People at Work HR Consultancy Ltd has developed this policy statement to promote, encourage and support employees to make disclosures in the public interest, and to minimise risk to the business.
The supporting procedures outline how to raise concerns, how we will handle concerns and the protection rights for employees. Protection is guaranteed for an employee who raises a reasonable and honest suspicion about a possible fraud, danger or other serious risk that threatens customers, colleagues or business partners.
Legislative Context
The legislative context of the policy is Part IVA (Protected Disclosures) and section 103A of the Employment Rights Act 1996, as amended by the Public Interest Disclosure Act 1998 and the Enterprise and Regulatory Reform Act 2013 (“the legislation”).
The legislation seeks to protect people who make certain disclosures of information in the public interest. Such qualifying disclosures that are in the public interest and meet the legal test will be protected in law. The Act also provides a right for individuals to bring action in respect of victimisation related to such qualifying disclosures.
The Small Business, Enterprise and Employment Act 2015 became law on 26 March 2015. A provision within it came into force on 26 May 2015, giving the state power to make regulations outlawing discrimination against applicants to the NHS for blowing the whistle.
The Act also includes a provision requiring 'prescribed persons' (bodies or individuals authorised to receive whistleblowing disclosures) to report annually on cases referred to them. The government believes this measure will "increase confidence for those who highlight wrongdoing, and create better, safer workplaces". It follows a consultation which the government ran last autumn.
Definition of a Protected Disclosure
A disclosure in the public interest is where an employee has a concern about a danger, illegality or malpractice that has a public interest aspect to it; usually because it threatens others such as the local community, service users or other employees.
A qualifying disclosure is a concern about one or more of the following:
· Criminal offences (such as fraud or corruption)
· A failure to comply with a legal obligation including statutory code of practice
· A miscarriage of justice
· Threats to an individual’s health and safety
· Damage to the environment
· A deliberate attempt to cover up any of the above.
Reporting a Concern
Employees should report any concerns as soon as possible to Anne Bown, Director. The employee is not expected to carry out any personal investigations however they must disclose facts/information known to them.
Any disclosures to the press or any other person not authorised by the Director, or protected by the Public Interest Disclosure Act, are prohibited and may result in disciplinary action.
If there is an occasion where the employee decides to raise a concern externally; the employee may contact the appropriate external regulatory body i.e. Police, Health and Safety Executive etc.
The Investigation
Before an investigation is undertaken the Director will consider whether the concerns should be treated as a disclosure in the public interest e.g. something a regulator would consider to be of public interest.
This will include considering the following factors:
· An employee making a disclosure in the public interest is best viewed as a witness who is putting the organisation on notice of the risk rather than as a complainant seeking to dictate to the organisation how it responds.
· A disclosure in the public interest is an aspect of good citizenship in that the employee is speaking up for, and on behalf of others, to draw this malpractice or wrongdoing to the attention of the Director.
If the concerns do not meet these factors, the employee will be directed to the most relevant policy to take their concerns forward.
The information gathered in the investigation will inform how the Company should proceed. Factors such as the business area, the customer and the information the employee provides will be considered.
Matters to be assessed will include considerations such as:
· how serious and urgent any identified risk is;
· if the concern can best be dealt with under the Disclosure in the Public interest policy or some other procedure.
Investigation Outcome
If concerns have been identified the Director should strive to address them immediately and they should consider the use of an external consultant/organisation if necessary to ensure the risk to the Company is minimised.
If any remedial organisational actions are identified, the employee should be informed.
False or Vexatious Allegations
An employee will not be penalised or subjected to any detriment for making a public interest disclosure. However, where a concern is not a public interest disclosure and it is considered that it was raised frivolously, maliciously or for personal gain, this will be a disciplinary matter.
Confidentiality
Any concerns raised will be treated in strict confidence and if requested an individual’s identity will normally be kept confidential. However in some circumstances it may not be possible to preserve the anonymity of the employee reporting a concern, for example, if the matter had to be investigated by the Police.
Anonymous Allegations
To assist in the effective investigation of any disclosures made under this policy the Company would encourage employees to reveal their identity. If an employee chooses to make an anonymous disclosure, the Company will not be able to provide any feedback to the person raising the concern. In these circumstances, the Director will have to consider the seriousness of the issue, the credibility of the concern and the likelihood of being able to substantiate the allegation.
Company Records
A central record of all complaints raised under this policy will be maintained. The record will show details of the complaint, action taken and outcome.
Where, following an investigation, no further action is required all documentation will be destroyed. Following the investigation, if a disciplinary offence has been identified the matter will be progressed via the Company disciplinary policy and related procedure.
