ANLP Whistle-Blowing Policy

The Whistle-blowing Procedure sets out the framework for dealing with allegations of illegal and improper conduct.

Key Points

The Whistleblowing Procedure sets out the framework for dealing with allegations of illegal and improper conduct.

ANLP is committed to the highest standards of transparency, probity, integrity and accountability.

This procedure is intended to provide a means of making serious allegations about standards, conduct, financial irregularity or possible unlawful action in a way that will ensure confidentiality and protect those making such allegations in the reasonable belief that it is in the public interest to do so from being victimised, discriminated against or disadvantaged.

This procedure does not replace other policies and procedures such as the Complaints Procedure, the Grievance and Harassment and Bullying Policies and other specifically laid down statutory reporting procedures. 

This procedure is intended to ensure that the ANLP complies with its duty under the Public Interest Disclosure Act 1998.

Scope

This procedure applies to all ANLP employees, including Associates and contractors.

This procedure does not replace other ANLP policies or procedures. For example, if an employee/contractor or client felt that their employer, manager, colleague, supervisor or coach was treating them unfavourably, they should use the ANLP Harassment and Bullying Policy. Similarly, if someone has a concern about the conduct of a fellow employee in the working environment (e.g. that they are not treating colleagues with respect) they should raise these with their line manager, or if that is not possible, with the CEO, Managing Director, Director or other person of authority and responsibility within the organisation in question.

This procedure applies to, but is not limited to, allegations (including evidenced historical incidents) about any of the following:

  • Conduct which is an offence or breach of the law
  • Alleged miscarriage of justice
  • Serious Health and Safety risks
  • The unauthorised use of public funds
  • Possible fraud and corruption · sexual, physical or verbal abuse, or bullying or intimidation of employees, customers or service users
  • Abuse of authority
  • Other unethical conduct

Reporting

Contact Details for Reporting: (in writing) ANLP

ANLP recognises that the decision to make an allegation can be a difficult one to make. However, whistle-blowers who make serious allegations in the reasonable belief that it is in the public interest to do so have nothing to fear because they are doing their duty either to ANLP and/or to those for whom ANLP are providing a service.

ANLP will take appropriate action to protect a whistle-blower who makes a serious allegation in the reasonable belief that it is in the public interest to do so from any reprisals, harassment or victimisation.

Confidentiality

All allegations will be treated in confidence and every effort will be made not to reveal a whistle-blower’s identity unless the whistle-blower otherwise requests. However, if the matter is subsequently dealt with through other ANLP procedures such as a legal investigation, it may be necessary for the whistle-blower identity to be given to the relevant authorities. Confidential information will remain confidential as far as legally possible.

Similarly, if the allegation results in court proceedings then the whistle-blower may have to give evidence in open court if the case is to be successful.

ANLP will not, without the whistle-blower’s consent, disclose the identity of a whistle-blower to anyone other than a person involved in the investigation/allegation.

Anonymous Allegations

This procedure encourages whistle-blowers to put their name to an allegation wherever possible as anonymous allegations may often be difficult to substantiate/prove. Allegations made anonymously are much less powerful but anonymous allegations will be considered at the discretion of the CEO, Managing Director, Director or other person of authority and responsibility within the organisation in question.

In exercising discretion to accept an anonymous allegation the factors to be considered:

  • The seriousness of the issue raised
  • The credibility of the allegation; and 
  • Whether the allegation can realistically be investigated from factors or sources other than the complainant

Untrue Allegations

No disciplinary or other action will be taken against a whistle-blower who makes an allegation in the reasonable belief that it is in the public interest to do so even if the allegation is not substantiated by an investigation. However, legal or other suitable action may be taken against a whistle-blower who makes an allegation without reasonable belief that it is in the public interest to do so (e.g. making an allegation frivolously, maliciously or for personal gain where there is no element of public interest).

