Whistle Blowing Policy - Stamford Green Primary School
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Stamford Green Primary School
Whistle Blowing Policy
Agreed at (please indicate with a * ):
Full Governing Body Meeting __*
Children and Learning Committee Meeting __
Resources Committee Meeting __
Date: 11.12.14
1Whistle Blowing Policy Contents
Section Page Number
Introduction 3
Child Protection and Safeguarding 4
Purpose 6
Who is covered by the policy 6
Scope of the policy 7
Links with other policies 7
Safeguarding against harassment or 7
victimisation
Unsubstantiated allegations 8
Confidentiality 8
Anonymous allegations 8
How to raise concerns 9
How the council will respond 9
Initial enquiry 10
Preliminary enquiry 10
Investigation 11
Investigation Time-scales 11
Investigation process (see the details 11
of this in the supporting guidance
Monitoring arrangements 12
Appendices
1. FAQs 13
2. Guidance on Whistle Blowing 14
flow chart
2Whistle Blowing Policy
1. Introduction
a) Surrey County Council is committed to the highest possible standards of honesty,
openness, probity and accountability. It seeks to conduct its affairs in a
responsible manner, to ensure that all Council activities are open and effectively
managed, and that the Council’s integrity and principles of public interest
disclosure are sustained.
b) In line with that commitment we encourage employees, those working on behalf
of the Council and others that we deal with, who have serious concerns about
any aspect of the Council’s work to come forward and voice those concerns as
follows:
I. with their immediate manager and/or more senior managers. Where any
member of staff decides to report a serious incident, whether anonymous or
not, this will be treated as a ‘protected, internal disclosure’ ie there will be no
adverse repercussions for the member of staff.
II. staff are encouraged to use an external, independent and confidential
service provided by the Expolink helpline. Freephone: 0800 374199.
III. if for any reason you feel unable to report a situation through our current
provider, you may wish to use Public Concern at Work -
http://www.pcaw.org.uk/
c) Stamford Green Primary School agrees to adopt Surrey County Council’s
Whistleblowing Policy as per attached with the following adaptations: To Raise
Concerns – staff (or any members of the school community) should approach
their immediate line manager or the Headteacher/Deputy Headteacher. If they
would prefer, they can raise their concern with the Chair of Governors, the Child
Protection Liaison Officer or the Area Education Officer. The Chair of Governors is
Karina Singh singhk@stamford-green.surrey.sch.uk. The School’s CPLOs are Kathryn
Dray (CPLO Leader) Louise Druce and Vicky Swann. The AEO for the NE is Caroline
Marden– Tel. No. 01372 835412
d) Whilst the school would always prefer to deal with such concerns internally, it is
recognised that staff may prefer to raise concerns externally in which case they
can contact Expolink. Expolink - Freephone: 0800 374199. Expolink is an external,
independent organisation which provides a confidential hotline service for
whistleblowing. You can call any time, night or day, in complete confidence if
you have concerns that someone in the school community is involved in criminal
activity, fraud, theft or damage to school property or reputation. Your call will not
be traced or monitored.
e) To see how this policy links with other relevant school policies, see the diagram
below.
The Governing Body will monitor this policy annually. The Headteacher will
maintain a record of concerns raised along with the outcomes and will report to
the Chair or Governors and FGB as necessary.
3Procedural Flowchart for Staff Concerns
2. Child Protection / Safeguarding
a) This policy is written for staff working with children in schools and Children’s
Centres and is in line with Surrey Children’s Service’s “Staff Concerns and the
Freedom to Express Them (“Whistleblowing”)” SCC November 2002. Throughout
this policy, where reference is made to the staff, this includes staff working at
Stamfords, Afters and Stamford Green Primary School.
b) Staff must acknowledge their individual responsibility to bring matters of concern
to the attention of senior management and/or relevant agencies. Although this
can be difficult it is particularly important where the welfare of children may be at
risk.
c) You may be the first to recognise that something is wrong but may not feel able
to express your concerns out of a feeling that this would be disloyal to colleagues
or you may fear harassment or victimisation. These feelings, however natural, must
never result in a child or young person continuing to be unnecessarily at risk.
Remember it is often the most vulnerable children or young person who are
targeted. These children need someone like you to safeguard their welfare.
d) Don't think what if I'm wrong - think what if I’m right
Reasons for whistle blowing
I. Each individual has a responsibility for raising concerns about unacceptable
practice or behaviour
II. To prevent the problem worsening or widening
III. To protect or reduce risks to others
IV. To prevent becoming implicated yourself
e) What stops people from whistle blowing
4I. Starting a chain of events which spirals
II. Disrupting the work or project
III. Fear of getting it wrong
IV. Fear of repercussions or damaging careers
V. Fear of not being believed
f) How to raise a concern
I. You should voice your concerns, suspicions or uneasiness as soon as you feel
you can. The earlier a concern is expressed the easier and sooner action can
be taken
II. Try to pinpoint exactly what practice is concerning you and why
III. Approach your immediate manager, Headteacher, or the Child Protection
Liaison Officer (CPLO).
