Human Resources Whistleblowing Policy and Procedure

Introduction

This policy applies to all staff working for or on our behalf of Strettons Mayfair Trust (SMT).  Volunteers, trustees and others can use this policy if they have a relevant disclosure to make and SMT will endeavor to apply all the legal protection available to staff, to non-staff.

All organisations face the risk of things going wrong or of unknowingly harbouring malpractice. By promoting a culture of openness within SMT, trustees, staff, volunteers and other stakeholders are encouraged to raise issues which are of concern at work. By knowing about malpractice at an early stage, steps can be taken to safeguard the interests of all trustees, staff and volunteers to prevent fraud and corruption before it happens.

Trustees, staff and volunteers should not hesitate to “speak up” or “blow the whistle” if they believe malpractice may be occurring.

Aim

The aim of the policy is to help trustees, staff, volunteers and other partners to raise any serious concerns they may have about colleagues or SMT with confidence and without having to worry about being victimised or disadvantaged in any way as a result.

The policy will ensure everyone is aware of what to do and the appropriate person to notify in the event of concerns around malpractice, breaches of regulations or criminal offences and will allow for investigation of matters where there is ‘reasonable belief’ that malpractice is or may be occurring. It will also advise on the protection they will receive from SMT and offered under the Public Interest Disclosure Act 1998 (PIDA).

The policy will be actively promoted at Health and Safety inductions for staff and volunteers but also available on the website. Should the policy need to be employed SMT will consult an independent Human Resource specialist to ensure the procedure is carried out correctly and within legal constraints.

It should be noted that the whistleblowing procedures should not be used in relation to staff or volunteer grievances concerning individual terms and conditions of employment or other aspects of the working relationship which are handled under the SMT Grievance Policy and procedure.

What is Whistleblowing?

Whistleblowing is the reporting of suspected wrongdoing or dangers in relation to activities. This includes bribery, fraud or other criminal activity, miscarriages of justice, health and safety risks, damage to the environment and any breach of legal or professional obligations.

Sometimes we may have concerns about events that are taking place at work. Generally, these concerns are resolved through provision of information and informal discussions with the Line Manager or other senior people. When an individual feels that the informal route is not appropriate, they may make a formal disclosure.

The term ‘Whistleblowing’ is used to describe a formal disclosure of alleged corruption, malpractice or wrongdoing made to the appropriate person in authority. In the case of SMT this disclosure might be based on a colleague’s conduct during the course of employment or about SMT systems, procedures or custom and practice.

Protection of the whistle-blower

SMT is committed to the Whistleblowing Policy and staff are encouraged to raise concerns about malpractice in the context of the policy. Concerns will be treated seriously, and actions taken in accordance with this policy.

Staff may be anxious that, by reporting genuine whistleblowing concerns, their actions may leave them vulnerable. It is important to emphasise that SMT will not tolerate the victimisation, intimidation or penalisation of anyone raising a genuine concern, anyone involved in the subsequent investigation or anyone acting as a witness. Non- staff may follow the procedure but they may not have the same protections afforded to staff.

Anyone responsible for any such action against individuals making genuine disclosures will be the subject of disciplinary action.

Whistleblowers who are staff members receive protection under the PIDA. Further information can be found at the end of the policy under Appendix 1.

Dealing with disclosures

Once a disclosure has been made it is good practice to hold a meeting with the whistleblower to gather all the information needed to understand the situation. In some cases, a suitable conclusion may be reached through an initial conversation with a manager. In more serious cases there may be a need for a formal investigation. It is for the organisation to decide what the most appropriate action to take is. Good practice for managers and the organisation is covered in Appendix 2.

Reporting concern informally

Staff may raise, informally, their concern with their line manager first. This may be a verbal discussion or in writing. The issue will be treated in confidence, even if the disclosure is not considered to be a qualifying disclosure under PIDA.  If the line manager cannot deal with it they will take it to the Chief Officer (CO). 

