Document I

WHISTLE – BLOWING

POLICY & PROCEDURES

CONTENTS

No. / Item / Page
1. / Introduction / 3
2. / The aim of the Whistle Blowing Policy / 4
3. / Who is covered by the Whistle Blowing Policy / 4
4. / What assurances do you get as an employee / trainee? / 4
5. / How should an employee / trainee raise a concern / 5
6. / How will the Organisation respond? / 5
7. / What safeguards have been put in place for the employee?
/ 6
8. / How can a concern be taken further? / 7
9. / Recording and Monitoring / 7

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Whistle Blowing Policy and Procedures

  1. INTRODUCTION
    [Insert organisation name]is committed to developing a culture where it is safe and acceptable for all employees, trainees and stakeholders to raise concerns about poor or unacceptable practice and misconduct.

In some instances, employees or trainees are the first to realise that there may be somethingseriously wrong within the Organisation. However, they may not expresstheir concerns because they feel that speaking up would be disloyal totheir colleagues or the Organisation. They may also fear harassment orvictimisation. In these circumstances, it may be easier to ignore theconcern rather than report what may just be a suspicion of malpractice.

The policy is intended to help employees or trainees who have major concerns over any wrongdoing within [Insert organisation name] relating to unlawful conduct, financial malpractice or dangers to the service users, public or the environment. Specific examples could include:

A criminal offence (e.g. fraud, corruption or theft) has been/is likely to be committed
A miscarriage of justice has been/is likely to occur
The health or safety of any individual has been/is likely to be endangered
The environment has been/is likely to be damaged
Organisation funds are being used in an unauthorised manner
Abuse of any member of staff or service user is taking place (seeSafeguarding Children/ Adults at Risk Policy for further detail)
Discrimination is occurring to any member of staff or service recipient on grounds of sex, race or disability
Any other form of improper action or conduct is taking place
Information relating to any of the above is being deliberately concealed or attempts are being made to conceal the same.

[Insert organisation name] has developed this policy to enable employees or trainees to raise their concerns about such malpractice(s) at an early stage and in the right way. The Organisation would rather that employees or trainees raised the matter when it is just a concern rather than waiting for concrete proof.
If something is troubling an employee, which they think the Management should know about or look into, this policy should be used in the first instance. However, ifan employee is aggrieved about a personal situation, it would fall beyond the scope of this policy.

This Whistle Blowing Policy is not for use relating to personal grievance. It is primarily for concerns where the interests of others or of theorganisation itself are at risk. If in doubt - raise it!

For the purposes of this policy where the word ‘employee’ is used this will also refer to traineeor volunteer.

  1. THE AIM OF THE WHISTLEBLOWING POLICY
    The Policy aims to:

Encourage employees or trainees to feel confident in raising serious concerns and to question and act upon their concerns
Provide ways for employees or trainees to raise those concerns and get feedback on any action taken as a result
Ensure that employees or trainees get a response to their concerns and that they are aware of how to pursue them if they know what to do if they are not satisfied with any actions
Reassure employees or trainees that if they raise any concerns in good faith and reasonably believe them to be true, they will be protected from possible reprisals or victimisation.

It is not to be used where other more appropriate procedures are available, for example grievances.

  1. WHO IS COVERED BY THE WHISTLE BLOWING POLICY?
    All employees and trainees of [Insert organisation name] must use this policy. This includes permanent and temporary staff. It also covers volunteer staff, agency staff and staff seconded to, or from a third party. The policy covers full time and part time trainees placed in any of the Organisation’s premises, or working in an open employment – work experience placement; whilst under the auspices of the Organisation.
  2. WHAT ASSURANCES DO YOU GET AS A TRAINEE AND / OR EMPLOYEE?
    If you do raise a concern under this policy, you will not be at risk of losing your job or suffering any form of retribution as a result, provided that:-

The disclosure is made in good faith
The employee reasonably believes that information, and any allegations contained in it, are substantially true
The employee is not acting for personal gain

[Insert organisation name]will not tolerate the harassment or victimisation of anyone raising a genuine concern. However, the Organisation recognises that employees or trainees may nonetheless want to raise a concern in confidence under this policy.

If employees or trainees ask the Organisation to protect their identity by keeping their confidence, no information will be disclosed without their consent. If the situation arises where the Organisation is not able to resolve the concern without revealing the identity of the employee (for instance because evidence is needed in court), the Organisation will discuss with the employee whether and how the matter can proceed.

If the employee does not tell the Organisation who they are, it will be much more difficult for the Organisation to look into the matter, to protect the position of the employee, or to give relevant feedback. Accordingly, while the Organisation will consider anonymous reports, this policy is not well suited to concerns raised anonymously.

