Whistleblowing on Wrongdoing Or Potential Wrongdoing

Adoption UK policy Whistleblowing on Wrongdoing or Potential Wrongdoing within Adoption UK

1 Introduction

1.1 The purpose of this document and policy is to provide all those involved in the work of Adoption UK, ie, trustees, employed staff, self-employed group coordinators and Buddies and volunteers, with information on:

 the law surrounding whistleblowing on wrongdoing; and  Adoption UK’s internal procedures for reporting wrongdoing or potential wrongdoing.

This policy and procedure was agreed by Adoption UK’s Board of Trustees in October 2005.

2 Background and law

2.1 The Public Interest Disclosure Act 1998 protects workers from detrimental treatment or victimisation from their employer if, in the public interest, they blow the whistle on wrongdoing.

2.2 The Act protects most workers in the public, private and voluntary sectors, however, it does not apply to self-employed professionals (other than in the NHS) or voluntary workers (including charity trustees and charity volunteers).

2.3 The Act protects workers in a number of ways, for example:

 If an employee is dismissed because s/he has made a protected disclosure, then that will be treated as an unfair dismissal. Workers who are not employees may not claim unfair dismissal; however, if their contract has been terminated by the employer because they have made a protected disclosure, they may instead make a complaint that they have been subjected to a detriment.  In any event, workers are given a right not to be subjected to any detriment by their employers on the ground that they have made a “protected disclosure” (see below), and to present a complaint to an employment tribunal if they suffer detriment as a result of making a protected disclosure.

2.4 Detriment may take a number of forms, such as denial of promotion, facilities or training opportunities which the employer would otherwise have offered.

2.5 The Act makes special provision for disclosures to “prescribed persons”. For those involved with the work of Adoption UK, a list of relevant bodies to whom workers may make disclosures is included in the Appendix to this policy. In many instances, the relevant prescribed person will be the Charity Commission and workers will be able to make appropriate disclosures on matters relating to the proper administration of charities and funds given, or held, for charitable purposes.

2.6 For a disclosure to be protected by the Act’s provisions, it must relate to matters that “qualify” for protection under the Act. Qualifying disclosures are disclosures which the worker reasonably believes tend to show one or more of the following matters is either happening now, took place in the past, or is likely to happen in the future:

Whistleblowing policy Approved March 2010 Revised April 2012 1  A criminal offence  The breach of a legal obligation  A miscarriage of justice  A danger to the health and safety of any individual  Damage to the environment  Deliberate concealment of information tending to show any of the above five matters.

2.7 A qualifying disclosure to the Charity Commission will be a “protected” disclosure, provided the worker:

 Makes the disclosure in good faith and does not act for personal gain  Reasonably believes that the relevant failure relates to the proper administration of charities and funds given, or held, for charitable purposes; and  Reasonably believes that the information disclosed and any allegation contained in it are substantially true.

2.8 Other prescribed persons will be able to receive disclosures on other matters, such as health and safety, or damage to the environment – see the Appendix to this policy for a list of prescribed persons relevant to the work of Adoption UK.

2.9 It should be noted that the worker’s belief that one or more of the offences or breaches has happened, is happening or will happen, need not be correct – it might transpire that the worker was wrong – but the worker must show that s/he held the belief, and that it was a reasonable belief in the circumstances at the time of the disclosure.

2.10 In addition, one or more of the following conditions must be met:

 The worker reasonably believed that s/he would be subjected to a detriment by his/her employer if disclosure were to be made to the employer or to a prescribed person  In the absence of an appropriate prescribed person, the worker reasonably believed that disclosure to the employer would result in the destruction or concealment of information about the wrongdoing  The worker had previously disclosed substantially the same information to this employer or to a prescribed person.

2.11 Finally, it must be reasonable for the worker to make the disclosure. An employment tribunal will decide whether the worker acted reasonably in all the circumstances, but in particular will take into account:

 The identity of the person to whom the disclosure was made (eg, it may be more reasonable to disclose to the Charity Commission on charity matters, rather than to the media)  The seriousness of the relevant failure  Whether the relevant failure is continuing or is likely to occur again  Whether the disclosure breaches the employer’s duty of confidentiality to others  What action has or might reasonably be expected to have been taken if a disclosure was made previously to the employer or a prescribed person  Whether the worker complied with any internal procedures approved by the employer if a disclosure was made previously to the employer.

Whistleblowing policy Approved March 2010 Revised April 2012 2 2.12 Workers can “whistleblow” directly to a prescribed person, such as the Charity Commission, when they have concerns that fall within the above description. Where a worker is victimised for making a disclosure to that body, any claim that s/he may have under the Act is against his/her employer, ie, Adoption UK, and not against the prescribed person.