IV. If your concern is about your immediate manager/Headteacher, or you feel
you need to take it to someone outside the school, contact the Local
Education Officer (NE Surrey – 01372 835412)
V. Make sure you get a satisfactory response - don't let matters rest.
VI. Ideally, you should put your concerns in writing, outlining the background and
history, giving names, dates and places where you can.
VII. A member of staff is not expected to prove the truth of an allegation but will
need to demonstrate sufficient grounds for the concern.
VIII. Should you wish to, you may alternatively contact EXPOLINK, a free and
independent 24 hour service on 0800 374199
g) What happens next
I. You should be given information on the nature and progress of any enquiries.
II. Your employer has a responsibility to protect you from harassment or
victimisation.
III. No action will be taken against you if the concern proves to be unfounded
and was raised in good faith.
IV. Malicious allegations may be considered as a disciplinary offence.
h) Self reporting
i. There may be occasions where a member of staff has a personal difficulty,
perhaps a physical or mental health problem, which they know to be
impinging on their professional competence. Staff have a responsibility to
discuss such a situation with their line manager so professional and
personal support can be offered to the member of staff concerned. Whilst
such reporting will remain confidential in most instances, this cannot be
guaranteed where personal difficulties raise concerns about the welfare or
safety of children.
i) Further advice and support
i. It is recognised that whistle blowing can be difficult and stressful. Advice
and support is available from your line manager, HR department and/or
your professional or trade union.
ii. "Absolutely without fail- challenge poor practice or performance. If you
ignore or collude with poor practice it makes it harder to sound the alarm
when things go wrong" (reproduced with acknowledgement to “Sounding
the Alarm” – Barnardos)
5iii. There may be occasions where a member of staff has a personal difficulty,
perhaps a physical or mental health problem which they know to be
impinging on their professional competence. Staff have a responsibility to
discuss such a situation with their immediate line manager, The
Headteacher or the CPLO so that professional and personal support can
be offered to the member of staff concerned. Whilst such reporting will
remain confidential in most instances, this cannot be guaranteed where
personal difficulties raise concerns about the welfare or safety of children.
j) Further advice and support
i. It is recognised that whistle blowing can be difficult and stressful. Advice
and support is available from your line manager or the Senior
Management Team.
3. Purpose of the policy
a) Staff are often the first to realise that there may be something seriously wrong
within the Council. However, staff may not express their concerns because they
feel that speaking up would be disloyal to their colleagues or to the Council. They
may also fear harassment or victimisation. Each person working for Surrey County
Council needs to realise that they not only have the right, but also a duty to
report any improper actions or omissions.
b) Surrey County Council also recognises and appreciates that staff who raise
concerns regarding malpractice or wrongdoing are an asset to the Council, and
not a threat. This policy makes it clear that they can raise concerns without fear of
victimisation, subsequent discrimination or disadvantage. The whistle blowing
policy is intended to encourage and enable staff to raise serious concerns within
the Council.
c) This policy aims to:
I. encourage staff to feel confident in raising serious concerns and to question
and act upon concerns about practice
II. provide avenues to raise those concerns and receive feedback on any
action taken
III. ensure that staff receive a response to their concerns and that they are
aware of how to pursue them if they are not satisfied
IV. reassure staff that they will be protected from possible reprisals or victimisation
if they have made any disclosure in good faith.
4. Who is covered by the policy?
a) The policy applies to all Council employees whether full-time or part time,
permanent or temporary; members of the Council and those carrying out work for
the Council on Council premises, for example, agency workers, contractors,
consultants. It also covers providers of works, services and supplies, including the
Council’s external contractors and those providing services under a contract with
the Council in their own premises, for example, care homes. However, to facilitate
the reading of this policy, the terms ‘staff’ or ‘members of staff’ have been used,
with the intention to cover all individuals mentioned above.
6b) This policy will be expected to apply to schools but this is a decision for the Head-
teacher/ Chair of Governors. Arrangements for whistle blowing will be covered by
individual schools procedures to reflect their respective governance
arrangements.
