Whistleblowing policy - Wakefield Council

Introduction

Wakefield Council is committed to the highest possible standards of openness, integrity, and accountability. We encourage employees who have legitimate concerns, to come forward and raise concerns through accessible channels rather than overlooking the issues or discussing them externally. This process is commonly referred to as “whistleblowing,” and the aim of this Policy is to give detailed advice and reassurance to persons who wish to “blow the whistle” by reporting concerns about suspected wrongdoing to those who can make a difference. By knowing employees’ concerns about suspected wrongdoing at an early stage, the Council will have the opportunity to take appropriate action to safeguard its interests. The message the Council wishes to give employees is that they must not hesitate to ‘blow the whistle’ on suspected wrongdoing and do so as early as possible.

This Policy acknowledges and incorporates the specific statutory rights and protection given by the Employment Rights Act 1996 (as amended by the Public Interest Disclosure Act 1998 and the Enterprise and Regulatory Reform Act 2013), which applies to certain kinds of protected disclosure termed “qualifying disclosure” (see Section 6 below).

Provided that employees are acting in the public interest when making a disclosure that is not malicious and they have a reasonable belief that the information disclosed tends to show that suspected wrongdoing has occurred, is occurring or is likely to occur in the future, it does not matter if an employee subsequently realises that they are mistaken about the disclosure. Through this Policy the Council wishes to stress to employees that ‘if you are in doubt – raise it.’

The Council will consider all information received from whistleblowing disclosures. However, the decision as to whether or not to investigate a whistleblowing disclosure, and the extent of that investigation, will remain with the Council. If any investigation does take place, employees will be expected to co-operate fully with that investigation.

Data Protection

The Council processes personal information/data collected in the application of this Policy in accordance with its legal obligations set out in the Data Protection Act 2018 and the UK General Data Protection Regulations 2016, which are confirmed within the Council’s Data Protection Policy.

Information/data specifically obtained to address issues raised under this Policy is held securely and accessed by, and disclosed to, individuals only for the purposes of addressing these issues. Inappropriate access or disclosure of an employee’s personal information/data constitutes a data breach and should be reported in accordance with the Council’s Data Protection Policy immediately. It may also constitute a matter which will be considered in accordance with the Council’s Disciplinary Policy.

Scope – Who does this policy apply to?

This Policy applies to all Wakefield Council employees, (including Centrally Employed Teachers), apprentices, casual workers, agency workers, contractors, and volunteers, except:

· those working in school under the direction of a Governing Body

· employees of Yorkshire Purchasing Organisation (YPO), who have a contract or agreement with the Council, unless this Policy is adopted by YPO following local consultation

· employees of West Yorkshire Joint Services (WYJS), who have a contract or agreement with the Council, unless the Policy is adopted by WYJS following local consultation

This Policy also applies to employees of Council-owned companies and Members of the Council, where they choose to adopt this Policy and wish to raise concerns about suspected wrongdoings within the Council and others in a contractual or similar relationship with the council.

Organisations receiving grant aid from the Council may also choose to adopt this Policy where they wish to have the opportunity to raise concerns about suspected wrongdoing within the Council. Whilst the Council may be able to investigate concerns raised, persons with such an organisation 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 and the Enterprise and Regulatory Reform Act 2013).

The provisions of this Policy do not apply to members of the public. Members of the public wishing to raise a concern about any aspect of the Council’s work, including suspected wrongdoing within the Council, must utilise the Complaints Procedure.

The provisions of this Policy only apply to past, present, or likely future wrongdoing falling into one or more of the following categories or wrongdoing:

· criminal offences (e.g. theft, fraud, corruption, bribery, abuse of clients or service users)

· concerns raised in relation to sexual harassment

· failure to comply with a legal obligation, breach of statutory duty/requirement, breach of the Council’s standing orders/financial regulations, or other policies and/or procedures required by statute

· concerns in relation to the welfare of children and/or vulnerable adults.

· miscarriages of justice

· risks to Health and Safety, to both members of the public and/or employees

· damage to the environment

· covering up wrongdoing in the above categories

Aims of this Policy

The aim of this Policy is to provide:

· support to employees in the internal reporting of suspected wrongdoing in a safe and constructive manner

· avenues for employees to raised concerns about suspected wrongdoing and to receive feedback on action taken by the Council is response to those concerns

· opportunities for employees to take the matter further if they are dissatisfied with the Council’s response to their concerns, by identifying ways to report concerns to an appropriate regulator or outside body

· reassurance to employees that provided they disclose their concerns appropriately and in accordance with this Policy, they will, provided their disclosure is a “qualifying disclosure” (see section 6), be protected from suffering a detriment. (including dismissal where applicable)

Responsibilities

Managers must:

· treat all whistleblowing disclosures in confidence

· provide appropriate support to employees making whistleblowing disclosures where they consider the employee has a reasonable belief that the information disclosed is both accurate and in the public interest

· act immediately in cases involving children, vulnerable adults or sexual harassment

· seek advice where needed and refer the matter to the designated Whistleblowing Officers, to the Internal Audit Team or via whistleblowing channels highlighted in section 7.14.

