Whistleblowing Policy and Procedure 2021 to 2022

5.1 Following the recording of the concern, either directly by the whistleblower or the manager to whom it was reported, the completed form should then be immediately forwarded to the Head of Business Assurance (and Chief Internal Auditor) and Corporate Fraud Manager for logging and monitoring purposes.

5.2 The Chief Internal Auditor and Corporate Fraud Manager are independent and have unlimited access to any officer, member or information within the council and, in consultation with the appropriate officer, can agree the most appropriate way of investigating the concern.

5.3 Where appropriate, the matters raised may:

• be investigated by management, internal audit and corporate fraud, or an independent employment investigator
• through the disciplinary or grievance process
• be referred to the police
• to the LADO or Adult Safeguarding Team
• be referred to the external auditor
• form the subject of an independent inquiry

5.4 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 principles, which the council will have in mind, are your well-being and the public interest. Concerns or allegations that fall within the scope of specific procedures (for example, safeguarding or discrimination issues) will normally be referred for consideration under those procedures.

5.5 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.

5.6 Within ten working days of a concern being raised, the person with whom you have raised your concerns will respond to you in writing:

• acknowledging that the concern has been received
• indicating how we propose 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 employee support mechanisms
• telling you whether further investigations will take place and if not, why not

5.7 A copy of the response will be forwarded to the Head of Business Assurance (and Chief Internal Auditor) and Corporate Fraud Manager for monitoring purposes.

5.8 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 council will seek further information from you. However, should this further information need to be gleaned by you, from another person, without them being made aware of your involvement in the Whistleblowing process, specific procedures will need to be applied.

5.9 Should a manager believe that this additional information may assist the enquiry, and that the information can only be obtained by you, no action will be taken until the matter has been referred to the relevant person(s) for a decision to be made as to whether such a course of action is both necessary and proportionate.

5.10 Important:

• all employees must not, under any circumstances attempt to obtain any further information covertly either directly or indirectly without first having complied with the Council’s procedures in relation to staff surveillance which can be found in the Investigatory Powers (IPA) Policy. Failure to do so may infringe Human Rights and render the council liable to legal action
  
• where any meeting is arranged, off-site if you so wish, you can be accompanied by a trade union or professional association representative or a work colleague
  
• the 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 council will arrange for you to receive advice about the procedure
  
• the 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
  
• this code is intended to provide you with an avenue within the council to raise concerns. The council hopes you will be satisfied with any action taken