## Whistleblowing Policy Hr Service

# Updated March 2012

## Whistleblowing Policy (Confidential Reporting) 1. Introduction

1.1 
Employees are well positioned to know when something wrong is 
taking place within the Council is a cause for concern.  However, they may not express their concerns because they feel that speaking up would be disloyal to their colleagues or to the Council. They may also fear harassment or victimisation. In these circumstances, they may find 
it easier to ignore their concern rather than report the matter with a view to remedying the situation. This Policy provides a framework for 
all employees to raise their concerns 'in-house' and in good faith without 
fear 
of 
victimisation, 
subsequent 
discrimination 
or 
disadvantage. 
1.2 
The Council is committed to the highest possible standards of 
openness, probity and accountability. In line with that commitment the 
Council encourages employees and others with serious concerns about any aspect of the Council's work to come forward and voice those concerns. The Council recognises that certain cases will have to proceed on a confidential basis so that the position of the 'whistleblower' can be protected. This Policy is intended to encourage and enable people to raise serious concerns within the Council rather than overlooking a problem or "blowing the whistle" outside. 
1.3 
This Policy has been the subject of consultation with the relevant trade 
unions and has their support. 

## 2. Aims Of This Policy

2.1 
This Policy aims to: 
- encourage employees to feel confident in raising concerns and 
to question and act upon their concerns; 
- provide avenues for employees to raise these concerns and 
receive feedback on any action taken; 
- allow employees to take the matter further if they are dissatisfied 
with the Council's response; and 
- reassure employees that they will be protected from reprisals or 
victimisation for whistleblowing in good faith in accordance with this procedure. 

## 3. Application And Scope

3.1   This Policy applies to all employees and those contractors working for 
the Council.  Employees include staff working for the Council on a temporary basis, casual or sessional workers and trainees. It also 
covers agency workers and suppliers and those providing services under a contract with the Council in their own premises.  Foster carers and adoptive parents are similarly covered. 

 3.2 
This Policy is in addition to and distinct from the Council's Complaints 
Procedure that provides a facility to those not employed by the Council (e.g. service users, advocates, family members and members of 
public) to raise any concern. 
3.3 
This Policy is not intended to cover concerns that can be progressed 
under existing Human Resources procedures.  There are existing procedures in place to enable employees to lodge a grievance relating 
to their own employment.  Where employees' concerns relate to their 
own employment, either in terms of the treatment afforded to them or their terms and conditions of employment these should normally be raised through either the Fair Treatment at Work or Grievance 
procedures. 
3.4 
Some departments of the Council have separate procedures 
specifically relating to departmental functions.  For example, the Directorate of Education and Social Care have adopted multi-agency child protection procedures and procedures for the protection of 
vulnerable adults. All acts of whistleblowing can be raised under this 
policy and employees shall have the full protection of the policy. 
However, where the matter for investigation is covered by separate procedures these will be applied as appropriate. 
3.5 
This Policy is intended to cover reasonably serious concerns that may 
fall outside the scope of other procedures, and include the following: 
- failure to comply with a legal obligation to which a person is 
subject (this may include breaches of statutory codes of practice);  
- conduct which is an offence or a breach of the law; - conduct that is contrary to the Council's Standing Orders or 
Policies (this may include conduct that falls below established standards or practice); 
- disclosures relating to possible miscarriages of justice; - conduct that endangers the health and safety of other 
employees and/or members of the public. (This would include abuse - whether physical, verbal or sexual - or ill treatment of 
any service user, family member, friend or advocate);  
- conduct that involves damage to the environment; - the unauthorised use of public funds. 
3.6 
The above does not represent an exhaustive list of areas covered by 
this Policy. Any serious concerns that employees may have about any aspect of service provision or the conduct of Officers or Members of 
the Council or others acting on behalf of the Council can be reported under this Policy. 

## 4. Safeguards Against Harassment Or Victimisation

4.1 
The Council is committed to good practice and high standards and 
wants to be supportive of all its employees. 
4.2 
The Council recognises that the decision to report a concern can be a 
difficult one to make, not least because of the fear of reprisal from those responsible for the matter that gives rise to the concern. If concerns are raised in good faith, there will be nothing to fear because employees will be doing their duty to the employer and to those for whom they are providing a service.  
4.3 
Whistleblowers raising matters of concern internally are protected from 
harassment, victimisation, disciplinary action or dismissal or any other 
disadvantage at work (even if their disclosure of any wrongdoing or malpractice is not substantiated after investigation), provided they 
raise/disclose issues in good faith. 
4.4 
The Council will not tolerate harassment or victimisation and will take 
such action as is necessary to protect employees when they raise concerns in good faith under this Policy. 

