Canary Wharf Group is a commercial organisation and like any commercial organisation it must operate profitably and economically. However, the way in which we conduct ourselves in the course of such operations is of crucial importance, not only to the Group and its workers but to those with whom it conducts business (both tenants and suppliers) and to the community at large.
This document sets out the policy of Canary Wharf Group plc and its group of companies (the “Group”) in relation to bribery and corruption. It may be amended by the Group from time to time.
Commitment to bribery and corruption prevention:
(i) The Group adopts a strict approach to maintaining high standards of finance, business principles and ethics. The Group recognises the damage that fraud, bribery and other corrupt practices (together “Corruption”) can cause, not only to the financial standing of the Group but also to its reputation which it sees as a valuable asset.
(ii) The Group does not tolerate Corruption. Compliance with the Policy is mandatory. Breaches will be regarded as a serious matter by the Group and dealt with under the disciplinary procedure. Serious cases may be treated as gross misconduct and lead to summary dismissal.
(iii) The Canary Wharf Group plc board of directors (the “Board”) and all management within the Group are committed to the prevention of Corruption and to maintaining a culture in which it is never acceptable at any level.
(iv) The Group, Board and management are prepared to forego contracts rather than to pay bribes.
(v) All directors and staff are required to act in a manner which seeks to ensure that the objectives of the Policy are achieved.
(vi) Details of how to report suspected bribery are available in the Whistle- Blowing Policy. Reporting is actively encouraged. No employee will suffer demotion, penalty or other adverse consequences for reporting a concern relating to bribery or for refusing to pay bribes, even if such report or refusal may result in the Group losing business.
All staff are required to act with honesty and integrity at all times and to safeguard Group resources for which they are responsible. Staff must not engage in any activities which involve bribery, whether active or passive.
The prevention, detection and reporting of Corruption is the responsibility of all staff with any suspicions being reported in line with the Whistle-blowing policy.
The Policy applies to the Group which also seeks to apply it to associated companies and joint ventures; third party contractors and service providers.
The Policy covers all staff employed by the Group (permanent, temporary and contractors) (“Staff”) within all areas and functions.
GUIDANCE TO THE POLICY:
This Policy should be read in line with the Code of Business Practice and Ethics.
1. The Offences
The Bribery Act 2010 (the “Act”) forms the background to the Policy. UK companies and individuals may be guilty of offences under the Act no matter where the offending act takes place.
The principal offences under the Act are:
(i) Bribing another person (section 1 offence): it is an offence to offer, promise or give a financial or other advantage to another person to reward or induce improper performance;
(ii) Offences relating to being bribed (section 2 offence): it is an offence to request, agree to receive or accept a financial or other advantage, in return for improper performance;
(iii) Bribery of a foreign public official (section 6 offence): it is an offence to give an advantage to a foreign public official, with the intention of influencing that public official in his or her official role and thereby securing business or a business advantage;
(iv) Failure of commercial organisations to prevent bribery (section 7 offence): an offence is committed if a person associated with the Group bribes another in order to retain or obtain business or a business advantage for the Group. This is a strict liability provision, making the Group liable for bribery by employees, as well as bribery by service providers including consultants, contractors and joint venture partners. The Group should therefore put ‘adequate procedures’ into place designed to prevent persons associated with the Group from committing bribery; and
(v) where a company is guilty of bribery, directors and senior managers may also be guilty if they have consented or connived (section 14 offence).
2. Key areas of concern
(i) Hospitality, entertainment and gifts (together “Hospitality”): staff, suppliers, partners and other third parties representing the Group must avoid giving or receiving Hospitality if it could be intended, or be reasonably interpreted, as inducing someone to do something incompatible with his or her responsibilities or to reward or encourage for a favour or preferential treatment in connection with the Group’s business.
Sometimes in business, and particularly in certain cultures, an exchange of Hospitality is appropriate. In such instances, Hospitality should be reasonable, in good taste and be proportionate in their values. Staff must never give or accept Hospitality where doing so is prohibited by law or by the recipient or donor’s organisation’s policy.
Staff must report all Hospitality to their line manager and should exercise their own discretion as to what is reasonable and proportionate in accepting/offering Hospitality.
If Hospitality is offered over a value of £200.00, authorisation must be obtained at the earliest practicable opportunity. This is done by completing a form (available from Personnel) which must be signed by your line manager. This approval will then be recorded in the Hospitality register.
All Hospitality to and from public officials should be recorded on the register regardless of monetary value.
(ii) Political and charitable contributions (including sponsorship): the Group, its Staff and its agents do not make any direct or indirect contributions to political parties, organisation or individuals engaged in politics as a way of obtaining advantage in business transactions. The Group makes all political donations in an open and transparent manner and discloses annually all aggregate political and charitable contributions.
All political donations are approved by the Chairman and Chief Executive Officer of the Company and recorded in the register of political donations.
The Group recognises the rights of individuals to participate in the political process and make personal political or charitable donations. This is permitted, provided that the donation is not associated with the Group in any way.
The Group, its Staff and its agents should ensure that political and charitable contributions and sponsorships are not being used as subterfuge for bribery.
Legitimate donations and contributions are permitted, provided that:
– they are not dependant on, or made in order to, reward, win new business or gain any other commercial advantage;
– where appropriate background checks and due diligence are conducted to establish that the recipient is bona fide; and
– all applicable regulatory and legislative requirements have been complied with.
(iii) Facilitation payments are small payments made to Government officials or employees to facilitate or speed up routine bureaucratic transactions and are common in some jurisdictions. Facilitation payments are considered as bribes in the UK and are therefore illegal.
The Group, its Staff and its agents should not make any facilitation payments either directly or indirectly or through a third party.
(iv) Associated Persons: the Group may incur criminal liability as a result of bribes by persons performing services on behalf of the Group including agents, intermediaries and contractors (“Associated Persons”). A defence to such liability is that it had adequate procedures in place to prevent those persons from bribing.
