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Public Interest Disclosure policy
1. Introduction
2. Objectives of having a procedure
5. Procedure: Disclosures and whom to contact
6. English Partnerships’ response
1. Introduction
1.1 English Partnerships is committed to the highest standards of quality, probity, openness and accountability.
1.2 As part of that commitment, we encourage employees or others with serious concerns about any aspect of our work to take appropriate action by coming forward and expressing those concerns. In many cases, concerns or complaints will be dealt with through our normal procedures. However, in some cases, we recognise that employees will need to come forward on a confidential basis. We want to make it clear that you can do so without fear of reprisal or victimisation and the Public Interest Disclosure Act 1998 provides adequate protection for those who voice genuine and legitimate concerns.
1.3 In addition English Partnerships has provided a mechanism for staff to report information security incidents in line with Cabinet Office requirements.
1.4 This statement to our employees is intended to underline our commitment, and our support to those who come forward to express their concerns. Staff are often the first people who realise that there may be something seriously wrong within the organisation.
1.5 This policy refers to the disclosure internally or externally by members or ex-members of staff of malpractice, as well as illegal acts or omissions at work.
1.6 There are existing procedures in place to enable staff to raise concerns (e.g. the anti-fraud policy), be it about the conduct of a service, or in order to protect service users from abuse and other forms of ill treatments. In addition, there are procedures to enable staff to complain on behalf of service users on more general matters relating to the provision of services. This policy has a wider application and is intended for any form of malpractice and cover up of any of these.
2. Objectives of having a procedure
2.1 To promote a working environment where employees can feel safe to raise concerns without fear of being seen as troublemakers and to encourage freedom of speech without workers being subject to any detriment, including victimisation and disciplinary action up to or including dismissal.
2.2 To promote the use of informal, internal mechanisms in order to prevent concerns being publicly disclosed with all the resultant negative publicity when the issues could have been resolved at an early stage internally.
2.3 To provide for any genuine and legitimate concerns to be fully investigated and appropriate action taken towards resolving them.
2.4 To deter serious malpractice.
2.5 To protect personal data whose release or loss could harm or cause distress to individuals
2.6 To promote accountability throughout English Partnerships.
3. Scope of the policy
3.1 The Policy extends to all workers as opposed to employees. Therefore, as well as all employees of English Partnerships, all consultants, contractors and agency workers are covered.
3.2 Protection will apply only to disclosures that qualify under the Public Interest Disclosure Act 1998 (“qualifying disclosures”). This is where an individual genuinely and in good faith believes that certain practices (whether past, present or future) fall within any of the following definitions:
- A criminal offence has been committed or is likely to be committed
- Suspected fraud
- A failure to comply with legal obligations
- A miscarriage of justice
- A danger to health and safety
- Likely to cause damage to the environment
- Showing undue favour over a contractual matter
- A breach of a code of conduct
- An attempt to cover up any of these
3.3 Disclosures will be protected where the person making the disclosure:
- Raises concerns internally
- Raises concerns with the relevant Government Minister
- Makes disclosures to prescribed persons such as the HSE, the Inland Revenue, the National Audit Office and the utility regulators
- Makes wider disclosures (which could include to the media, MPs or the police) where the matter:
- is exceptionally serious
- is not raised internally or with a prescribed regulator, because the worker reasonably feared that he/she would be victimised
- is not raised internally because the worker reasonably believed that there would be a cover-up and there is no prescribed person
- was raised internally or with a prescribed person but was not dealt with properly
Such wider disclosures must be reasonable in all the circumstances.
3.4 The provisions of the Act also provide protection for English Partnerships and its employees and workers against false, vexatious and malicious accusations.
3.5 The procedure is in addition to the existing Disciplinary and Grievance Procedures, and the Code of Conduct for Employees, and is not intended to replace them in any way.
4. Confidential reporting
4.1 We know that it is never easy to report a concern, particularly one that may relate to fraud or corruption. We urge you to come forward with any concerns at an early stage, and before problems have a chance to become serious.
4.2 If you prefer, we are happy for you to come forward with another colleague, a friend, staff side representative or other advisor to report a concern.
4.3 We will support concerned employees and protect you from reprisals or victimisation. If you come forward with a concern, you can be confident that this will not affect your career, or your enjoyment of your job. This applies equally if you come forward in good faith with a concern that turns out later not to be justified.
4.4 If requested to, we will do anything we can to respect your confidentiality.
4.5 If anyone tries to discourage you from coming forward to express a concern, we will treat this as a disciplinary offence. In the same way, we will deal severely with anyone who criticises or victimises you after a concern has been expressed.
4.6 The Agency’s procedures require that you do not disclose confidential, false or misleading information. In considering taking a concern outside the Agency you should be aware of your duty of confidentiality and ensure that the matter is raised without confidential information being divulged. There is no official definition of what constitutes confidential information. However if workers are unsure about confidentiality they should in the first instance assume that the information is confidential and then seek advice. Such advice can be obtained from the Financial Accountant, Jane Castor on 0191 497 7610.
4.7 The Public Interest Disclosure Act 1998 gives legal protection to those who honestly and reasonably believe that the information they disclose or the allegations they make are substantially true.
5. Procedure: Disclosures and whom to contact
There are several possible stages to making a disclosure depending on the extent and seriousness of the allegation. All allegations should initially be dealt with internally.
5.1 Although those making a disclosure will be protected and supported in their anonymity throughout, the likelihood of those involved being able to guess their identity makes it more sensible to be open from the start.
