Whistleblowing Policy
NORTHUMBERLAND COUNTY COUNCIL
WHISTLEBLOWING
POLICY
PREAMBLE
The
County Council welcomes suggestions from service users and employees as to ways
to ensure continuous development and improvement of services. Again, in the
spirit of continuous improvement, there is an expectation that employees and
others who deliver services on behalf of the County Council will report any
concerns about possible bad practice. This will usually be facilitated through
normal management arrangements, however, where that is not possible, this policy
provides an avenue for reporting serious malpractice.
Employees are often the first to realise that there may be something seriously
wrong within the County Council. However, in some cases they may not express
their concerns because they feel that speaking up would be disloyal to their
colleagues or to the County Council. They may also fear harassment or
victimisation. In these circumstances it may be easier to ignore the concern
rather than report what may just be a suspicion of malpractice. However, the
County Council is committed to the highest possible standards of openness,
probity and accountability. In line with that commitment the County Council
expects employees, and others who it deals with, who have serious concerns about
any aspect of the County Council's work to come forward and voice those
concerns. It is recognised that most cases will have to proceed on a
confidential basis.
“Blowing the Whistle” can be done without fear of victimisation, subsequent
discrimination or disadvantage. This policy is intended to encourage and enable
employees to raise serious concerns within the County Council rather than
overlooking a problem or 'blowing the whistle” outside.
The
right to “blow the whistle” applies to all employees and those contractors
working for the County Council on its premises, for example, agency staff,
builders, drivers. It also applies to suppliers and those providing services
under a contract with the County Council in their own premises, for example,
care homes.
These
procedures are in addition to the County Council's complaints procedures and
other statutory reporting procedures applying to some Directorates. County
Council managers are responsible for making service users aware of the existence
of these procedures.
This
policy has been the subject of consultations with the relevant Trade Unions and
has their support.
AIMS AND SCOPE OF THIS
POLICY
This
policy aims to:-
-
encourage you to feel confident in raising serious concerns and to question
and act upon concerns about practice
-
provide avenues for you to raise those concerns and receive feedback on any
action taken
-
ensure that you receive a response to your concerns and that you are aware of
how to pursue them if you are not satisfied
-
reassure you that you will be protected from possible reprisals or
victimisation if you have a reasonable belief that you have made any
disclosure in good faith
-
provide a mechanism by which the County Council’s Anti-fraud and Corruption
Strategy can be implemented.
If
you are an employee, there are existing procedures in place to enable you to
lodge a grievance relating to your own employment. You should always use the
grievance procedure before this Whistleblowing Policy. The Whistleblowing
Policy is intended to cover major concerns that fall outside the scope of other
procedures.
These
include:-
-
conduct which is an offence or a breach of law
-
disclosures related to miscarriages of justice
-
health and safety risks, including risks to the public, service users, as well
as other employees
-
damage to the environment
-
the
inappropriate or unauthorised use of public funds or other resources
-
possible fraud and corruption
-
abuse of clients, or
-
other unethical conduct.
Thus,
any serious concerns that you have about any aspect of service provision or the
conduct of officers or Members of the County Council or others acting on its
behalf can be reported under the Whistleblowing Policy.
This
may be about something that:-
-
makes you feel uncomfortable in terms of known standards, your experience or
the standards you believe the County Council subscribes to; or
-
is
against the County Council's Constitution or policies; or
-
falls below established standards of practice; or
-
amounts to improper conduct.
This
policy does not replace the corporate complaints procedure which is
concerned with addressing complaints about County Council services.
If
you have any concerns about a service provided by another organisation on behalf
of the County Council e.g. the Northumberland Care Trust, you should contact the
service provider in the first instance. In cases where the County Council
contracts with a private organisation it may be appropriate to notify the
relevant Directorate of the County Council. In some cases it may also be
necessary to inform the appropriate regulatory organisation. For example in
Private Care Homes it may be appropriate to notify the Director of Social
Services and inform the National Care Standards Committee.