If the staff member feels the line manager is not an appropriate person to talk to, they may take their concern to the CO. If the concern involves the CO the staff member or line manager may talk to the Chair of Trustees for them to investigate and take action.

Where the staff member is not comfortable speaking with managers and remains unsure whether to use this procedure or to begin whistleblowing action, then they can obtain independent advice by contacting the charity Public Concern at Work on 0207 404 6609.

All concerns will be investigated and dealt with as appropriate. The line manager involved will ensure that the CO is informed and involved as appropriate (unless the CO themself is implicated, in which case the Chair of the Board of Trustees). The staff member who raised the concern or issue will be informed of the outcome of the investigations and what, if any, action has been taken.

If the staff member is unhappy about the speed, conduct or outcome of the investigation, they should put their concerns in writing to the CO. They should write to the Chair of Trustees if the CO is personally involved or to another Trustee if it is inappropriate to involve the Chair. The CO (or Chair / other Trustee) will investigate the complaint, and report back to the member of staff with their findings and what, if any, action has been or will be taken (for further details, see the SMT Complaint Policy).

Reporting concern formally

Upon reaching a decision to carry out a formal disclosure the staff member and associated persons should be reminded of their duty of confidentiality to both SMT and its clients. All formal concerns must be raised in writing (in a letter or in an email) to the CO or Chair of Trustees, or another Trustee if it is inappropriate to involve the CO / Chair of Trustees, who will handle the disclosure to the agreed procedures in place. The person receiving the disclosure is referred to throughout this policy as the Appropriate Person and will remain consistent throughout the process.

Importantly, and to guarantee protection under the regulations, a whistleblower must meet specified criteria so that their disclosure can be considered a qualifying disclosure under the PIDA. These are as follows:

  1. The disclosure must be made to an Appropriate Person.
  2. The person making the claim must have reasonable belief that wrongdoing has been, is being or is about to be committed.
  3. The person must reasonably believe it to be substantially true and that the disclosure is in the public interest.
  4. The person making the claim should not collect the information to support the allegations improperly or illegally.

Malicious Whistleblowing

Where it is found that the whistle-blower makes an allegation maliciously, and:

  1. Does not act in the public interest;
  2. Makes an allegation without having reasonable grounds for believing it to be substantially true;
  3. Collects the information to support the allegations improperly or illegally, or;
  4. Makes an allegation for personal or third party gain.

Staff will be subject to formal disciplinary action, up to and including dismissal and in some cases may be subject to criminal investigation where illegality has occurred in order to achieve those aims.

Additionally where this criterion is met or the staff member engages in improper conduct in relation to whistleblowing, they are unlikely to be protected as a whistle-blower under the PIDA.

Reporting by non-Staff

Whilst the majority of disclosures will be made by staff, there is scope within the legislation for volunteers and those associated with SMT to raise whistleblowing concerns. This may include clients, partners, volunteers or other persons with an association to SMT. Members of the public may also feel they wish to pursue a matter they feel is in the public interest.

  1. The procedure will not differ from that of a staff member.
  2. It is worthy of mention that non- staff do not have to follow the procedure as prescribed and may take other routes to disclosure; as such it is important to be vigilant when considering or taking into account any complaint made by individuals who are not directly employed by or associated with SMT. Non-staff may not be afforded the same protection as staff members.

