Speaking Up - my.serco.com · SMS GS-BC3 – Speaking Up – December 2019 – v2.0 1 Objectives Serco takes malpractice and impropriety extremely seriously. We will maintain an effective

SMS GS-BC3 – Speaking Up – December 2019 – v2.0

Group Standard

Speaking Up

Where someone believes they have information which

demonstrates malpractice, wrongdoing or violations of

our Code of Conduct or values, they are required to Speak Up. This can be done

without fear of reprisal


Document Details Document Details Serco Business

Reference

SMS GS-BC3

Version

2

Approval Date

December 2019

Date for next review

December 2021

Applicability

Serco Group covering all business regions, operating companies and business units throughout the world1 covering: - employees, officers, directors and individuals working as consultants and

contractors and any other parties acting as representatives or agents of

Serco both current and former (Employees)

- wholly owned subsidiaries and majority-owned operations - Serco’s suppliers, partners and customers;

- Relatives and dependants of the above. Where a minority interest and in regard to its subcontractors and suppliers

Serco encourages alignment with this Standard

Authority

Chief Executive, Serco Group plc

Accountable Policy Owner (Group)

Group Company Secretary

Additional Information

Supporting standards, standard operating procedures and guidance relating to

this Group Standard are available within the Serco Management System

Governance

Our policies and standards, together with any regional or market requirements and enhancements to them, are authorised through a robust governance

process

Consequence Management As a Group Standard the requirements detailed in this document are mandated

and must be adhered to. Non-compliance will have consequences which may

include disciplinary action. The Consequence Management Group Standard (Ref: SMS-GS-G1) details how instances of non-compliance will be dealt with

1As used herein, Serco Group and its affiliates, subsidiaries and operating companies are referred

to as ‘Serco’, the ‘Company’ or ‘company’, or ‘we’, ‘us’ or ‘our’.

Contents

1 Objectives ........................................................................................... 2

2 Policy Standards .................................................................................. 2

2.1 Contacting the Company .............................................................. 2

2.2 Complaint handling and investigation ............................................ 3

2.3 Complaint closure and final report ................................................. 4

2.4 Safeguards .................................................................................. 4

2.5 Non-retaliation ............................................................................. 5

2.6 Reporting and oversight ............................................................... 5

3 Responsibilities & Accountabilities ......................................................... 5

4 Processes and Controls ........................................................................ 7

4.1 Governance processes and controls ............................................... 7

4.2 Key processes and controls ......................................................... 12

5 Supporting documentation and guidance ............................................ 14

6 Definitions......................................................................................... 14

7 Further information and support ......................................................... 15


1 Objectives

Serco takes malpractice and impropriety extremely seriously. We will

maintain an effective mechanism and processes to deal with legitimate concerns and/or complaints in a responsible and effective

manner. Those concerns may be in the public interest or relate to internal poor practice.

Where someone believes they have information which demonstrates malpractice, wrongdoing or violations of our Code of Conduct or values, they

are required to raise the issue and bring it to management’s attention. This can be done without fear of reprisal.

Speaking up (or whistleblowing) is the responsibility of every employee. This Standard covers those concerns that:

• are in the public interest (as governed by applicable statutory or

regulatory provisions) including failure to comply with a legal obligation or

statutes or criminal activity

• relate to non-compliance with company policies; or

• are violations of our Code of Conduct

Circumstances which should be reported include, but are not limited to:

• behaviour inconsistent with our values

• improper conduct, an improper state of affairs or unethical behaviour,

through actions such as:

➢ harassment, violence or bullying

➢ abuse of human rights

➢ drug or alcohol abuse

➢ conflicts of interest

➢ improper use of social media

➢ dangers to health and safety or the environment including conduct that

represents a danger to the public

➢ misuse of confidential information or reporting

➢ improper use of company assets

• illegal behaviour such as:

➢ giving or receiving of bribes or other improper advantages

➢ insider trading

➢ competition or anti-trust violations

➢ financial malpractice or impropriety or fraud

• actions which would adversely affect the Company’s reputation

• attempts to conceal any of these

Reports submitted to Serco that allege malpractice or impropriety will be

investigated and depending on the results of such investigations may lead to

other actions by the Company.

