The Board is committed to the highest standards of openness, probity and accountability. An important aspect of accountability and transparency is a mechanism to enable staff to voice concerns in a responsible and effective manner. It is a fundamental term of every contract of employment that an employee will faithfully serve his or her employer and not disclose confidential information about the employer’s affairs. Nevertheless, where an individual discovers information which they believe shows serious malpractice or wrongdoing within the organisation then this information should be disclosed internally without fear of reprisal, and there should be arrangements to enable this to be done independently of line management (although in relatively minor instances the line manager would be the appropriate person to be told).
The Public Interest Disclosure Act gives legal protection to employees against being dismissed or penalised by their employers as a result of publicly disclosing certain serious concerns. The Company has endorsed the provisions set out below so as to ensure that no member of staff should feel at a disadvantage in raising legitimate concerns.
It should be emphasised that this policy is intended to assist individuals who believe they have discovered malpractice or impropriety. It is not designed to question financial or business decisions taken by the Company nor should it be used to reconsider any matters which have already been addressed under harassment, grievance, disciplinary or other procedures.
Scope of Policy
This policy is designed to enable and encourage employees of the Board to raise concerns internally and at a high level and to disclose information which the individual believes shows malpractice or impropriety. This policy is intended to cover concerns which are in the public interest and may at least initially be investigated separately but might then lead to the invocation of other procedures e.g. disciplinary. These concerns could include:
- Failure to comply with a legal obligation
- Danger to Health & Safety or the environment
- Criminal activity
- A miscarriage of justice
- Attempts to conceal any of these
Safeguards
Protection
This policy is designed to offer protection to those employees of the Board who disclose such concerns provided that in the reasonable belief of the individual making the disclosure it tends to show malpractice or impropriety and they make the disclosure to an appropriate person (see below). It is important to note that no protection from internal disciplinary procedures is offered to those who choose not to use the procedure.
Confidentiality
The Board will treat all such disclosures in a confidential and sensitive manner. The identity of the individual making the allegation may be kept confidential so long as it does not hinder or frustrate any investigation. However, the investigation process may reveal the source of the information and the individual making the disclosure may need to provide a statement as part of the evidence required.
Anonymous Allegations
This policy encourages individuals to put their name to any disclosures they make. Concerns expressed anonymously are much less credible, but they may be considered at the discretion of the Board.
Untrue Allegations
If an individual makes an allegation 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 an individual deliberately makes an untrue allegation, and particularly if he or she persists with making them, disciplinary action may be taken against that individual.
Procedures for Making a Disclosure
On receipt of a complaint of malpractice, the member of staff who receives and takes note of the complaint, must pass this information as soon as is reasonably possible, to the Chief Executive who may conduct an investigation personally or nominate an appropriate investigating officer.
If there is evidence of criminal activity then the investigating officer should inform the police. The Board will ensure that any internal investigation does not hinder a formal police investigation.
Timescales
Due to the varied nature of these sorts of complaints, which may involve internal investigators and / or the police, it is not possible to lay down precise timescales for such investigations. The investigating officer should ensure that the investigations are undertaken as quickly as possible without affecting the quality and depth of those investigations.
The investigating officer, should as soon as practically possible, send a written acknowledgement of the concern to the complainant and thereafter report back to them in writing the outcome of the investigation and on the action that is proposed. If the investigation is a prolonged one, the investigating officer should keep the complainant informed, in writing, as to the progress of the investigation and as to when it is likely to be concluded.
All responses to the complainant should be in writing and sent to their home address.
Investigating Procedure
The investigating officer should follow these steps:
- Full details and clarifications of the complaint should be obtained.
- The investigating officer should inform the member of staff against whom the complaint is made as soon as is practically possible.
- The investigating officer should consider the involvement of the Board’s auditors and the Police at this stage.
- The allegations should be fully investigated by the investigating officer with the assistance where appropriate, of other individuals / bodies.
- A judgement concerning the complaint and validity of the complaint will be made by the investigating officer. This judgement will be detailed in a written report containing the findings of the investigations and reasons for the judgement.
- The Chief Executive will decide what action to take. If the complaint is shown to be justified, then they will invoke the disciplinary or other appropriate Board procedures.
- The complainant should be kept informed of the progress of the investigations and, if appropriate, of the final outcome.