· where a whistleblowing disclosure is a “qualifying disclosure,” take all possible steps to protect the employee making the disclosure from suffering any detriment in their employment/engagement by any other parties outside the Council with an interest in the concern being raised because the employee has made the disclosure

· where a whistleblowing disclosure is a “qualifying disclosure,” protect the employee making the disclosure from suffering any detriment (including dismissal where appropriate), such as harassment or victimisation by any other manager or employee within the Council as a result of the employee making the disclosure

· make employees aware of the existence of this Policy

The designated Whistleblowing Officers will:

· embrace the responsibilities of managers set out above when dealing with any whistleblowing disclosure received

· advise investigating officers about the procedures and protocols to be followed during an investigation, including the appropriateness of disclosing information about the progress being made to the whistleblower, the person(s) under investigation, and other parties

· consider the implications of the conclusions reached with regard to all investigations undertaken under this Policy and make appropriate recommendations to enable the integrity of the Council to be maintained both in the present and the future

· ensure a record of all whistleblowing disclosures and the outcomes reached from any investigations carried out in line with Council’s Corporate Retention Schedule

· report the outcomes of whistleblowing investigations to the Corporate Management Team and Members as deemed appropriate

Elected Members will:

· support the designated Whistleblowing Officers in ensuring that this Policy is implemented to ensure that the integrity of the Council is maintained

· report any concerns about suspected wrongdoing within the Council to the designated Whistleblowing Officers, providing that they have a reasonable belief their concerns show wrongdoing and it is in the public interest that those concerns should be subject to further scrutiny

· report any concerns as soon as possible

· put their name to any whistleblowing disclosures made

· fully participate in any investigation that takes place following a whistleblowing disclosure made by them

· receive, through the Council’s Audit Committee, assurances on the Councils Whistleblowing arrangements, updates on the number of Whistleblowing investigations and common themes as part of the half year and year end counter fraud reporting

Employees (and agency workers, and other workers directly contracted to the Council) should:

· report all concerns about suspected wrongdoing within the Council (except any concerns related entirely to their own contract which come to their attention, providing that they have a reasonable belief that the information disclosed tends to show wrongdoing and it is in the public interest that those concerns should be subject to further scrutiny

· put their name to any whistleblowing disclosures made

· fully participate in any investigation that takes place following a whistleblowing disclosure made by them

Human Resources will:

· provide support to staff and managers throughout the process

Internal Audit (via the Counter-Fraud Manager) will:

· review and maintain this Policy in consultation with the Council’s Monitoring Officer (Chief Legal Officer) and Section151 Officer and/or the designated Whistleblowing Officers

· review any disclosure received via designated Whistleblowing Officers or channels.

· Make initial contact with the whistleblower and be their point of contact throughout the process.

· Advise any employee making whistleblowing disclosures of the progress being made with any subsequent investigation (or provide an explanation as to why an investigation will not be taking place). It is not necessary to provide detailed information which may breach the confidentiality of the investigation but rather provide reassurance that the investigation will reach an appropriate outcome.

· To assist in the appointment of an independent and specialist officer to investigate concerns when required and consult with the service. Liaise with the service manager/director to facilitate an investigation, where appropriate.

· Consult with the Council’s recognised Trade Unions regarding any future changes to the policy.

· Provide support to Whistleblowing investigations when necessary.

· Report to members on Whistleblowing investigations.

Disclosures

The Employment Rights Act 1996 (as amended by the Public Interest Disclosure Act 1998 and the Enterprise and Regulatory Reform Act 2013) protects those who make a “qualifying disclosure” from being subjected to any detriment (including dismissal where applicable) as a result of making that “qualified disclosure”.