## 5. Confidentiality

5.1 
The Council will use its best endeavours to protect an employee's 
identity when he/she raises a concern and does not want his/her identity disclosed.   
5.2 
 If whistleblowers are required to give evidence in criminal or 
disciplinary proceedings, the Council will arrange for them to receive advice and support. 

## 6. Anonymous Allegations

6.1 
This Policy encourages employees to put their names to any allegation.  
A concern expressed anonymously is much less powerful and it is often difficult to gather sufficient evidence and check its reliability. It is perhaps more likely that malicious allegations will be made 
anonymously. It is possible to keep one's identity confidential without being anonymous.   
6.2 
Anonymous allegations, however, may be considered at the discretion 
of the Council. In exercising the discretion, the Council will take account all relevant factors which will include: 
- the seriousness of the issues raised; - the credibility of the concern; and - the likelihood of confirming the allegation from other attributable 
sources. 

## 7. Rights And Responsibilities Of Employees

7.1 
All employees are required to report any issue of concern regarding the 
provision of services or management of those services. In the majority of cases, this will be done through the usual line management 
channels. 
7.2 
Employees are expected to report concerns as soon they arise and to 
avoid any unnecessary delay in doing so.  
7.3 
Other than raising concerns in good faith, employees are not required 
to 'prove' the truth of any allegation. However, a complainant will need 
to demonstrate that there are reasonable grounds for the concern, and will be expected to co-operate with any investigation that takes place. 
7.4 
When any meeting or interview is arranged, employees may, if they so 
wish, be accompanied by a trade union official or a workplace colleague.   

## 8. How To Raise Concerns

8.1 
As a first step, employees should normally raise concerns with their 
immediate manager or Director. This depends, however, on the seriousness and sensitivity of the issues involved and who is thought to be involved in the alleged wrongdoing or malpractice.  For example, if the employee believes that the manager or senior for his/her area of work is involved in the matter he/she intends to raise, or he/she believes that the matter may not be dealt with properly, the concern may be raised directly with the Director of the relevant department, the 
Chief Executive, the Head of Internal Audit or the Head of Legal Services who is also the Council's Monitoring Officer. 
8.2 
Preferably concerns should be raised in writing without undue delay 
setting out the background and history of the concern, giving names, 
dates and places where possible, and the reason for the employee's 
particular concern.  If an employee feels that he/she is not able to raise the concern in writing at this point, he/she may personally raise the 
matter with the appropriate Officer.  However, at some stage the 
concern will need to be put in writing although this may be done through his/her representative. 
8.3 
Employees can obtain advice and guidance on how matters of concern 
may be pursued from: 
- Head of Legal Services who is also the Monitoring Officer; - Deputy Director of HR and Corporate support - The HR Service 

## 9. How The Council Will Respond

9.1 
Within ten working days of a concern being received, the Council will 
write to the employee: 
- acknowledging that the concern has been received; - indicating how it proposes to deal with the matter; - giving an estimate of how long it will take to provide a final 
response; 
- telling the employee whether any initial enquiries have been 
made, and 
- telling the employee whether further investigations will take 
place, and if not, why not. 
9.2    Employees will also be provided with details of support available which 
will include access to counselling facilities. 
9.3 
The action taken by the Council will depend on the nature of the 
concern. The matters raised may: 
- be investigated internally; - be referred to the Police; - be referred to the external auditor; or - form the subject of an independent inquiry 
 
9.4 
In order to protect individuals and those accused of possible 
wrongdoing or malpractice, initial enquiries will be made by the relevant 
senior officer to decide whether an investigation is appropriate and, if so, what form it should take. Concerns or allegations which fall within the scope of any other specific procedures (for example, child protection or discrimination issues) will normally be referred for consideration under those procedures. The overriding principle which the Council will have in mind is the public interest. 
9.5 
Some concerns may be resolved by agreed action without the need for 
formal investigation.  If urgent action is required this will be taken before any investigation is conducted. 
9.6 
The amount of contact between the officers considering the issues and 
the complainant employee will depend on the nature of the matters raised, the potential difficulties involved and the clarity of the information provided.  
9.7 
The Council will take steps to minimise any difficulties which 
employees may experience as a result of raising a concern. For 
instance, if it becomes necessary to give evidence in criminal or 
disciplinary proceedings, the Council will provide the necessary advice about the procedure and give whatever practical support that is possible. 
9.8 
The Council accepts that employees need to be assured that the 
matter has been properly addressed and will ensure this happens.  
9.9 
Subject to legal constraints, employees will normally receive feedback 
about the outcomes of any investigations. 
9.10   The Head of Legal Services, in conjunction with the Director who has 
responsibility for the relevant department of the Council, will be 
responsible for monitoring the outcome of the concerns raised through 
this Policy.  