5. Scope of the policy
a) There are existing procedures in place to enable employees to lodge a grievance
relating to their own employment. The whistle blowing policy is intended to cover
serious concerns that fall outside the scope of other procedures, in accordance
with the Public Interest Disclosure Act 1998. These include:
I. Conduct which is an offence or a breach of law
II. Failure to comply with a legal obligation
III. Disclosures related to miscarriages of justice
IV. Health and safety risks, including risks to the public as well as other
employees/staff
V. Damage to the environment
VI. Information relating to the above issues that has been or is likely to be
deliberately concealed.
b) Examples of the above categories are likely to include:
I. The unauthorised use or misuse of public funds
II. Possible fraud and corruption
III. Sexual, physical or psychological abuse of service users
IV. Harassment & bullying of staff
V. Breaches of codes of conduct.
c) Therefore, any serious concerns that a member of staff has about any aspect of
service provision or the conduct of Surrey County Council staff or Members of the
Council, others acting on behalf of the Council, service users or residents, can be
reported under the whistle blowing policy where the member of staff has a
reasonable belief in those concerns and they relate to one of the specified areas
set out above.
6. Links with other policies
a) In investigating financial irregularities, this policy should be read in conjunction
with the ‘Strategy against Fraud & Corruption’ which sets out how the financial
irregularities should be investigated.
b) This policy does not replace the corporate complaints procedures. Other forms of
concern or complaint are dealt with under separate Council procedures, such as
Ending of Harassment & Bullying (including discrimination and victimisation);
Grievance; Disciplinary (inappropriate conduct or behaviour) and Capability
(performance related issues). The flowchart available in the guidance note shows
the relationship between these procedures.
7c) As this policy is in addition to the Council’s complaints procedures, and other
statutory reporting procedures applying to some services, managers are
responsible for making service users aware of the existence of these procedures.
7. Safeguarding against harassment or victimisation
a) The Council is committed to good practice and high standards and wants to be
supportive of employees. It is recognised that the decision to report a concern
can be a difficult one to make. If a member of staff has a reasonable belief that
what they are saying is true, they have nothing to fear because they will be doing
their duty to their employer and/or those for whom they are providing a service.
b) The Council will take a zero tolerance approach to any act of harassment or
victimisation (including informal pressures. The Council will take appropriate
action to protect staff when they raise a concern, by supporting the member of
staff and consider action under the appropriate procedure (for example
Disciplinary) against the person or persons responsible for the reported acts,
provided the member of staff:
I. Discloses the information in good faith
II. Believes the concern to be true
III. Does not act maliciously or make false allegations
IV. Does not seek any personal gain.
c) Provided the allegations relate to one of the categories covered by the
scope of the policy and referred to above.
d) There are national guidelines to help you as a whistleblower. Further
information on the protection of complainants disclosing information to the
Information Commissioner's Office (ICO) can be found on the ICO website.
8. Unsubstantiated allegations
a) If a member of staff makes an allegation in good faith, but it is not confirmed by
the investigation, no action will be taken against them. If, however, an allegation
is made frivolously, maliciously or for personal gain, disciplinary action may be
taken.
9. Confidentiality
a) All concerns will be treated in confidence but at the appropriate time, the whistle
blower may be asked to come forward as a witness, and this will be discussed
with them.
10.Anonymous allegations
a) This policy encourages staff to put their name to their allegation whenever
possible.
b) Where a concern is raised via the external confidential Expolink Service, there is a
provision to provide Expolink with name and contact details which will not be
8passed to the Council without express permission from the individual. This enables
feedback to be given.
c) The Council will take all concerns raised seriously. However, concerns expressed
anonymously are much less powerful but will be considered at the discretion of
the Council. In exercising this discretion the factors to be taken into account
would include:
I. The seriousness of the issues raised
II. The credibility of the concern; and
III. The likelihood of confirming the allegation from attributable sources.
11. How to raise concerns
a) There are two ways in which to raise a concern: (ie making it more balanced
between reporting internally or externally).
I. Staff may raise concerns with their immediate manager or another manager
or, if it is believed that such managers are involved, the Chief Executive, the
Head of Finance, Head of HR and OD, the Head of Legal and Democratic
Services (Monitoring Officer) or Chief Internal Auditor should be approached.
(Contact details may be found on s-net). Any concern regarding the
conduct of Members of the Council should always be referred to the Head of
Legal and Democratic Services, who is the Council’s Monitoring Officer, for
consideration as to whether the matter should be referred to the Council’s
Standards Committee for advice.