3 Adoption UK’s policy

General principles 3.1 Adoption UK fully recognises the provisions and spirit of the Public Disclosure Act 1998. As part of good employment and management policies and procedures, and as part of strong accountability, Adoption UK actively encourages trustees, employed staff, self-employed trainers/Buddies/group coordinators and volunteers to raise any concerns or issues over the administration of Adoption UK through normal management processes. However, Adoption UK also recognises that there may be situations where such workers or volunteers will have to make disclosures directly to a prescribed person, such as the Charity Commission. By providing the above information on the law surrounding whistleblowing, Adoption UK is showing its support to workers and volunteers who are trying to ensure that wrongdoing is not ignored and that the charity and relevant staff are held to account for that wrongdoing.

3.2 As a general principle in this policy, Adoption UK undertakes to investigate any allegation of wrongdoing with objectivity and impartiality. It will also treat all allegations as confidential, as far as it is able, with due regard to privacy under data protection and human rights legislation. However, a person who is under inquiry is entitled to know the nature of the allegations being made, and any person criticised by Adoption UK as a result of an inquiry has a right to be told the nature of the evidence upon which the criticism has been based.

3.3 While all measures will be taken to try to ensure that a complainant’s identity is not revealed without their consent, in some cases the nature of the allegation or evidence may give an indication to their source. In short, it may not be always possible to protect the complainant’s identity.

Procedure 3.4 Adoption UK’s internal whistleblowing procedure is as follows.

3.5 Where workers have a concern that they believe falls within the definition of a “qualifying disclosure” (see above), then they should raise this matter with their line manager, in the first instance.

3.6 The line manager will record the concerns in writing, covering the following:

 A description of the concern, event, failure, wrongdoing or malpractice, as appropriate.  Who it involved, including any line management responsibility or authority.  When it happened.  Why the worker believes the failure to be of concern.  Any evidence to support the allegation.

3.7 The line manager will provide a draft record to the worker within three working days and will ask the worker to indicate any revisions required to ensure the accuracy of the record. Within a further two working days, the line manager will finalise the record and both line manager and worker will sign and date the

Whistleblowing policy Approved March 2010 Revised April 2012 3 record to indicate agreement to it as an accurate record of the failure or wrongdoing, etc.

3.8 The line manager will then provide a copy to the Chief Executive.

3.9 The Chief Executive will investigate the matter within 10 working days of being notified. The Chief Executive will provide a written report to the line manager and worker, covering the following:

 Whether or not s/he has been able to substantiate the evidence of the failure or wrongdoing, etc; and what were the results of his/her investigations.  If the failure or wrongdoing, etc, alleged is not substantiated, the Chief Executive will explain the reasons behind this and what further action, if any, will be taken.  If the failure or wrongdoing, etc, is substantiated, the Chief Executive will explain what further action will be taken, including the notification of any appropriate authorities. The Chief Executive will also detail what measures will be taken to reduce the likelihood of a similar failure or wrongdoing, etc, re- occurring.

3.10 A copy of the Chief Executive’s report will be given to the Chair of Adoption UK’s Board of Trustees. The Chair, in consultation with the other trustees and Chief Executive, may decide to take further action.

3.11 If the worker is dissatisfied with the outcome of the Chief Executive’s investigations, then s/he may appeal directly to the Chair of the Board of Trustees, stating the reasons for his/her dissatisfaction.

3.12 Upon receipt of such an appeal, the Chair will investigate the matter further and report on the outcome within 10 working days.

3.13 If the worker remains dissatisfied with the outcome, s/he should report the matter directly to a prescribed person, such as the Charity Commission (see below for further details of how to do this).

3.14 Where the original matter raised concerns the worker’s line manager, Chief Executive or trustees, or where the worker has reasonable grounds for believing that it will be difficult for any investigation process to be sufficiently objective or impartial, or that disclosure to those staff will result in the destruction or concealment of information about the failure or wrongdoing, etc, then t he worker should either:

 Report the matter directly to another appropriate senior manager or trustee whom the worker believes is not involved in the failure or wrongdoing, etc, complained of; or  Report the matter directly to a prescribed person, such as the Charity Commission (see below).

4 Further information

4.1 For advice on how to report a concern to the Charity Commission, contact the Charity Commission’s General Enquiry Line on 0870 333 0123 or write to: Operation Manager, Charity Commission, 12 Princes Dock, Princes Parade, Liverpool L3 1DE.

4.2 The action the Charity Commission will take will depend on the nature of the concern raised. The Commission’s guidance leaflet CC47 – Investigating

Whistleblowing policy Approved March 2010 Revised April 2012 4 Charities (see www.charitycommission.gov.uk) gives more information on what happens when a concern is raised and gives examples of the powers it has to investigate concerns and to put matters right.

