK law provides protection for employees who raise legitimate concerns about specified matters. These are called qualifying disclosures. A qualifying disclosure is made in the public interest, by an employee, who has a reasonable belief that one of the following has or is likely to be committed:
- A criminal offense
- A miscarriage of justice
- An act or ommission creating risk to health and safety
- An act or ommission causing damage to the environment
- A breach of any other legal obligation
- Concealment of any of the above
It is not necessary for an employee to have proof that such an act is being, has been or is likely to be committed; a reasonable belief is sufficient.
Procedure for raising a Concern
- The employee should raise his/her concerns with one of the Company Directors in the first instance.
- The Director will appoint 2 managers or directors to carry out an investigation into the matter that has been raised.
- The employee will be required to explain fully the circumstances that has led to their concern including the reasons why they believe there is a matter to be investigated. This will be in the form of a written statement given by the employee.
- The employee may subsequently be required to comment on any additional information or evidence obtained.
- The colleagues who carried out the investigation will report to the Board of Directors, which will take any necessary action including invoking the Company’s disciplinary policy and reporting the matter to any relevant external regulatory agency.
- On conclusion, the outcome of the investigation will be reported back to the employee who raised the concern.
- Any matter raised under this procedure will be investigated thoroughly, promptly and confidentially.
- An employee who makes a protected disclosure has the right to confidentiality at all times.
- An employee who makes a protected disclosure has the right not to be dismissed, subjected to any detriment or victimised because he/she has made a disclosure. In particular, the continued employment and opportunities for future promotion or training will not be prejudiced because the employee has raised a concern.
- Victimisation of an employee for making a qualified disclosure will be treated as a disciplinary matter.
- If misconduct is identified as a result of an investigation, the Company’s disciplinary procedure will be invoked as well as any appropriate external measures.
- Maliciously making a false allegation will be treated as a disciplinary matter.
- An instruction to cover up wrongdoing is itself a disciplinary offence. If an employee is told not to raise or pursue a concern by a fellow employee, supervisor or manager, the employee should not agree to remain silent and should instead report the matter to a Company Director.
If the employee who raises the concern reasonably believes that appropriate action has not been taken, he/she has the option of reporting the matter to the appropriate authority. The bodies detailed below are defined as appropriate authorities.
- HM Revenue & Customers
- The Financial Conduct Authority
- The Competition and Markets Authority
- The Health & Safety Executive
- The Environment Agency
- The Serious Fraud Office
Download the Public Interest Disclosure