II. While concerns will usually be raised internally, the Council recognises that
staff may feel unable to do this, and that they may wish to contact an
independent, external organisation, such as Expolink (freephone 0800 374199)
to report the concern to be reviewed internally. Expolink is an external and
independent organisation, who are specialists in providing a confidential
hotline service for whistle blowing and can be contacted any time, night or
day, in complete confidence with any relevant concerns. The call will not be
traced or monitored.
b) Concerns may be raised verbally or in writing. Staff who wish to make a written
report are invited to use the following format:
I. The background and history of the concern (giving relevant dates);
II. The reason why they are particularly concerned about the situation.
c) The earlier the concern is expressed, the easier it is to take action. In order to assist
with the investigation, staff should provide as much detail and supporting
evidence as possible regarding their concern. Although staff are not expected to
prove beyond doubt the truth of an allegation, it will need to be demonstrated to
the person contacted that there are sufficient grounds for concern for the person
who raises them to have a reasonable belief that they exist.
d) The whistle blower may invite a recognised Trade Union representative or a work
colleague to be present during any meetings or interviews in connection with the
concerns raised.
9e) A third option for staff who wish to raise concerns, is to contact the Public
Concern at Work helpline on: 020 7404 6609. They provide independent and
confidential advice to workers who are unsure whether or how to raise a public
interest concern.
12. How the council will respond
a) The Council will investigate and respond to all concerns raised by staff or service
users through any channels including Expolink and The Contact Centre.
b) While it is not essential that the concerns be provided in writing, the person
receiving the concern will, however, ensure that a written account of it is made.
This will help with the subsequent investigation by making sure that everyone
involved is clear about what is being raised.
c) When a concern is raised, managers should undertake the following actions:
I. Take the concern seriously
II. Consider the concerns fully and objectively
III. Recognise that raising a concern can be a difficult experience for employees
IV. Ensure confidentiality
V. Refer to the Chief Executive, Head of Legal & Democratic Services or
Strategic Director, to agree the level at which the concern will be
investigated and identify the manager with overall responsibility for co-
ordinating the matter.
Refer to the flowchart in the guidance. Advice and guidance on the use of
the whistle blowing policy can be obtained from the HR&OD Team, via
MyHelpdesk or your HR Relationship team. For Schools, refer to the individual
schools arrangements.
13. Initial enquiry
a) In order to protect the individuals and those accused of misdeeds or possible
malpractice, initial enquiries will be made to decide whether an investigation is
appropriate and, if so, what form it should take. The overriding principle, which
the Council will have in mind, is that of the public interest. If urgent action is
required, this will be taken before any investigation is conducted.
b) Purpose of the initial inquiry is to ascertain if the conduct or behaviour involves a
Member of the Council, a senior manager or a member of staff, so that further
enquiries and investigation can be progressed accordingly.
14. Preliminary enquiry
a) Preliminary enquiry establishes need to carry out an investigation. Further to the
results of the initial and preliminary enquiries, and at the discretion of senior
management, the following steps will then need to be considered:
I. Concerns or allegations, which fall within the scope of specific procedures,
e.g. child protection or discrimination issues, will normally be referred for
consideration under those procedures
II. Where there is any financial impropriety, the concern should be referred to
Internal Audit, before taking any other action
10III. Inform the Head of Legal and Democratic Services, who is the Council’s
Monitoring Officer if the concerns indicate unlawful activity.
IV. Ensure that matters of a criminal nature are reported to the Police, after
consultation with Internal Audit
V. Whether the disciplinary or other relevant management policies, procedures
and processes of the Council need to be applied
VI. Appointment of an officer to carry out the investigation under these
procedures.
15. Investigation
a) Depending on the nature of concerns, investigation may be carried out under
Ending Bullying & Harassment Policy, Capability Policy, Disciplinary Policy or the
Strategy against Fraud & Corruption.
16. Investigation Timescales
a) Within ten working days of a concern being raised, the person who is dealing with
the concern that has been raised will respond in writing either to the employee
directly, or to Expolink where this was the reporting route:
I. Acknowledging that the concern has been received
II. Indicating how the Council propose to deal with the matter
III. Giving an estimate of how long it will take to provide a final response
IV. Advising whether any initial enquiries have been made
V. Supplying information on staff support mechanisms, and
VI. Advising whether further investigations or action is required and, if not, why
not.
b) Where Expolink was the reporting route the manager dealing with the concern
will provide an additional update to Expolink at 28 calendar days after the report
was received, advising of additional progress made and the estimated date a
final response will be available.