Before an Associated Person is engaged by the Group you should comply with existing systems and procedures to ensure this relationship is compliant with the Policy. This may include ensuring that the appropriate authority levels are being adhered to for their instruction; a legal agreement or appropriate purchase order is in place; providing them with a copy of the Group’s Policy and obtaining a copy of their anti-bribery policy in return
Associated Persons should never be used in order to make payments or give advantages which would be prohibited under the Act, or under other applicable anti-bribery laws
3. Policy Implementation
The Group aims to limit it’s exposure to Corruption by:
(i) not tolerating Corruption;
(ii) increasing awareness of employees to identify and avoid Corruption by themselves and others;
(iii) continuing to adopt open and transparent procedures within all finance related sectors of the Group;
(iv) investigating all suspicions of Corruption thoroughly, co- operating with the police and all appropriate authorities where required;
(v) regularly reviewing and risk-assessing tasks performed by each area within the Group;
(vi) adopting a clear anti Corruption approach for all new staff through a comprehensive induction regime;
(vii) carrying out appropriate due diligence on all joint venture partners and service providers.
4. Indicators of Corruption
Indications of potential Corruption can include the following:
– abnormal cash payments are made or requested to be made;
– there is pressure to make payments urgently or ahead of schedule;
– abnormally high commission is being paid or is sought to be paid to an agent;
– lavish gifts are made or received;
– individuals rarely take time off and insist on dealing personally with specific contractors;
– unexpected or illogical decisions are made in accepting projects or contracts;
– the agent/contractor does not have the requisite experience or expertise to perform the services, or it is not clear what services are being provided;
– normal tendering processes and procedures are not followed; and/or contract files are not complete.
5. Who is covered by the Policy
The Policy applies to the Group. The Group will also seek to apply it to associated companies and joint ventures, third party contractors and service providers.
The Policy applies to all staff, to include:
(i) all employees employed from time-to-time by the Group, whether employed on a permanent contract or a fixed term or other temporary contract;
(ii) workers which includes self-employed, contract and agency workers, trainees, people who are provided with work experience (whether or not as part of a training course), and any other worker who is supplied to the Group by a third party; and
(iii) any other person working for any Group Company from time to time, within any region, area or function.
If you require any further information on the above offences, please contact the Company Secretarial Department.
1.1 This policy is designed to establish and explain the controls that Canary Wharf Group plc and its subsidiaries (in any jurisdiction) use to combat slavery, servitude, forced or compulsory labour and human trafficking.
1.2 The policy is also to be used to provide information and guidance to anyone working for or with Canary Wharf Group plc and/or its subsidiaries on how to recognise slavery, servitude, forced or compulsory labour and human trafficking and how to deal with these issues.
1.3 The terms “we”, “us” or “our” throughout this document shall mean, as applicable, Canary Wharf Group plc and/or any or all of its subsidiaries.
2.1 It is our policy to conduct all of our business in an honest and ethical manner. We take a zero-tolerance approach to slavery, servitude, forced or compulsory labour and human trafficking.
2.2 We will uphold all laws relevant to countering slavery, servitude, forced or compulsory labour and human trafficking in all or any jurisdictions in which we operate. However, we remain bound by the Modern Slavery Act 2015 (the “MSA”) regardless of the jurisdiction in which a particular transaction or transactions may occur.
2.3 Government guidance on the MSA sets out the definitions of slavery, servitude, forced or compulsory labour and human trafficking as follows:
2.3.1 “Slavery” is the status or condition of a person over whom all or any of the powers attaching to the right of ownership are exercised. As legal ownership of a person is not possible, the key element of slavery is the behaviour of the offender as if they are the owner of the victim, thus depriving the victim of their freedom.
2.3.2 “Servitude” is the obligation to provide services that is imposed by the use of coercion and includes the obligation for the victim to live on the offender’s property and the impossibility for the victim to change their condition.
2.3.3 “Forced or compulsory labour” involves coercion, either in the form of direct threats of violence or more subtle forms of compulsion. The key elements are that work or service is exacted from the victim under the menace of penalty and for which the victim has not volunteered.
2.3.4 “Human Trafficking” is the arrangement or facilitation by the offender of the transportation of the victim with a view to the victim being exploited. This offence can be committed even where the victim consents to the transportation.
These offences are known collectively as “Modern Slavery” in the remainder of this policy.
2.4 Modern Slavery is a severe human rights violation and needs to be eradicated. Any indication that Modern Slavery exists anywhere in our supply chain will be investigated and dealt with as a priority. We take our responsibilities under the MSA and other human rights legislation very seriously not just as a legal duty, but also as a matter of good business practice and ethics.
2.5 We shall ensure that we:
2.5.1 have adopted procedures that are proportionate to the risks associated with the various aspects of the business, based on factors including, but not limited to, location risks, sector risks, transaction risks and business partnerships risks;
2.5.2 demonstrate a commitment to the eradication of Modern Slavery throughout the organisation, led by the top level commitment of the senior management;
2.5.3 undertake risk assessments to fully assess the nature and extent of our risks regarding Modern Slavery;
2.5.4 carry out due diligence enquiries in respect of our dealings with third parties;
2.5.5 carry out effective communication and training on all our policies and procedures to all staff; and
2.5.6 will undertake monitoring and regular review of our policies and procedures to ensure continued compliance with legislation and best practice.
3.1 This policy applies to all individuals working at all levels and grades, including senior management, officers, directors, employees (whether permanent, fixed-term or temporary), consultants, contractors, trainees, seconded staff, casual workers and agency staff, volunteers, interns, agents, sponsors or any other person associated with us.
3.2 All individuals listed above (“you”) are expected to read, understand and comply with this policy. It is your duty to assist in the prevention, detection and reporting of suspected Modern Slavery and you must notify your line manager or a senior member of staff as soon as possible if you suspect any act of Modern Slavery is occurring within our supply chain or that any other conflict with or breach of this policy has occurred or may occur in the future.
3.3 You are encouraged to raise concerns about any issue surrounding or suspicion of Modern Slavery at the earliest possible stage. Employees should raise concerns using our Whistle-Blowing Policy.
3.4 We will fully investigate any instances of alleged or suspected Modern Slavery. We may also report any matter to the relevant authorities and provide all necessary assistance those authorities in their investigations and any subsequent proceedings.
4.1 You may be concerned about any possible repercussions of reporting your suspicions of instances of Modern Slavery.
4.2 We aim to encourage openness and will support anyone who raises genuine concerns in good faith under this policy, even if they turn out to be mistaken either as to the facts or the law.
