This Policy reflects our commitment to good practice, to valuing staff and seeking continuous improvement in service delivery.
Guidance for Employers and Code of Practice (March 2015), and is intended to encourage and enable employees to raise concerns rather than overlooking them.
1 - Introduction
1.1 - RHEA is committed to the highest possible standards of openness, probity and accountability. In line with that commitment, RHEA expects employees and others who it deals with who have concerns about any aspect of the RHEA's work to come forward and voice these concerns. It is recognised that most cases will have to proceed on a confidential basis.
1.2 - This Policy makes it clear that you can report concerns without fear of victimisation, subsequent discrimination or disadvantage.
The Policy has been written with regard to the Legislation.gov - Public Interest Disclosure Act 1998 and follows the Department for Business, Energy and Industrial Strategy -GOV.UK - Whistleblowing Guidance for Employers and Code of Practice (March 2015), and is intended to encourage and enable employees to raise concerns rather than overlooking them.
1.3 - This policy applies to all employees (including those designated as casual, temporary, authorised volunteers or individuals gaining work experience), and those contractually working for RHEA on its premises. It also covers suppliers and those providing services under a partnership arrangement with RHEA.
Members of the public are also encouraged to report their concerns via this Policy.
1.4 – RHEA expects all organisations that deal with it and that have serious concerns about any aspect of RHEA's work to also come forward and voice their concerns via this policy.
2 - Aims and Scope
2.1 - Employees are often the first to realise that there may be something seriously wrong within RHEA. However, they may not express their concerns because they feel that speaking up would be disloyal to their colleagues or RHEA.
In these circumstances, it may be easier to ignore the concern rather than report what may just be a suspicion of malpractice.
2.2 - This Policy aims to:
Encourage employees to feel confident in raising serious concerns and to question and act upon their concerns;
Provide guidance on how to raise those concerns and be given feedback on any action taken;
Reassure employees that if they raise concerns and reasonably believe them to be in the public interest, they will be protected;
To advise and remind employees that the detrimental treatment of colleagues who blow the whistle may be considered a disciplinary matter.
2.3 - There are other procedures in place to enable employees to raise a grievance relating to their own employment. The Whistleblowing Policy is intended to cover major concerns that fall outside the scope of other procedures.
These can include:
Conduct which is an offence or a breach of law
Failure to comply with a legal obligation
Disclosures related to miscarriages of justice
Racial, sexual, disability or other discrimination against another employee or service user
Health and safety risks, including risks to the public as well as other employees
Damage to the environment
The unauthorised use of funds
Possible fraud, bribery or corruption, including but not limited to theft of property, financial irregularities, misuse of property and systems, conflicts of interest or supplier rewards
Sexual or physical abuse/harassment of another employee or service user
Failure to observe any Financial Procedure Rules
Employment of an officer without relevant qualifications, or other conduct which gives you cause for concern
2.4 - Any serious concerns that you have about any aspect of service provision or the conduct of staff or others acting on behalf of the RHEA, can be reported under this Policy.
This may be about something that:
Makes you feel uncomfortable in terms of known standards, your experience or the standards you believe RHEA subscribes to; or
Is against RHEA's Procedural Rules and Policies; or
Falls below established standards of practice; or
Amounts to improper conduct.
3 - Safeguards
3.1 - RHEA is committed to good practice and high standards of conduct and wants to be supportive of all its employees.
3.2 - RHEA recognises that the decision to report a concern can be a difficult one to make. If you reasonably believe that what you are saying is true and that raising your concern is in the public interest, you should have nothing to fear because you will be doing your duty to your employer and those to whom you are providing a service.
3.3 - RHEA will not tolerate any harassment or victimisation (including informal pressures) of an employee who raises a genuine concern which is in the public interest and will take appropriate action to protect you when you raise a problem under this procedure.
Any member of staff who harasses or victimises a Whistleblower may not only be personally liable but may also be subject to disciplinary action.
3.4 - Any investigation into allegations of potential malpractice will not influence or be influenced by any disciplinary or redundancy procedures that already affect you as an employee.
3.5 - The Public Interest Disclosure Act 1998 (hereinafter referred to as 'the Act') (and as amended by the Enterprise and Regulatory Reform Act 2013) protects employees against detrimental treatment or dismissal as a result of any disclosure of normally confidential information in the interests of the public.
