Branksome Heath Middle School
"WHISTLE-BLOWING" POLICY
A REPORTING POLICY AND PROCEDURE FOR SCHOOL EMPLOYEES
1.0 PREAMBLE
1.1 Employees are often the first to realise that there may be something seriously wrong within their school or the Council. However, they may not express their concerns because they feel that speaking up would be disloyal to their colleagues or to the School. They may also fear harassment or victimisation. In these circumstances it may be easier to ignore the concern rather than report what may be a suspicion of malpractice.
1.2 The Council is committed to the highest possible standards as set out in the Code of Conduct. The Governors would support this commitment for school employees. In line with that commitment, the Council and the Governors encourages employees and others with serious concerns about any aspect of the Council's or the schools work to come forward and voice those concerns. This process is commonly referred to as "whistle blowing" and this policy gives detailed advice to complement the Code of Practice.
1.3 It is recognised that certain cases will have to proceed on a confidential basis. The Code of Practice set out in this policy makes it clear that staff can make reports without fear of reprisals. This Code is intended to encourage and enable staff to raise serious concerns within the Head teacher and Governors or the Council rather than overlooking problems or raising them outside.
1.4 A payment of up to £200, at the discretion of the Chief Executive as a token of appreciation for "blowing the whistle", may be made to an employee on a case of fraud or corruption, proven to the satisfaction of the Council.
1.5 The Public Interest Disclosure Act 1998 has developed legislative rights relating to "whistle blowing" that concerns unfair dismissal compensation and no detriment provisions to protect employees making disclosures. (Section 7 sets out details of provisions relating to this).
2.0 AIMS AND SCOPE OF THIS POLICY
2.1 This Reporting Policy aims to:
provide avenues for employees to raise concerns and receive feedback on any action taken
o allow employees to take the matter further if they are dissatisfied with the Head teacher, Governors or Council's response to the concerns expressed
o reassure employees that they will be protected from possible reprisals or victimisation.
2.2 There are existing procedures in place to enable staff to lodge a grievance relating to their own employment. The Confidential Reporting Policy is intended to cover concerns that fall outside the scope of the grievance procedure. Thus any serious concern that a member of staff has about any aspect of service provision or the conduct of officers or members of the Council or others acting on behalf of the Council can and should be reported under this Policy.
This concern may be about something that is:
o unlawful; or
o against the schools or the Council's Standing Orders and policies; or
o against established standards of practice; or
o improper conduct.
3.0 HOW TO RAISE A CONCERN
3.1 Concerns should normally be raised with the Head teacher. However, the most appropriate person to contact will depend on the seriousness and sensitivity of the issues involved and who is suspected of the malpractice.
3.2 If an employee prefers, or it is believed that senior management is involved in the matter of concern, an approach may be made to either a Policy Director, the Head of Personnel and Training Services, Audit and Performance Review or the Chief Executive.
3.3 Concerns may be raised orally or in writing. Employees who wish to make a written report are invited to use the following format;
o the background and history of the concern (giving relevant dates);
o the reason why the employee is particularly concerned about the situation.
3.4 It should be noted that often the earlier a concern is expressed the easier it is to take appropriate action.
3.5 Although employees are not expected to prove the truth of an allegation that is made, it will be necessary to demonstrate to the person contacted that there are sufficient grounds for concern.
3.6 Advice and guidance on how specific matters of concern may be pursued can be obtained internally from Personnel and Training Services or Audit and Performance Review. Alternatively, employees may wish to get confidential advice from their trade union or professional association.
3.7 Employees may invite their trade union or professional association to raise a matter on their behalf.
4.0 HOW THE GOVERNORS AND THE COUNCIL WILL RESPOND
4.1 The action taken by the Governors and the Council will depend on the nature of the concern. Where appropriate, the matters raised may:
be investigated by Management, Audit and Performance Review or through the disciplinary process;
be referred to the police;
form the subject of an independent inquiry.
4.2 In order to protect the individual the school and the Council, an initial investigation will be carried out to decide whether a full investigation is appropriate and, if so, what form it should take (see Appendix 1). Concerns or allegations which fall within the scope of specific procedures (for example child protection or discrimination issues) will normally be referred for consideration under those procedures.
4.3 It should be noted that some concerns may be resolved by agreed action without the need for investigation. If urgent action is required, this would be taken before any investigation is completed.
4.4 Within ten working days of a concern being raised, the Council or the Governors will write to the person raising the concern (i.e. initially the individual or representative with whom the report was lodged as set out in Sections 3.1 and 3.2):
o acknowledging that the concern has been received;
o indicating how it proposes to deal with the matter; and
o giving an estimate of how long it will take to provide a final response.
It if is impossible for initial inquiries to be completed within ten working days, the situation will be explained in the letter of acknowledgement. Where a decision is made that no investigation will take place, the reasons for this will be provided.
4.5 The amount of contact between the officers considering the issues and the employee raising the concern will depend on the nature of the matters raised, the potential difficulties involved and the clarity of the information provided. If necessary, further information may be sought from the person raising the concern.
4.6 Where any meeting is arranged, employees have the right, if they so wish, to be accompanied by a union or professional association representative or a friend who is not involved in the area of work to which the concern relates.