The tools Serco has provided to allow employees to report misdeeds or improper behaviour are not designed to question financial or business

decisions when properly taken by the Company nor should it be used to

reconsider any matters which have already been addressed under grievance, disciplinary or any other Company procedures.

2 Policy Standards

2.1 Contacting the Company

S1. In the first instance employees are encouraged to talk to their line manager if they have information which demonstrates malpractice,

wrongdoing or violations of our Code of Conduct or values

S2. If this is uncomfortable for the employee, impractical or if the employee

believes matters should be reported outside of their line management, a

variety of options to communicate concerns exist, including reporting to:

a. a member of the Human Resources department

b. an Ethics/Compliance representative

c. a Serco legal representative or

d. the Company Secretary


S3. Some divisions may provide country specific ethics hotlines to meet local requirements, or other reporting mechanisms which employees are

encouraged to use

S4. In addition to those mechanisms for reporting concerns above,

employees or external third parties may also use the following:

a. calling the appropriate confidential Speak Up Hotline (provided by an independent third party offering free phone numbers on

countries where we operate and language translation as appropriate)1;

b. using a secure web-based self-reporting system2

c. emailing3; or

d. writing4

S5. It is a fundamental requirement of an employee’s obligations that they professionally carry out their duties and not disclose confidential

information about the employer’s affairs. Nevertheless, where an individual discovers information that they believe demonstrates

malpractice or wrongdoing anywhere within the Company, then this

information must be disclosed without fear of reprisal and, where appropriate, independently of line management.

S6. Right to Speak to Government/ Local Regulator. The duty of confidentiality does not bar an Employee from speaking to government authorities having

jurisdiction over the matter at issue where the employee so desires. Likewise, an Employee may also seek external legal counsel advice

regarding his/her concern and/or issue. For sake of clarity, an external

legal counsel is not a Serco in-house legal counsel but an independent legal qualified practitioner under applicable local laws. Costs for seeking

such advice will be at the Employee’s personal charge (and not expensed

to Serco).

1 Details of free phone numbers are detailed in Serco’s Code of Conduct and www.serco.com/codeofconduct 2 www.tnwinc.com/serco 3 [email protected] or [email protected] for Serco Americas

2.2 Complaint handling and investigation

S7. A procedure will be implemented for the handling and reporting of

malpractice or impropriety

S8. Any manager notified of an issue will:

a. ensure issues raised are taken seriously, properly reviewed, an

objective assessment made and raised to Divisional or Group level Ethics Leads for reporting or/and management if required

b. report it in line with Serco’s Incident Reporting and Management

Procedures5

c. where an independent investigation is conducted, ensure full

provision of accurate and complete information and appropriate and timely participation of themselves and their employees

d. inform the reporter whether an investigation will be conducted and timescales

e. ensure that all necessary and appropriate actions to resolve valid

issues are taken

f. where appropriate, provide feedback to the reporter on the outcome

and any action taken

g. ensure there is no retaliation against any employee for raising an

issue

S9. Speak Up issues will be handled in accordance with Serco’s Speak Up issues handling procedures6

S10. All issues will be reviewed and/or investigated by appropriate representative(s) of Serco

S11. The purpose of any investigation will be to gather and establish the facts relating to specific incidents, events, claims or allegations

S12. Investigations will be thorough, fair, balanced, transparent and, where

appropriate, conducted under legal privilege

S13. There should be no unreasonable delay in conducting and concluding

any investigation

4 Company Secretary, Serco Group plc, Serco House, 16 Bartley Wood Business Park, Bartley Way, Hook, Hampshire RG27 9UY or 1818 Library Street, Suite 1000, Reston, VA 20190 United States for Serco Americas 5 see Incident & Fraud Reporting and Management GSOP Ref SMS GSOP-O1-2 6 See Speak Up Issue Handling GSOP Ref SMS GSOP-BC3-1

http://www.serco.com/codeofconducthttp://www.tnwinc.com/sercomailto:[email protected]:[email protected]


