Raising Concerns Policy page 3
8. Openness, confidentiality, and anonymity
8.1 In most cases the best way to raise a concern is to do so openly.
By making your identity known, you are more likely to secure a positive outcome.
Openness makes it easier for us to address the issue, work out how to investigate the matter, understand the reasons for concern, get more information and report back on the outcome of preliminary enquiries / any investigation undertaken.
This policy encourages you to put your name to your concern.
8.2 We recognise that there may be circumstances when you would prefer to speak to someone in confidence first.
If this is the case, please state this at the outset.
Confidentiality will only be breached if required by law and, where possible, we will gain your consent prior to undertaking any action that could identify you.
8.3 Concerns expressed anonymously are much less powerful as proper investigation may be impeded.
Whist we will accept anonymous concerns and commit to giving them due consideration, we would ask anyone thinking of making a disclosure to consider the following points:
- Detailed investigations may be more difficult, or even impossible, to progress if you choose to remain anonymous and cannot be contacted for further information;
- The information and documentation you provide may not be easily understood and may need clarification or further explanation;
- There is a chance the documents provided may reveal your identity;
- It may not be possible to remain anonymous throughout an in-depth investigation;
- It will not be possible to provide details of the outcome of any investigation to you if your disclosure is anonymous; and
- Statutory protection for a Council worker is easier to obtain if a concern is raised openly.
If a concern is raised anonymously, it may not be possible to afford protection.
Furthermore, it may be difficult to demonstrate to a tribunal that any detriment you have suffered is as a result of raising a concern.
8.4 We will make every effort to preserve your anonymity if you so wish.
Please be aware that the investigation process may inadvertently reveal the source of the information and a statement from you may be required as part of the evidence.
9. Process for Receipt and Investigation of Concerns
9.1 The person to whom an allegation has been made should make a confidential note of its receipt and the subsequent action taken.
The receipt of the concern should be acknowledged.
Care must be taken to ensure that this process does not compromise confidentiality.
9.2 Any allegation made under this procedure will normally be the subject of a preliminary investigation, either by the Director of Corporate Support Services or by a person(s) appointed by him/ her.
It may be appropriate, subject to the need to ensure confidentiality, for a raising concerns panel of officers to be appointed to carry out this exercise.
The purpose of the preliminary investigation is to determine the factors that gave rise to suspicion, to clarify whether there has been a genuine mistake or if it is likely that there has been wrongdoing that merits a detailed investigation.
9.3 In the event that an allegation relates to the Chief Executive and/or other members of the Senior Management Team and the allegation/s are put to the Chair of the Audit & Scrutiny Committee, the Chair may establish a raising concerns panel with the necessary officers such as the Staff Commission and other external organisations, legal advisors, Human Resources consultants as required.
9.4 Where following a preliminary investigation it is determined that no further investigation is required, the raising concerns panel will inform the person making the allegation of this outcome within 10 working days.
They will be given the opportunity to respond, and the raising concerns panel may consider any further evidence provided and may consider whether further action is required or conclude the matter.
9.5 If, following a preliminary investigation, the raising concerns panel decides that a detailed investigation is required, they will ensure the following actions are taken:
- Engaging investigator(s) with the necessary skills;
- Ensuring no conflict of interest between the investigator(s) and the issue being investigated;
- having clear terms of reference;
- setting a clear scope for the investigation and drawing up a detailed investigation plan;
- clarifying what evidence needs to be gathered and how it will be gathered (document search, interviews etc.);
- deciding how best to engage with the person raising concerns and manage their expectations; and
- ensuring that all investigative work is clearly documented.
9.6 During any investigation, the amount of contact between the person reporting the concern and the investigating officer considering the issues will depend on the nature of the matters raised, the potential difficulties involved and the clarity of the information provided.
Due to the potentially varied nature of these investigations, which may involve internal or external investigators and/or the Police, it is not possible to lay down precise timescales for completing the investigation, but the Designated Lead Officer shall provide indicative timescales to the person raising the concern.
If necessary, the investigating officer will seek further information from you.
Where any meeting is arranged, this can be off-site if you so wish and you can be accompanied by a trade union representative, a colleague or friend.
We will take down a written summary of your concern and provide you with a copy after the meeting.
