Our Mission Whistleblowing and Allegation Management Introduction Bath Rugby Foundation is committed to ensuring we meet the highest standards of transparency, probity, integrity and accountability within a shared culture of openness and honesty. The raising of concerns is welcomed to safeguard our staff, volunteers, children and young people and members of the public. Staff who raise concerns are seen as actively engaged in the values and culture of the Foundation. Purpose This policy sets out the framework for dealing with allegations of illegal and improper conduct. This procedure is intended to provide a means of raising serious allegations and concerns which are revealed to be in the public interest, regarding standards, conduct, financial irregularity or possible unlawful action. The procedure is designed to ensure confidentiality and protect those making such allegations from being victimised, discriminated against and disadvantaged. All allegations are treated seriously and objectively, dealt with in a timely manner, and full and accurate records are kept. Scope Employees for this purpose include permanent and temporary staff, apprentices, contractors, casual and irregular staff, Trustees, volunteers and work placement students. This procedure does not replace other policies and procedures such as the complaints procedure, grievance, safeguarding, harassment and bullying policies and other specifically laid down statutory reporting procedures. Policy review We are committed to reviewing our policy and good practice annually. The responsibility of reviewing and maintaining this policy is Bath Rugby Foundation’s Designated Safeguarding Officer. Last review date: March 2024 Date of next review: October 2024 Designated Safeguarding Officer Trustee Lead for Child Protection and Safeguarding Signed: Signed: Date: Date: 1. What is whistleblowing? Across the Foundation, inside the workplace, the term Whistleblowing is used to describe reporting by workers (past and present), of serious concerns or wrongdoing on the part of any grade of management, the Trustee Board, or by fellow employees. Any wrongdoing disclosed must be in the public interest and must be serious in its nature. This may include: criminal activity safeguarding concerns failure to comply with any legal or professional obligation or regulatory requirements miscarriages of justice danger to health and safety damage to the environment bribery financial fraud or mismanagement other unlawful or unethical conduct in the workplace the deliberate concealment of any of the above matters any other illegal or unethical act or breaches of Bath Rugby Foundation’s Code of Conduct. 2. Protecting the whistleblower Whistleblowers are protected by law. The legislation which provides protection for whistleblowers is contained in the Employment Rights Act 1996, as amended by the Public Interest Disclosure Act 1998. Where a worker makes a protected disclosure, they have the right not to be subjected to any detriment by their employer for making a disclosure. All allegations will be treated in confidence and every effort will be made not to reveal a whistleblower’s identity unless the whistleblower otherwise requests or there is a legal obligation to reveal. The Foundation will not discriminate or take disciplinary action against a whistleblower who makes an allegation in the reasonable belief it is in the public interest, even if the allegation is not substantiated by an investigation. Disciplinary action may be taken against a whistleblower who makes an allegation which is obviously frivolous and malicious or designed purely for personal gain and without any element of public interest. 3. When should whistleblowing procedures be used? The Foundation encourages the reporting of any perceived activity which undermines the values and culture of the Foundation. The raising of concerns and the ability of the Foundation to receive, consider and act upon those issues, is the demonstration of a healthy and open workplace culture. Each individual member of staff should feel able to speak freely on such matters. Whistleblowing should only be used when the party implementing the procedure has reasonable grounds for believing a serious offence has been or may be committed. The wrongdoing disclosed must be in the public interest. This means there should be a wider impact, it must affect others e.g. the general public. Members of staff who have issues relating to their own employment rather than issues affecting our operations generally should use our Grievance Procedure as stated in the General Policies and Procedures Manual. Members of the public, volunteers and beneficiaries would normally use the Foundations’ Complaints Procedure to raise issues of concern to them e.g.: the quality or effectiveness of service delivery financial mismanagement or impropriety Health and safety ethics misuse of assets inappropriate use of IT equipment bullying and/or harassment. However, in the circumstances set out above e.g. requiring confidentiality, the Whistleblowing Procedure may also be used about this type of issue. Whistleblowing is not appropriate to specific cases of child safety or safeguarding which will be dealt with under the procedures specified in this connection. If any staff member is concerned a child or young person is being dealt with unfairly, they should raise their concern, in the first instance with the Designated Safeguarding Officer or Deputy Safeguarding Officers. The whistleblowing procedure must never be used without good grounds. The Foundation have the right to protect themselves against unfounded false or malicious accusations. 