S14. The investigator’s role will be to provide facts to enable informed decision making

2.3 Complaint closure and final report

S15. The case manager will retain ownership for updates and case closure

S16. When there is enough evidence to conclude a review, the case may be

considered closed. Any investigation should produce a report and make recommendations if appropriate

S17. Upon completion of an investigation, depending on the nature of the

findings, some feedback on the outcome of the case, will be provided to the original reporter of the issue. This should be placed on the system if

the reporter remained anonymous

S18. If the reporter is not satisfied with the outcome of the investigation and

has appropriate grounds for appeal, this appeal will be submitted in writing, and will be reviewed by the Group Speak Up Lead or nominated

delegate

S19. Recommendations and actions should be acted upon at a Division or Group level and the data used for internal reporting and

communications

2.4 Safeguards

S20. Serco will protect any employee who discloses issues provided from

adverse employment action unless it is proved they have been made in bad faith

S21. Direct or indirect victimisation of any person using this Standard will be

regarded as a serious disciplinary offence

S22. The identity of the individual raising the issue and/or any information

which is likely to lead to his/her identification must be kept confidential so long as it does not compromise, hinder or otherwise frustrate any

investigation. Where necessary or required by law, such information or identity of the individual raising the issue will need to be disclosed to: (i)

appropriate local government body, (ii) a member of the local police,

(iii) another prescribed person or (iv) otherwise with the consent of the individual raising the issue.

S23. Employees may report concerns anonymously if they wish; however, if an individual is willing to provide their details it will enable further detail to

be obtained from them, if required as part of the subsequent investigation,

and reports made back to them

S24. Anonymous reports will be appropriately reviewed based upon the

information reported; however Serco encourages individuals to report their issues directly since it believes that the ability to follow up with the

reporting individual can aid in ensuring an appropriate review of issues raised

S25. Serco will conduct an initial review in order to determine whether appropriate and adequate information exists upon which to conduct an

investigation. In exercising this discretion, the factors to be taken into

account will include the:

a. seriousness of the issues raised, including determining whether the

basis of the allegation more properly represents a divisional or contract management issue versus a malpractice or impropriety

allegation

b. credibility of the issue based upon the information presented and readily identifiable facts

c. level of sufficient detail provided and whether an investigation can be initiated

d. likelihood of confirming the issue from attributable sources or the ability to identify other information to assess the issue

S26. The initial case review will also assess if the issue needs to be

investigated under legal privilege, where this may apply

S27. Where an investigation is undertaken under legal privilege all

documentation will be marked ‘legally privileged and confidential’ and access to any investigation report and associated documentation will be

limited to those who have specific involvement in the management of

the case

S28. If an individual makes malicious or vexatious allegations or otherwise

acts in bad faith, they may be subject to disciplinary action


2.5 Non-retaliation

S29. Periodic assessment of cases will be undertaken to ensure that reporters

of issues have not been retaliated against

S30. Where retaliation has been alleged it will be investigated and if found to be valid, appropriate disciplinary action will be taken against those

involved

2.6 Reporting and oversight

S31. Incidents relating to Business integrity (bribery, kickbacks or facilitation

payments, fraud, money laundering, falsification of company records or misreporting, misuse of confidential/personal data, breaches of

sanctions, competition law or export controls) should be recorded on

the Speak Up case management system.

S32. The Corporate Responsibility and Risk Committee, Executive Committee

and Divisional Executive Management Team will receive reports on issues raised, ensure agreed actions have been taken and monitor

trends that may require management action

S33. Serco will include within its Corporate Responsibility Report an overview

of issues raised and their status

S34. On a periodic basis completed issues will be used as anonymous case examples to raise awareness of the system and its effective

management

3 Responsibilities & Accountabilities S35. The following responsibilities will apply to the delivery of the defined

standards. If these are not completed effectively, the person

responsible will be accountable for any consequences7.

