Whistle Blowing Procedure

Step 1: Reporting a concern

A person who believes in good faith that they have discovered evidence of malpractice within the Council should make a complaint, preferably in writing, to one of the designated persons listed in the accompanying Whistleblowing Policy. The person to whom the
allegation is made should inform the Chief Executive or, in his or her absence, an Executive Director, of the allegation or complaint.

The designated person receiving the allegation or complaint will record the receipt of the complaint in the Register, and explain to the complainant the process that will be followed. Advice should be given on the most appropriate way of detailing the allegation, for
example, chronicling the key events.

The designated person should also discuss confidentiality and anonymity with the complainant and confirm that the employment of the complainant will not be jeopardised or disadvantaged in any way unless it is subsequently discovered that the allegation was made falsely or maliciously.

The identity of the person making the allegation will be kept confidential unless this is incompatible with a fair investigation or if there is an overriding reason for disclosure. In such circumstances, the agreement of the complainant must be gained before any action is taken to divulge his or her name.

If the complainant wishes to disclose the information to a person not designated in the accompanying policy, then the person receiving the complaint should refer it to one of the designated persons unless specifically requested not to do so by the complainant. This referral should be made without compromising the anonymity of the complainant. In the extremely unlikely event that the complaint implicates all of the designated persons, then the complaint should be referred to an external body. More information about external disclosures appears below.

Step 2: Preliminary consideration

The designated person to whom the complaint has been disclosed will decide, after appropriate consultation with the Chief Executive or an Executive Director (or with the Chair of the Ethics and Standards Committee if the Chief Executive or an Executive Director is implicated), whether the complaint should be dismissed, whether the matter should be investigated further, or, in the most serious cases, referred immediately to an external body for consideration and investigation. An appropriate course of action must be identified within 10 working days. The designated person will tell the complainant what action has been decided upon.

The designated person will also inform the person(s) who is / are the subject of the complaint that allegations have been made against them, and what action is to be taken. If there is to be an investigation, consideration will be given as to whether the person against whom the complaint is made should be suspended during the investigation. The designated person will advise the person(s) complained of that they will be required to assist in the investigation.

A complaint may be dismissed for several reasons. For example, the subject matter of the disclosure might refer to a personal grievance that is not applicable to the Public Interest Disclosure Act. In this case, the designated person should inform the complainant of the
appropriate alternative course of action. There might also be cases where the designated person decides that the complaint, although made in good faith, is misguided or unsubstantiated. Where a decision is taken to dismiss the complaint, the designated person should inform the complainant of the grounds for the decision and inform him or her of the right of appeal (see below).

If the designated person, after consultation, decides that there should be an investigation, this may be carried out by the designated person or by an appointed ‘investigating officer’ of appropriate experience and seniority. Should the designated person decide that the complaint is grave and urgent enough for immediate external investigation, then he or she should inform the Management Team, the Chair of the Ethics and Standards Committee and the appropriate external body as soon as possible, always taking care to protect the anonymity of the  complainant.

Step 3: Investigating the complaint

Where the allegations are about financial matters, then the Audit Manager will normally be the investigating officer. Where the allegation is not about financial matters, then another officer with the appropriate experience and seniority may be appointed to carry out the investigation. The appointment of the investigating officer should be confirmed by the Management Team (or by the Chair of the Ethics and Standards Committee if a member of the Management Team is implicated).

The investigating officer should undertake the investigation promptly but thoroughly. On completion of the investigation, the investigating officer should submit a report on the investigation to the designated person. The designated person should consider the report and decide what further action, if any, should be taken. In deciding upon appropriate action, the designated person should consult with the Management Team. Appropriate  further action might be one or more of the following:

• Appropriate management action to correct the malpractice;
• Action under the Council’s Disciplinary Code (including, where appropriate, immediate suspension, on pay, of the person or persons who are the subject of the complaint);
• Action under the Council’s AntiFraud and Corruption Policy, or any other appropriate policy; or,
• Referral to an outside body, such as the police.

The designated person will inform the complainant of his/her decision.

 

Right of Appeal

The complainant should be kept informed about the progress of his or her complaint at every stage of the process, always ensuring that his or her anonymity is not breached without permission. A complainant who is not satisfied with the outcome of the investigation may appeal in writing to the Chair of the Ethics and Standards Committee stating the grounds for appeal. Such an appeal must be made within 14 days.
The Chair of the Ethics and Standards Committee will consider all the information presented, the designated person’s report, or the investigating officer’s report to the designated person (if the investigation was not carried out by the designated person), the procedures that were followed, and the reasons given by the designated person for his or her decision.

The Chair of the Ethics and Standards Committee will then decide either:

(i) to confirm the decision of the designated person; or
(ii) decide that a new investigation be undertaken by a different investigating officer. In this case the investigating officer will submit a written report to the Chair of the Ethics and Standards Committee, who will determine what action is to be taken.

The complainant will be informed of the outcome of the appeal in writing, including the reasons.

Where the outcome of the appeal is that no further action is to be taken the complainant may raise their concern with an external body such as those listed in the Policy. The results of any appeals against the designated person’s decision will be reported to the Ethics and Standards Committee. All other complaints, and their outcome, made under this Policy will be reported to the Ethics and Standards Committee as soon as possible after the deadline for any appeals against the designated person’s decision.

External disclosures

An employee who does not wish to disclose an allegation of malpractice or misconduct to someone within the Council, can make the disclosure to an external body such as those listed in the Policy. If the allegation is made in good faith, then the complainant is still
entitled to the protection provided by the Public Interest Disclosure Act. A person who receives information from an external body, acting on behalf of an employee who has alleged malpractice or misconduct against the Council, should inform the Chief Executive or an Executive Director as soon as possible. The Chief Executive or Executive Director will, depending on the circumstances, decide to carry out an investigation themselves, or refer the matter to one of the designated persons listed in the Policy.

The designated person will deal with the matter in accordance with the above Procedure, liaising as appropriate with the external body acting on behalf of the complainant.