4.3 We are committed to ensuring no one suffers any detrimental treatment as a result of refusing to take part in bribery or corruption, or because of reporting in good faith their suspicion that actual or potential Modern Slavery has taken place or may take place in the future.
4.4 Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment such as denial of promotion or marginalisation connected with raising a concern. If you believe you have suffered any such treatment you should inform your line manager or a senior member of staff immediately. If the matter is not remedied, and you are an employee, you should raise it formally through the Grievance Procedure.
4.5 You are also protected under the law relating to whistle blowing against any detrimental treatment subsequent to making an allegation in good faith even if found to be incorrect.
5. Training and Communication
5.1 Training on this policy forms part of the induction process for all new employees. All existing employees will receive regular, relevant training on how to implement and adhere to this policy.
5.2 Our zero-tolerance approach to Modern Slavery must be communicated to all other persons listed in paragraph 3.1 of the policy at the outset of our business relationship with them and as appropriate thereafter.
5.3 We shall undertake comprehensive due diligence in respect of our business associates in order to ensure that no Modern Slavery occurs in our supply chain, whether within the United Kingdom or overseas.
6. Monitoring and Review
6.1 The board of directors has overall responsibility for ensuring this policy complies with our legal and ethical obligations, and that all those under our control comply with it.
6.2 The Company Secretarial team has primary day-to-day responsibility for implementing this policy and for monitoring its use and effectiveness and dealing with any initial queries on its interpretation. Management at all levels are responsible for ensuring those reporting to them and made aware of and understand this policy and are given adequate and regular training on it.
6.3 The Company Secretarial team will monitor the effectiveness and review the implementation of this policy, regularly considering its suitability, adequacy and effectiveness. Any improvements identified will be made as soon as possible.
6.4 You are all responsible for the success of this policy and should ensure that you use it to disclose any suspected danger or wrongdoing. All are invited to comment on this policy and suggest ways it might be improved by contacting the Company Secretarial team.
6.5 This policy does not form a part of an employee’s contract of employment and may be amended from time to time.
This document sets out the policy of Canary Wharf Group plc and its group of Companies (the “Group”). It may be amended by the Group from time to time.
In this Code:
“Employees” means all employees from time to time of the Group, whether employed on a permanent or fixed term contract.
Any reference to “Worker” means:
a) Employees with permanent or limited-term contracts;
b) self-employed people;
c) contract and agency workers;
d) trainees and people who are provided with work experience as part of a training course or are provided with training for work (or both) by the Group; and
e) any other person working for any Group Company from time to time who is not an Employee.
The Group is a commercial organisation and, like any commercial organisation, it must operate profitably and economically. However, the way in which we conduct ourselves in the course of such operations is of crucial importance, not only to the Group and its workers but to those with whom it conducts business (both tenants and suppliers) and to the community at large.
The Group remains committed to an open and transparent financial regime, adopting a steadfast approach to maintaining high standards of business principles and ethics.
The Group has always sought to conduct its affairs in accordance with the highest standards. It deems it appropriate to state explicitly that the basic principles of business conduct, such as integrity, honesty and strict observance of the law, are fundamental to our business operation.
The Group does not tolerate bribery and corruption whether direct or indirect. Any breach will be regarded as a serious matter and is likely to be dealt with under the disciplinary procedure. Serious cases may be treated as gross misconduct and lead to summary dismissal.
Bribery is a criminal offence and, as such, the Group’s commitment to conducting business without the use of corrupt practices or bribery is a legal requirement. However, the Group also recognises that stamping out bribery and corruption is an ethical issue to which it is fully committed. Please see the Group’s Anti-Bribery and Corruption Policy.
As a Company we seek to establish and follow clear ethical standards and expect our workers to exhibit similar personal ethical standards in the manner in which we conduct ourselves as individuals. If you have any questions, you should not hesitate to discuss them with your departmental manager or the Personnel Department.
2. Guiding Principles
You must at all times act honestly, observing the letter and spirit of any law or regulation that applies to the Group’s business. This applies without exception to every person representing the Group, including directors, workers and agents.
You should avoid any action which would bring the Group into disrepute.
You should act with integrity and respect towards your fellow workers, the Group and those with whom the Group conducts business, respecting their rights and legitimate interests and recognising the importance of treating others with truth and fairness.
You must avoid any action which is liable to create a conflict between your interests and those of the Group or which could cause your personal interests or relationships to affect any decision or action which you may take on behalf of the Group.
The Group will take a serious view of any violation of the principles set out in this statement. Any such violation may give rise to disciplinary action.
3. Relationship with Workers
The Group employs or appoints and promotes and compensates individuals solely on the basis of their work-related qualifications and relevant skills without regard to race, religion, belief, colour, sex, marital status, sexual orientation, disability, nationality, ethnic origin, national origin, gender reassignment or age.
Any form of harassment is unequivocally prohibited and in particular the Group will not tolerate behaviour on the part of any individual, which amounts to sexual or racial harassment or creates an intimidating, hostile or offensive environment.
Workers should respect the importance of truth, integrity and fairness in their actions and behaviour towards the Group, with each other and with tenants and others with whom the Group conducts business.
The Group recognises that:
I. Workers must be treated honestly, fairly and with respect.
II. It should make clear to workers what is required of them and reward them appropriately.
III. So far as is practicable and appropriate, workers should be kept informed and their views considered with respect.
IV. Any reference provided should be fair and accurate.
V. Any employee, who is dismissed, should, wherever possible, be given an adequate opportunity to collect personal effects and to take leave of colleagues.
VI. The Company owes a duty to provide safe working conditions for all workers.
Workers should be honest, accurate and true in all dealings with each other and the Group and should at all times carry out their duties conscientiously to the best of their abilities. Only exceptionally, or in cases of real necessity, should time be spent during working hours on personal affairs and, on such occasions, it should be kept to a minimum. Company property should not be used for personal purposes, except with the specific permission of a director or your departmental manager.
The Group recognises that, given the hours many workers spend at the office, some personal calls may be inevitable. Personal telephone calls may be made or received during working hours where really necessary but should always be kept as short as possible and not allowed to interfere inappropriately with your work.
