Whistleblowing policy
(Revised 26.09.19 - Policy to be used for new cases from this date)
1. Introduction
2. Aims and scope of this policy
2.1. This policy aims to:
encourage you to feel confident in raising serious concerns and to question and act upon any concerns you might have;
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; and
reassure you that you will be protected from possible reprisals or victimisation if you have a reasonable belief that you have made any disclosure which is in the public interest.
conduct which is an offence or a breach of law;
failure to comply with a legal obligation;
disclosures related to miscarriages of justice;
racial, sexual, disability or other discrimination;
health and safety risks, including risks to the public as well as other employees;
damage to the environment;
the unauthorised use of public funds;
possible fraud, bribery or corruption, including but not limited to, theft of property, financial irregularities, misuse of property and council systems, nepotism, conflicts of interest, or supplier kickbacks;
sexual, physical or other abuse of clients or service users;
other unethical conduct; and
actions which are unprofessional, inappropriate or conflict with a general understanding of what is right and wrong.
makes you feel uncomfortable in terms of known standards, your experience or the standards you believe the council subscribes to; or
is against the council's standing orders and policies; or
falls below established standards of practice; or
amounts to improper conduct.
3. Safeguards
4. Confidentiality
5. Anonymous allegations
5.2. In exercising this discretion the factors taken into account include:
the seriousness of the issues raised;
the credibility of the concern; and
the likelihood that the allegation can be confirmed from attributable sources.
7.5. If no officer is available there will be an opportunity to leave a voicemail message. An officer will return your call if you wish but please remember to leave your telephone number in your message.
7.6. If you prefer to use email there are two dedicated email addresses: For financial concerns – internalauditinvestigations@lancashire.gov.uk
and For any other concern - WhistleblowingComplaints@lancashire.gov.uk 7.7. An on-line referral form is available which contains two options; one for financial concerns and one for any other concern. The form can be accessed by following this link Whistleblowing Referral Form.
7.8. Concerns can also be made in writing and correspondence should be sent to: For financial concerns – Head of Internal Audit, Internal Audit Service, Lancashire County Council, County Hall, Preston, PR1 0LD. and For any other concern – Head of Human Resources, Human Resources Service Centre, Corporate Services Directorate, Lancashire County Council, County Hall, Preston, PR1 0LD. 7.9. The council's Financial Regulations require that the director of finance is notified immediately of all financial or accounting irregularities or suspected irregularities or of any circumstances which may suggest the possibility of irregularities, including those affecting cash, stores, property, remuneration or allowances. The director of finance will generally direct any concerns to the Internal Audit Service. This policy does not supersede that requirement but rather provides the opportunity to raise concerns directly with the Internal Audit Service through the helpline.
7.10. In raising a concern you should be prepared to provide the following information: the background and history of the concern (giving relevant dates); the reason why you are particularly concerned about the situation; and the name(s) of any colleagues/ employees who you consider are either directly involved or can help with further information. 7.11. 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. 7.12. 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 concerns. 7.13. You may invite a fellow worker, a trade union representative or an official employed by a trade union to be present during any meetings or interviews in connection with the concerns you have raised. 7.14. If you ultimately feel you have to take the matter outside the organisation, possible contacts are listed at Section 11 of this policy. 8. How members of the public should raise a concern 8.1. This process is mainly intended for use by employees of the council, its partners and those organisations who contract to provide services on the council's behalf. Members of the public may use this process to report any concerns or disclosures over wrongdoing and these will be treated in the same way but are encouraged in the first instance to use the council's complaints procedure. Concerns may be raised verbally on the whistleblowing telephone line, by email, by an on-line referral form or in writing. 8.2. To make a confidential telephone call please ring the dedicated whistleblowing number 01772 532500, where you will be requested to press 1 for financial matters (directed to the Internal Audit Service), for example: theft of property including assets and cash; financial irregularities including those affecting cash, stores, property, remuneration or allowances; fraud; misuse of council property, vehicles or equipment; misuse of council systems; nepotism; conflicts of interest giving rise to fraud, bribery or corruption; supplier kickbacks. You will be asked to press 2 if it relates to any other concern, and this will be directed to Human Resources.