5.2 If an allegation is to be made, as an individual you should, if appropriate, informally approach your line manager and explain what it is that is causing concern for the public interest. If it is believed that the line manager or a more senior member of staff is the subject of the allegation, then see 5.3 below.
5.3 Jane Castor, The Financial Accountant in the Investment and Performance Directorate is the Designated Officer for English Partnerships and should be contacted in confidence in order to begin the process of investigation. She is based in Gateshead on 0191 497 7610. Alternatively the Chief Executive can be spoken to. A report may also be made to member of the English Partnerships Board who has been designated for the purpose who is the Chair of the Audit Committee.
5.4 If the problem involved very senior members of the organisation (considered to be the Chief Executive or other members of the Executive Management Board), it may be necessary to contact the Chair or another Board member or Communities and Local Government (CLG). Contact with CLG should be with the Agency’s nominated sponsor, who is currently Canda Smith.
5.5 Disclosures for advice – a disclosure made for the purpose of obtaining legal advice is protected and the same applies where a disclosure is made direct to CLG.
5.6 Regulatory Disclosures – there is special provision for disclosures in good faith to prescribed persons. These are likely to be regulators such as the HSE, the Inland Revenue, the National Audit Office and utility regulators. Such disclosures will be protected where the individual making the disclosure meets the tests (see 3.2 above) for internal disclosures and, additionally, honestly and reasonably believes that the information and any allegation in it are substantially true.
5.7 Wider Disclosures – there will only be certain grounds for an individual to make a wider disclosure:
- if you reasonably believed you would be victimised if you had raised the matter internally
- if there was no prescribed regulator and you reasonably believed the evidence was likely to be concealed or destroyed
- the concern had already been raised with the employer or prescribed regulator to no avail
- the concern is of an exceptionally serious nature
It is hoped that none of these will ever prove necessary.
You can also approach either Public Concern at Work (PcaW) for confidential and independent advice at:
Public Concern at Work
Suite 301
16 Baldwins Gardens
London
EC1N 7RJ
Telephone (general enquiries and helpline): 020 7404 6609
Fax: 020 7404 6576
Email:
UK enquiries: whistle@pcaw.co.uk
UK helpline: helpline@pcaw.co.uk
UK services: services@pcaw.co.uk
Hours: The UK office is open and the helpline is staffed from 9am to 6pm, Monday to Friday. There is an answering machine out of hours.
or the Employee Assistance Programme Freephone 0800 289316.
For Information Security incidents the Chair of the Audit Committee may also be contacted.
6. English Partnerships’ response
6.1 If you come to us with a concern, we will look into it carefully and thoroughly. We have to be fair to you, but also to any other involved. If someone is potentially being accused of misconduct, we have to find out his or her side of the story as well. In our investigation, we will respect any concerns you have expressed about your own safety or career.
6.2 If you request, we will try to let you know the results of our investigation and about any action that is proposed. However, in doing this, we have to respect the confidentiality of other employees as well.
6.3 The action that will be taken by English Partnerships will depend on the nature of the concern. Management may investigate the matters raised, by internal enquiry or through the disciplinary process. Alternatively, they may be subject to independent enquiry. Relevant matters may also be subject to investigation by the police. However, in order to safeguard both English Partnerships and individuals, initial enquiries will be made to determine whether the commitment of resources to any form of investigation would be appropriate. These initial enquiries would also assist in determining the most appropriate process for the consideration of the concern. Any necessary action that is required urgently would be carried out ahead of any assessment/investigation process.
6.4 Concerns or allegations raised, which fall within the scope of established procedures, will be referred for consideration under those procedures.
6.5 A referral of a concern will be acknowledged within seven days, with an indication of how the Agency proposes to deal with the matter and likely timescale. If it is not possible to complete the initial enquiries within the seven days, the letter of acknowledgement will explain. If a decision is made not to investigate, the reasons will be given.
6.6 Some matters may be investigated without the need for initial enquiries to be made. Similarly, some concerns may be capable of resolution by agreed action without the need for investigation.
6.7 The level of contact between you and whoever is considering the issues will depend on the nature of the matters raised, the potential difficulties involved as well as the clarity of the information provided. Further information may be sought from you.
6.8 The Agency will take appropriate steps to minimise any difficulties that you may experience as a result of using this policy.
6.9 You will be given as much information as possible on the outcomes of the investigation, subject to the constraints of the Agency’s duty of confidentiality to service users, staff or Board members or any other legal constraint. The objective of the various responses would be to assure you that the matter has been addressed.
6.10 If you have abused the confidential reporting process, for instance by maliciously raising unfounded allegations, we will treat this as a disciplinary matter. But no one who comes forward in good faith has anything to fear.
7. Information security
Cabinet Office requirements state that all NDPBs, including English Partnerships, are to have a policy for reporting, managing and recovering from information risk incidents. In compliance with these requirements the reporting framework for information security incidents is as follows:
When an information security incident has occurred it must be reported to the Information Security Officer in the first instance – this is currently Pat Watson who is located in the IT Team at Gateshead and is available on 0191 497 7687.
It may also be reported to the designated member of English Partnerships' Audit Committee who is the Audit Committee Chair.
Security incidents will then be reported to the appropriate Government management scheme – GovCERTUK for network security incidents and CINRAS for incidents involving cryptographic items. Significant actual or potential losses of personal data will be shared with the Information Commissioner and the Cabinet Office although it is not envisaged that EP will hold a great deal of personal data in its day to day activities.
© English Partnerships 2003-2008