4. Business Dealings
The Group expects its workers and third party service providers never to engage in any form of corruption to include bribery, fraud, deception or misrepresentation. You must comply with the Group’s Anti-Bribery and Corruption Policy.
It is unlawful to make copies of anything, which is the protected copyright of someone else. However, the law does permit “fair dealing” which broadly speaking means, in our circumstances, making a copy for the purposes of research or private study. If you are ever in doubt please contact the Personnel Department.
It is unlawful to duplicate licensed software without the copyright owners’ express permission. The Group has a license agreement to cover the use of software programmes but software loaded on one hard disk may not be duplicated for use on another PC without permission. To ensure there is no unintentional infringement of the law, always consult the IT Department before copying any software or programmes either from or onto any machine.
Conflicts of interest must be avoided. You should not permit a situation to arise where your personal interests could affect decisions made on behalf of the Group, whether by you or a colleague. If any company within the Group is contemplating doing business with a company or organisation with which you or a relative or close friend of yours is connected, you must disclose all the relevant circumstances in writing to your departmental manager and ensure that you take no part in reaching a decision on that particular item of business on behalf of the Company.
The confidentiality of information relating to the affairs of the Group or any tenant or other person with whom the Group does business must at all times be maintained. No worker should ever discuss any aspect of the Group’s affairs with the Press or other media or with any third party, except with the express permission of a director of Canary Wharf Group plc or where the communication of information is an integral and normal part of the performance of the worker’s duties.
Equipment or other property belonging to the Group should never be used for the purposes of your own business or a business with which you are connected.
5. Suppliers and Customers
It is the Group’s policy that suppliers should be treated fairly and be paid on time.
Under no circumstances should a worker personally benefit from placing work with subcontractors, consultants or suppliers. This includes personally receiving the services of subcontractors or consultants lower than current market rates or free or nominally charged materials or plant on loan.
Information given to tenants or potential tenants must be true and not misleading.
In promoting Canary Wharf, it is legitimate to emphasise all points in our favour. However, it should not be necessary to denigrate any competitor of Canary Wharf or any alternative property, regardless of whether the information offered is true. Under no circumstances should any untruthful or misleading information be given about any competitive property or company.
6. The Environment and Community
The Group acknowledges a duty, which is shared by all workers, to preserve the environment within which it operates and to maintain and promote a safe and healthy workplace. There is also a shared duty to take all reasonable steps to ensure that workers, tenants and others who are permitted to be on our premises are not endangered by any action on behalf of the Group.
The Group aims to support the social, economic, environmental and cultural well-being of the Community within which it operates and encourages workers also to contribute towards that end.
No code which deals with ethical business practices can possibly cover every conceivable circumstance which may arise. As stated at the outset, the over- riding requirement is to act honestly and fairly and with integrity, dedication, responsibility and respect for others. The reputation of the Canary Wharf Group is in the keeping of us all. The Group takes these matters very seriously and any worker who has any question or uncertainty – whether in general or in relation to a specific matter – is urged to consult his or her departmental manager or the Group Personnel Manager.
Breaches of our ethical guidelines could, in certain instances, be considered fraud against either the client or the Group and/or misconduct, the consequences for the parties involved may include the following:
– Disciplinary action;
– Third party suppliers involved being put on avoid status;
– Potential criminal prosecution; and
– HM Revenue & Customs investigation.
If appropriate, any worker may, in the strictest confidence, speak about any aspect of this Code of Practice to the Chairman and Chief Executive Officer or to any other director of Canary Wharf Group plc.
Canary Wharf Group plc’s Community Policy is based on two simple principles of corporate responsibility.
Firstly, our developments should open the widest possible economic opportunity to people living in the surrounding areas. This may take the form of direct employment, either during construction phases or on completed developments, indirect employment through our supply chain or that of our tenants, or business opportunities for local small companies and social enterprises.
Secondly, our developments should benefit those who, for whatever reason, are unable to, or do not wish to access the resultant economic opportunities. Instead we seek to be a good neighbour, keeping local people and stakeholders consulted and informed about our plans and activities and supporting activities which help make our communities great places to live.
Our community work falls into nine main areas of activity:
• Representation and corporate leadership
• Corporate charitable support
• Employment and training
• Employee volunteering
• Community engagement and support
• Educational engagement and research
• Economic development – support for local businesses
• Sports sponsorship
• Arts and Events
This requires the development of systems and procedures that create and deliver sustainable value in relation to our impact on the environment, the economy, engagement in the community, and enabling people to aspire and achieve. This should include:
• Identification and engagement of key stakeholders
• The embedding of CSR principles in management and operational processes and supply chain activity
• Measurement and reporting of our initiatives and their impact
• Measurement and reporting of our community investment
• Board level review
• Raising our employees’ awareness and commitment to community outreach and encouraging their contribution through volunteering.
• Describe CWG’s commitment to applying best practice wherever practical in the design, construction and management of the Canary Wharf Estate and our properties situated elsewhere, for the benefit of the environment, our tenants, employees, the community and stakeholders and our commitment to engage with local communities and local businesses.
• Outline the systems in place to meet these commitments.
To this end, CWG is committed to:
• Fully understanding the environmental and social impacts of development on the Canary Wharf Estate and any related activities.
• Take steps to reduce and control our impact on the environment and local community.
• Comply with all relevant environmental legislation, regulations and standards of relevance to the industries we operate in. Monitor changes to legislation and our compliance.
• Integrate environmental and social issues into business strategies and corporate culture.
• Liaise with local community groups, schools and other businesses to raise awareness of the opportunities provided by the Canary Wharf Estate.
• Continually improve our environmental and social performance by developing objectives and targets and by good management of our environmental and social impacts.
• Reduce energy, water and resource use and re-use and recycle waste where possible during design, construction and management of properties.
• Minimise disruption and disturbance to the environment and local community during construction and management of the estate.
• Prevent pollution, monitor and reduce any emissions which may have an adverse impact on the environment and/or local community.
• Promote biodiversity on the estate and enhance the ecological value of the development, surrounding land and waterscapes through the enhancement of environmental specification and design.
• Raise awareness and promote effective management of environmental and social issues with our staff, designers, suppliers and contractors.
• Work with suppliers and contractors to establish effective environmental supply chain management and to promote the procurement of sustainable products and materials.
