SCOPE OF THIS CHAPTER
Do you have a concern about wrong doing within the Council?
If so, this policy is designed to tell you what to do about it
| 1.1 |
Wakefield Council is committed to the highest possible standards of conduct and encourages employees with concerns about wrongdoing within the Council to come forward and report those concerns. This process is commonly referred to as "whistleblowing" and the aim of this policy is to give detailed advice and reassurance to employees who wish to "blow the whistle" by reporting wrongdoing to those who can make a difference. |
| 1.2 |
This policy acknowledges and incorporates the specific statutory rights and protection given to employees by the Employment Rights Act 1996 as amended by the Public Interest Disclosure Act 1998, which applies to certain kinds of disclosure termed "protected disclosure" (see paragraphs 4.7 to 4.9 below for further details). |
| 1.3 |
Provided that you are acting in good faith when making a disclosure and you have a reasonable belief that the information disclosed tends to show that wrongdoing has occurred, is occurring or is likely to occur in the future, it does not matter if you subsequently realise that you are mistaken. You do not have to specifically prove anything in order to have your concerns about wrongdoing investigated - the message the Council wishes to give to you is 'if in doubt - raise it'. Employees are expected to co-operate fully with any investigation. |
| 1.4 |
The Council will consider the information received from a Whistleblowing report, however the decision as to whether or not to investigate, and the extent of that investigation, will remain the Council's. |
| 1.5 |
This policy applies to all employees, including employees of Council-owned companies, councillors, contractors acting under the control of the Council and agency workers and partnership organisations, which chose to adopt this policy. Organisations receiving grant aid from the Council may also make use of the Council's arrangements where they wish to raise concerns relating to the Council, councillors or employees and whilst the Council will investigate these concerns, such persons may not be able to rely on the statutory protections of the Employment Rights Act 1996 as amended by the Public Interest Disclosure Act 1996. |
| 1.6 |
The provisions of this policy are not directly available to members of the public. Members of the public who wish to raise a concern about any aspect of the Council's work, including wrongdoing, should follow the Complaints Procedure - to follow. |
| 2.1 |
The aim of this policy is to:
- Encourage the internal reporting of wrongdoing in a safe and constructive manner;
- Identify ways to report concerns to the appropriate regulator or outside body;
- Provide avenues for you to raise concerns about wrongdoing and receive feedback on any action taken by the Council in response to your concerns;
- Allow you to take the matter further if you are dissatisfied with the Council's response to your concerns;
- Reassure you that provided you disclose your concerns appropriately and in accordance with this policy, you will be protected from possible reprisals or victimisation.
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| 2.2 |
All organisations face the risk of things going wrong or of unknowingly harbouring wrongdoers. The Council believes it has a duty to identify such situations and take the appropriate measures to remedy the situation. By encouraging a culture of openness, the Council believes it can help prevent wrongdoing occurring both now and in the future. |
| 2.3 |
The Council has existing procedures in place to enable you to raise complaints about a variety of issues relating to your employment through the Grievance Procedure. The Whistleblowing Policy is intended to cover concerns that fall outside the scope of the Grievance Procedure (to follow) and you do not need to raise a grievance in order to disclose a concern about wrongdoing. |
| 2.4 |
Any concern that you have about wrongdoing within the Council can and should be reported under this policy. If you fail to report your concerns, you could by your silence become implicated in the wrongdoing. |
| 2.5 |
Your concern may be about something that:
- Is unlawful, e.g. theft, fraud, corruption, abuse of clients or service users;
- Is against the Council's Standing Orders, Financial Regulations and policies, i.e. the Equal Opportunities Policy;
- Falls below established standards or practice;
- Amounts to improper conduct;
- Amounts to a failure to comply with a legal duty, e.g. a breach of a statutory duty;
- Amounts to a miscarriage of justice;
- Is a health and safety risk, including risks to the public as well as other employees;
- Damages the environment;
- Comprises deliberately covering up of any of the above.