The Act only covers protected disclosures under six categories, namely: crime, illegality, miscarriage of justice, damage to health and safety, damage to the environment, and 'cover-ups' about these issues.
4 - Confidentiality
4.1 - It is essential for all concerned that disclosures of wrongdoing or irregularity are dealt with properly, quickly and discreetly. This is in the interests of RHEA, its employees, any persons who are the subject of such allegations, as well as the person making the disclosure.
4.2 - All concerns will be treated in confidence, and every effort will be made not to reveal your identity if you do not want your name to be disclosed. It must be appreciated, however, that the investigation process may reveal the source of the information, and you may need to come forward as a witness and provide a statement as part of the evidence.
4.3 - It may be possible to establish the truth about allegations from another independent source, and the Council will seek to do this wherever possible.
5 - Anonymous Allegations
5.1 - This policy encourages you to put your name to your allegation whenever possible. Where an individual chooses to report their concerns anonymously, such anonymity will be respected. However, RHEA's ability to investigate anonymous complaints can be hampered by not being able to further explore issues or obtain evidence during the investigative process.
Furthermore, if the identity of the person who has provided the information is not known, it becomes extremely difficult to either reassure or protect you. Concerns expressed anonymously are much less powerful and will only be considered at the discretion of RHEA.
5.2 - In exercising this discretion, the factors taken into account include:
the seriousness of the issues raised;
the credibility of the concern; and
the likelihood that the allegation can be confirmed from other attributable sources.
5.3 - If the allegation suggests criminal activity and the case warrants police assistance, the identity of the person reporting the details may be important at a later date if criminal proceedings are to be pursued. Identification is therefore preferred and will assist with the investigation.
6 - Malicious, Vexatious or Untrue Allegations
6.1 - If you make an allegation which you believe is in the public interest, but it is not confirmed by the investigation, no action will be taken against you. If, however, you make an allegation frivolously, maliciously or for personal gain, disciplinary action may be taken against you if you are a RHEA employee.
If you are a contractor or partner, such allegations may put you in breach of your contractual responsibilities to RHEA.
6.2 - Malicious or vexatious allegations include those which are trivial and do not have any substance and are made persistently and for the wrong reasons, for example, simply to make trouble.
7 - How to Raise a Concern
Procedure for RHEA Employees
7.1 - As a first step, you should raise concerns with your immediate manager or their manager, either orally or in writing.
This depends on the seriousness and sensitivity of the issues involved and who is suspected of the malpractice. For example, if you believe that your immediate manager or their managers are involved, you should approach the Director.
If it concerns a Director, you should refer to the Finance Director.
The manager receiving notification of concerns under this Policy will inform the Director that a confidential report has been received and its contents.
A central log of all concerns will be kept by the Director. If the concern relates to financial irregularities or failures of financial controls, the receiving officer of the report must immediately notify the Director.
7.2 - It is usually best to submit concerns in writing. However, if you are unable to do so, you may email the Director, identify the appropriate officer or arrange a meeting.
7.3 - In raising a concern, you should be prepared to provide the following information:
The background and history of the concern (giving relevant dates).
The reason why you are particularly concerned about the situation, and
the name(s) of any colleagues/ employees who you consider are either directly involved or can help provide further information.
7.4 - The earlier you express the concern, the easier it is to take action. Although you are not expected to prove beyond doubt the truth of an allegation, you will need to demonstrate to the person contacted that there are reasonable grounds for concern.
7.5 - You may wish to consider discussing your concern with a colleague first, and you may find it easier to raise the matter if there are two (or more) of you who have had the same experience or concerns.
7.6 - If you feel it is necessary to take the matter outside RHEA, you will find possible contacts listed in Section 11 of this policy.
Procedure for Members
7.7 - Elected Members who have a genuine concern about malpractice would normally raise any concern in line with their own Council's procedure and should be directed away from RHEA. The incident should be reported to the Director with any information.
Procedure for Contractors
7.8 - As a first step, they should normally raise concerns with their appointed person, who will then inform RHEA. This depends on the seriousness and sensitivity of the issues involved and who is suspected of the malpractice.