Handling the disclosure

  1. Upon receipt of the disclosure, a meeting to discuss the concerns will be offered and held within 10 days in line with the Grievance and Disciplinary  Policies. The meeting will be held in a confidential and private location and the following persons will be present; the individual raising the concern and the Appropriate Person to whom the disclosure has been made.
  2. This meeting will be of an exploratory nature depending on the nature of the concern and the staff member can bring along someone to accompany them should they wish to do so. The individual will have the opportunity to detail the reasons for their disclosure and will use the meeting to share concerns; and share any supporting facts with the Appropriate Person chairing the meeting.
  3. The Appropriate Person will make a formal note of the meeting, which is shared with the whistle-blower within 5 days of the meeting, unless a longer period is agreed between the parties.  The Appropriate Person will then notify the Chair of Trustees and CO (unless one or both are implicated) that a whistleblowing disclosure has been made and conduct the investigation. The identity of the whistle-blower will be protected throughout this process.
  4. The Appropriate Person will, having taken into account all the information presented, then agree with the individual the likely course of action in terms of next steps or remedying the situation; and agree timescales for action. The Appropriate Person will ask for any supporting proof presented at the meeting to be submitted as part of the process. A comprehensive record of this process will be made by the Appropriate Person which will, depending on the circumstances, include an explanation of the concern, the evidence and relevant names and dates etc.  This note may be either maintained electronically or manually but must be stored confidentially.  An electronic record can be maintained in a confidential area of the database, or the written record may be stored in the locked cabinet in the CO’s office.  This may change depending on whether the CO is implicated in the disclosure.  The Chair of Trustees or Company Secretary should be consulted in those circumstances.
  5. Once the meeting has taken place the Appropriate Person to whom the disclosure was made will consider the information and decide whether there is a case to answer or whether an investigation should be conducted to establish the facts, who will undertake the investigation and what form it should take.
  6. If the disclosure falls more properly within other policies (e.g. Disciplinary or Grievance) then they will advise of this.
  7. The Appropriate Person to whom the individual initially makes the disclosure will, unless the individual is advised otherwise, act as the main point of contact in the matter and will be responsible for keeping the staff member up to date on the outcome of investigations carried out and any actions taken as a result of the investigation.
  8. Where this impacts on the duty the organisation has in relation to the confidentiality and safety of others, the Appropriate Person will confirm the limits of the information that can be provided.
  9. If, following the meeting, the Appropriate Person to whom the disclosure is made decides not to proceed with an investigation, this decision will be explained as fully as possible to the whistleblower. If the whistleblower is unhappy with outcome, they may use the Grievance policy and procedure to seek to take the matter further. Whistleblowing incidents will be recorded by the Appropriate Person which outlines the date of the incident and who the Appropriate Person is. On the occasion that the Appropriate Person leaves / stands down from the board, their records must be shared with another person, usually the CO or the chair unless exceptional circumstances apply. The notes of any meetings will be retained in accordance with the timescales included in the Records Retention Policy.

External Disclosure

  • It is hoped that this procedure will provide the staff member with the assurance they need to raise whistleblowing issues with SMT internally. However, we accept that there may be circumstances where the staff member feels it is more appropriate to make the disclosure to an external body. This is known as a ‘Public Disclosure’.
  • An external body may be non-regulatory; such as an MP or the police. Or, alternatively may be regulated, in which case, the disclosure can be made to ‘prescribed persons’ should the malpractice fall within that body’s regulatory remit. These can include (but are not limited to):
    • HM Revenue and Customs
    • The Health and Safety Executive
    • The Commissioners of Customs and Excise
    • The Environment Agency
    • The Charity Commission.
    • The Information Commissioner
    • The Financial Conduct Authority, or The Serious Fraud Office.
    • The disclosure will be protected under the legislation in the same way as a disclosure made internally as long as it meets the same satisfying conditions.
    • In this instance it is pragmatic to seek independent advice on this course of action prior to making this move which can be found by contacting the charity Public Concern at Work on 0207 404 6609. Public Concern at Work will be able to advise individuals whether, in their opinion, the disclosure to an outside body is advisable, would be appropriate, and under what circumstances they should consider contacting an outside body and how.
    • A full list of prescribed persons and bodies can be found in the schedule to the Public Interest Disclosure (Prescribed Persons) Order 1999 (SI 1999/1549).
    • In the event of an external disclosure the relevant regulatory or non-regulatory body will carry out investigations as necessary and to the procedures and processes set out by them.