## 10.  Taking The Concerns Externally

10.1 This Policy is intended to provide employees with an avenue to raise 
concerns within the Council.  The Council hopes that employees will be satisfied with any action taken under this Policy.  
10.2 There may be circumstances where an employee considers that 
he/she needs to raise the matter externally. This may be because, for 
example, the need to involve the appropriate external regulatory body, or the employee considers that the matter has not been properly addressed, or that an employee reasonably believes that the matter will be covered up. 
10.3 If employees feel it is right to take the matter outside the Council, the 
following are possible contact points: 
- Local council member (if the employee lives in Bexley Borough); - the external auditor; - employee's 
relevant 
professional 
bodies 
or 
regulatory 
organisation; 
- employee's trade union; - employee's solicitor; - the Police; - a relevant voluntary organisation; or Public Concern at Work 
 
10.4 If an employee is unsure whether or how to raise a concern or wants 
confidential advice, contact can be made with the independent charity 
Public Concern at Work on 020 7404 6609 or at helpline@pcaw.co.uk.  
10.5 Their lawyers can provide free confidential advice on how to raise a 
concern about serious malpractice at work. 
10.6 In circumstances where an employee decides to raise the matter 
externally, he/she will only be protected under this procedure, and under employment law, where the disclosure is made in accordance with the Public Interest Disclosure Act 1998. This means that the disclosure must fall under one of the categories listed in paragraph 3.5 above and must be made in one of the following ways: 
a) in the course of obtaining legal advice; b) to a prescribed regulatory body (listed in Appendix A) provided 
the disclosure is made in good faith and the employee reasonably believes the prescribed body is responsible for the 
matter of concern and that the information and allegation/s are substantially true; 

 
c) to other third parties (including the media) where the employee 
makes the disclosure:  
 
- in good faith, with reasonable belief that the information 
and allegations are substantially true, and 
 
- does not make the disclosure for personal gain, and 
 
- has already raised the matter with the Council or 
prescribed regulator, unless the employee reasonably 
believe that he/she will suffer a detriment, or there is no prescribed  regulator and he/she reasonably believes that evidence will be concealed or destroyed if he/she 
makes the initial disclosure to the Council, and 
 
- in all of the circumstances it is reasonable to make the 
disclosure. 
 
d) the disclosure is of an exceptionally serious nature and the 
Whistleblower makes the disclosure: 
 
- in good faith, with reasonable belief that the information 
and allegations are substantially true, and 
 
- does not make the disclosure for personal gain, and 
 
- in all of the circumstances it is reasonable to make the 
disclosure. 

## 11. The Officer Responsible

11.1 The Head of Legal Services, who is the Council's Monitoring Officer, 
has overall responsibility for the maintenance and operation of this 
Policy. A record of all concerns raised and the outcomes will be 
maintained.  The Head of Legal Services will report as necessary on the operation of the Policy, but not on individual cases, to the Council's General Purposes Committee. 

## Appendix A List Of Prescribed Regulatory Bodies The Audit Commission For England And Wales (Including Auditors Appointed By The Commission) - For The Proper Conduct Of Public Business, Value For Money, Fraud And Corruption In Local Government And Health Service Bodies.

 Contact The Audit Commission 
1st Floor, Millbank Tower, Millbank London, SW1P 4HQ Tel: 0844 7981212 020 7828 1212 
The Certification Officer - 
For Fraud, and other irregularities, relating to the financial affairs of trade unions and employer's associations. Contact Certification Officer 
22nd Floor, Euston Tower, 286 Euston Road Lodnon, NW1 3JJ Tel: 020 7210 3734/3712  Fax: 020 72103612 
Email: info@certoffice.org.uk 
 
Her Majesty's Revenue & Customs - 
For Income tax, corporation tax, capital gains tax, petroleum revenue tax, inheritance tax, stamp duties, national insurance contributions, statutory maternity pay, statutory sick pay, tax credits, child benefits, collection of student loans and the enforcement of the national minimum wage. 