SAFEGUARDS AGAINST
HARASSMENT OR VICTIMISATION
The
County Council is committed to good practice and high standards and wants to be
supportive of employees and others covered by this policy.
The
County Council recognises that the decision to report a concern can be a
difficult one to make. If what you are saying is true, you should have nothing
to fear because you will be doing your duty to your employer and those for whom
you are providing a service.
The
County Council will not tolerate any harassment or victimisation (including
informal pressures) and will take appropriate action, including disciplinary
action if necessary, to protect you when you raise a concern in good faith.
Any
investigation into allegations of potential malpractice will not influence or be
influenced by other procedures such as investigations and hearings under the
disciplinary, sickness, capability, redundancy or any other dismissal procedures
that already affect you or may affect you in the future.
CONFIDENTIALITY
All
concerns will be treated in confidence and every effort will be made not to
reveal your identity if you so wish. At the appropriate time, however, you may
need to come forward as a witness.
ANONYMOUS ALLEGATIONS
This
policy encourages you to put your name to your allegation whenever possible.
Concerns expressed anonymously are much less powerful but will be considered at
the discretion of the County Council.
It should be remembered that wherever
possible confidentiality will be preserved.
In
exercising this discretion the factors to be taken into account would include:-
-
the
seriousness of the issues raised;
-
the
credibility of the concern; and
-
the
likelihood of confirming the allegation from attributable sources.
UNTRUE ALLEGATIONS
If
you make an allegation in good faith, but it is not confirmed by the
investigation, no action will be taken against you. If, however, you make an
allegation frivolously, maliciously or for personal gain, disciplinary action
may be taken against you.
HOW TO RAISE A CONCERN
As a
first step, you should normally raise concerns with your immediate manager or
their superior. In some cases it may be more appropriate to raise concerns with
someone more senior or directly with one of the internal contacts listed
at the end of this document. This depends, however, on the seriousness and
sensitivity of the issues involved and who is suspected of the malpractice. For
example, if you believe that your management is involved, you should approach
the Chief Executive, the Director of Finance, the Monitoring Officer or Internal
Audit.
Concerns may be raised verbally or in writing. If you wish to make a written
report, you are invited to use the following format:-
-
the
background and history of the concern (giving relevant dates)
-
the
reason why you are particularly concerned about the situation.
If
your concern is raised verbally, a written note will be taken in line with the
format above.
The
earlier you express the concern the easier it is to take action.
Although you are not expected to prove beyond doubt the truth of an allegation,
you will need to demonstrate to the person contacted that there are reasonable
grounds for your concern.
Advice or guidance on how to pursue matters of concern may be obtained from your
line manager or the people named in the Internal Contact List at the end of this
document.
You
may wish to consider discussing your concern with a colleague first and you may
find it easier to raise the matter if there are two (or more) of you who have
had the same experience or have the same concerns.
You
may invite your trade union representative or a work colleague to be present
during any meetings or interviews in connection with the concerns you have
raised.
HOW
THE COUNTY COUNCIL WILL RESPOND
The
person to whom you report your concerns under this policy must, in turn, report
them to the Monitoring Officer within five working days.
The
County Council will respond to your concerns. Do not forget that testing out
your concerns is not the same as either accepting or rejecting them.
Where
appropriate, the matters raised may:-
-
be
investigated by management, internal audit, or through the disciplinary
process
-
be
referred to the police
-
be
referred to the external auditor
-
form the subject of an independent inquiry.
In
order to protect individuals and those accused of misdeeds or possible
malpractice, initial enquiries will be made to decide whether an investigation
is appropriate and, if so, what form it should take. The overriding principle
which the County Council will have in mind is the public interest. Concerns or
allegations which fall within the scope of specific procedures (for example,
child protection, vulnerable adults, discrimination or harassment issues) will
normally be referred for consideration under those procedures.
Some
concerns may be resolved by agreed action without the need for investigation. If
urgent action is required this will be taken before any investigation is
conducted.