4. Confidential employee enquiries Employees may, on a confidential basis, seek prior guidance from the Chief Executive Officer (CEO) or the Chair of the Board of Trustees if they wish to establish whether any course of conduct on their part or on the part of another employee may amount to wrongdoing under these procedures. Any such enquiry shall be kept confidential. The CEO will attempt to provide guidance based on the information provided, but such guidance shall not prejudice the rights of the Foundation or any person under these procedures. There is an expectation that any approach will be recorded confidentially within the Fraud and Whistleblowing Register held with the Foundation and forms part of the monitoring process maintained by the Safeguarding Team. 5. The reporting of concerns It is preferable for allegations to be made to an employee’s immediate line manager, to whom they report. However, this may depend on the seriousness and sensitivity of the issues involved and who is suspected of any potential malpractice. For example, if the whistleblower believes their Line Manager is involved it would be inappropriate to raise it directly with them. The whistleblower should make an allegation through following the stages of the procedure below: Stage one Procedure: You should disclose the suspected wrongdoing first to your line manager. If your line manager is involved in the suspected wrongdoing, you should proceed directly to Stage Two of this procedure. Response: You can expect a response detailing to whom the disclosure has been notified or any action taken within five working days of your line manager becoming aware of the disclosure. Stage two Procedure: If no response is forthcoming after five working days from your line manager, if you are not satisfied with the way in which your concern has been handled or if your line manager is involved in the suspected wrongdoing, you should notify the CEO, as appropriate. Response: You can expect a response detailing any action taken within five working days of the CEO becoming aware of the disclosure. Stage three Procedure: If no response is forthcoming after five working days from the CEO, if you are not satisfied with the way in which your concern has been handled or if the CEO is involved in the suspected wrongdoing you should inform the Chair of the Board of Trustees of the disclosure. Stage four Procedure: If no response is forthcoming after five working days from the Chair of the Board of Trustees, if you are not satisfied with the way in which your concern has been handled or if the Chair of the Board of Trustees is involved in the suspected wrongdoing you should inform the relevant external body. A flow chart providing a summary of how to report a whistleblowing concern can be seen in Appendix 1. Allegations may be made anonymously but they are much less powerful and may often be more difficult to substantiate. This procedure encourages whistleblowers to put their name to an allegation wherever possible, however, anonymous allegations will be considered at the discretion of the Foundation’s management. In exercising discretion to investigate an anonymous allegation the factors to be considered include: the seriousness of the issue raised the credibility of the allegation whether the allegation can realistically be investigated from factors or sources other than the anonymous information. 6. Informing external agencies Within the Foundation all staff have a duty of confidentiality. The duty of confidentiality is implied by the law in every contract of employment and prohibits employees from publicly disclosing employers’ confidential information, unless it is in the public interest the information is disclosed or unless the Foundation fails to follow required procedures. Other legal restrictions on the disclosure of information, for example under General Data Protection Regulation (GDPR UK) legislation, may also apply. Whistleblowing to the media or on any other social media platform is not appropriate or permitted in any circumstances. Whistleblowing to an external agency without first going through the internal procedure is a breach of the Foundation's Code of Conduct. The external agencies which may be used if disclosure is permitted are: Local Authority Designated Officer (LADO) NSPCC Health and Safety Executive Information Commissioner Department for Education Police Charity Commission Channel Police Practitioner HM Revenue and Customs Action Fraud National Crime Agency Staff are strongly encouraged to seek advice before reporting a concern to anyone external. In most cases you should not find it necessary to alert anyone external but before you do, as well as considering the internal help and support available which is identified above, please seek external advice from: Protect: If you have any concerns about disclosing a suspected wrongdoing the independent whistleblowing charity, Protect, operates a free and confidential advice line. Staff can call 020 3117 2520 for advice or use their online form which can be found here. NSPCC: The NSPCC whistleblowing helpline is also available for staff who do not feel able to raise concerns regarding child protection failures internally. Staff can call 0800 028 0285 (8.00 am to 8.00 pm Monday to Friday) or email [email protected]. The Modern Slavery helpline: The Modern Slavery helpline is available for staff who do not feel able to raise concerns about modern slavery internally. Staff can call on 0800 0121 700. 