Anne Bown
Director
Review Date: March 2022
The supporting procedures outline how to raise concerns, how we will handle concerns and the protection rights for employees. Protection is guaranteed for an employee who raises a reasonable and honest suspicion about a possible fraud, danger or other serious risk that threatens customers, colleagues or business partners.
Legislative Context
The legislative context of the policy is Part IVA (Protected Disclosures) and section 103A of the Employment Rights Act 1996, as amended by the Public Interest Disclosure Act 1998 and the Enterprise and Regulatory Reform Act 2013 (“the legislation”).
The legislation seeks to protect people who make certain disclosures of information in the public interest. Such qualifying disclosures that are in the public interest and meet the legal test will be protected in law. The Act also provides a right for individuals to bring action in respect of victimisation related to such qualifying disclosures.
The Small Business, Enterprise and Employment Act 2015 became law on 26 March 2015. A provision within it came into force on 26 May 2015, giving the state power to make regulations outlawing discrimination against applicants to the NHS for blowing the whistle.
The Act also includes a provision requiring 'prescribed persons' (bodies or individuals authorised to receive whistleblowing disclosures) to report annually on cases referred to them. The government believes this measure will "increase confidence for those who highlight wrongdoing, and create better, safer workplaces". It follows a consultation which the government ran last autumn.
Definition of a Protected Disclosure
A disclosure in the public interest is where an employee has a concern about a danger, illegality or malpractice that has a public interest aspect to it; usually because it threatens others such as the local community, service users or other employees.
A qualifying disclosure is a concern about one or more of the following:
· Criminal offences (such as fraud or corruption)
· A failure to comply with a legal obligation including statutory code of practice
· A miscarriage of justice
· Threats to an individual’s health and safety
· Damage to the environment
· A deliberate attempt to cover up any of the above.
Reporting a Concern
Employees should report any concerns as soon as possible to Anne Bown, Director. The employee is not expected to carry out any personal investigations however they must disclose facts/information known to them.
Any disclosures to the press or any other person not authorised by the Director, or protected by the Public Interest Disclosure Act, are prohibited and may result in disciplinary action.
If there is an occasion where the employee decides to raise a concern externally; the employee may contact the appropriate external regulatory body i.e. Police, Health and Safety Executive etc.
The Investigation
Before an investigation is undertaken the Director will consider whether the concerns should be treated as a disclosure in the public interest e.g. something a regulator would consider to be of public interest.
This will include considering the following factors:
· An employee making a disclosure in the public interest is best viewed as a witness who is putting the organisation on notice of the risk rather than as a complainant seeking to dictate to the organisation how it responds.
· A disclosure in the public interest is an aspect of good citizenship in that the employee is speaking up for, and on behalf of others, to draw this malpractice or wrongdoing to the attention of the Director.
If the concerns do not meet these factors, the employee will be directed to the most relevant policy to take their concerns forward.
The information gathered in the investigation will inform how the Company should proceed. Factors such as the business area, the customer and the information the employee provides will be considered.
Matters to be assessed will include considerations such as:
· how serious and urgent any identified risk is;
· if the concern can best be dealt with under the Disclosure in the Public interest policy or some other procedure.
Investigation Outcome
If concerns have been identified the Director should strive to address them immediately and they should consider the use of an external consultant/organisation if necessary to ensure the risk to the Company is minimised.
If any remedial organisational actions are identified, the employee should be informed.
False or Vexatious Allegations
An employee will not be penalised or subjected to any detriment for making a public interest disclosure. However, where a concern is not a public interest disclosure and it is considered that it was raised frivolously, maliciously or for personal gain, this will be a disciplinary matter.
Confidentiality
Any concerns raised will be treated in strict confidence and if requested an individual’s identity will normally be kept confidential. However in some circumstances it may not be possible to preserve the anonymity of the employee reporting a concern, for example, if the matter had to be investigated by the Police.
Anonymous Allegations
To assist in the effective investigation of any disclosures made under this policy the Company would encourage employees to reveal their identity. If an employee chooses to make an anonymous disclosure, the Company will not be able to provide any feedback to the person raising the concern. In these circumstances, the Director will have to consider the seriousness of the issue, the credibility of the concern and the likelihood of being able to substantiate the allegation.
Company Records
A central record of all complaints raised under this policy will be maintained. The record will show details of the complaint, action taken and outcome.
Where, following an investigation, no further action is required all documentation will be destroyed. Following the investigation, if a disciplinary offence has been identified the matter will be progressed via the Company disciplinary policy and related procedure.
Anne Bown
Director
Review Date: March 2022