Procedure for Members of the Public
7.9 - RHEA encourages those external to RHEA who suspect fraud and/or corruption to email the Director
8 - How RHEA will Respond
8.1 - The receiving officer will acknowledge receipt of concerns within 10 working days of a concern being raised, and you will be sent a written response:
Acknowledging that the concern has been received
Indicating how RHEA proposes to deal with this matter and setting out clearly the roles of all the officers involved
Giving an estimate of how long it may take to investigate the matter
Telling you whether any enquiries will need to be made
Supply you with information on staff support mechanisms.
8.2 - Where appropriate, matters raised may:
Be investigated by management,
Be referred to the Police or other statutory agencies
Be referred to the External Auditor.
8.3 - In order to protect individuals and those against whom concerns are raised, initial enquiries will be made to decide whether an investigation is appropriate and, if so, what form it should take.
Concerns or allegations which fall within the scope of specific procedures (for example, safeguarding or discrimination issues) will normally be referred for consideration under those procedures.
8.4 - Some concerns may be resolved by agreed action without the need for investigation. If urgent action is required, this will be taken before any investigation is concluded.
8.5 - The amount of contact between the investigating officer and you will depend on the nature of the matters raised, the potential difficulties involved, and the clarity of the information provided. If necessary, the investigating officer may seek further information from you.
8.6 - Where a meeting is arranged (and this can be off-site if you so wish), you can be accompanied by a trade union, a professional association representative or a friend.
8.7 - RHEA will take steps to minimise any difficulties which you may experience as a result of raising a concern. For instance, if you are required to give evidence in criminal or disciplinary proceedings, RHEA will arrange for you to receive advice about the procedure.
8.8 - RHEA accepts that you need to be assured that the matter has been properly addressed. Thus, subject to any legal constraints or practical constraints such as the complaint being made anonymously, RHEA will inform you of the outcome of any investigation if appropriate.
9 - The Investigation
9.1 - Internally, where appropriate, a manager will undertake an investigation of the complaint, and the outcome of the investigation will be reported to the Director. As part of the investigation, a record of all interviews shall be kept, and statements signed by those spoken to as part of the investigation.
The role of the investigating manager is to make a judgment and form a view of the complaint based on the investigation undertaken.
The investigating manager will be required to prepare a report on their investigation and provide a set of clear conclusions and next steps, if appropriate.
9.2 - The investigating manager will be required to present their report to the Director for action/consideration as is required.
9.3 - If an initial investigation gives rise to potential disciplinary matters, the investigation will continue in accordance with RHEAs Disciplinary Policy and Procedure.
10 - The Responsible Person
10.1 - The Director has overall responsibility for the maintenance and operation of this policy. They maintain a record of concerns raised and the outcome (but in a form which does not endanger your confidentiality)'
11 - Contact Details and how to take it further
11.1 - Advice and guidance on how matters of concern may be pursued can be obtained from the Director
11.2 - Alternatively, external advice can be sought from a Trade Union or Protect, a charity that provides confidential advice to anyone who believes there is serious wrongdoing in the workplace.
11.3 - Independent advice and assistance can also be sought from the RHEA's External Auditors.
11.4 - This policy is intended to provide you with an avenue within RHEA to raise concerns, and contact details are provided below.
RHEA hopes you are satisfied with the action taken. If not, and you believe it is appropriate to take the matter outside RHEA additional contacts are listed below.
Lancashire Police
Address - Lancashire Constabulary Headquarters, Saunders Lane, Hutton, near Preston, PR4 5SA
Telephone: 101
Visit the Lancashire Police website
Action Fraud
Telephone: 0300 123 2040
Visit the Action Fraud website
The Information Commissioner
Address - The Office of the Information Commissioner, Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF
Telephone: 0303 123 1113
Visit the Information Commissioner website
The Environment Agency
Address - National Customer Contact Centre, PO Box 544, Rotherham, S60 1BY
Telephone: 03708 506 506
Email: [email protected]
Visit the Environment Agency website
Health and Safety Executive
Address - Health and Safety Executive, Redgrave Court, Merton Road, Bootle, Merseyside, L20 7HS
Telephone - 0300 003 1747
Visit Health and Safety Executive website
Office for Environmental Protection
Address - Office for Environmental Protection, Wildwood, Wildwood Drive, Worcester, WR5 2QT.
Telephone - 03300 416 581
Visit the Office for Environmental Protection website
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