7. Action on initial receipt of allegations Allegations can be received and raised in writing (see Appendix 2) or orally. Allegations may be delivered by several different means such as letter, email, telephone, and conversation. It is however essential the relevant information is captured and recorded appropriately by the receiver of the allegation. Information should include the specific allegation and where possible the name and contact point of the person making the allegation. It would be helpful to understand the background and history of the allegation with relevant dates, names and positions of those who may have been in a position to have contributed to the allegation. Although someone making an allegation is not expected to prove the truth of any allegations, they will need to provide sufficient information to the person they have reported to, to establish there are reasonable grounds for the allegation. Either on the receipt of the allegation or within 5 working days, the manager (receiver of the allegation) will: record the allegation if opportune, conduct an interview with the whistleblower to obtain a clear understanding and the full facts consider the necessity to undertake any fast-track activity to secure and preserve material and information. Is there a need to undertake immediate activity to prevent or reduce the risk of harm to either individuals or the organisation? retain any documents supplied by the whistleblower formally acknowledge the receipt of the allegation understand the preferred means of communication and contact details of the whistleblower and use these for all communication in order to preserve confidentiality the manager is to consider if they or another are the most appropriate individual to be the investigating officer and, if necessary, in consultation with the Foundation’s CEO confirm the appointment of an investigating officer record the activity undertaken and maintain a decision log consider whether there is a need to interview the whistleblower when further information has been gathered. The whistleblower 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 this stage be in accordance with the relevant procedure. If the allegation relates to fraud, potential fraud or other financial irregularity, no matter the value, within two days the CEO will be informed. They will then consider whether the investigation requires or should be supported by a finance officer/investigator, the method of investigation and whether it should be reported further. If the issue 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 in consultation with relevant safeguarding leads should be informed immediately. Within 10 working days of the receipt of the allegation, the investigating officer will: confirm to the whistleblower whether the initial receiver of the information remains as the investigating officer or whether a new investigator has been appointed have interviewed the whistleblower - If no interview has taken place, provide an explanation as to why there is a delay (i.e. the need to gather further information from the initial material received) and the likely date of any further interview provide an indication of how the Foundation propose to deal with the matter (route map) provide an indication as to whether an investigation will take place, and if not, why not provide an estimation of how long it is anticipated to provide a final response provide an indication of whether any initial enquiries have been made provide the process and information to ensure there is clarity in relation to the support mechanism for the whistleblower. The Foundation will be unable to communicate activity where an allegation has been made internally and anonymously. Proposed action and decision-making processes should still be formally recorded to ensure transparency of thought. Anonymous allegations will remain as part of the yearly monitoring and reporting process to the Board of Trustees. The principle revolves around the themes of swift, fair and proportionate investigations. However, investigations can be complex and time consuming in their nature. As a minimum, an investigating officer should update the whistleblower with the progress of the investigation every 28 days until it is formally concluded. 8. The interview process and outcomes For the purpose of whistleblowing, the interview is generally a face to face conversation, where there is an ability to ask questions, discuss and consult over the issues raised and material presented, to establish facts and identify or evaluate further investigative need. The interview seeks to obtain as much information from the whistleblower about the grounds for the belief of wrongdoing, and the evidential gathering opportunities available to support the allegations. Early interview is essential if the concern relates to any form of immediate harm. There is an expectation if no interview took place as part of the initial disclosure by the whistleblower, then the first interview should take place within 10 working days of the allegation being raised. There is an expectation the investigating officer will: have read any material provided by the whistleblower on their initial disclosure of serious concerns consult and seek a view from the whistleblower