• Work with partners, stakeholders, local communities and authorities and other parties who have an interest in our business to identify key environmental and social issues and to share solutions and best practice in managing environmental impact.
• Publish information on our environmental performance annually with third party verification.
• process data fairly, lawfully and only for specified and lawful purposes;
• ensure that all data obtained will be relevant to those lawful purposes, accurate, up to date and kept no longer than legally required;
• process all data in accordance with each employee’s statutory rights; and
• take appropriate security measures to protect the data from unauthorised disclosure.
These principles, together with the following, shall form the Group’s Data Protection Policy.
Records kept on computer:
• In accordance with the Act you may make a written request for a print-out of the Personal Data concerning you and held on any Group computer. Any telephone request must be followed up in writing.
• You may be asked to check such Personal Data from time to time.
• In accordance with the provisions of the Act, upon receipt of your written request a print-out of the appropriate Personal Data will be made available to you together with a description of the purposes for which the Group keeps this information, and to whom the information may be disclosed and any other information required by the Act.
• Every reasonable effort will be made to ensure that the Personal Data held concerning you is accurate and up-to-date. In order to enable the Group to meet its legal obligations, you are required to advise the Personnel Department if your personal circumstances have changed, for example, if you have moved house.
Records not kept on computer:
• Personnel files not stored on computer are the property of the Group and access to the information they contain is restricted. Generally, only your Line Manager and other Senior Executives of the Group have a legitimate reason to review information in your file and only they are allowed to do so. When appropriate, the Personnel/Payroll Department, accountants and employee benefit advisors may have access to your file.
• Employees will be provided with access to their Personnel file within two weeks of written notice of a request to provide such access being received by the Group Personnel Manager. If a telephone request for access is received the caller will be notified that the request should be put in writing.
• In response to a request, the Group Personnel Manager will confirm, in writing, the date, time and place at which access will be provided. You should note that under the Act the Group is entitled, in certain circumstances, to deny access to some of the information on your file. For example, the Group is not obliged to provide you with copies of any employment references that it may have given in confidence. Accordingly some of the contents of the Personnel file may be withheld.
• You may request a copy of any part or all of the contents of those parts of the Personnel file or other record to which access has been provided pursuant to the Act. Subject to the request being reasonable and not requiring a disproportionate amount of effort the Group will provide one such copy. A record will be made of any copies requested and provided, and the record shall include the date and place and name of the person providing the copy.
Details of Access
• Access will be by arrangement and viewing of the contents of the Personnel file will be in an office selected by the Personnel Department, in the presence of a representative of the Personnel Department nominated by the Group Personnel Manager. (The sole purpose of this is to ensure that no material is inappropriately removed, altered or destroyed).
• It is the policy of the Group not to give out any personal information (such as title, dates of employment or salary) to banks, credit agencies or anyone asking for the information, without written authorisation from you. If you need information released from the Group, please fill out an authorisation and return it to the Personnel Department.
• If you receive a request from someone you do not know, requesting information such as names, titles, addresses or salaries of any employee, please remember it is the policy of the Group not to provide such information without express authorisation from the employee concerned. Please refer any such requests to the Personnel Department.
Ownership of Personal Records
• The ownership of a personal employment record rests with the Group. In order to ensure clear accountability for the proper conduct of such records it is important to identify who may establish and maintain them.
Personal employment records may only be established and maintained by:
• the Group Personnel Manager
• the Group Financial Controller
• the Head of Department
Low Level Data
• Low level data (e.g. general job descriptions) may be kept at a lower level and would not fall within the scope of these provisions unless the employee concerned can be identified. Job titles are not confidential within the Group.
• Responsibility for maintenance and data access shall be delegated to the Personnel Department.
Responsibility For Application Of Policy
It follows that, operationally, the Group Personnel Manager will be responsible for the proper application of this policy.
Accuracy Of Data
• If on viewing personal data/information processed by the Group, you consider the personal data/information to be inaccurate then you have the right to ask the Group to amend any inaccuracy. Any such request for amendment should be made to the Group Personnel Department in writing. If the Group agrees with the request the data/information will be amended accordingly.
• The Group is required to maintain accurate and up to date information, and accordingly there is an obligation upon all employees to keep the Personnel Department informed of all changes to personal data including changes of address, marital status and next of kin within 72 hours of any changes.
• Any employee who has specific questions arising from the Group’s Data Protection Policy is invited to contact the Personnel Department.
You should note that the Group may make a reasonable charge of up to £10 in respect of the provision of any personal data/information although generally no such fee will be charged unless substantial photocopying is involved.
Personal Data Consent
Information which you provide or have provided in the course of your recruitment and your employment will be processed by the Group. This may include, for example, details of your name and address, date of birth, absence records, attendance and time keeping, work performance history, appraisals, disciplinary and training records, salary, benefits, marital status, family information, emergency contacts, health and pension details, qualifications, skills and experience. Specifically, this data is used for the following purposes:
• pre-employment checks
• equal opportunities monitoring
• payroll and auditing operations
• provision and arrangement of employee benefits
• education, training, appraisal, personal development, promotions and current disciplinary record(s), if any
• and otherwise in connection with your employment, with course of the Group’s legitimate business or as required by law
It is the Group’s policy to protect employees’ rights to privacy and to comply with the provisions of the Data Protection Act 1998. As such, all personal data is kept securely and released only to those third parties named below:
• reference requests which have been approved by the employee who is the subject of the request
• Group accountants, auditors or lawyers
• payroll and personnel employees
• employees benefits advisers and providers
• senior managers and executives responsible for your management and/or the management of tasks you are engaged upon or may be engaged upon in the course of your employment with the Group
Your personal data will not be transferred to other third parties without your consent unless the Group is required to do so by law.