4.7 The Council and Governors will take appropriate steps to minimise any difficulties which an employee may experience as a result of raising a concern. For example, if employees are required to give evidence in criminal or disciplinary proceedings, the Council will need to inform them and consider what steps are required to provide support.
4.8 The Council and Governors accepts that employees raising a concern need to be assured that the matter has been properly addressed. Thus, subject to legal constraints, the person raising the concern will receive as much information as possible about the outcomes of any investigation.
5.0 HOW THE MATTER CAN BE TAKEN FURTHER
5.1 This Policy is intended to provide employees with an avenue to raise concerns within the school and the Council. However, if an employee is dissatisfied with the Council's or Governor's response, the matter can be raised with the District Auditor.
5.2 In taking a matter of concern outside the Council and the school, employees should ensure that, so far as possible, it is raised without confidential information being divulged and would, other than in exceptional circumstances, be expected to have exhausted the internal routes available first.
6.0 SAFEGUARDS
6.1 Harassment or Victimisation
The Council and the Governors recognises that the decision to report a concern can be a difficult one to make, not least because of the fear of reprisals from those who may be guilty of malpractice or from the Council as a whole. The Council and the Governors will not tolerate any harassment or victimisation (including informal pressures) and will take appropriate action in order to protect a person who raises a concern in good faith.
6.2 Confidentiality
As far as possible, the Council and the Governors will protect the identity of any employee who raises a concern and does not want his/her name to be disclosed. However, it must be appreciated that any investigation process may reveal the source of the information and a statement by the person reporting the concern may be required as part of the evidence.
6.3 Anonymity
Concerns expressed anonymously will be considered at the discretion of the Governors and the Council. In exercising this discretion, the factors to be taken into account would include:
o the likelihood of obtaining the necessary information;
o the seriousness of the issues raised;
o the specific nature of the complaint.
6.4 False and Malicious Allegations
The Governors and the Council will protect itself and its employees from false and malicious expressions of concern by taking disciplinary action where appropriate. In addition, a concern which is genuinely believed may prove to be unfounded on investigation. The Governors and the Council will try to ensure that the negative impact of either a malicious or unfounded allegation about any person is minimised. However, it acknowledges that it will not be possible to prevent all of the repercussions potentially involved.
7.0 LEGISLATIVE PROTECTION
7.1 The Public Interest Disclosure Act 1998 gives legislative protection for "whistle blowers" where there is a qualifying disclosure.
7.2 Qualifying disclosures are those which in the reasonable belief of the employee relate to one or more of the following categories:
o a miscarriage of justice;
o an individual's health and safety being endangered;
o the environment being damaged;
o failure to comply with a legal obligation (whether contractual under public law or otherwise);
o the commission of a criminal offence;
o information relating to these issues being deliberately concealed.
7.3 Legislation protection under the act for qualifying disclosures relate to :
o unfair dismissal protection;
o compensation;
o no detriment.
Employees should be able to show some good grounds for their claims in order for these protections to apply.
7.4 To gain the protection of the law, the employee must make his/her disclosure following one of a number of prescribed routes, in particular :-
o Disclosure to your employer, i.e. Borough of Poole, as per paragraph 3 of the "Whistle-Blowing" policy;
o Disclosure to a legal adviser;
o Disclosure to a "prescribed person", in the case of local government the most appropriate body listed in the legislation is the Audit Commission (i.e. the District Auditor).
8.0 HOW THE POLICY WILL BE MONITORED
The Governors and the Council has a responsibility for registering the nature of all concerns raised and to record the outcome. The Council's Audit & Performance Review Section and Personnel and Training Services will jointly produce an annual report which identifies any patterns of concern and assesses the effectiveness of the Policy.
9.0 RESPONSIBILITY FOR IMPLEMENTING
The responsibility for ensuring that the Council adheres to this Policy rests with the Policy Directors. In schools this responsibility is also shared by the Governing body.
10.0 REVIEW
This procedure will be kept under review and any amendments will be subject to consultation with staff representatives. The procedure will be subject to periodic review.
APPENDIX 1
BOROUGH OF POOLE
INVESTIGATION ARRANGEMENTS
Allegations should be passed to the Head of Financial Services in the first instance. On receipt of an allegation of fraud or corruption the Head of Financial Services will report the matter to the Chief Executive who will identify a Steering Officer to lead the investigation.
The Steering Officer will arrange for the allegation to be investigated by the Council's Audit and Performance Manager. Clearly the Head of Legal Services will advise on the legal implications and the Head of Personnel and Training Services will -
(a) arrange support and counselling for the employee who reported the alleged fraud or corruption;
(b) advise on any necessary disciplinary action.
The Steering Officer shall ensure that the Audit and Performance investigation adopts the following good practice points :
o identify staffing resources and skill mix required and clarify responsibilities;
o contact the Police and the Council's external auditor (District Auditor) as appropriate at an early stage and keep them informed;
o prepare a background or objectives statement;
o consider the likely outcome, i.e. prosecution and/or internal disciplinary action;
o agree terms of reference, scope, target dates and key issues;
o estimate and monitor costs of the investigation;
o hold steering meetings to discuss progress, agree variations and identify future targets;
o identify actions required, systems weaknesses and lessons learnt.
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