-
Within ten working days of a concern being raised, the Monitoring Officer will
write to you:-
-
acknowledging that the concern has been received
-
indicating how the County Council proposes to deal with the matter
-
giving an estimate of how long it will take to provide a final response
-
telling you whether any initial enquiries have been made
-
supplying you with information on support available from the Welfare Officers,
and
-
telling you whether further investigations will take place and if not, why
not.
The
amount of contact between the officers considering the issues and you will
depend on the nature of the matters raised, the potential difficulties involved
and the clarity of the information provided. If necessary, the County Council
will seek further information from you.
Where
any meeting is arranged, off-site if you so wish, you can be accompanied by a
union representative or a work colleague.
The
County Council will take steps to minimise any difficulties which you may
experience as a result of raising a concern. For instance, if you are required
to give evidence in criminal or disciplinary proceedings, the County Council
will arrange for you to receive advice about the procedure and you may also wish
to contact the Welfare Officers.
The
County Council accepts that you need to be assured that the matter has been
properly addressed. Thus, subject to legal constraints, we will inform you of
the outcome of any investigation but you must keep that information
confidential.
THE RESPONSIBLE OFFICER
The
Monitoring Officer has overall responsibility for the maintenance and operation
of this policy. That officer maintains a record of concerns raised and the
outcomes (but in a form which does not endanger your confidentiality) and will
report as necessary to the County Council.
HOW THE MATTER CAN BE
TAKEN FURTHER
This
policy is intended to provide you with an avenue within the County Council to
raise concerns. The County Council hopes you will be satisfied with any action
taken. If you are not, and if you feel it is right to take the matter outside
the County Council, further possible contact points are given in the External
Contact List at the end of this booklet.
If
you do take the matter outside the County Council, you should ensure that you do
not disclose information which should properly remain confidential. You will
need to confirm this with the person or organisation you decide to contact.
INTERNAL CONTACT LIST
Advice or guidance about how to pursue matters of concern may be obtained from
any of the people named below.
Chief
Executive
Mr Mark Henderson
01670 533100
Deputy Chief Executive
Ms Jill Dixon
01670 533103
Monitoring Officer
Mr Nick Cook
01670 533700
Deputy Monitoring Officer
Mr Peter Watts
01670 533202
Director of Finance
Mr Steven Mason
01670 533104
Internal Audit
Mr Malcolm Campbell
01670 533175
Welfare Officer
Mrs Dorothy Clark
01670 533709
Standards Committee Chairman
Mr David Seymour
01661 860190
Any
Chief Officer or any local trade union official.
EXTERNAL CONTACT LIST
If
you have used the appropriate internal procedures and are not satisfied with any
action taken in relation to your concerns and if you feel it is right to take
the matter outside the County Council, further possible contact points are given
below. It is stressed that the list below is not exhaustive and you are free to
contact any organisation which you feel will be able to deal properly with your
concerns.
Audit
Commission Anti-fraud and Corruption Hotline
020 7630 1019
Standards Board for England
0845 0788181
External auditor
Deloitte Touche
0191 2614111
Northumbria Police:
Alnwick - 01665 602777
Berwick - 01289 307111
Headquarters - 01661 872555
Hexham - 01434 604111
Professional bodies (examples):
CIPFA
0207 543 5600
RTPI
0207 636 9107
Regulatory organisations (examples):
Environment Agency
0645 333111
Health and Safety Executive
0191 2026200
OfSTED
0207 421 6800
National Care Standards Committee
01670 707900
SSI
0191 4903400
Voluntary organisations (examples):
Barnardos
0191 281 5024
RoSPA
0990 555999
Your
local Citizens Advice Bureaux:
See Yellow Pages for local numbers
Your
trade union
If
you are unsure whether or how to use this procedure or want independent advice,
you may contact the independent charity Public Concern at Work on 020 7404
6609. Their lawyers can give you free confidential advice at any stage on
how to raise a concern about serious malpractice at work.
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