In most cases, it will be obvious when personal data about you is collected. Some information gathering on occasion may be less obvious (e.g. information gathered through security passes and other technological measures such as CCTV). From time to time and without notice, communications (including emails, voicemail, radio transmissions and telephone calls) and internet usage records as well as paper correspondence may be monitored, recorded or inspected (as appropriate). Such monitoring may take place only where necessary and proportionate for purposes permitted by law from time to time, including without limitation:
• employee supervision and disciplinary purposes;
• establishing the existence of facts (e.g. recording evidence of business transactions);
• ascertaining compliance with regulatory or self regulatory practices or procedures which relate to the Company’s business;
• ascertaining or demonstrating standards which are achieved or ought to be achieved by persons using the Company’s systems;
• preventing or detecting crime;
• investigating or detecting unauthorised use of the Company’s telecommunications systems and other materials (e.g. monitoring to ensure compliance with the Company’s policies and procedures and to evaluate the quality of customer service);
• ensuring the effective operation of the Company’s telecommunications (including telephones, email and internet) systems;
• billing purposes;
• checking security measures.
Data obtained from such monitoring may be used as evidence in any disciplinary proceedings brought by the Company against its personnel.
Where appropriate, emails and paper correspondence may be checked (e.g. in an individual’s absence) to ensure that the Company responds promptly to its clients and other contacts.
Authorised Company personnel may, for the foregoing purposes, access desk or workspace files, stored electronic mail, voicemail messages, internet traffic and usage records, telephone records, word processing files and other electronic or paper-based information files.
By signing your Contract of Employment and the Data Protection Form concerning personal data processing, or by reason of your continued employment with the Group, you will have agreed or be deemed to have agreed to consent to the processing, transfer and disclosure of such data as is set out and referred to above under the heading of Personal Data Consent.
You agree to treat any data to which you have access in the course of your employment in accordance with the Company’s policies and procedures from time to time. In particular, you will ensure that data is:
• only used in connection with and to the extent necessary for the purposes of your employment;
• kept secure;
• adequate, relevant and not excessive for the purpose for which it is held;
• not kept for longer than is necessary and permanently deleted or destroyed when no longer required.
It is the policy of the Group to make all employment decisions including policies based upon the applicant’s ability, experience and qualifications without regard to age, sex, race, colour, nationality, national origin, sexual orientation, ethnic origin, any gender reassignment, religion or belief, disability or marital status. The Group values the benefits a diverse workforce can bring. Our employees shall not be disadvantaged by any policies on pregnancy or trade union membership grounds or the fact that they are a part- time or fixed-term employee, and applicants for employment conditions of service which cannot be justified as necessary for operational purposes. This applies also to treatment by workers of the Group’s clients and supplier.
Individuals will be selected, promoted and employment decisions will be taken on the basis of their relevant aptitudes, skills and abilities. Employees will be encouraged to take advantage of suitable opportunities for training and advancement, where appropriate.
The Group is committed to the terms of the Code of Practice on Employment for the elimination of racial discrimination, the promotion of equality of opportunity in employment, the elimination of disability discrimination and to a continuing programme of action to make this policy fully effective. All employees have a duty to act in accordance with this policy and therefore to treat all colleagues with dignity at all times, and not to discriminate against or harass other members of staff whether junior or senior to them. Any behaviour which undermines this purpose will not be tolerated and will be dealt with under the Company’s Disciplinary and Dismissal Procedure and, in serious cases, may be treated as gross misconduct leading to summary dismissal.
Further, the Group will monitor the composition of the workforce and may introduce positive action if it appears that this policy is not fully effective.
The Group embraces diversity as a practical contribution to its business success. Equality and diversity have a crucial role on two levels. At an interpersonal level; in determining how people relate to each other and build relationships in the work place and at the managerial level; enabling managers to encourage diversity and the positive role that this plays in the success of the Group as a business and employer.
The Group is committed to its Diversity and Equal Opportunities Policy and all employees are required to co-operate with its efforts to ensure that the policy is implemented in full.
All employees and job applicants will be asked to complete a form denoting their nationality, sex, race, age and ethnic origin and any disabilities. This form will not bear the name of the individual and will be detached from the contract of employment and application. The Group guarantees that this information will be used only for the purpose of complying with its legal obligations and of monitoring the effectiveness of its Diversity and Equal Opportunities Policy.
The composition of the workforce and of job applicants will be monitored on a regular basis. Should inequalities become apparent, positive action may be taken to redress the imbalance, including such measures as:
– advertising jobs in ethnic or female interest publications in addition to those publications more commonly used, as appropriate;
– introducing assertiveness training;
– encouraging under-represented groups to apply for suitable training;
in order to encourage job applications from under-represented groups.
Any employee who discriminates against or harasses:
(a) any other employee on any grounds including without limitation age, sex, race, colour, nationality, national origin, sexual orientation, ethnic origin, disability, religion or belief, marital status or gender reassignment (or because they are perceived to have any one of these);
(b) any other employee merely because of anyone with whom they associate has one or more of the following characteristics without limitation: age, sex, race, colour, nationality, national origin, sexual orientation, ethnic origin, disability, religion or belief, marital status or gender reassignment and the treatment is because of such a characteristic;
will be subject to the Group’s Disciplinary and Dismissal Procedure.
Such behavior may be deemed to constitute gross misconduct and may result in summary dismissal.
Any employee or job applicant who believes he or she has received less favourable treatment on the grounds of age, sex, race, colour, nationality, national origin, sexual orientation, ethnic origin, disability, religion or belief or marital status is asked to bring their concerns to the attention of the person responsible and ask them to stop the offensive behaviour. If it would be inappropriate to raise it with the person concerned, or the problem is not resolved by being raised with them, employees should make a complaint under the Group’s Grievance Procedure.
Canary Wharf Group recognises that the Company and its employees have a significant role to play in the communities within which we work and live. The Group actively encourages its employees to develop their skills within the context of their personal development plans and to harness their skills to add value to the many voluntary and community organisations who rely on volunteers to achieve their objectives.
To support this, subject to operational need and the Line Manager’s approval, the Group allows employees to take up to a maximum of 2 working days of paid work time per year for community volunteering. The Group hopes that the employee would match that commitment by contributing their own time also.
When using the volunteering paid time off, employees are required to comply with the rules and processes detailed in this policy. Employees are bound by all the Group policies whilst on paid leave for volunteering.
The Group will provide a menu of opportunities for employees to participate in individual or group-led volunteering activities delivered through partnerships with reputable and effective local organisations.
Employees can use their volunteering paid time off to get involved in a variety of volunteering activities as long as they do not create a conflict of interests for the employee or the Group or disrupt or adversely affect core business activity.
