MODEL WHISTLEBLOWING PROCEDURE FOR EMPLOYERS
First Edition (February 2000)
Please take this document in the spirit of suggestions which we are sharing with you on the basis of our experience rather than professional advice. It might usefully be read together with other documents on this site .
WARNING: No policy or procedure is a substitute for a workplace culture of trust and openness. However a good policy or procedure may initiate or enhance such a culture if it is deployed judiciously. Used wrongly policies, procedures and committees may have the opposite effect to the one desired - most importantly, they may disempower by giving employees the impression that responsibility lies elsewhere and not with them. Policies may also be abused, distorted and neglected by managers who think that such policies apply to everyone except themselves. A whistleblowing policy can also, unless the right conditions are provided, wrongly be used by an employee or other person to cover their incompetence, negligence or harassment of others. People who bully and gag staff sometimes try to use such a procedure against the conscientious member of staff.
General Points: The procedure should be in writing, be clear in its application, quick and effective in action (preferably setting out a time-scale), ensure feedback is provided, reassure the staff member about the company's concern for propriety and honesty, ensure confidentiality (anonymity?), ensure records are kept, give assurances about the independence and impartiality of the procedure and those implementing it, indicate that it is not necessarily wrong to raise certain matters externally (e.g. criminal activity), point out that employees may have a right to trade union representation. The organisation will need to have clear standards, benchmarks, quality audits in place so that all employees know exactly what constitutes appropriate conduct, competence, quality, etc. The Designated officer operating the procedure should always run through the facts of the case in a cooperative and rigorous manner with strict fairness to all those who may be involved (accused and accuser). Whistleblowing procedures are not meant to be used to settle personal scores.
HOW TO RAISE A CONCERN IN YOUR WORKPLACE
Preamble
This organisation recognises that staff who raise concerns are an asset not a threat. Staff are hereby provided with a procedure, which is clear and independent, by which concerns can be raised without reprisals in any form. Staff may raise a concern giving their name or they may raise a concern anonymously. A whistleblower's hotline is available on this number (telephone number)...
In an ethical organisation, the career and values of the professional and the organisation's culture, policies and procedures should converge. Because the individual desire to conform and the organizational demands on conformity are so powerful the management of this organisation is taking steps to ensure that such conformity does not work against public interest objectives. It is always possible that in some situations those who uphold the stated values of the organisation will be ostracised by the majority adhering to misconceived ideas of reward and praise within the organisation.
Responsibility
All employees have a right and a moral responsibility to report improper actions and omissions. A workplace culture is now developing in which employees who act in good faith and in compliance with the law are protected from interference in or retaliation for reporting improper actions and cooperating with subsequent investigations or proceedings. Note that in some circumstances you may be breaching your contract and/or breaking the law if you DO NOT raise your concern with management or an appropriate body.
Procedures
The UK's Public Interest Disclosure Act 1998 became law in July 1999 and this organisation is fully apprised of its content and intent. [Note: This Act is rather weak and contorted from the employee's point of view, but may offer some protection. See Criticisms and Link to Act.] In the case of many public employers such as local authorities a 'Public Interest Procedure' may be in place which complements other procedures such as Grievance and Complaints and does not replace them. Every manager in the Department has a duty to ensure that staff are easily able to express their concerns. Where possible, concerns about malpractice by others should be reported to the relevant manager through defined channels or through Stage 1 of the Grievance Procedure. (It may also sometimes be appropriate that a staff member may act as an advocate for a service user taking such concerns through the local government's Complaints Procedure.)
There will be circumstances where the ordinary processes available to staff to report on matters of concern in the workplace cannot be used. This 'whistleblowing' procedure is intended to be applied to those circumstances. It is not intended as an extra mechanism for staff to challenge decisions, practices and policies with which they disagree, but is reserved for raising concerns about malpractice or improper actions where the normal route for these concerns appears to be blocked.
In the UK the Public Interest Disclosure Act has rules for making a Protected Disclosure:
a.. You must disclose the information in good faith.
b.. You must believe it to be substantially true.
c.. You must not act maliciously or make false allegations.
a.. You must not seek any personal gain.
When to use Public Interest Disclosure
Public Interest Disclosure (commonly called “whistleblowing”) is required when employees, in good faith, believe employers or colleagues are engaged in an improper course of illegal or unethical conduct, and they must be able to disclose such conduct free from fear of intimidation or reprisal. Reporting improper actions outside normal channels will be necessary where attempts to report it in the past have not been successful or where, in good faith, the employee believes that the malpractice will only be dealt with by a Designated Officer (see 5, below) who does not have direct managerial responsibility for that employee, or by elected members, or, in exceptional cases, by the some official external body. Managers should recognise that these Disclosures are the last line of defence in the regulation of bad practice within the Department.
Malpractice may be an action that is:
a.. illegal,
b. contrary to policy, regulation, procedure or instructions,
c.. likely to endanger service users, members of the public and/or colleagues,
d.. is unprofessional, inappropriate or conflicts with a general understanding of what is right and wrong.
Therefore the Procedure should be used when staff feel:
a. reported matters have been consistently ignored or belittled;
a.. Where staff are aware of malpractice or have a reasonable suspicion then ordinarily they must report the matter to their immediate manager or supervisor, who is expected to respond to the matter.
a.. If necessary, staff should seek the support of a fellow worker in reporting an issue or the support of their trade union representative
b. If the ordinary procedure is unsuccessful and a Disclosure is required, those reporting should be clear of the facts of their concerns and should take notes, which may assist future investigation, and identify other witnesses.
The Designated Officer to receive a Disclosure under this Procedure are:
(Names of Designated posts) .............
If the employee does not feel able to talk to one of the above Officers, this Procedure allows you to contact an elected citizen's representative (such as member of parliament, local government councillor).
If the employee does not feel able to talk to any of the above the Public Interest Disclosure Act allows you to contact: (name of relevant “prescribed person” under PIDA) ...
Cautionary notes
Making a Public Interest Disclosure should not be done lightly. False or malicious allegations could lead to action by the Department if, following investigation, it is decided that such an allegation constitutes misconduct warranting disciplinary action. Additionally, an individual who is subject to such a Disclosure may feel s/he has the grounds to take legal action.
However the organization will ensure that Disclosures made in good faith are properly heard and dealt with within this Procedure. The identity of those making a Disclosure shall remain confidential, to the extent allowed by the law, unless the employee waives that right in writing. Retaliation against staff acting in good faith by making an unwarranted adverse change to their employment status terms and conditions, is prohibited; retaliation includes, but is not limited to:
frequent and undesirable changes in work assigned, refusal to assign meaningful work, unsubstantiated reprimands or unsatisfactory performance evaluations, demotion, pay reduction, unjust denial of promotion, transfer or reassignment, suspension or dismissal.
Feedback
Staff are invited to comment on this procedure and suggest ways in which it may be improved by contacting (name, address) ...