Anonymous disclosure

  1. The identity of the individual raising the disclosure will be kept confidential, if so requested, for as long as possible, provided that this is compatible with a proper investigation.
  2. In view of the protection afforded to an individual raising a genuine concern, it is considered desirable that they disclose their name. However, there may be special or unusual circumstances where an individual considers it necessary to make an anonymous disclosure.
  3. Where an anonymous disclosure occurs the disclosure will be accepted and treated equally with those bearing a name. Anonymous claims can at times be more difficult to investigate as there is not the option to seek further information during investigation, and claimants cannot be contacted to discuss the outcome, however this should not act as a barrier to making an anonymous disclosure if the individual feels that this is the best course of action for them.

Disclosure to the media

  • It is advised that internal procedures surrounding whistleblowing should be followed before any disclosures to the media are made. External disclosures made that have not first followed internal procedures may be considered an unreasonable action under PIDA (see Appendix 1) and can potentially lead to disciplinary proceedings.
  • If an individual feels their concern is not being dealt with properly through SMT’s internal Whistleblowing procedures, it is recommended the individual seeks legal advice before making any further disclosures as PIDA only affords protection to whistleblowers in certain circumstances.

Alternatively a member of staff might choose to approach the media with their concerns. If a staff member goes to the media, they can expect in most cases to lose their whistleblowing legal rights. It is only in exceptional circumstances that a staff member can go to the media without losing their rights. They must reasonably believe that the information they disclose and any allegation contained in it are substantially true. They cannot be acting for personal gain. Unless the wrongdoing is exceptionally serious, if they have not already gone to their manager or a prescribed person, they must reasonably believe that their employer will subject them to ‘detriment’ or conceal or destroy evidence if they do so. And even then, their choice to make the disclosure must be reasonable.

Appendix 1 The Law

The Public Interest Disclosure Act 1998 (PIDA) applies to all Staff and is in place in order to allow Staff to raise legitimate concerns about matters that are of a public nature. These include situations where criminal offences, breaches of legislation and illegality occur. These are called “Qualifying Disclosures”.

It is not necessary for the staff member to have proof that such an act is being, has been, or is likely to be committed; a ‘reasonable belief’ is enough to form the basis of concerns.

Some examples of this may be:

  • Criminal offences.
  • Fraud, bribery or financial mismanagement.
  • Mis-selling pensions or financial products.
  • Abuse of vulnerable groups of people.
  • Practices that put the health and safety of Staff or customers at risk.
  • Failure to comply with legal obligations.
  • Breaches of legislation, such as the Data Protection Act.
  • Covering up medical negligence.
  • Causing damage to the environment.
  • Concealment of any of the above.

For a disclosure to be protected it should be made in the appropriate manner to an SMT manager. For example, disclosing a serious health and safety issue to a manager and / or the Health and Safety Officer is likely to be protected, but not if the concern was disclosed directly to the newspapers or media without having first attempted to make the organisation aware of the problem.

This procedure provides guidance on what falls under the scope of the whistleblowing legislation, how any such issues may be raised in confidence within SMT and provides assurances that its Staff will be protected from suffering from any detriment (i.e. victimisation, discrimination or dismissal) for raising any matters of public interest.

Appendix 2: When dealing with disclosures

Good practice for managers:

  • Have a facility for anonymous reporting
  • Treat all disclosures made seriously and consistently
  • Provide support to the worker during what can be difficult or anxious time with access to mentoring, advice and counseling
  • Reassure the whistleblower that their disclosure will not affect their position at work
  • Document whether the whistleblower has requested confidentiality
  • Manage the expectations of the whistleblower in terms of what action and/or feedback they can expect as well clear timescales for providing updates
  • Produce a summary of the meeting for record keeping purposes and provide a copy to the whistleblower
  • Allow the member of staff or volunteer to be accompanied by a friend or colleague at any meeting about the disclosure, if they wish to do so
  • Provide support services after a disclosure has been made such as mediation and dispute resolution, to help rebuild trust and relationships

Good practice for organisations:

  • Record the number of whistleblowing disclosures they receive and their nature
  • Maintain records of the date and content of feedback  provided to whistleblowers
  • Conduct regular surveys to ascertain the satisfaction of whistleblowers