There are no restrictions placed on employees using their personal time to volunteer.
All employees who have passed their probationary period are eligible to apply for paid time off for volunteering as detailed in this policy.
When a Criminal Record Bureau Check is required due to the circumstances of the volunteering activity, any employee who does not pass the check will be disqualified from any volunteering activity requiring such checks. The Criminal Record Bureau Checks will be requested by the charity concerned.
Other community involvement initiatives, including payroll giving and match funding, are governed by different rules to those detailed in this policy.
Conditions and Rules
The maximum possible paid time off for volunteering will be 2 working days per annum.
Employees who join the Group within the first 6 months of the leave year are eligible to apply for the full year’s hours and employees who join in the last 6 months of the leave year, to one working day.
The upper limit for volunteering paid time off is per employee, per annual leave cycle. Such time may be taken in any combination subject to the impact on the operational requirements of the business. Time not taken within the annual leave cycle, cannot be accumulated.
Volunteering paid time off will be subject to approval by the employee’s Line Manager on production of satisfactory evidence of the volunteering activity. Approving such requests is at the line manager’s discretion, having considered;
• the impact on the core business activity,
• whether the activity is appropriate for the employee, and,
• other factors which may be relevant.
Any request for paid volunteering time made by an employee will include time required to travel to and from a volunteering activity.
Approval may be given to work with organisations which are registered charities. The Public Affairs Department will provide guidance where there is a request to work with an organisation which is not a registered charity.
No payments will be made in lieu of time not taken or for personal time used to volunteer.
No payments will be made by the Group to employees for costs incurred by the employee partaking in the volunteering activity.
Impact of the Policy on Conditions of Employment
This policy does not form part of your contract of employment.
This document sets out the Policy of Canary Wharf Group plc and its group of Companies (the “Group”). It may be amended by the Group from time to time.
In this Policy:
“Employees” means all employees from time to time of the Group, whether employed on a permanent or fixed term contract.
II. self-employed people;
III. contract and agency workers;
IV. trainees and people who are provided with work experience as part of a training course or are provided with training for work (or both) by the Group; and
V. any other person working for any Group Company from time to time who is not an Employee.
The Group is committed to the highest possible standards of openness, integrity and accountability. It expects all workers to maintain the same standards in everything they do. Workers are, therefore, encouraged to report at an early stage any wrongdoing by the Group or its workers that falls short of these business principles.
The Public Interest Disclosure Act 1998 protects workers who report wrongdoing within the workplace and it is the aim of this policy to ensure that as far as possible our workers are encouraged to tell us promptly about any wrongdoing at work which is in the public interest and which they believe has occurred or is likely to occur.
We recognise that workers may not always feel comfortable about discussing their concerns internally, especially if they believe that the Group itself is responsible for the wrongdoing. The aim of this policy is to ensure that workers feel confident that they can raise any matter with the Group in the knowledge that it will be taken seriously, treated as confidential and that no action will be taken against them. This policy aims to provide protection against detriment or dismissal on the grounds that you have disclosed a concern as long as such disclosure is made in the reasonable belief that the disclosure tends to show a malpractice (as specified below), is in the public interest and is made in accordance with this policy.
In operating this policy, the Company will:
• observe the statutory provisions of the Public Interest Disclosure Act 1998, as inserted into the Employment Rights Act 1996, which gives legal protection to workers against being dismissed or penalised in any way as a result of making a protected disclosure for specified acts of serious malpractice;
• ensure that no discrimination occurs on the grounds of gender, gender reassignment, marital status, race, colour, nationality, ethnic origin, national origin, disability, age, sexual orientation, religion or belief, or any other unacceptable/prohibited grounds, when addressing concerns that have been raised;
• ensure that all workers are able to view a copy of this policy in a format which they can readily understand;
• ensure that workers receive a considered response to their concerns and are provided with a right of appeal if they are not satisfied with the outcome;
• reassure workers that they will be protected from any possible reprisals or victimisation if they have raised genuine concerns; and
• emphasise to managers and employees that victimising people who raise genuine concerns is a disciplinary offence, as is raising an allegation maliciously.
Concerns covered by the Policy
The Policy is intended to deal with serious or sensitive concerns about wrongdoings in the following areas:
• Criminal activity;
• Bribery and corruption;
• Failure to comply with a legal obligation;
• Miscarriage of justice;
• Danger to health and safety;
• Damage to the environment;
• Financial malpractice or impropriety or fraud;
• Improper conduct or unethical behaviour; and
• Attempts to conceal any of the above.
This list is an indication of the forms of malpractice which may cause concern, but is not restricted in any sense. Workers are encouraged to report any form of malpractice causing them concern.
It is not necessary to show that malpractice has been committed, is being committed or is likely to be committed, but merely that the worker has, or had, a reasonable belief that this was, or was likely to be, the case.
Concerns outside the scope of this Policy
• The Policy does not cover complaints against action taken, or intending to be taken, by the Group, the management team or colleagues which has placed, or could place, an individual at a particular disadvantage in respect of his or her duties, terms and conditions of employment, or relationships with co-workers. If an individual wishes to raise such a complaint, he or she should use the Group’s Grievance Procedure.
• While the Group expects individuals to use this Policy to raise concerns about malpractice, it has a duty to point out that an individual has a right to use the Group’s Grievance Procedure if their concern relates to a complaint against the Group and it is the individual’s intention that the disclosure should constitute a grievance, rather than raising a stand- alone concern under this Policy.
Bribery and Corruption
There are criminal sanctions for both individuals and for the Group if they are convicted of offences under the Bribery Act 2010. The Group is under a legal obligation to ensure that ‘adequate procedures’ are in place to prevent bribery from taking place.
The Policy should be read in line with the Anti-bribery and Corruption Policy and all suspicions of bribery should be reported in line with the Policy.
It may also be necessary to report suspicions of bribery to the police or other enforcement agencies/ regulatory bodies.
Protection against Victimisation
The Group appreciates that the decision to raise a concern can be a difficult one to make, not least because there may be a fear of reprisal from those who may be committing malpractice or others who may be involved. The Group will not tolerate victimisation of any person who raises a genuine concern, even if it transpires that there is no basis for concluding that any malpractice has occurred, or is likely to occur, and will take appropriate steps to protect them, including taking disciplinary action against anyone who is found to be pursuing any form of retaliation or has threatened to do so.
