23.0Whistleblowing Policy

Introduction

Many of us at one time or another may have concerns about what is happening at work. However, when it is about unlawful conduct, a possible fraud, danger to the public or the environment, or other serious malpractice; it can be difficult to know what to do.

You may be worried about raising such a concern and may think it best to keep it to yourself, perhaps feeling it is none of your business or that it is only a suspicion. You may feel that raising the matter would be disloyal to colleagues, managers or to the Trust. You may have confided in someone but are not sure what to do next.

The purpose of this policy is to reassure you that it is safe and acceptable to speak up. It also enables you to raise your concern about such malpractice at an early stage and in the right way. Rather than wait for proof, we would prefer you to raise the matter when it is still a concern.

If something is troubling you of which you think we should know about or look into, please let us know.

Whistleblower v Complainant

In some circumstances it is difficult to distinguish between an individual raising a concern as a “whistleblower” or as a “complainant”. The distinction is not always clear cut, but generally a whistleblower has no self interest in the issue being raised.

  • if the area of concern refers to “others” e.g. the organisation, other staff, clients, wider public then you are a whistleblower.
  • if the concern refers to an individual (self) e.g. a personal grievance about terms of employment, pay, and unfair treatment then you are a complainant.

This policy sets out clearly how you should raise your concerns as a “whistleblower” and how PRRT will deal with them. If you are a complainant you should follow the procedures in our Grievance Policy.

If your concern is about fraud, you may also wish to refer to our Fraud and Bribery Policy.

All these policies can be found on the PRRT intranet.

Our Assurance to You

We are committed to making whistleblowing work. You do not need to have firm evidence of malpractice before raising a concern. However we do ask that if you raise a concern you do so in good faith and in the belief that the information and any allegation is substantially true. Provided you act in good faith, it does not matter if you are mistaken. Of course this assurance does not extend to someone who maliciously raises a matter they know to be untrue.

If you raise a genuine concern under these arrangements, you will not be at risk of losing your job or suffering any form of retribution as a result. We will not tolerate the harassment or victimisation of anyone who raises a genuine concern and with these assurances we hope you will raise your concern openly. However, PRRT recognises that there may be circumstances when you would prefer to speak to someone in confidence first. If this is the case, please say so at the outset. If you ask us not to disclose your identity, we will not do so without your consent unless required by law. However, there may be times when we are unable to resolve a concern without revealing your identity, for example where your personal evidence is essential. In such cases, we will discuss with you whether or how the matter can best proceed.

If we receive an anonymous concern, it will be much more difficult for us to look into the matter, to protect your position, or to give you feedback. Accordingly, while we will consider anonymous reports, the arrangements currently in place are not well suited to deal with concerns raised anonymously.

How do I raise a concern internally?

Step 1

Normally, you should firstly raise the issue with your line manager or the Head of Department. This can be done orally or in writing.

Step 2

If, for any reason, you find that difficult you should report the matter to the Head of Finance and Shared Services (or the Chief Executive if the concern is about the Head of Finance and Shared Services). This may be done either verbally or in writing.

If you want to raise the matter in confidence, you must say so at the outset so that appropriate arrangements can be made.

How we will handle the matter

Once we have been told of your concern, we will look into it to assess initially what action shouldbe taken. This may involve an informal review, an internal inquiry or a more formal investigation. Where it is decided that a formal investigation is necessary the overall responsibilityfor the investigation will lie with a nominated ‘investigation officer’. In any event, we will tell you who is dealing with the matter, how you can contact him or her, and whether your further assistance may be needed. If you request it, we will write to you summarising your concern and setting out how we propose to handle it.

When you raise the concern you may be asked how you think the matter might be best resolved. If you have any personal interest in the matter, we do ask that you tell us at the outset. If your concern falls more properly within the Grievance Procedure we will tell you.

We will give you as much feedback as we properly can, and if requested, we will confirm it in writing. However, we may not be able to tell you the precise action we take where this would infringe a duty of confidence owed by us to someone else.

If you are unhappy with the response you receive, you may report the matter to the Chief Executive. If you are unhappy with the response received from the Chief Executive, or the concern is about the Chief Executive, the matter should be raised through the chair of PRRT’s Audit Committee or the Head of Internal Audit at DOJ.

External disclosures

While we hope we have given you the reassurance you need to raise your concern internally with us, we recognise that there may be circumstances where you can properly report a concern to an outside body. In fact, we would rather you raise a matter with the appropriate regulator / assurance body – such as Northern Ireland Audit Office or Health and Safety Executive of Northern Ireland – than not at all. Public Concern at Work (PCaW) will be able to advise you on such an option and on the circumstances in which you may be able to contact an outside body safely.

PCaW is a legal advice centre, designated as such by the Bar Council. Information that is disclosed to PCaW in the course of seeking advice is protected under the Public Interest Disclosure (Northern Ireland) Order 1998. PCaW’s lawyers provide confidential advice, free of charge, to people concerned about wrongdoing at work but who are not sure whether or how to raise the concern. While they can provide information about the Public Interest Disclosure Act, they do not take cases or represent clients, but will tell people how to find a lawyer or adviser. Further information on whistleblowing and the Public Interest Disclosure Act, as well as PCaW’s services, can be found at

Conclusion

This policy has been developed to afford employees the mechanism to raise legitimate concerns they may have about malpractice within PRRT, and set out the protocols for any subsequent investigation. The appropriate legislation is quoted and will be rigorously applied in order to ensure adequate employment protection for anyone who declares a legitimate concern.

Please note, this document has been developed to meet best practice and comply with the Public Interest Disclosure (NI) Order 1998 (PIDO) which provides employment protection for Whistleblowing.

Version Control (November 2011 onwards)

Date / Comment / Employees
Updated of amendment? (Date)
November 2015 / Policy updated to bring in line with NIAO policy on “whistleblowing in the public sector – A good practice guide for workers and employers” / Email to staff on 10 November 2015. Uploaded to Intranet on 10 November 2015 and paper copies distributed to those without access to email.
September 2017 / Policy updated to bring in line with the DOJ policy on Whistleblowing / Email to staff on 14 September 2017. Uploaded to Intranet on 14 September 2017 and paper copies distributed to those without access to email.

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