A “qualifying disclosure” is a concern which falls into one of the six categories of wrongdoing set out in the legislation, provided that the specific requirements for that category of wrongdoing are met in that the concern is raised in the correct manner to the proper person or organisation. These categories are:

· criminal offences. For example, theft, fraud, corruption, bribery, abuse of clients or service users

· concerns raised in relation to sexual harassment

· failure to comply with a legal obligation set out in law, breach of statutory duty/requirement, breach of the Council’s standing orders, financial regulations, or other policies and/or procedures required by statute

· concerns in relation to the welfare of children and/or vulnerable adults

· miscarriages of justice

· risks to Health and Safety, to both members of the public and/or employees

· damage to the environment

· covering up wrongdoing in the above categories

Ifan employee’s disclosure does not meet the statutory requirements of a “qualifying disclosure,” whether raised internally or externally, they will not be able to rely upon the protection of the Employment Rights Act 1996 (as amended by the Public Interest Disclosure Act 1998 and the Enterprise and Regulatory Reform Act 2013). For example, it is unlikely that raising a concern about wrongdoing to the media would attract that legal protection.

The Council may also investigate, under this Policy, concerns which relate to improper conduct falling below established standards and practices. Whilst concerns of this nature may not fall within the definition of a” qualifying disclosure,” the Council will provide the same level of support and protection to employees raising such concerns as they would to employees making a “qualifying disclosure.”

How to raise a concern

Although concerns about wrongdoing can be raised by employees orally or in writing, the Council would encourage employees to put them in writing, setting out the background and history of the concern and giving names, dates, places, and amounts where applicable, providing as much information as possible.

Concerns should be reported as soon as possible, this will assist the evidence gathering process of an investigation undertaken as a result of a whistleblowing disclosure.

In all circumstances, the employee should make it clear that they are raising their concerns about suspected wrongdoing under this Policy.

Employees may wish to seek advice from their Trade Union representative or an external advisory body such as Protect (see section 7.18) prior to raising a concern under this Policy.

Employees may wish to seek advice from the council’s Freedom to Speak up Guardian prior to raising a concern under this policy.

The Council does not expect employees to prove that the suspected wrongdoing has occurred, is occurring or is likely to occur in the future but employees will need to show to the person they contact that they have a reasonable belief that the information disclosed tends to show the suspected wrongdoing.

The Council also encourages employees to put their name to any concerns they raise. If an employee expresses concerns about suspected wrongdoing anonymously, their disclosure may be much less powerful.

Anonymous disclosures about suspected wrongdoing will still be considered by the Council, although any action taken will be at the discretion of any “investigating officer.” In exercising this discretion, regard will be had to a number of factors, including:

· the seriousness of the concern raised

· the credibility of the disclosure

· the likelihood of confirming the concern from other sources

· the quality of evidence available to support the concerns raised

The earlier an employee raises their concerns, the easier it may be for the Council to investigate and take the appropriate action.

Employees are encouraged to raise any concerns of suspected wrongdoing internally, but it is recognised that in certain circumstances it may be appropriate to instead raise concerns externally, to the relevant external person or organisation (see section 7.18).

Once a concern about suspected wrongdoing has been raised, either internally or externally, employees are expected to fully participate in any subsequent whistleblowing investigation. Employees who have raised their concern, may therefore, feel it appropriate to seek advice from their trade union representative or another advisory body such as Protect.

Internally – to Management

Employees are encouraged to raise any concerns of suspected wrongdoing to their Line Manager. However, whether this is appropriate depends on the seriousness and sensitivity of their concern and whether the employee thinks their Line Manager may be involved in the suspected wrongdoing.

If an employee believes that their concern is too serious or sensitive to raise with their Line Manager or believes that their Line Manager is involved in the suspected wrongdoing, they should instead raise their concerns with a Service Manager / Service Director / Corporate Director as appropriate.

If an employee believes that their concern is too serious or sensitive to raise with a Service Manager / Service Director / Corporate Director or believes that they are involved in the suspected wrongdoing, they should instead approach one of the following Whistleblowing Officers, who hold the following (or equivalent) positions, the:

· section 151 Officer (Chief Finance Officer)

· monitoring Officer (Chief Legal Officer)

· the Council’s designated Caldicott Guardian

The Whistleblowing Officers can be contacted as follows:

· using the dedicated 24-hour Whistleblowing hotline 0808 1567525

· writing to the Whistleblowing Officers at P.O Box 558, Town Hall, Wakefield, WF1 9ES, ensuring the letters is marked “confidential – to be opened by addressee only”

· emailing concerns to whistleblowing@wakefield.gov.uk

Employees may in any event wish to contact one of the Whistleblowing Officers, directly, to raise an informal concern about suspected wrongdoing before raising a concern elsewhere internally. For example, if they are unsure whether “blowing the whistle” is appropriate in particular circumstances or if they require assistance on the significance of their concern. Alternatively, employees may wish to obtain guidance from the Whistleblowing Officers on how to raise their concern effectively, including who to contact about the suspected wrongdoing.

Externally

This Policy is intended to provide employees with guidance on how to disclose concerns which are dealt with properly, independently, and confidentially by the Council.