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| 2.6 |
If your concern is in relation to any wrongdoing to children and/or vulnerable persons, further information and guidance on how to raise such concerns can be found in Annex 1 - Raising a Concern about Wrongdoing to Children and/or Vulnerable Persons. |
| 2.7 |
By knowing about wrongdoing at an early stage, the Council has the chance to take the necessary steps to safeguard its interests. The message the Council wishes to give you is that you must not hesitate to 'blow the whistle' on wrongdoing. |
| 3.1 |
Although concerns about wrongdoing can be raised orally or in writing, the Council would encourage you to put them in writing, setting out the background and history of the concern and giving names, dates, places and amounts where possible, providing as much information as you have available. You must fully co-operate with any investigation that is instigated, especially if your concerns relate to the welfare of children and vulnerable persons. You may therefore wish to involve your Trade Union representative or other advisory body, such as the Citizen's Advice Bureau at this stage. |
| 3.2 |
The Council also encourages you to put your name to your concerns. Concerns expressed anonymously will still be considered at the discretion of the Council, taking into account the seriousness of the issues raised, the credibility of the concern and the likelihood of corroboration from other sources. |
| 3.3 |
The Council does not expect you to prove that the wrongdoing has occurred, is occurring or is likely to occur in the future but you will need to show to the person you contact that you have sufficient grounds for your concern and that the information disclosed tends to show the wrongdoing. |
| 3.4 |
Any concerns about wrongdoing within the Council which you do not raise in good faith, for example concerns that you raise maliciously, for revenge or for personal gain, may result in action taken against you in accordance with the Disciplinary Procedure (to follow). You help to show your good faith by telling the Council all that you know about the matters you raise. |
| 3.5 |
If you are already the subject of any other employment procedure this will not be affected as a result of you raising a concern about wrongdoing under this policy. |
| 5.2 |
First, the Council would encourage you to raise any concerns of wrongdoing to your line manager. However, the Council appreciates that this depends on the seriousness and sensitivity of the issues involved and also whether you think your line manager may be involved in the wrongdoing. |
| 5.3 |
Secondly, if you believe that the issue is too serious or sensitive for you to raise your concerns with your line manager or your line manager is involved in the wrongdoing, the Council would suggest that you instead approach a service director. |
| 5.4 |
Thirdly, if you believe that the issue is too serious or sensitive for you to raise your concerns with a service director or they are involved in the wrongdoing, the Council would ask that you instead approach one of the following:
- The Chief Executive;
- The Director of Finance; or
- The Monitoring Officer
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| 5.5 |
In order to provide employees with recognised and consistent points of contact, the Council has designated Whistleblowing Officers who are:
- Bernadette Livesey - Service Director Legal and Democratic Services
- Pat Olroyd - Chief Customer & Performance Manager
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| 5.6 |
You may wish to contact the Whistleblowing Officers to raise an informal concern about wrongdoing before speaking to managers, for example if you are unsure whether "blowing the whistle" is appropriate in particular circumstances or require assistance on the significance of your concern. Alternatively, you may wish to obtain guidance upon raising your concern effectively, including who to contact about the wrongdoing. |
| 5.7 |
The Whistleblowing Officers can be contacted by:
- Using the dedicated 24 hour Whistleblowing hotline on 0808 156 7525;
- Writing to the Whistleblowing Officers at P.O. Box 558, Town Hall, WAKEFIELD, WF1 9ES ensuring to mark your letter "confidential - only to be opened by addressee";
- Emailing whistleblowing@wakefield.gov.uk
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| 5.8 |
If you feel unable to raise your concerns about wrongdoing internally or feel dissatisfied with an internal investigation into your concerns, the Council acknowledges that you may be justified in contacting a relevant external organisation. |
| 5.9 |
In the event that the more stringent conditions regarding external disclosure are met, this course of action should involve contacting one of the following organisations, who may also provide independent advice. The Secretary of State has prescribed a number of external organisations for the purpose of raising a concern about wrongdoing. The attached List of Prescribed Persons sets out who you can contact depending on what your concern is about (Annex 3 - to follow). You can also access this via the internet on the List pf Prescribed Persons see "Related Downloads". |
