WHISTLE BLOWING POLICY AND PROCEDURE Policy Name: Whistle Blowing Status: Version 1 - Final Approved by: Drafted by: Date approved: 23 November 2015 Date effective from: Immediate E&D impact assessed: Customer consultation: N/A Next Review Date: November 2017 - proposed 1
CONTENTS Section Title Page 1 Statement and Background 3 2 Scope and Application 3 3 Safeguards 3 4 How to raise a Concern? 4 5 Procedure How would the matter be dealt with? 5 6 If you are dissatisfied 6 7 Statutory and Legislative Framework 7 8 Responsibility 7 9 Consultation, Monitoring and Review 7 10 Equality and Diversity 7 2
1. Statement and Background Wythenshawe Community Housing Group ( Group or WCHG ) is committed to the highest possible standards of openness, probity, and accountability, and will not tolerate malpractice or wrongdoing. The Group is therefore committed to a Whistle Blowing Policy that puts in place a mechanism to enable staff and other members of the Group to raise concerns in a responsible and effective manner without fear of reprisal or victimisation. The Group s Whistleblowing Policy is intended to assist individuals who believe they have discovered malpractice or impropriety and wish to report their concerns. It is not designed to question financial or business decisions taken by the Group, nor should it be used to raise a personal grievance or reconsider any matters that have already been addressed under disciplinary, grievance or other procedures. 2. Scope and Application This policy is designed to enable employees, Board & Committee members, contractors, consultants, suppliers, partners, volunteers including involved tenants, of the Group to raise concerns which are in the public interest internally and to disclose information that the individual believes demonstrates malpractice or impropriety. All disclosures may initially be investigated separately but may then lead to the invocation of other procedures, for example disciplinary procedures. The concerns that may be covered by this Policy are: financial malpractice, impropriety or fraud; failure to comply with a legal obligation or statute; dangers to Health & Safety; breaches of confidentiality or unauthorised disclosure of information; criminal activity; improper conduct or unethical behaviour; damage to the environment; miscarriage of justice; attempts to conceal any of these. 3. Safeguards 3.1. Protection The Group aims to encourage openness and will support staff who raise genuine concerns under this policy, even if they turn out to be mistaken. This Policy offers protection to those employees of the Group who disclose such concerns provided the disclosure is made: 3
in the public interest; in the reasonable belief of the individual making the disclosure that it tends to show malpractice or impropriety; to an appropriate person (as stated below). Employees will not suffer any detriment as a result of raising a concern. However, if allegations made are proved to be malicious, management action will be taken against the individuals raising the complaint. 3.2. Confidentiality The Group will treat all disclosures in a confidential and sensitive manner. The identity of the individual making the allegations may be kept confidential, on request, so long as it does not hinder or frustrate any investigation. The investigation process may, however, reveal the source of the information, and the individual making the disclosure may need to provide a statement as part of the evidence. If it is necessary to disclose the complainant s identity the Group will discuss this with them. 3.3. Anonymous Allegations This Policy encourages individuals to put their name to any disclosures they make. Concerns expressed anonymously are much less credible and a proper investigation of the concerns may be more difficult if the Group cannot obtain further information from the complainant. However anonymous allegations may be considered at the discretion of the Group. In exercising this discretion, the factors taken into account shall include: the seriousness of the issues raised; the credibility of the concern; the likelihood of confirming the allegation from attributable sources. 3.4. Untrue Allegations If an individual makes an allegation which they reasonably believe is true and in the public interest, which is not confirmed by subsequent investigation, no action will be taken against that individual. In making a disclosure the individual should exercise due care to ensure the accuracy of the information. If, however, an individual makes malicious or vexatious allegations, and particularly if he or she persists with making them, disciplinary action may be invoked against that individual. Employees should not act in any way which may jeopardise the reputation and wellbeing of the Group. 4
4. How to raise a Concern? In the first instance, the complainant should raise their concern by telephone, in writing or in person with their Line Manager. However, if the complainant feels this is not appropriate they should raise their concern with an Executive Director. The aim of the policy is to provide an internal mechanism for reporting and remedying any wrongdoing in the workplace. However, should the complainant feel that an internal disclosure is inappropriate, the complainant has the option of raising their concern with the Group s independent, confidential Whistle Blowing service, Safe Call at 0800 915 1571. Information on this service is available on the Intranet, website and posted on notice boards in all the Group s offices. This service includes a free phone contact number, which is available on a 24-hour basis. Following receipt of the complaint, Safe Call will produce a report which will be submitted to the Executive Director of Resources, if this is not appropriate, submission should be to the Group Chief Executive or the Chair of the Group Board. If this is not appropriate, submission will be to the Group s Internal Auditor. The complainant should disclose the nature of the concern, why it is believed to be true, background if relevant, and any personal interest in the matters raised. The identity of the employee will be kept confidential on request, so long as it does not hinder or frustrate any investigation. In view of this it will be rare for the individual to find it necessary to alert any other external organisation and it will very rarely, if ever, be appropriate to alert the media. 