The Department for Trade and Industry has also produced a guide to the Public Disclosure Act. This is available via its website at www.dti.gov.uk. It can also be ordered by calling 0870 1502 500.

4.3 The charity Public Concern at Work provides free confidential advice to workers who have concerns about wrongdoing in the workplace. The charity can be contacted at Suite 306, 16 Baldwin Gardens, London EC1N 7RJ or by telephone on 020 7404 6609 or by email at [email protected].

Whistleblowing policy Approved March 2010 Revised April 2012 5 Appendix List of prescribed persons relevant to the work of Adoption UK

The Charity Commissioners for England and Wales

Matters in respect of which the person is prescribed:

 The proper administration of charities and of funds given or held for charitable purposes.

Contact: Charity Commission Operation Manager, 12 Princes Dock, Princes Parade, Liverpool L3 1DE Tel: 0845 300 0218

Office of the Scottish Charity Regulator

 The proper administration of charities and of funds given or held for charitable purposes.

Contact: Office of the Scottish Charity Regulator (OSCR) 2nd Floor, Quadrant House 9 Riverside Drive Dundee DD1 4NY Tel: 01382 220446 Email: [email protected]

The Commissioners for Her Majesty’s Revenue and Customs

 Value added tax, insurance premium, excise duties and landfill tax. The import and export of prohibited or restricted goods.  Income tax, corporation tax, capital gains tax, petroleum revenue, inheritance tax, stamp duties, national insurance contributions, statutory maternity pay, statutory sick pay, tax credits, child benefits, collection of student loans and the enforcement of the national minimum wage.

Contact: Her Majesty’s Revenue and Customs Cross Cutting Policy, Room 1E/O4, 1 Parliament Street, London SW1A 2BQ. Tel: freephone 0900 595 000 Email: [email protected]

The Environment Agency

 Acts or omissions which have an actual or potential effect on the environment or the management or regulation of the environment including those relating to pollution, abstraction of water, flooding, the flow of rivers, inland fisheries and migratory salmon or trout.

Contact:

Whistleblowing policy Approved March 2010 Revised April 2012 6 The Environment Agency, Rio House, Waterside Drive, Aztec West, Almondsbury, Bristol BS12 4UD. Tel: 0800 807060 (24 hour line) or enquiries 08708 506 506

Scottish Environment Protection Agency

 Act or omissions which have an actual or potential effect on the environment or the management or regulation of the environment including those relating to flood warning systems and pollution.

Contact: Scottish Environment Protection Agency, Erskine Court, Castle Business Park, Stirling FK9 4TR Tel: 0800 80 70 60 (Pollution Hotline) or 01786 457700 (enquiries) Email: [email protected]

Children’s Commissioner for Wales

 Matters relating to the rights and welfare of children.

Contact: Children’s Commissioner for Wales Oystermouth House, Phoenix Way, Swansea Enterprise Park, Llansamlet, Swansea SA7 9FS Tel: 01792 765600 Email: [email protected]

Health and Safety Executive

 Matters which may affect the health or safety of any individual at work; matters which may affect the health and safety of any member of the public arising out of, or in connection with, the activities of persons at work.

Contact: Health and Safety Executive Information Centre, Broad Lane, Sheffield S3 7HQ Tel: 0845 345 0055 (HSE infoline)

Local authorities

 Matters which may affect the health or safety of any individual at work; matters which may affect the health and safety of any member of the public arising out of, or in connection with, the activities of persons at work.

Contact: The appropriate local authority, depending upon location.

Whistleblowing policy Approved March 2010 Revised April 2012 7 Information Commissioners in the UK

 Compliance with the requirements of legislation relating to data protection and to freedom of information.

Contact: The Office of the Information Commissioner - England Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF Tel: 0303 123 1113

Scotland Information Commissioner's Office – Scotland 93 - 95 Hanover Street Edinburgh EH2 1DJ Tel: 0131 301 5071 Fax: 0131 301 5069 Email: [email protected]

Wales Information Commissioner's Office – Wales Cambrian Buildings Mount Stuart Square Cardiff CF10 5FL Tel: 029 2044 8044 Fax: 029 2044 8045 Email: [email protected]

Northern Ireland Information Commissioner's Office – Northern Ireland 51 Adelaide Street Belfast, BT2 8FE Tel: 028 9026 9380 Fax: 028 9026 9388 Email: [email protected]

Ofsted

 Matters relating to the provision of regulated care services, as defined in the Care Standards Act 2000.

Contact: Ofsted Piccadilly Gate, Store Street, Manchester M1 2WD Tel: 08456 404045 Helpline: 0300 1231231 Website: http://www.ofsted.gov.uk

Whistleblowing policy Approved March 2010 Revised April 2012 8