Procedure for Making an Allegation

It is preferable for allegations to be made to an immediate manager of the supervisor/coach to whom they report.  However, this may depend on the seriousness and sensitivity of the issues involved and who is suspected of the malpractice. For example, if the whistle-blower believes that management/owners are involved it would be inappropriate to raise it directly with them. The whistle-blower may then make an allegation direct to any of the following:

  • ANLP (if the person or organisation in question is a Member of ANLP)
  • The Police
  • Regulator-approved Professional Association or Body

If any of the above receive an allegation, they will consider the allegation and may discuss with either the CEO or others with authority in the organisation (where appropriate). After consideration, the matter will discuss with the whistle-blower and if they wish to proceed, the allegation will be investigated.

Allegation

Whether a written or oral report is made it is important that relevant information is provided including:

  • The name of the person making the allegation and a contact point.
  • The background and history of the allegation (giving relevant dates and names and positions of those who may be in a position to have contributed to the allegation);
  • The specific reason for the allegation. Although someone making an allegation will not be expected to prove the truth of any allegations, they will need to provide information to the person they have reported to, to establish that that there are reasonable grounds for the allegation.

Someone making an allegation may be accompanied by another person of their choosing during any meetings or interviews in connection with the allegation. However, if the matter is subsequently dealt with through another procedure the right to be accompanied will at that stage be in accordance with the relevant procedure.

Action on Receipt of an Allegation

The line manager will record details of the allegation gathering as much information as possible, (within 5 working days of receipt of the allegation) including:

  • The record of the allegation:
  • The acknowledgement of the allegation;
  • Any documents supplied by the whistle-blower

The investigator will ask the whistle-blower for his/her preferred means of communication and contact details and use these for all communications with the whistle-blower in order to preserve confidentiality.

If the allegation relates to fraud, potential fraud or other financial irregularity the Treasurer will be informed within 5 working days of receipt of the allegation. The Treasurer will determine whether the allegation should be investigated and the method of investigation.

If the allegation discloses evidence of a criminal offence it will immediately be reported to the Board of Trustees and a decision will be made as to whether to inform the Police. If the allegation concerns suspected harm to children, the appropriate authorities will be informed immediately.

If the issue is around suspected harm to vulnerable adults, the Safeguarding Policy and Bullying and Harassment Policy should also be referred to.

Timetable

  • An acknowledge the allegation in writing within 10 working days with
    • An indication of how ANLP propose to deal with the matter
    • An estimate of how long it will take to provide a final response
    • An indication of whether any initial enquiries have been made
    • Information on whistle-blower support mechanisms
    • Indication whether further investigations will take place and if not, why not

Where the allegation has been made internally and anonymously, obviously ANLP will be unable to communicate what action has been taken.

Support

ANLP will take steps to minimise any difficulties which may be experienced as a result of making an allegation. For instance, if a whistle-blower is required to give evidence in criminal or disciplinary proceedings, ANLP will guide them to the correct authorities to receive advice about the procedure and advise on the support mechanisms that are available.

ANLP accepts that whistle-blowers need to be assured that the matter has been properly addressed. Thus, subject to legal constraints, we will inform those making allegations of the outcome of any investigation.

Responsibility for the Procedure

The person to whom the allegation is made or the person they refer the allegation to (if they are not a person of legal authority within the organisation) has overall responsibility for the operation of this Procedure and for determining the administrative processes to be followed and the format of the records to be kept.

Monitoring

A Register will record the following details:

  • The name and status (e.g. employee/client/etc.) of the whistle-blower
  • The date on which the allegation was received
  • The nature of the allegation
  • Details of the person who received the allegation
  • Whether the allegation is to be investigated and, if yes, by whom
  • The outcome of the investigation
  • Any other relevant details

The Register will be confidential and only available for inspection by the authorised personnel.

Annual Reports will be made to the company directors on the operation of the Procedure and on the whistle-blowing allegations made during the period covered by the report. The report will be in a form which does not identify whistle-blowers.