We will also aim to give you an indication of how we propose to deal with the matter.
9.7 The Designated Person will have powers to:-
- Recommend that no further steps (whether by the authority or any committee, sub-committee, or officer of theirs) should be taken;
- Recommend, in relation to an employee, that suspension may be appropriate depending on the seriousness of the allegations and the investigation being carried out, and to recommend officers consider disciplinary action or further disciplinary action in accordance with the Disciplinary Policy;
- Inspect any relevant documents in the possession, or under the control, of the authority, and any other documents which they deem to be relevant;
- Require any employee of the authority to answer questions concerning the allegation/s;
- State his/her opinion as to whether (and if so the extent to which) the evidence he/she has obtained supports any allegations;
- Recommend the disciplinary action (if any is appropriate) or range of actions which appear to him/her to be appropriate for the authority to take against the relevant person/s.
9.8 If you are the subject of a concern raised, we will endeavour to inform you as soon as is practically possible.
There are occasions when it may be necessary for initial enquiries to be undertaken first.
In addition, where the concern raised is potentially serious in nature, the Council may initially seek to validate the concern raised though observation, enquiry and / or liaison with the Police.
Following these initial enquiries, you will then be informed of the allegations made and you will be given an opportunity to provide an explanation.
We will apply the same considerations of confidentiality to the worker at the centre of the concern raised, as far as appropriate.
If following explanation and, if necessary, further investigation, there is no evidence to suggest misconduct, the matter will not be referred for disciplinary action.
However, if there is evidence of potential misconduct there is a possibility that the Council’s Disciplinary Procedure may be invoked to further investigate the matter.
10. Outcomes
10.1 The Council understands that, if you raise a concern, you will wish to be assured that the concern has been properly considered and appropriately addressed.
Subject to legal constraints, we will inform you of the outcome of any enquiries / investigation undertaken.
The response will be issued by the Designated Officer.
10.2 If you are not satisfied with the outcome, you can write to the Chief Executive and ask for the investigation and outcome to be reviewed.
If you remain dissatisfied, and you feel it is right to take the matter outside this process, the following are possible contact points:
- NI Commissioner for Complaints,
- Northern Ireland Audit Office (the Local Government Auditor),
- Relevant professional bodies or regulatory organisations,
- Your solicitor or
- The police.
10.3 If you take the matter outside the Council, you should make sure that you do not disclose confidential information.
In order to make sure that you do not make any such disclosures you may want to check the position with the Council’s Legal Services section.
10.4 The outcome of the investigation should be considered at a level of seniority appropriate to the gravity of the issues raised, along with a programme of proposed actions where relevant.
Learning from the investigation should be shared across the organisation and beyond, where appropriate.
11. Safeguards
11.1 The Public Interest Disclosure (NI) Order 1998 offers protection to ‘workers’ who disclose serious concerns made in the public interest.
In accordance with this legislation, workers must not suffer any detrimental treatment as a result of raising a concern.
Detrimental treatment includes dismissal, disciplinary action, threats, withholding a pay rise, objecting to a promotion, not giving training or any other unfavourable treatment connected with raising a concern.
11.2 The Council will fulfil its responsibility to ensure that you are NOT harassed, victimised, or otherwise disadvantaged when you raise a concern.
We will take appropriate action including the application of the disciplinary and grievance procedure to protect a worker who raises a concern that they reasonably believe to be true, made in good faith and in the public interest.
If you believe you have suffered any such treatment, you should inform one of the following:
- Director
- Chief Executive
- Chair of the Audit & Scrutiny Committee
If it is not remedied, you should raise it formally under our Grievance Policy.
11.3 If an allegation is made frivolously, maliciously or for personal gain, disciplinary action may be considered against you.
This action will be appropriate to the circumstances surrounding the disclosure and each case will be treated on merit.
11.4 If a worker is already the subject of disciplinary or redundancy procedures, these HR procedures will not be halted as a result of their raising a concern.
12. Monitoring and Review
The policy will be reviewed by the Council every year. Interim reviews may also be prompted by feedback, challenges or changes in legislation. Any need for change will be reported to the relevant Committee and Council for approval.
Appendix 1
Appendix 1 can viewed through the Raising Concerns Policy document (PDF 284KB)