8.3. If no officer is available there will be an opportunity to leave a voicemail message. An officer will return your call if you wish but please remember to leave your telephone number in your message. 8.4. If you prefer to use email there are two dedicated email addresses: For financial concerns – internalauditinvestigations@lancashire.gov.uk
and For any other concern - WhistleblowingComplaints@lancashire.gov.uk 8.5. An on-line referral form is available which contains two options; one for financial concerns and one for any other concern. The form can be accessed by following this this link Whistleblowing Referral Form. 8.6. Concerns can also be made in writing and correspondence should be sent to: For financial concerns – Head of Internal Audit, Internal Audit Service, Lancashire County Council, County Hall, Preston, PR1 0LD. For any other concern – Head of Human Resources, Human Resources Service Centre, Corporate Services Directorate, Lancashire County Council, County Hall, Preston, PR1 0LD. 8.7. In raising a concern you should be prepared to provide the following information: the background and history of the concern (giving relevant dates); the reason why you are particularly concerned about the situation; and the name(s) of any employees who you consider are either directly involved or can help with further information. 8.8. 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. 9. How the council will respond 9.1. The council will respond to your concerns. Do not forget that testing out your concerns is not the same as either accepting or rejecting them. If you confirm your wish to raise your concerns formally under the policy, a responsible person will be designated by management, in consultation with the director of corporate services or the Internal Audit Service as necessary, to co-ordinate the response to the concerns you have raised. The responsible person will respond to you in accordance with Paragraph 9.5 below and will make arrangements for registration, monitoring and reporting purposes. 9.2. Where appropriate, the matters raised may: be investigated by management, the Internal Audit Service, or through the disciplinary process; and/ or be referred to the police; and/ or be referred to the external auditor; and/ or form the subject of an independent inquiry. 9.3. 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 council will have in mind is the public interest. Concerns or allegations which fall within the scope of specific procedures (for example, child protection, safeguarding or discrimination issues) will normally be referred for consideration under those procedures. 9.4. Some concerns may be resolved by action agreed without the need for investigation. If urgent action is required this will be taken before any investigation is conducted. 9.5. Within ten working days of a concern having been raised, the responsible person will contact you (if you have taken the decision to disclose your contact details) as follows: 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 staff support mechanisms; and telling you whether further investigations will take place and if not, why not. 9.6. 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. 9.7. Where any meeting is arranged, off-site if you so wish, you can be accompanied by a fellow worker, a trade union representative or an official employed by a trade union. 9.8. 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. 9.9. 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. 10. The Responsible Officer 10.1. The director of corporate services (in their role as monitoring officer) has overall responsibility for the maintenance and operation of this policy. That officer maintains a record of concerns raised and the outcome (but in a form which does not endanger your confidentiality) and will report as necessary to the council. 11. How the matter can be taken further 11.1. This policy 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. If you are not, and if you feel it is right to take the matter outside the council, the following are possible contact points: External Auditor Grant Thornton LLP
4 Hardman Square,
Spinningfields,
Manchester
M3 3EB
Tel: 0161 953 6900
Website: https://www.grantthornton.co.uk/en/office-locations/?location=manchester Public Concern at Work Public Concern at Work
CAN Mezzanine,
7 – 14 Great Dover Street,
London
SE1 4YR
Tel: 020 7404 6609
Email: whistle@pcaw.org.uk
Website: http://www.pcaw.org.uk/ Lancashire Constabulary Lancashire Constabulary Headquarters
PO Box 77,
Hutton,
Preston
PR4 5SB
Tel: 101
Website: https://www.lancashire.police.uk/ Action Fraud Tel: 0300 123 2040
Website: https://www.actionfraud.police.uk/ HM Customs and Excise HMRC Fraud Hotline
Cardiff
CF14 5ZN
Tel: 0800 788 887
Website: https://www.gov.uk/government/organisations/hm-revenue-customs/contact/customs-excise-and-vat-fraud-reporting The Information Commissioner The Office of the Information Commissioner
Wycliffe House,
Water Lane,
Wilmslow,
Cheshire
SK9 5AF
Tel: 0303 123 1113
Website: https://ico.org.uk/ The Environment Agency National Customer Contact Centre
PO Box 544
Rotherham
S60 1BY
Tel: 03708 506 506
Email: enquiries@environment-agency.gov.uk
Website: https://www.gov.uk/government/organisations/environment-agency Health and Safety Executive Health and Safety Executive
Redgrave Court
Merton Road
Bootle
Merseyside
L20 7HS
Tel: 0300 003 1747
Website: http://www.hse.gov.uk/contact/index.htm 11.2. If you do take the matter outside the council, you should ensure that you do not disclose confidential information. You should check with the relevant contact point that you are not disclosing confidential information.