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As part of the programme to revise a number of the Office's Human Resources policies, a Whistleblowing Policy has been developed, a copy of which is attached. The policy provides clear and concise guidance on whistleblowing. This has been developed with consideration to the Public Interest Disclosure Act 1998 (which provides protection to employees who "blow the whistle"), best practice and the Civil Service Code.
All staff must make sure they read the document and are aware of the procedure to be followed in reporting wrong-doing and the protection that is provided to them under the Public Interest Disclosure Act 1998.
The procedure is intended to be used where an employee has reasonable belief that wrong doing has occurred in the form of:
- a criminal offence;
- a failure to comply with a legal obligation;
- a miscarriage of justice;
- the endangering of an individual's health and safety;
- damage to the environment; or
- a deliberate concealment of information tending to show any of the above.
The Public Interest Disclosure Act 1998 states that employees would not qualify for protection if by disclosing the information they were committing an offence. An example is breaking the Official Secrets Act. Staff should be aware that protection against dismissal provided under the Act would not apply where there is a failure to raise concerns in line with the policy or where allegations are made dishonestly or maliciously.
The Office Trade Union Side has been consulted and has agreed the policy and procedure.
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1.1Reasons for a policy
1.1.1The Civil Service Code places a duty on all civil servants to report the matter if they are being required to act in a way which is illegal, improper or unethical. The Public Interest Disclosure Act 1998 provides protection in certain circumstances against unfair dismissal or victimisation for those who report wrongdoing either to their employer or to some appropriate external body (normally known as whistleblowing).
1.1.2 This policy sets out the requirements of the Code, the Offices procedures for reporting wrongdoing and details the protection provided under the Public Interest Disclosure Act 1998.
1.1.3 If employees are unclear about any aspect of this policy they should raise it with a senior member of Human Resources. The whistleblowing channel should not be used in place of existing policies and procedures especially the grievance procedure.
2.1Relevant sections of the Code
2.1.1 The Civil Service Code describes the action which any civil servant should take if required to act in a way that they think is illegal, improper or unethical. Employees should familiarise themselves with the Code paying special attention to sections 11 and 12, which explain when reports should be made and the role of the Civil Service Commissioners. Employees should also refer to the reporting procedure below.
2.1.2 Due to the nature of the work of the Office, employees may come across maladministration as highlighted in section 11 of the Code. If in the course of an investigation an employee receives information about wrongdoing, criminal activity or any activity as detailed in 4.1.1, they should report it to their line manager.
2.1.3 If employees do not have a copy of the Code they can obtain one from Human Resources. A copy is also included in the Code of Conduct section of the Staff Handbook, which is also available on the Intranet.
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3.1Confidentiality
3.1.1 Employees should be assured that any disclosure will be treated as confidential and that no action will be taken against them unless the procedure has not been invoked in good faith (e.g. has been used dishonestly or maliciously).
3.2How to report a concern - internal
3.2.1 If an employee believes that they are being required to act in a way referred to in the Civil Service Code or as detailed in section 4.1.1, they should report the matter as described below. If they are aware of other breaches of the Code, or they are required to act in a way that raises a fundamental issue of conscience for them, they may also report it.
3.2.2 Employees should report any such matters to their line manager. If the circumstances of the case render it inappropriate to raise the matter with the line manager in the first instance, they should report the matter to a senior line manager or a senior member of Human Resources. If employees report this matter to a senior line manager or member of Human Resources and does not believe that the reply represents a reasonable response or if it is inappropriate to raise the concern with Human Resources, the employee can refer the matter to their Director/Deputy/Principal Establishments and Finance Officer (PEFO), as appropriate. If they are still not happy with the response they may take their concern to the Ombudsman.
3.2.3 If employees are required to take action straight away and there is no time to report their concerns beforehand, they can do so immediately afterwards. If they have reported their concerns but the process of internal review is not complete before they are required to act, they should carry out the instructions pending a response from the person they reported it to, provided that action in either case would not put them in clear breach of the law.
3.2.4 Once an employee has reported a concern they can expect to receive an acknowledgement of the information and how it will be dealt with. Employees should be kept informed of progress. If the concern is of a criminal nature they should expect the Police to be involved, however confidentiality will remain a priority.
3.3 Unreasonable response - next step
3.3.1 If, having exhausted the procedures in 3.2, an employee believes that the reply of the Ombudsman does not represent a reasonable response, they may then report the matter to the Civil Service Commissioners by writing to the:
Secretary to the Civil Service Commissioners
Room 69a/2
Horse Guards Road
London SW1P 3AL
3.3.2 Employees will need to:
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explain why they consider the actions they have been asked to take (or the actions taken by others) are wrong and in breach of the Code;
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explain why they consider that the internal procedures have not resolved their concern;
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forward these details in writing to the Director or Ombudsman about the matter, subject to safeguards about specially protected information, e.g. in line with the Official Secrets Act.
3.3.3 Employees can either write directly to the Commissioners, or through the person in the Office who considered their report. The person who considered the report can add comments in a covering note but cannot make amendments to the note itself.