| 5.10 |
The Council acknowledges that in certain, limited, situations, you may also be justified in raising a concern about wrongdoing to a wider audience but would refer you to the attached Protected Disclosure Guide (Annex 2) before you take such action so that you can determine whether this course of action is appropriate. |
| 5.11 |
If you choose to disclose your concern outside the Council, you must take care to ensure that you do not disclose confidential or privileged information. Where confidential or privileged information is inappropriately disclosed, you may be subject to disciplinary action in accordance with the Disciplinary Procedure (to follow). |
| 6.1 |
The action taken by the Council will depend upon the nature of the concern that is raised. |
| 6.2 |
In most instances, it is expected that in order to protect individuals and the Council, initial enquiries will be made to decide whether a formal investigation is required and, if so, what form this investigation will take. At this stage, one of the following: - The Chief Executive - The Director of Finance - The Monitoring Officer - will take the decision whether to:
- Complete the investigation internally using an independent and impartial officer. They will also determine the terms of reference for the investigation; or
- Refer the matter to an external body for them to investigate;
- Refer the matter to the Council's external auditor; or
- Refer the matter directly to the Police; or
- Organise an independent inquiry; or
- Refer the matter for consideration under any other existing Council procedure as may be appropriate in the circumstances; or
- Take no further action
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| 6.3 |
The Council would also wish to point out that some concerns about wrongdoing may be resolved by agreed action without the need for further investigation. |
| 6.4 |
Within 10 working days, or if this is not possible as soon as reasonably practicable, on receipt of your concern about wrongdoing, the Council will write to you, at your home address, with the following information:
- An acknowledgement that your concern has been received;
- An indication of what happens next;
- An estimate of how long it will take to provide you with a final response and why it will take this long;
- If applicable, an explanation as to why it may not be appropriate to carry out a formal investigation.
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| 6.5 |
The amount of contact between you and the investigating officer will depend on the nature of the concern about wrongdoing you have raised, the potential difficulties involved and the clarity of the information provided. If it is necessary to seek further information from you, a meeting will be arranged with you, at which you will have the right, if you wish, to be accompanied by your Trade Union representative or a work colleague who is not involved in the area of work to which the concern about wrongdoing relates. At your request, any meeting may be held away from your workplace and / or outside working hours if appropriate. |
| 6.6 |
The Council will normally resolve the matter within 20 working days, or if this is not possible as soon as reasonably practicable, of your concern being raised. If the matter cannot be resolved within this time scale, the Council will keep you regularly informed of how the concern you raised is being dealt with. |
| 6.7 |
The Council accepts that employees raising a concern about wrongdoing need to be assured that the matter has been properly addressed. Consequently, subject to legal constraints, the person raising the concern will be notified of the outcome of any investigation. |
| 6.8 |
The outcomes of all formal whistleblowing investigations will be reported to the Chief Executive of the Council by the Head of Legal & Democratic Services / Head of Audit & Commissioning. |
| 6.9 |
It is recognised that instances may arise where a concern has been raised but not proven, that results in the whistleblower and accused person resuming a working relationship together. This in turn may give rise to concerns of potential victimisation or harassment. Where this is the case, reference should be made to the Harassment and Bullying Procedure (to follow). |
| 1. |
This Annex sets out a number of factors, additional to the provisions of the Whistleblowing Policy, which are relevant if the wrongdoing you wish to raise concerns wrongdoing to children and/or vulnerable persons. |
| 2. |
This Annex acknowledges and incorporates the statutory obligations placed upon those working in Children's Homes by the Children's Homes Regulations 2011, Regulation 16(2)(f) of which places an obligation on such persons to report any child welfare concerns to one of four specific statutory bodies. These statutory bodies are as follows:
- Your Employer
- The Commission for Social Care Inspectorate
- The National Society for the Prevention of Cruelty to Children
- The Police
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| 3. |
