Whistleblowing Policy

1. Introduction

1.1. This procedure may be used by employees, workers, agency workers, contractors and volunteers. Statutory protection under the Employment Rights Act 1996 and Public Interest Disclosure legislation applies only where the individual meets the legal definition of a worker. This policy refers to employees throughout, however, applies to all workers outlined in this section.

1.2. If a council employee suspects wrongdoing within the council, there are several ways this can be dealt with. Normally the first step would be to report this to your manager, or if unavailable/not appropriate, your Head of Service or Executive Director. The council also has existing policies and procedures to deal with disciplinary, grievance and dignity and respect matters which involve individual members of staff. There is also the Corporate Fraud Hotline which allows both public and employees to confidentially report potential cases of fraud.

1.3. There may be other occasions when it is not possible or appropriate to use these procedures. The Whistleblowing Policy relates to such occasions, when in the course of their work, council employees (as per 1.1) become aware of serious wrongdoing in the council or have information regarding malpractice. These acts or omissions may be committed by an individual, more than one individual in the council or external contractors working for the council.

1.4. Whistleblowing is the term used when an employee passes on information concerning such wrongdoing. It is also known as making a “protected disclosure”, because if used properly, following this Policy, it will protect the employee from repercussions. The wrongdoing will typically (although not necessarily) be something they have witnessed at work.

1.5. The disclosure of such wrongdoing should only be made in the public interest, and this procedure outlines the steps that should be taken to bring such serious situations to the attention of the council. This procedure has been designed to provide guidance to employees on reporting incidents of malpractice or wrongdoing and indicates how matters can be expedited thoroughly, discreetly and in a confidential way.

1.6. There are separate procedures in place to enable employees to lodge a grievance relating to their own employment, and the whistleblowing procedure should not be used for personal grievances. Similarly, where fraud is suspected, unless there are particular reasons why this is not advisable, it is best to report this to the Corporate Fraud Hotline (email corporatefraud@north-ayrshire.gov.uk or telephone 01294 324228).

1.7. The principles and guidance outlined in this procedure have been developed to implement the Public Interest Disclosure Act 1998. This provides that employees who make a disclosure, or ‘blow the whistle’ in respect of wrongdoing in any of the categories listed in Section 2.2 below, will be protected from dismissal, or detriment short of dismissal, such as bullying or harassment from another employee. It is essential that the employee must reasonably believe that they are acting in the public interest.

1.8. The council recognises that the decision to report a concern can be a difficult one, not least because of the fear of reprisal from those responsible for the malpractice. The council will not tolerate harassment or victimisation of the employee making the disclosure and will act to protect employees when they raise a concern in the public interest. Any allegation of harassment or victimisation of employees who have made disclosures will be taken seriously and managed appropriately.

1.9. The procedures also complement the provisions of the Employee Code of Conduct, the Council’s Financial Regulations and Codes of Financial Practice, Corporate Procurement Procedures and Counter Fraud and Corruption Strategy.

2. Categories of Malpractice/Wrongdoing

2.1. The public has the right to expect high standards of service. However, there may be occasions when due to individual acts, omissions, or corporate failings it may be necessary to bring certain matters which give cause for concern to the attention of the council. The council recognise that employees are often the first people to witness types of wrongdoing and malpractice, and that the information they uncover could prevent such malpractice and wrongdoing.

2.2. If an employee is concerned about or witnesses an aspect of individual behaviour or malpractice which falls under one (or more) of the following categories they should, where reasonably practicable, report this by following the procedures as defined below:

• A criminal offence has been, is being or is likely to be committed
• A person has failed, is failing or is likely to fail to comply with any legal obligation to which he or she is subject
• A miscarriage of justice has occurred, is occurring or is likely to occur
• The health and safety of any individual has been, is being or is likely to be endangered
• That sexual harassment has occurred, is occurring or is likely to occur
• The environment has been, is being, or is likely to be damaged
• Information tending to show any matter falling within any one of the preceding paragraphs has been, is being or is likely to be deliberately concealed

2.3. All council employees have a responsibility to report any concerns they may have that cases of at-risk children or adults are being mismanaged or not being provided with the support that they need. The council recognise that it can be difficult to speak about these issues; however, we encourage a culture of openness and transparency, where the priority is on improving services to vulnerable children and adults by naming and addressing problems, rather than apportioning blame.

2.4. The categories listed above are by no means mutually exclusive. For instance, a health and safety failure may also be a criminal offence.

2.5. If the concern does not fall within the scope of any of the categories listed above then another procedure should be considered, such as the Grievance, Disciplinary or Dignity & Respect procedures, or by reporting the issue through the Corporate Fraud Hotline.

2.6. If there is any doubt about which procedure is appropriate for the circumstances the Head of Service (People & ICT) or the Head of Service (Democratic) may be consulted for advice.

3. Confidentiality

3.1. The council will do its best to protect an individual’s identity when they raise a concern and do not want their name to be disclosed. It must be appreciated, however, that the investigation process may reveal the source of the information and a statement by the individual may be required as part of the evidence.

3.2. The council will maintain a record of all whistleblowing concerns raised under this procedure. Records will be retained in line with the council’s records retention schedule.

4. Reporting Procedure

4.1. An employee wishing to report a matter that is covered by the categories stated in Section 2 - Categories of Malpractice/Wrongdoing, should contact the Head of Service (People & ICT) or the Head of Service (Democratic). The report should preferably be in writing, although it will be acceptable to telephone or arrange a meeting. The Whistleblowing Report Form, available on Connects, can be used for this purpose if preferred.

4.2. The employee should provide whatever information they have relating to their concern, and give names, dates, and places where possible. The employee does not require to provide evidence of the wrongdoing or malpractice but must have a reasonable belief that it is taking place.