Group

S36. The Group CEO will appoint a Group Speak Up Lead responsible for:

a. developing and maintaining Group Speak Up policy b. ensuring standards and associated procedures and key controls

remain fit for purpose, reflect legislative and regulatory

requirements and provide effective mechanisms to report and

7 See Consequence Management Group Standard Ref: SMS-GS-G1

respond to concerns regarding malpractice, wrongdoing or violations of our Code of Conduct or values

c. providing oversight and reporting speak up performance

Division

S37. The Divisional CEO will appoint a Divisional Speak Up Lead responsible

for: a. implementing Speak Up strategy and policy, standards, procedures

and key controls across the Division; which may include the development of country/region/Divisional procedures and

management systems b. ensuring effective mechanisms to report and respond to concerns

regarding malpractice, wrongdoing or violations of our Code of

Conduct or values are implemented, remain fit for purpose and reflect legislative and regulatory requirements

c. providing oversight and reporting Divisional Speak Up performance

S38. Any manager notified of an issue regarding malpractice or impropriety is

responsible for:

a. reviewing all allegations in an objective manner b. reporting it in line with Serco’s Incident Reporting and Management

Procedures8 c. ‘ensuring it is recorded on the Speak Up case management system’

d. determining, with support from an Ethics representative, HR, legal representative or the Company Secretary if required, whether an

investigation should take place

e. providing accurate, complete and timely information to any independent investigation conducted

f. keeping the complainant updated with progress and providing feedback, where appropriate

g. ensuring all necessary and appropriate actions are taken to resolve

valid issues h. ensuring no retaliation against any employee for raising an issue

Contract/Function

S39. The Contract Manager (or Corporate Function Head) is responsible for:

a. complying with Speak Up policy, standards, procedures and key

controls

8 see Incident & Fraud Reporting and Management GSOP Ref SMS GSOP-O1-2


b. Ensuring their employees are aware of how they can raise issues

and how these issues will be handled

All employees

S40. All employees are responsible for:

a. Reporting any malpractice, wrongdoing or violations of our Code of

Conduct or values b. implementing remedial action where a violation has taken place

c. professionally carrying out their duties and not disclosing confidential information about Serco


4 Processes and Controls

4.1 Governance processes and controls

Process A set of related activities that must be carried out to achieve policy

outcomes

Ref Description

Controls The action we put in place to mitigate a risk(s) within a key process and/or the delivery of policy outcomes. These are mandated and are the minimum that should be implemented

regardless of any local difference

Ref Description

Responsibility

for ensuring controls are in place and

operating effectively

Gro

up

(S

33

)

Div

isio

n

(S3

4 &

S3

5)

Bu

sin

ess U

nit

(S3

2)

Co

ntr

act

(S3

6)

All

Em

plo

ye

es

(S3

7)

P1 Speak Up Responsibilities are defined and

understood

C1 A Group Speak Up Lead is appointed by the

Group CEO with responsibility for:

• Developing and maintaining Group

Speak Up Policy

• Ensuring standards and associated

procedures and key controls remain fit

for purpose, reflect legislative and regulatory requirements and provide

effective mechanisms to report and respond to concerns regarding

malpractice, wrongdoing or violations of

our Code of Conduct or values

• Providing oversight and reporting speak

up performance



outcomes

Ref Description



Ref Description

Responsibility



Gro

up

(S

33

)

Div

isio

n

(S3

4 &

S3

5)

Bu

sin

ess U

nit

(S3

2)

Co

ntr

act

(S3

6)

All

Em

plo

ye

es

(S3

7)

C2 A Divisional Speak Up lead is appointed by the Divisional CEO with responsibility for:

• Implementing speak up strategy and

policy, standards, procedures and key controls across the division; which may

include the development of

country/region/divisional procedures and management systems

• Ensuring effective mechanisms to report

and respond to concerns regarding malpractice, wrongdoing or violations of

our Code of Conduct or values are implemented, remain fit for purpose

and reflect legislative and regulatory

requirements

• Providing oversight and reporting divisional speak up performance



outcomes

Ref Description



Ref Description

Responsibility



Gro

up

(S

33

)

Div

isio

n

(S3

4 &

S3

5)

Bu

sin

ess U

nit

(S3

2)

Co

ntr

act

(S3

6)

All

Em

plo

ye

es

(S3

7)

C3 Any manager notified of an issue regarding

malpractice or impropriety is responsible

for:

• Reviewing all allegations in an objective

manner

• Reporting in line with Serco’s Incident Reporting and Management Procedures

• Ensuring it is recorded on the Speak Up

case management system

• Determining, with support from an

Ethics representative, HR, legal representative or the Company

Secretary if required, whether an investigation should take place

• Providing accurate, complete and timely

information to any independent

investigation conducted

• Keeping the complainant updated with progress and providing feedback, where

appropriate

• Ensuring all necessary and appropriate actions are taken to resolve valid issues

• Ensuring no retaliation against any

employee for raising an issue



outcomes

Ref Description



Ref Description

Responsibility



Gro

up

(S

33

)

Div

isio

n

(S3

4 &

S3

5)

Bu

sin

ess U

nit

(S3

2)

Co

ntr

act

(S3

6)

All

Em

plo

ye

es

(S3

7)

C4 Contract Managers (or Corporate Function Heads) are responsible for:

• Complying with Speak Up policy,

standards, procedures and key controls

• Ensuring their employees are aware of how they can raise issues and how

these issues will be handled

C5 All employees are responsible for:

• Reporting any malpractice, wrongdoing or violations of our Code of Conduct or

values

• Implementing remedial action where a violation has taken place

• professionally carrying out their duties

and not disclosing confidential information about Serco

P2 Establish Speak Up policy C6 Speak Up Policy, standards and Group

procedures are defined and published

C7 Policy requirements are communicated and

implemented



outcomes

Ref Description



Ref Description

Responsibility



Gro

up

(S

33

)

Div

isio

n

(S3

4 &

S3

5)

Bu

sin

ess U

nit

(S3

2)

Co

ntr

act

(S3

6)

All

Em

plo

ye

es

(S3

7)

P3 Establish Speak Up systems and process C8 Appropriate systems and procedures are in

place to receive, assess, investigate, take action and report on issues raised

C9 Systems and procedures are periodically reviewed and updated

C10 The contract location database on The Network System is reviewed quarterly

P4 Compliance assessment and audit C11 Assessment questionnaires monitoring potential retaliation and user experience

have been completed on a periodic basis

C12 Compliance plans include an assessment of Speak Up procedures

C13 Compliance and audit reports have action plans to address any identified non-

compliance

C14 Agreed actions are closed out


4.2 Key processes and controls


outcomes

Ref Description



Ref Description

Responsibility

for ensuring controls are in place and operating

effectively

Gro

up

(S

33

)

Div

isio

n

(S3

4 &

S3

5)

Bu

sin

ess U

nit

(S3

2)

Co

ntr

act

(S3

6)

All

Em

plo

ye

es

(S3

7)

P5 Communication, awareness and trust C15 All employees have been made aware of

the importance of speaking up, how to raise issues and the company’s position in

regard to safeguarding against retaliation

C16 A selection of completed issues have been

published as case examples to raise

awareness and build trust

P6 Manage investigations C17 Cases are managed on The Network

system with appropriate information to ensure comprehensive records are

maintained

C18 Acknowledgment of issues raised is made

within 48 hours of receipt and include a

statement in regard to safeguards against retaliation

C19 Investigations are completed within agreed timescales

P7 Complaint closure and final report C20 A report is produced, making recommendations where appropriate,

following investigations



outcomes

Ref Description



Ref Description

Responsibility

for ensuring controls are in place and operating

effectively

Gro

up

(S

33

)