 
Contact New Kings Beam House 22 Upper Ground LONDON SE1 9PJ 020 8836 9600 http://www.hmrc.gov.uk/ 

Comptroller and Auditor General of the National Audit Office 
 
- 
For the proper conduct of public business, value for money, fraud and 
corruption in relation to the provision of centrally funded public 
services. 
 Contact The Comptroller and Auditor General National Audit Office 157-197 Buckingham Palace Road Victoria, London SW1W 9SP Tel: 020 7798 7999 
The Director of the Serious Fraud Office - 
For serious or complex fraud 

 Contact 
The Director of the Serious Fraud Office Elm House 10-16 Elm Street London WC1X 0BJ Tel: 020 7239 7272  Fax: 020 7837 1689 
The Environment Agency - 
For acts or omissions which have an actual or potential effect on the 
environment of the management or regulation of the environment 
including those relating to pollution, abstraction of water, flooding, the flow of rivers, inland fisheries and migratory salmon or trout. 
 
Contact National Customer Contact Centre PO BOX 544 Rotherham S60 1BY Tel: 0800 807060 (24 hour line) or enquiries 03708 506 506   
Fax: 01454 6244089 
Food Standards Agency 
 

- For matters which may affect the health of any member of the public in 
relation to the consumption of food and other matters concerning the protection of the interests of consumers in relation to food. 
 Contact Personnel and Establishments Division Food Standard Agency Room 111C, Aviation House 125 Kingsway 

London WC2B 6NH Tel: 020 7276 8120  Fax: 020 7276 8132 
General Social Care Council 
 
- 
For matters relating to the registration of social care workers under the 
Care Standards Act 2000 
 Contact General Social Care Council 21 Bloomsbury Street London, WC1B 3HF Tel: 020 7397 5100  Fax: 020 7397 5101  
www.gscc.org.uk Health and Safety Executive - 
For matters which may affect the health and safety of any individual at work; matters which may affect the health and safety of any member of the public arising out of, or in connection with, the activities of persons at work. Contact Health and Safety Executive Information Centre Broad Lane Sheffield S3 7HQ Tel: 0541 545500 (HSE Infoline)  Fax: 0114 2892323 
Housing Corporation - 
For the registration and operation of registered social landlords, including their administration of public and private funds and management of their housing stock. Contact Tenant Services Authority Maple House 149 Tottenham Court Road London, W1T 7BN Tel: 0845 230 7000 
Information Commissioner - 
For compliance with the requirements of legislation relating to data protection and to freedom of information. 

## Contact The Office Of The Information Commissioner Wycliffe House

Water Lane, Wilmslow Cheshire SK9 5AF Tel: 03031231113 01625545745 
Fax: 01625 524510  Email: mail@ico.gsi.gov.uk Care Quality Commission - 
For matters relating to the provision of regulated care services, as defined in the Care Standards Act 2000. 

 Contact 
Care Quality Commission Citygate, Gallowgate Newcastle upon Tyne, NE1 4PA Tel: 03000 616161 
Email: enquiries@cqc.org.uk 
The Occupational Pensions Regulatory Authority - 
For matters relating to occupational pension schemes and other private 
pension arrangements. Contact 
The Occupational Pensions Regulatory Authority Invicta House, Trafalgar Place Brighton BN1 4DW 
Tel: 01273 627600  Fax: 01273 627688 Email: helpdesk@opra.gov.uk 
 
Office of Fair Trading - 
For matters concerning the sale of goods or the supply of services, 
which adversely affects the interests of consumers.  Competition affecting markets in the United Kingdom. Contact 
Office of Fair Trading Fleetbank House, 2-6 Salisbury Square London EC4Y 8JX Tel: 0845 722 4499 Fax: 020 7211 8800 
Email: enquiries@oft.gsi.gov.uk 
 
Standards Board for England - 
For breaches by a member or co-opted member of a relevant authority 
(as defined in section 49(6) of the Local Government Act 2000) of that 
authority's code of conduct. 
 Contact The Standards Board for England 
11th Floor, Portland Tower, 53 Portland Street Manchester, M1 3LF 
Tel: 0161 212 7000 Fax: 0161 212 7001 
Email: enquiries@standardsforengland.gov.uk 
 
Secretary of State for Business, Innovation and Skills - 
For fraud and other misconduct in relation to companies, investment business, insurance business, or multi-level marketing schemes (and similar trading schemes); insider dealing.  Consumer safety. Contact Ministerial Correspondence Unit Department for Business, Innovation and Skills 1 Victoria Street London, SW1H 0ET Tel: 020 7215 5000 Minicom: 020 7215 6740