3.4 How to report a concern - external
3.4.1 The Public Interest Disclosure Act 1998 recognises that there may be circumstances in which it is appropriate to report concerns to an external body and provides protection for employees from unfair dismissal and victimisation which might result from their disclosure (see section 4). External routes include:
- To a legal adviser in the course of gaining legal advice.
- To a person or body prescribed by the Secretary of State in Statutory Instrument 1999 No 1549 (available from Human Resources) e.g. the Health and Safety Executive in respect of matters concerning health and safety at work. In this case the employee must make the disclosure in good faith, reasonably believe the information and allegations are substantially true and reasonably believe that the matter falls within the description of matters for which the person has been prescribed.
- For this Office it could also include the Civil Service Commissioners.
3.4.2 Wider disclosures, for example to the police, the media and non prescribed regulators, are protected if the disclosure meets one of the preconditions detailed below and are not made for personal gain. The disclosure must also be made in good faith and the employee must reasonably believe the information or allegation is substantially true. For example:
- The employee reasonably believes they would be victimised if they raised the concern with the Office or a prescribed regulator.
- There is no prescribed regulator and the employee reasonably believes there would be a cover-up.
- The employee has previously made a disclosure of substantially the same information to the Office or to a prescribed person.
- The matter is exceptionally serious.
3.4.3 It must also be reasonable for the employee to make the disclosure. In deciding the reasonableness of the disclosure, an employment tribunal will consider all the circumstances. This will include the identity of the persons to whom the disclosure was made, the seriousness of the concern, whether the failure is continuing or likely to occur, whether the disclosure breached a duty of confidentiality which the Office owed a third party, what action has been taken or might reasonably be expected to have been taken if the disclosure was previously made to the Office or a prescribed person, and whether the worker complied with any approved internal procedures if the disclosure was previously made to the Office.
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4.1 What protection does the Act give?
4.1.1 The legislation does not introduce a general protection for whistleblowers in all circumstances. A disclosure will qualify for protection if, in the reasonable belief of the employee making it, it tends to show that one or more of the following has occurred, is occurring or is likely to occur:
- a criminal offence
- a failure to comply with a legal obligation
- a miscarriage of justice
- the endangering of an individual's health and safety
- damage to the environment
- deliberate concealment of information tending to show any of the above.
4.1.2 Employees would qualify for protection if the disclosure has been made in good faith, i.e. honestly, and the employee has a reasonable belief that their disclosure demonstrates one or more of the matters set out at 4.1.1. An employee would only be protected if the disclosure were appropriately carried out as detailed in section 3.
4.1.3 Employees would not qualify for protection if by disclosing the information they were committing an offence, for example breaking the Official Secrets Act, or if the disclosure were made in respect of a matter to which legal professional privilege would apply.
4.1.4 In determining whether a disclosure has been made in good faith, any investigation may take into account evidence relating to why the employee might want to make a dishonest or malicious allegation.
4.1.5 A dishonest or malicious allegation may be deemed to constitute serious or gross misconduct. The senior manager at Director level or above, in consultation with Human Resources, will take a decision on an appropriate course of action, which may include invoking the Disciplinary Policy and Procedure.
4.1.6Victimisation of whistleblowers is a serious matter and will lead to disciplinary action.
4.1.7 An employee who is victimised in breach of the Act can bring a claim against that Office at an employment tribunal.
Who does the policy cover?
4.2.1 The policy covers all staff employed by the Office including contractors providing services, External Professional
dvisers and agency workers. The usual employment law restrictions on minimum qualifying periods do not apply.
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5.1 Independent advice
5.1.1 If an employee is unsure whether to use this procedure, or they would like independent advice at any stage, they may contact the independent charity "Public Concern at Work" on 020 7404 6609.
5.1.2 To ensure that employees concerned about malpractice can get independent and confidential advice, disclosures to lawyers are protected.
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Examples of when employees might "blow the whistle"
In all cases the employee should carefully read the Whistleblowing Policy and ensure they understand all aspects of it, seeking further guidance from Human Resources as necessary.
Situation 1
An employee becomes aware that a manager is submitting fraudulent travel expense claims.
If the person in question is the employee's line manager then they should raise it with a more senior line manager or a senior member of Human Resources. If they are not their line manager then they should report it to their line manager directly, unless they feel they may be involved.
Situation 2
An employee becomes aware that the Office is contravening legislation on health and safety issues.
The employee should report the concern to their line manager. If they suspect their line manager is involved then they should report it to a more senior line manager or a senior member of Human Resources. If they believe either of these to be involved they may raise the issue with their Director/PEFO or failing this the Ombudsman.
Situation 3
An employee uncovers serious concerns during the course of an investigation about a NHS professional's action (e.g. where there is a genuine risk to public health and safety).
The employee should report the concern to their line manager.
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| Document history |
| May 2003 |
Content reviewed |
| 30 Jan 2001 |
Issued as OC (01) 02 |
|