17. Investigation process (see the whistleblowing flowchart)
a) The impartial investigating manager appointed to undertake the investigation
would establish the facts of the matter and assess whether the concern has
foundation and can be resolved internally. Other people may need to be
interviewed to provide further information and/or clarification concerning the
issue(s) raised.
b) It is essential that written records of all interviews be kept throughout the
investigation, together with written details of any action taken. The investigation
will result in a written report and recommendations for corrective action which will
be passed to the manager responsible for deciding whether formal action shall
be taken.
c) Where any meeting is arranged involving an individual member of staff, which
can be off-site, a recognised Trade Union representative or a work colleague may
also attend. The Council will take steps to minimise any difficulties which may be
experienced as a result of raising a concern. For instance, if a member of staff is
11required to give evidence in criminal or disciplinary proceedings, the Council will
arrange for them to receive appropriate procedural and/or legal advice.
d) The member of staff raising the concern with a manager will be, subject to legal
constraints, advised in writing of the outcome of the investigation and, where
appropriate, what action is being taken. This may include changes to working
practices to ensure that a similar situation does not occur again. Where the
concern was raised via Expolink, the employee will be invited to contact them for
feedback at the appropriate time.
18. Monitoring arrangements
a) The Head of HR and OD, in consultation with the Monitoring Officer (Head of
Legal and Democratic Services), has overall responsibility for the maintenance
and operation of this policy. The Head of HR and OD maintains a record of
concerns raised and the outcomes (but in a form which does not compromise
confidentiality) as part of the already existing major case register, and will report
as necessary to the Council.
b) The Financial regulations state that the Head of HR and OD will ensure that whistle
blowing procedures are defined, documented, widely circulated and reviewed
at appropriate intervals, in consultation with the Head of Legal and Democratic
Services.
c) The practical aspects of monitoring are to assess whether:
I. The policy is being used appropriately
II. Concerns are being handled and investigated properly
III. There are any discernible patterns of concern across the Council
IV. The policy has been effective in identifying and deterring malpractice, and
V. More needs to be done to raise awareness of the policy.
12Appendix 1 -FAQs
1. FAQs - WHISTLE BLOWING
a) The council’s whistle blowing policy is intended to encourage and enable staff to
raise serious concerns. Staff are often the first to realise that there may be
something seriously wrong within the Council. However, they may be reluctant to
express concerns because they feel that speaking up would be disloyal to their
colleagues or to the Council. They may also fear harassment or victimisation.
Each person working for Surrey County Council has the right, but also a duty to
report any improper actions or omissions. Staff can raise concerns without fear of
victimisation, subsequent discrimination or disadvantage.
FREQUENTLY ASKED QUESTIONS
2. What is whistle blowing?
Whistle blowing is when a worker reports suspected wrongdoing at work. Officially
this is called ‘making a disclosure in the public interest’. A worker can report things
that aren’t right, are illegal or if anyone at work is neglecting their duties,
including:
I. someone’s health and safety is in danger
II. damage to the environment
III. a criminal offence
IV. the company isn’t obeying the law
V. covering up wrongdoing.
3. Who should I go to if I have a concern?
a) Staff may raise concerns with their immediate manager or another manager. Or,
if it is believed that such managers are involved, the Chief Executive, the Head of
Finance, Head of HR and OD, the Head of Legal and Democratic Services
(Monitoring Officer) or Chief Internal Auditor should be approached. (Contact
details may be found on s-net).
b) Alternatively staff are encouraged to use an external, independent and
confidential service provided by Expolink, which is an independent organisation.
Their freephone helpline number is: 0800 374199.
4. Is there anyone I can talk to in confidence if I’m not sure?
a) If you want to talk things through with someone before deciding what to do, you
can talk to your manager, a fairness champion, contact Expolink for an informal
chat or you can contact our employee assistance programme Workplace
Options.
5. Will I be supported if I raise a concern?
a) It is recognised that the decision to report a concern can be a difficult one to
make. If a member of staff has a reasonable belief that what they are saying is
true, they have nothing to fear. The Council will take a zero tolerance approach
to any act of harassment or victimisation (including informal pressures). The
Council will take appropriate action to protect staff when they raise a concern,
by supporting the member of staff and consider action under the appropriate
procedure (for example Disciplinary) against the person or persons responsible for
the reported acts, provided the member of staff:
13I. Discloses the information in good faith
II. Believes the concern to be true
III. Does not act maliciously or make false allegations
IV. Does not seek any personal gain and provided the allegations relate to one of
the categories covered by the scope of the policy and referred to above.
6. Will other people know I have raised a concern - is the helpline confidential?
a) All concerns will be treated in confidence but at the appropriate time, the whistle
blower may be asked to come forward as a witness, and this will be discussed
with them.
7. What will the council do if I report an incident?
a) The Council will investigate and respond to all concerns raised by staff through
any channels including management and Expolink.
14Appendix 2
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