Whistleblowing

What action will the Council take in response to a Whistleblowing Report?

The action taken by the Council will depend on the nature of the concern. Reports may be:

• Resolved by agreed action (e.g. training or review) without the need for investigation;
• Referred for handling under another policy;
• Investigated internally;
• Referred to an external investigating agency such as the Police; or
• Referred to the external auditor.

The Council will look to take early action if it considers this is necessary, for example where delay may result in increased further financial loss or make further enquiry more difficult.

The Council may determine to submit an allegation or other related matters of concern for investigation, even where the whistleblower withdraws their involvement. (For example, a withdrawn allegation that a client in a residential home has been the victim of theft may suggest wider safeguarding issues which still require investigation.) Such further investigation may be carried out in accordance with any other relevant policy or procedure.

Procedure

The Procedure that the Council will follow is set out below.

Initial Review

As soon as possible after a concern is reported, the WRO’s shall carry out an initial review of the whistleblowing report and decide together on the appropriate action, depending on the nature and the facts of the report. The WRO’s may where appropriate discuss the matter with other officers.

The WROs shall consider whether any urgent action is required to protect the interests of the Council or the public.

The Initial Review may conclude that the report should be:

• Resolved by agreed action (e.g. training or review) without the need for investigation;
• Referred for handling under another policy;
• Investigated internally;
• Referred to the police or another external investigating agency; or
• Referred to the external auditor.

Within ten working days of the concern being raised, the WRO’s shall inform the whistleblower in writing of the outcome of the Initial Review:

• To the extent appropriate, the whistleblower shall be given details of any further investigation.  
• The individual will also be told if the Council wishes to contact them again to obtain further information.

If the Council does want to speak to the individual again, it will look to minimise any difficulties that may arise. The individual will be given the opportunity to meet off-site and to be accompanied by a trade union or professional representative. The Council will also ensure that the individual receives appropriate support and guidance if they agree to give evidence in criminal or disciplinary proceedings.

Investigation

Any investigation will be mindful that, in order to initiate disciplinary/criminal proceedings against suspected financial misconduct, evidence must be secured in a legally admissible form.

The information provided in some whistleblowing reports may indicate the need for the Council to investigate other related matters of concern. For example, an allegation that a client in a residential home has been the victim of theft may suggest wider safeguarding issues. Any investigation into these other matters will be carried out separately in accordance with the relevant policy or procedure. In these cases, no action will be taken that compromises the confidentiality of the original whistleblower.

If an investigation is required, and unless it is inappropriate to do so, the WRO’s will write to the whistleblower:

• Giving an estimate of how long it will take; and
• Advising them that the investigation will be carried out in the strictest confidence.

The WRO’s will consider in each case whether the circumstances make it more appropriate for an external rather than internal investigation to be conducted. It is not realistic to fix the criteria for this decision; however, in broad terms, matters which seriously implicate senior management or which involve significant Council business are more likely to be referred to external investigation.

Internal Investigation

The WRO’s shall discuss and appoint a lead officer for each Investigation (whether internal or external). This will normally be the Senior Internal Auditor or the Assistant Director of the department involved. However, it may be appropriate to appoint as lead officer either:

the AD of another department, in the interests of independence; or

a more junior officer under delegated authority.

The internal investigation may include interviewing or observing suspects in connection with the concerns raised. This is to ensure that evidence is collected in a way that complies with relevant legislation and does not compromise the investigation and/or subsequent disciplinary procedures/prosecutions.

The WRO’s will consider whether an initial covert investigation might be appropriate required, for example:

• To minimize the risk that evidence is hidden or removed; or
• To avoid wrongly damaging the reputation of anyone suspected but subsequently found innocent of wrongful conduct.

External Investigation

The WRO’s shall appoint a lead officer within the Council with responsibility for managing the external investigation.

The WRO’s shall also notify the Chief Executive and the relevant Executive Director(s) of the referral to external investigation, who may also brief members as appropriate taking into account the nature of the investigation.

Final Report

Once the process of Initial Review and Investigation (if any) is complete, and subject to any legal or other constraints that may arise, the Council will provide the individual with a summary of the outcome. Whistleblowers should be aware that in most cases it will not be appropriate to provide a detailed explanation.

Where the matter relates to fraud, an internal report shall be produced setting out a description of the systems, controls and procedures that should be operating within the area where the fraud is alleged to be taking place. The external auditor shall also be made aware of the matter.