Confidentiality and Anonymity
The Group recognises that an individual may not wish to be identified during the course of raising a concern. In such circumstances, the Group will do everything possible to protect the person’s identity and will not disclose it without their consent. If it proves impossible to resolve the matter without revealing the individual’s identity, the member of management dealing with the matter will discuss with them whether and how to proceed. In some cases, however, confidentiality cannot be absolutely guaranteed as the very fact of the investigation may serve to reveal the source of the information. The statement of the person raising the concern may be needed as part of evidence against the perpetrator, or legal proceedings at a later stage may require the individual to appear as a witness.
Just as the Group will seek to protect those who raise genuine concerns, it will also protect those against whom claims are made, where the person raising the claim does so maliciously, knowing it to be untrue. The Group will take disciplinary action against any Employee who raises a concern maliciously, which may include summary dismissal. As far as issues of confidentiality are concerned, if it can be shown that there are reasonable grounds to suspect that an individual has acted maliciously, a court may order his or her identity to be revealed.
If appropriate, discuss the concern with the appropriate person responsible for the matter in the first instance.
The Group encourages workers to raise the matter when it is just a concern, as long as they have a reasonable belief in the wrongdoing, rather than have them wait for proof or investigate the matter themselves. Acting sooner rather than later can avoid any further potential damage. Your concern will be treated as completely confidential and will not result in any report to anyone within the Group which involves your name unless you agree. However, in order to fully investigate the matter and/or take action, it may become necessary in the course of events to reveal your identity. The Group will endeavour to give you prior notice if this is the case.
Individuals are encouraged to put their name to their allegation. Concerns expressed anonymously are much less powerful but will be considered by the Group in the context of: (i) the seriousness of the issues raised; (ii) the credibility of the concern; and (iii) the likelihood of confirming the allegation from attributable sources.
If there could be any language difficulties, (eg a non-English speaking worker or a deaf worker) at a meeting, the Group will arrange for an interpreter so the worker is not disadvantaged.
An Employee making a complaint will be allowed reasonable time, with pay, to seek advice for any meeting which forms part of the process and to be accompanied by a work colleague employed by the Group.
If the concern cannot be resolved by this approach or if such an approach is not appropriate because of the nature and the concern, then you have the right to use the procedure below.
You should formally raise the concern in writing with a senior member of the Personnel Department or, if you wish, any member of the board of directors. When they have investigated your complaint they will tell you the result of the investigation and what, if any, action has been taken. Please note, however that the Group may not be able to tell you the precise action it has taken where to do so would infringe a duty of confidence owed by it to somebody else.
Each step will be taken without any unreasonable delay, however, given the nature of malpractice investigations, timescales may be prolonged, but you will be kept up-to-date with progress.
No Employee who makes a bona fide report under this procedure will be subjected to any detriment as a result, in accordance with section 47B of the Employment Rights Act 1996. In the event that you believe you are being subjected to a detriment by any person within the Group as a result of your decision to invoke the procedure you must inform any senior member of the Personnel Department immediately and appropriate action will be taken to protect you from any reprisals.
The senior member of the Personnel Department (or another senior manager appointed for such a purpose) will write to you, inviting you to a preliminary meeting, advising of the right to be accompanied by a work colleague or trade union representative.
At the preliminary meeting, the concern will be discussed and you will be expected to produce any further evidence in relation to the matter, such as documents and names of witnesses.
The concern will then be investigated as quickly as possible by an independent investigator (see below).
The senior member of the Personnel Department (or another senior manager appointed for such a purpose) will consider the investigator’s report and decide if there is a prima facie case to answer.
If, on the balance of probabilities, there is evidence of malpractice, the senior member of the Personnel Department (or another senior manager appointed for such a purpose), will be responsible for taking appropriate action to remedy the situation.
The senior member of the Personnel Department (or another senior manager appointed for such a purpose) will meet with you, explain the outcome of the investigations and, if there is evidence of malpractice, the actions taken or to be taken. The details will be confirmed to you in writing, accompanied by a copy of the minutes of the meeting.
If you are not satisfied with the outcome, you have the right of appeal at Stage 3.
If action taken as a result of the Stage 2 does not resolve the concern from your point of view, you should lodge an appeal in writing to an individual who is more senior in the organisation than the person who took the decision at Stage 2 within five working days of receipt of the original decision.
You will then receive a letter from the senior manager who is appointed to hear your appeal, inviting you to an appeal hearing to discuss the matter, confirming the right to be accompanied.
At the appeal hearing the decision taken at Stage 2 will be considered against your basis for appeal. You will be notified in writing of the outcome with reasons, normally within ten days of the appeal hearing. A copy of the minutes of the meeting will be sent with notification of the outcome of the appeal.
This decision will be final and there will be no further right of appeal.
Operating principles for investigating complaints
• An investigation to establish all relevant facts will be conducted as sensitively and speedily as possible.
• Investigations will be carried out by an independent investigator who has had no previous involvement in the matter.
• At the end of the investigation, the investigator will analyse all the evidence and make findings of fact, based upon the balance of probabilities, as to whether malpractice has occurred or is likely to occur.
Independent Confidential Advice
If you are unsure whether or how to raise a concern you can get free confidential independent advice from Public Concern at Work (020 7404 6609).
The Group recognises that it is important, and in the interests of both employer and worker to keep written records during the concern raising process. Records, which will be treated as confidential and kept in accordance with the Data Protection Act 1998, include:
• the nature of the concern raised;
• a copy of the worker’s letter setting out the nature of the concern;
• the independent investigator’s report;
• the Group’s written response, including any action taken and the reasons for action taken;
• whether there was an appeal and, if so, the written response setting out the outcome;
• minutes of meetings; and
• subsequent developments.
Minutes of meetings will be given to the worker who has raised a concern although in certain
circumstances (for example to protect a witness) the Group reserves the right to withhold information
to protect confidentiality in respect of a third party who has been involved in the case.
Monitoring and Review
The Group will monitor the effectiveness of this Policy and take remedial action where it is
apparent that the Policy and procedures may not be achieving the Group’s overall aim.