  1. HOW SHOULD AN EMPLOYEE RAISE A CONCERN?
    As soon as an employee becomes reasonably concerned they should raise the issue with their Line Manager (unless s/he is the potential transgressor, in which contact the Executive Officer, or the Chairman of the Organisation).

Concerns should be raised verbally in the first instance.

A written report should then be made using the following format:

The background and history of the concern (giving relevant dates)
The reason why they are particularly concerned about the situation.

The employee must indicate if the concern is to be treated in confidence. The limit of that confidence will be checked out by the person receiving the information.

  1. HOW WILL THE ORGANISATION RESPOND?

Once the Organisation has been told of the employee’s or trainee’s concerns, they will look into the situation to assess initially what action should be taken. This may involve an internal inquiry or a more formal investigation. The employee will be told who will be handling the matter, how they can be contacted and whether further assistance may be required from them. The person assigned to handle the investigation will write to the employee summarising the employee or trainee’s concern(s) as understood by the Organisation, and setting out how the Organisation proposes to handle it.
If the employee has any personal interest in the matter / conflict of interest, they are asked to tell the Organisation at the outset.
Should the concern fall within another policy of the Organisation, the employee will be advised of this.

While the purpose of this policy is to enable the Organisation to investigate possible malpractice and take appropriate steps to deal with it, the Organisation will give the employee as much feedback as possible. If requested, the Organisation will confirm their response to the employee in writing. Please note, however, that it may not be possible for the Organisation to tell the employee the precise action taken where this would infringe a duty of confidence owed by the Organisation to someone else.
Concerns or allegations that fall within the scope of specific procedures (for example adult protection) will be referred for consideration under that relevant procedure, although 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 conducted.
Where appropriate, the matters raised may:

Be investigated by management through the disciplinary process.
Be referred to the Board
Be referred to an independent body e.g. Learning Difficulty Self Advocacy Service (Ros Byrne-Shore) or Mental Health Self Advocacy Service
Be referred to the police

Usually, within four weeks of a concern being raised, the person looking into the concern will write to the employee:

Acknowledging that the concern has been received
Indicating how they propose to deal with the matter
Giving an estimate of how long it will take to provide a full response
Saying whether any initial enquiries have been made
Supplying information on support available to you, i.e. Self Advocacy Service, counselling etc.
Saying whether further investigations will take place and if not, why not

Subject to any legal constraints, the relevant employee will normally be informed of the final outcome of any investigation.

  1. WHAT SAFEGUARDS HAVE BEEN PUT IN PLACEFOR THE EMPLOYEE?
    The Organisation will not tolerate any harassment or victimisation (including informal pressures) and will take appropriate action to protect those who raise a concern in good faith.
    Any investigation into allegations of potential malpractice will not influence or be influenced by any disciplinary or redundancy procedures already taking place concerning the employee.
    No action will be taken against anyone who makes an allegation in good faith, reasonably believing it to be true, even if the obligation is not subsequently confirmed by the investigation.
    Every effort will be made to ensure confidentiality as far as this is reasonably practical.
    Help will be provided to the employee in order to minimise any difficulties, which may be experienced. This may include advice on giving evidence if needed. Meetings may, if necessary be arranged off-site with the employee and with the employee being represented, if it is required.
  2. HOW CAN A CONCERN BE TAKEN FURTHER?
    This policy is intended to provide an avenue within the Organisation to raise concerns. If an employee takes the matter outside the Organisation, they should ensure that no disclosure of confidential information takes place and should check with the General manager or Executive Officer first. If the matter is raised outside the Organisation, it may not be possible for the Organisation to provide blanket protection and could leave employees or trainees vulnerable to disciplinary or other action.

An employee who is not satisfied with the action taken by the Organisation and feels it right to question the matter further, they may consider the following possible contact points:

The Employment and Social Security Department (Personnel Department)
The Citizens Advice Bureau and / or law centre / firm
Relevant professional bodies or regulatory organisations
A relevant voluntary organisation
The Police and/ or Health and Safety Executive
The Safeguarding Partnership Board
  1. RECORDING & MONITORING
    The Organisation will ensure they have sufficient internal arrangements to address the requirements of the policy and the Executive Officer shall ensure that Management Staff are sufficiently trained and developed to implement this policy.
    The Executive Officer will maintain a Risk Register containing all concerns that are brought to the attention of the Organisation. The officer(s) allocated to look into the concern must ensure the Executive Officer is provided with sufficient details of the concerns for the Risk Register.
    The Executive Officerwill review the Risk Register and report to the Chairman and any other relevant Board Members. The report will not mention any employees or trainees, only the concerns raised, the number of such concerns, from which section they related to, the post against which the concerns were related to (if not confidential) and flagging up any lessons arising from the same so as to ensure:-

The Organisation / or the relevant section does not repeat any concerns found against the same
A consistency of treatment across the Organisation
Fair and good practice is maintained

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