However, if you feel you are unable to raise your concern internally and wish to make a disclosure externally you may wish to contact:

· a councillor

· the Council’s external auditor Grant Thornton, 8 Finsbury Circus, London, EC2M 7EA. www.grantthornton.co.uk

· the Police via 101

· Protect – an independent authority on whistleblowing at www.protect-advice.org.uk

· the appropriate government prescribed regulatory, which can be found at www.gov.uk/government/publications/blowing-the-whistle-list-of-prescribed-people-and-bodies--2

If an employee does make a disclosure to an external body or agency, they may be required to demonstrate why they considered it was not appropriate to report their concerns internally.

If an employee chooses to disclose their concern outside the Council, they must take care to ensure that they do not disclose confidential or privileged information.

Examples of confidential or privileged information (either explicitly or where it is clear from the circumstances that there is an expectation that information will not be passed on) include:

· information that would enable a child or a vulnerable adult to be identified

· commercially sensitive information

· third party personal financial information

· information that is held as part of court proceedings that is not in the public domain

· information that could affect national security

· legal advice given to the service

Where confidential or privileged information is inappropriately disclosed, an employee may be subject to disciplinary action in accordance with the Disciplinary Policy.

Concerns about the Welfare of Children and/or Vulnerable Adults.

If an employee’s concern relates to any suspected wrongdoing to the welfare of children and/or vulnerable adults, the procedure set out in Appendix 1 should be followed because of the specific obligations placed upon persons reporting concerns regarding the wellbeing of children and/or vulnerable adults. Failing to report a concern relating to the wellbeing of children and/or vulnerable adults could be seen as a failing in the professional duty for some employees and be in breach of legislation. Such failures may result in disciplinary action being considered in accordance with the Disciplinary Policy.

How the Council will respond

The action taken by the Council will depend upon the nature of the concern that is raised.

In most instances, it is expected that in order to protect individuals and the Council, initial enquiries will be made to decide whether a whistleblowing investigation is required and, if so, what form this investigation will take. Some concerns about suspected wrongdoing may, however, be resolved by agreed or alternative action without the need for a whistleblowing investigation.

If the disclosure has been made directly to a Whistleblowing Officer or to the Internal Audit Team (Corporate Counter-Fraud Manager), they will determine if an investigation should take place and how it should proceed. If so, they will determine the terms of reference for that investigation. The exception to this would be if they consider the disclosure should be referred to the Chief Executive, Section 151 Officer (Chief Finance Officer), Chief Legal Officer (Monitoring Officer), or appropriate Service Manager / Service Director / Corporate Director for consideration.

The Council will aim to respond to the employee, within 14 days of receiving the disclosure, providing the following information:

· an acknowledgement that their concern has been received, with due care regarding confidentiality

· details of the actions that have been taken

· an indication of what happens next

· the name of a ‘contact officer’ who they will be able to liaise with if further concerns or issues arise as a consequence of them having made the disclosure

· if applicable, the name of the officer assigned to investigate the disclosure

· as estimate of how long it will take to provide a final response and reasons for this

· if applicable, an explanation as the why it may not be appropriate to carry out a whistleblowing investigation

If it is not possible to provide all this information within 14 days the written response will explain the reasons and give an indication as to when it will be available to be shared with the employee.

The amount of contact between the employee and any Investigating Officer will depend on the nature of the concern about suspected wrongdoing raised and the clarity of the information provided. If it is necessary to seek further information from the employee, a meeting will be arranged, at which the employee will have the right to be accompanied by their Trade Union representative, if applicable, or a work colleague who is not involved in the area of work to which the concern relates. At the employee’s request, any meeting may be held away from their workplace and / or outside working hours if appropriate.

Every attempt will be made to resolve the matter within 28 days of a concern being raised, or if this is not possible as soon as is reasonably practicable. If the matter cannot be resolved within this timescale, the employee will be kept regularly informed of how their concern is being dealt with.

Subject to legal constraints, the employee will be notified once the outcome of any whistleblowing investigation has been concluded.

Outcomes of all whistleblowing investigations will be recorded by the Internal Audit team through its counter-fraud function and be available to the councils designated Whistleblowing Officers. All documents relating to the investigation of a whistleblowing disclosure will be kept on a confidential file in accordance with the Council’s Corporate Retention Schedule.

The Internal Audit team, as part of its counter-fraud arrangements, will provide reports to the Corporate Management Team (and Members if deemed appropriate) on the outcomes of all whistleblowing investigations in the previous year. Such reports will be written in a way which maintains the requirement for confidentiality within this Policy.