about the further steps which could be taken and the expectation of resolution advise the whistleblower of the appropriate route if the matter does not fall within the whistleblowing guidelines. At the interview with either the receiving officer or the appointed investigator, the whistleblower may be accompanied by a recognised trade union representative or a work colleague. The investigator may be accompanied by a member of Foundation staff to take notes. Unless the whistleblowing concern raised relates to the Chair of the Trustee Board, matters raised under this procedure should be reported to the Chair of the Trustee Board. The investigating officer may at any time disclose the matter to a professionally qualified lawyer for the purpose of taking legal advice. The investigator may also discuss the issue, in confidence, with other suitable professionals, such as independent HR consultants, in order to assess the nature of the case and to inform the outcome of the investigation. 9. Outcomes and recommendations Promptly within ten working days of the interview, the investigator will recommend one or more of the following: the matter be further investigated internally by the Foundation the matter be further investigated by external consultants appointed by the Foundation the matter be reported to an external agency disciplinary proceedings be implemented against an employee provide the route for the whistleblower to pursue the matter if it does not fall within this procedure that no further action is taken by the Foundation. The grounds on which no further action is taken include: the matter concerned is already (or has been) the subject of legal proceedings or has already been referred to an external agency the matter is already (or has been) the subject of proceedings under one of the Foundation’s other procedures or policies the Investigator is satisfied, on the balance of probabilities, there is no evidence that wrongdoing within the meaning of this procedure has occurred, is occurring or is likely to occur the Assessor is satisfied the Representor is not acting in good faith. Recommendations The recommendation of the investigator will be made to the CEO. However, should it be alleged the CEO is involved in the alleged wrongdoing; the recommendation will be made to the Foundation’s Board of Trustees. The CEO and the Chair of the Board of Trustees, as appropriate, will ensure the recommendation is implemented unless there is good reason for not doing so in whole or in part. A reason not to implement any recommendation or part of will be reported to the next meeting of the Board of Trustees and decisions to implement or not will be recorded as part of the yearly monitoring process. The whistleblowers identity will be kept confidential unless the whistleblower otherwise consents or unless there are grounds to believe that the whistleblower has acted maliciously. In the absence of such consent or grounds, the investigator will not reveal the identity of the whistleblower except: where the investigator is under a legal obligation to do so where the information is already in the public domain on a legally privileged basis to a professionally qualified lawyer for the purpose of obtaining legal advice. The conclusion of any agreed investigation will be reported by the investigator to the whistleblower promptly and certainly within twenty-one days of conclusion. All responses to the whistleblower will be made in writing and sent to the whistleblower’s home address. If the whistleblower has not had a response within the above time limit or such reasonable extension as the Foundation requires, the whistleblower may go to an appropriate external agency but will inform the investigator before doing so. The whistleblower may at any time disclose the matter on a legally privileged basis to a professionally qualified lawyer for the purpose of taking legal advice. See Appendix 3 for a summary of the whistleblowing investigation process. 10. Review process At the behest of either the whistleblower or the investigator an assessor may be appointed to review the material and the decision reporting back within fourteen days. 11. Malicious accusations A deliberately false or malicious accusation made by a whistleblower is a disciplinary offence and will be dealt with under the Foundation’s disciplinary procedure, as well as potentially exposing the whistleblower to legal liability. 12. Monitoring, evaluation and review The Board of Trustees will assess the implementation and effectiveness of this policy. The policy will be promoted and implemented throughout the Foundation. A register held with the Foundation and maintained by the Operations Manager will record the following details: the name and status (e.g. employee) of the whistleblower 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 (Appendix 4) will be confidential and only available for inspection by the Board of Trustees. The CEO will report annually to the Board of Trustees on the operation of the procedure and on the whistleblowing allegations made during the period covered by the report. The report will be in a form which does not identify whistleblowers. Appendices Appendix 1: How to report a whistleblowing concern Appendix 1: Whistleblowing Report Form Appendix 1: Whistleblowing Investigation Procedure Appendix 1: Whistleblowing Register See this document for appendix 1, 2, 3 & 4: 1)whistleblowingandallegationmanagement.docx Manage Cookie Preferences