This Annex also acknowledges and incorporates the publication "No Secrets Guidance" issued under section 7 of the Local Authority Social Services Act 1970, which provides that:
- Operational staff are responsible for identifying, investigating and responding to allegations of abuse
* It is the responsibility of all staff to act on any suspicion or evidence of abuse or neglect and to pass on their concerns to a responsible person or agency
|
Raising a Concern to Your Employer |
| 4. |
When a concern is raised about wrongdoing to children and/or vulnerable persons, the Council will refer the issue for investigation by a person with sufficient and appropriate independence, experience and expertise in such matters to be able to properly investigate the concern raised. This person may be an Officer of the Council or may, if the concern is complex, be from an external organisation. |
| 5. |
The Council will endeavour to ensure that the terms of reference for any concern or concerns raised will be sufficiently open and flexible so as to allow the independent investigator to determine what evidence they need to consider. Specific provision will also be made so that the independent investigator is able to recommend the extension of their original terms of reference should they consider this to be in the children's and/or vulnerable persons' best interests and pursue or report to the appropriate protection authority, any child and/or vulnerable person safeguarding concern they identify, either current or past. |
| 6. |
Recommendations to extend the original terms of reference may in particular relate to other areas the independent investigator considers relevant to their original terms of reference or more widely to the safety, rights or welfare of children and/or vulnerable persons. |
| 7. |
The Council will endeavour to ensure that the independent investigator will receive appropriate support and that they will be given access to all relevant information during their investigation. |
| 8. |
The Council will endeavour to ensure that every effort is made by all concerned in the investigation to preserve confidentiality for identifiable children and/or vulnerable persons, whilst also ensuring that confidentiality does not prevent the proper referral or identification of the concerns raised. |
| 9. |
Where multiple concerns are raised, either initially or sequentially, the independent investigator will list these concerns separately and respond at the end of the investigative process on each separate concern. |
| 10. |
When investigating multiple concerns, other persons (including children and/or vulnerable persons, employees, cares and witnesses) will, where this is necessary and/or appropriate, be questioned by the independent investigator in order to elicit information on each separate concern in respect of which they are likely to be in a position to comment or give evidence upon. |
| 11. |
When investigating a concern alleging or implying risk of past, present or likely future significant harm to children and/or vulnerable persons, or significant harm to children's and/or vulnerable persons' rights or welfare, the independent investigator will give first priority to the assessment of any current or likely imminent risk of significant harm or significant breaches of welfare of any child and/or vulnerable person. Past concerns or evidence will be included in the investigation if the independent investigator considers them relevant to present or future safeguarding of the safety, rights or welfare of children and/or vulnerable persons. |
| 12. |
When investigating concerns about wrongdoing to children and/or vulnerable persons, the internal or independent investigator will give first priority to the resolution of any concerns about the safety, rights and welfare of children and/or vulnerable persons, solely in the interests of the children and/or vulnerable persons affected. Secondary priority will then be given to any and all other concerns raised. |
| 13. |
Persons who raise a concern about wrongdoing to children and/or vulnerable persons shall be required to co-operate fully in any child and/or vulnerable person protection enquiries or enquiries related to children's and/or vulnerable persons' safety, rights or welfare, and to provide the independent investigator with any and all relevant evidence they have, even if they have a separate complaint or grievance about the process against the Council or any independent investigator. Such a complaint or grievance shall be dealt with separately to the Whistleblowing Policy. |
| 14. |
The findings and recommendations of the independent investigator shall be notified to the Chief Executive of the Council. |
Whether the concern you raise is likely to be a "protected disclosure" under the Employment Rights Act 1996 as amended by the Protection from Disclosure Act 1998 depends upon the following:
If by raising your concern, you commit an offence, this will not be a protected disclosure.
If you raise a concern in the course of obtaining legal advice and a claim of legal professional privilege could be maintained in legal proceedings, this will not be a protected disclosure.