Div

isio

n

(S3

4 &

S3

5)

Bu

sin

ess U

nit

(S3

2)

Co

ntr

act

(S3

6)

All

Em

plo

ye

es

(S3

7)

C21 Depending on the nature of the

investigation, some feedback is provided to the original reporter upon completion

C22 The Group Speak Up Lead reviews any appeals following an investigation, within

agreed timescales

C23 Recommendations and actions are

completed following an investigation, with

information communicated as appropriate to enable learning and continuous

improvement

C24 Incidents relating to Business integrity are

recorded on the Speak Up case management system’

C25 Quarterly reports are produced which include as a minimum:

• an overview of significant cases

• trends and data on new cases by type

• cases still open by type

• average time to handle cases


5 Supporting documentation and guidance

The following should be read in conjunction with this standard:

Ref Document

SMS-GS-G1 Consequence Management Group Standard

SMS GSOP-BC3-1 Speak Up issues Handling GSOP

Code of Conduct

6 Definitions

Term Definition

Accountability Being accountable means being not only

responsible for something but also answerable for

your actions.

Responsibility A responsible person is the individual who completes the task required. Responsibility can be

shared and delegated.

All responsible persons will also be accountable

for completing tasks effectively. Non-compliance will have consequences which may include

disciplinary action as defined within the

Consequence Management Group Standard.

Group Serco Group plc is the administrative centre of

the organisation, responsible for setting corporate strategy, defining governance requirements and

supporting the business in its day to day

operations

Division The Group will define a set of business divisions

which will be responsible for business delivery

within a defined set of markets or geographies.

Business Unit A Business Unit is a cluster of contracts which provide a similar service e.g. Health, Defence,

Transport etc.

Where appropriate, a separate legal entity wholly owned or where Serco has a controlling share

may also be referred to as a Business Unit, where

appropriate.

This may also refer to Counties/Territories


Contract A Contract provides specified requirements to a customer (either directly with Serco or to a

consortium/Joint Venture in which Serco is a

party)

A Contract will also refer to a corporate/functional

area.

Corporate/functional areas are functions which

support the business and they include finance,

HR, procurement etc.

Contract Manager This refers to a manager with responsibility for managing the performance of a contract and can

include a Contract Manager on a day-to-day basis

(or Operational Manager with devolved responsibility), a Contract Manager, Partnership

Director and/or a Business Unit Managing Director

Conflict of Interest -

personal

A personal conflict of interest occurs when your

private interests interfere, or could appear to

interfere, with the best interests of Serco

Conflicts of Interest

- organisational

Organisational conflicts of interest occur when,

because of the activities or relationships with others, an unfair competitive advantage may

result; impartial assistance or advice cannot be

provided; or where objectivity may be impaired

Direct or Indirect

Victimisation

Direct victimisation is when someone treats you

unfavourably

Indirect victimisation is when a requirement,

condition or practice appears to be the same for everyone but actually disadvantages a certain

group

Malpractice Malpractice is action resulting from an instance of reprehensible ignorance, negligence or

incompetence or through criminal intent

Retaliation Retaliation is where action is taken to harass, fire, demote or otherwise ‘retaliate’ against an

individual because they have raised an issue or grievance, provided information because of a

complaint, reasonably asserted their rights or

made an allegation that a person has acted

unlawfully

Whistleblowing Whistleblowing is the reporting of misconduct, alleged dishonest or illegal activity which may be

occurring in an organisation

Wrongdoing Wrongdoing is the result of behaviour or action

which is wrong, evil or blameworthy or against

the company’s values.

7 Further information and support If you require any further information or support regarding this Group

Standard, or if you have any suggestions for improvement, please contact the Accountable Policy Owner (Group) or email [email protected]
mailto:[email protected]

Documents

Speaking Up - my.serco.com · SMS GS-BC3 – Speaking Up – December 2019 – v2.0 1 Objectives Serco takes malpractice and impropriety extremely seriously. We will maintain an effective