4.3. An employee wishing to report fraudulent or corrupt activity, whether perpetrated by employees, elected members, partner organisations, suppliers or service users should contact the Corporate Fraud Team, which is a specialist investigative team to prevent and detect frauds or attempted frauds against the council. The Corporate Fraud Team can be contacted by email corporatefraud@north-ayrshire.gov.uk or telephone on 01294 324228. For further information please see the North Ayrshire Council Counter Fraud and Corruption Strategy.

4.4. Anonymous disclosures will be considered and assessed; however, the ability to investigate may be limited where insufficient information is provided. Employees are encouraged to provide contact details wherever possible.

4.5. Individuals may invite their Trade Union representative to raise a matter on their behalf.

4.6. The Head of Service (People & ICT) or the Head of Service (Democratic) will make an initial assessment of the nature of the report and where relevant make enquiries to establish whether these procedures are appropriate in the circumstances of the case.

4.7. Where the matter is not one that should be investigated via these procedures, the Head of Service (People & ICT) or the Head of Service (Democratic) will advise the employee who to contact in relation to their concern.

4.8. Where the concern reported is relevant to these procedures the Head of Service (People & ICT) or the Head of Service (Democratic) will either investigate the concern personally or it will be investigated by an appropriate senior officer.

4.9. The employee making the report will be advised of the next steps that will be taken and of the likely timescale. The council aims to conclude investigations as promptly as possible and will provide periodic updates where investigations are likely to exceed anticipated timescales.

4.10. If a meeting is required with the employee making the report, they may be accompanied by their trade union representative or another North Ayrshire Council employee if they so wish.

4.11. It is important that confidentiality is maintained by both parties to ensure that the matter can be dealt with in the appropriate way, avoid prejudice and protect individual rights.

4.12. Under the terms of this procedure, the employee making the report may seek a progress update regarding the status of the report.

4.13. Once the matter has been concluded and the appropriate action taken in response to the report the employee will be notified accordingly. Feedback will be provided by the Head of Service (People & ICT) or the Head of Service (Democratic) or nominated Senior Officer. It should be noted that it may not be possible to give details of precise actions taken where this will infringe a duty of confidence owed to another person or any rights that person may have under data protection legislation.

5. Contact with Regulatory Bodies

5.1. Employees who wish to make protected disclosures are required to follow the reporting procedure detailed in the above policy. The only exceptions to this will be where the employee reasonably believes that they will suffer a detriment as a result of making a disclosure internally, or where the employee is dissatisfied with the outcome of the findings of an investigation into their concerns. Where this is the case and the disclosure is not made for personal gain, a disclosure may be made to the relevant regulatory body.

5.2. The relevant regulatory bodies for local government in Scotland are listed in the Government Guidance: Whistleblowing: list of prescribed people and bodies. Depending on the nature of the concern, employees may make a disclosure to an appropriate prescribed person or body, as set out in the prescribed persons list.

5.3. Protect is an independent Charity providing confidential advice to employees who witness wrongdoing or malpractice in the workplace and who find themselves in a whistleblowing dilemma.

Protect – the Whistleblowing Charity

• The Green House, 244-254 Cambridge Heath Road, London, E2 9DA Telephone: 020 3117 2520 Email: whistle@protect-advice.org.uk Protect website

6. Contact with Media

6.1. Employees are encouraged to utilise this Whistleblowing Procedure rather than contacting the media. Disclosures to the media or social media may only be protected in limited circumstances where the worker reasonably believes the information is substantially true, the disclosure is in the public interest, there is no personal gain, and it is reasonable to make the disclosure externally. Whether these conditions are met will depend on the individual circumstances of each case.

7. Safeguards

7.1. An employee making a disclosure based on one or more of the categories of Malpractice/Wrongdoing detailed in paragraph 2.2 will be protected from any detriment in the course of their employment as long as:

• they reasonably believe it be true
• it is in the public interest
• disclosure is made following the council’s reporting procedure

7.2. For the purpose of this procedure, detriment is defined as any act or omission that penalises the employee for submitting a report on one or more of the Categories of Malpractice/Wrongdoing set out in 2.2. So, for example, dismissal, selection for redundancy, harassment, victimisation, or any other form of detrimental action are prohibited under the terms of this procedure. Similarly, the denial of contractual benefits, such as annual increments, which would otherwise accrue but that are withheld because an employee has submitted a report, is prohibited.

7.3. These safeguards may also apply to any employee who has made a protected disclosure to their previous employer.

7.4. Employees who ‘blow the whistle’ on malpractice or wrongdoing in the workplace can claim unfair dismissal if they are dismissed or victimised for doing so. The dismissal (or selection for redundancy) is automatically considered ‘unfair’ if it is wholly or mainly for making a protected disclosure. However, if a case goes to an employment tribunal and the tribunal think the disclosure was made in bad faith, it will have the power to reduce compensation. The law in relation to this is contained within the Employment Rights Act 1996.

7.5. Employees whose employment with the council terminates by way of a Settlement or Compromise Agreement are not prevented from using this Whistleblowing Policy to make a disclosure in the public interest, even if they have entered into a non-disclosure agreement.

7.6. Any attempt to victimise, retaliate against or disadvantage a worker for raising a protected disclosure may result in disciplinary action.

8. False Reporting

8.1. There may be instances when a report is submitted, based on reasonable belief by the employee that something is wrong at a particular time, which is subsequently demonstrated to be false or inaccurate. In such circumstances, employees will be informed of the discrepancy between their report and the facts at hand. Provided that the council is satisfied that the employee had a reasonable belief that such a situation should be reported, no further action will be taken.

8.2. If an employee has deliberately submitted a report that they know to be untrue or unfounded this may lead to a disciplinary investigation and disciplinary action against the employee.