Safeguards

Confidentiality

The Council will strive for a culture where employees who have a whistleblowing concern feel it is safe and acceptable to raise their concerns openly given that such openness makes it easier for the Council to assess the issues and work out how best to investigate them. However, it is recognised that some employees may have anxieties about identifying themselves and if this is the case it will be agreed that any concerns about suspected wrongdoing made under this Policy will be treated confidentially and, unless the employee agrees otherwise, the Council will do its best not to disclose their identity.

Employees must, however, appreciate that a whistleblowing investigation may reveal who raised the concern and as part of this investigation, they may be required to provide a statement to the Council or to an external body, for example the Police or another appropriate enforcement agency. Similarly, if the matter proceeds to an internal disciplinary hearing under the Disciplinary Policy for another employee, they may be required to attend as a witness to provide evidence.

Harassment or Victimisation

The Council has a statutory duty to protect those who make a “qualifying disclosure” from suffering a detriment (including dismissal where applicable) as a result of making a “qualifying disclosure” and as such it will not tolerate an anyone who has raised a “qualifying disclosure”, being subjected to a detriment in their employment/engagement, such as harassment or victimisation, as a result of them having raised their concern. The Council will take all necessary steps to protect employees when they have raised a “qualified disclosure.”

If an employee considers that they have suffered a detriment, either directly or indirectly, as a result of raising a concern under this Policy, they must refer to the Resolution Policy (and the associated statement regarding Harassment and Bullying at Work).

Any allegations of suffering a detriment will be fully investigated and where a case to answer is identified it will be addressed through the application of the Disciplinary Policy.

Untrue/Malicious Allegations of Wrongdoing

This Policy has been designed to encourage employees to raise legitimate concerns about suspected wrongdoing. Consequently, if an employee raises a concern which is in the public interest and they have a reasonable belief that the information disclosed tends to show the wrongdoing has occurred, is occurring or is likely to occur in the future but the wrongdoing is not confirmed by a whistleblowing investigation, no disciplinary action will be taken against an employee. Where, however, a whistleblowing investigation concludes that the information provided was not in the public interest or not as a result of reasonable belief held about wrongdoing, i.e the disclosure was untrue, malicious/inaccurate, then disciplinary action may be taken against an employee in accordance with the Council’s Disciplinary Policy.

Subjects of Whistleblowing Disclosure

If an employee finds themselves the subject of a whistleblowing disclosure, and a subsequent investigation, they will have the right to be accompanied by a Trade Union representative or a work colleague during any interviews which take place as part of the investigation.

Counter-Grievances

Whilst every possible precaution will be taken to maintain the confidentiality of any whistleblower it is recognised that on occasions a person who is the subject of a whistleblowing disclosure may become aware of who has raised the concern, which could, for example, prompt a complaint or request for resolution(under the Resolution Policy) being submitted related to detrimental treatment at work if the subject of the disclosure believes that the disclosure is not in the public interest or not as a result of a reasonable belief held about wrongdoing, i.e. the disclosure was untrue/malicious/inaccurate.

The submission of such a complaint or request for resolution by a person who is the subject of the whistleblowing disclosure will not prevent, or interfere with, any whistleblowing investigation into the original disclosure occurring and/or continuing. Any whistleblowing investigation will fully explore the issues raised in a complaint or request for resolution both at the interview with the subject of the disclosure and with any other person(s) named as witnesses by either party. The outcome of the investigation will therefore address both the original whistleblowing disclosure and any complaint or request for resolution submitted.

If the whistleblowing investigation into the original disclosure concludes that the complaint or request for resolution is justified (and therefore that the allegations made by the person making the original whistleblowing disclosure were not in the public interest or not as a result of a reasonable belief held about wrongdoing, i.e the disclosure was untrue/malicious/inaccurate, this will be confirmed in writing prior to any disciplinary action being considered against the employee who made the original disclosure in accordance with the Council’s Disciplinary Policy.

Relevant Legislation

There are the following relevant pieces of legislation:

1. Employment Rights Act 1996

2. Public Interest Disclosure Act 1998

3. Enterprise and Regulatory Reform Act 2013

4. Local Authority Social Services Act. 1970

5. Children’s Homes Regulations 2001

Definitions:

a. Whistleblower – a person who works in or for an organisation who raises a concern about suspected wrongdoing within that organisation.

b. Qualifying Disclosure- a disclosure which meets certain legal definitions set out in the Employment Rights Act 1996 (as amended by the Public Interest Disclosure Act 1998 and the Enterprise and Regulatory Reform Act 2013) and which carries protection against suffering a detriment (including dismissal where applicable) as a result of making that “qualified disclosure”.