5. Procedure How would the matter be dealt with? The Group will carry out an initial enquiry to decide whether further investigation would be appropriate, and if so, what form it should take. If the concern(s) or allegation(s) fall within the scope of a specific procedure (for example: disciplinary or grievances procedure), the matter will be referred for consideration under those procedures. In exceptional circumstances this may involve referring the matter or sharing information with other agencies. The employee expressing a concern will be sent a formal acknowledgement within 10 working days of the concern being received. The acknowledgement will indicate; how the Group proposes to deal with the matter; any initial enquiries that may have been carried out; whether further investigation will take place, and if not, why not. 5
If further investigation is required, an investigating officer will be appointed (who may not be the Group Chief Executive). If the complaint is made against an Executive Director, the investigating officer shall submit a report detailing the findings to the Chair to decide what action to take. 5.1. Investigation Process the investigating officer might request a meeting with the employee that raised a concern to obtain full details or clarification from the complaint, if appropriate; the investigating officer shall inform the member of staff against whom the complaint is made as soon as is practicably possible. The member of staff will be informed of their right to be accompanied by a representative at any future interview or meeting held under the provision of this procedure; the investigating officer shall fully investigate the allegations with the assistance, where appropriate, of other individuals; the investigating officer shall make a judgement concerning the complaint and the validity of the complaint; the investigating officer shall submit a written report detailing the findings of the investigations and reasons for the judgement to the Executive Director; the Executive Director shall decide what action to take. If the complaint is substantiated, they will invoke the disciplinary or other appropriate procedures; the complainant shall be kept informed of the progress of the investigations and, if appropriate, of the final outcome. The need for confidentiality may prevent us giving the complainant specific details of the investigation or any action taken as a result of the investigation; if the complainant is given any details of the investigation they must treat that information as confidential. 6. If you are dissatisfied If the complainant is not satisfied that their concern is being properly dealt with by the investigating officer, they have the right to raise it in confidence with an Executive Director, If the investigating officer is an Executive Director, the complainant may raise the matter with Safe Call, the Group Chief Executive or the Chair of the Board as appropriate. If the complainant is dissatisfied with the way in which your concern was handled, an appeal should be made in writing within one week of being notified of the decision to the Executive Director of Resources. If the complaint was about an Executive Director, the appeal should be addressed to the Group Chief Executive or Chair of the Board. 6
In the case of anonymous allegations, whilst there may be difficulties encountered when providing notification of the decision, Safe Call will though endeavour to ensure notification is carried out where possible. 7. Statutory and Legislative Framework The revised policy and framework continues to ensure that the Group meets the requirements of employment legislation and recognised good practice in the management of issues raised via the whistle blowing service. This Policy is in line with the Public Interest Disclosure Act 1998, and the Enterprise and Regulatory Reform Act 2013. Associated internal policies and procedures are as follows: Anti-Fraud, Bribery, Corruption and Money Laundering Policy; Code of Conduct; Disciplinary Policy. 8. Responsibility It is the ultimate responsibility of the Human Resources Team to ensure fair application of the Whistle Blowing procedure across the Group and that the Policy is adhered to at all time. The Executive Director of Resources is responsible for overseeing the implementation of the Group s Whistle Blowing Policy. 9. Consultation, Monitoring and Review The policy has been consulted with the Employee Consultative Group ( Your Voice ), recognised Trade Unions, and the Board. WCHG will ensure the Group s Whistle Blowing Policy is accessible to all employees. The Policy will be reviewed as and when any changes in legislation (or other factors) impact on the Policy and at least every 2 years. All instances of Whistle Blowing and the associated investigation will be properly recorded and documented by the Group. Relevant details will be reported to the Group Leadership Team, either if approval for action is required; or as part of regular reporting. An annual report will be submitted to the Group Audit & Risk Committee. 10. Equality & Diversity The Group will ensure that the Whistle Blowing Policy and Procedure is accessible to its diverse customers and will take into account the different 7
needs of customers when explaining the options available to them and in tailoring the service around customer need. The Group has a responsibility to serve the needs and promote the interests of its entire staff and all its customers/service users. The Group s Single Equality Scheme works towards developing services, facilities and working practices, which are equally accessible and non discriminatory for all its customers. This is irrespective of their gender, age, race, sexuality, disability, religion, marital status/civil partnerships, pregnancy/maternity and economic status, and in line with the nine protected characteristics as part of the new legislation under Equality Act 2010. We will provide information in languages other than English, in Braille, Large Print and Audio format. Our reception and interview rooms are fitted with a hearing loop system and the use of mobile loop systems. 8