APPENDIX 1

WHISTLEBLOWING POLICY

1. INTRODUCTION

1.1 Employees are often in a good position to identify concerns regarding malpractice within the Council. However, they may not express their concerns because they are fearful of repercussions and/or that speaking up would be disloyal to their colleagues or the Council. In these circumstances it may be easier to ignore the concern rather than report what may just be a suspicion of malpractice.

1.2 This policy is intended to encourage and enable employees to raise serious concerns within the Council rather than overlooking the problem or `blowing the whistle' outside.

2. DEFINITION

The term `whistleblowing' in this policy refers to the disclosure, by workers, of malpractice as well as illegal acts or omission at work.

3. LEGAL BACKGROUND

The Public Interest Disclosure Act 1998, which came into force on 2 July, 1999 introduced protection against dismissal and other detriments for those workers who disclose information in the public interest in prescribed circumstances to prescribed persons provided that the disclosure is made in good faith. The Act does not introduce a general right for `whistleblowers' to receive special protection.

4. POLICY STATEMENT

Malpractice is taken very seriously and the Council is committed to the highest possible standards of openness, probity and accountability. In line with that commitment employees who have serious concerns about any aspect of the Council's work are encouraged and expected to come forward and voice those concerns, and may do so without fear of victimisation, subsequent discrimination or disadvantage.

5. AIMS

This policy aims to:

(i) encourage you to feel confident in raising serious concerns and to question and act upon concerns about practice;

(ii) ensure that you understand your responsibility for reporting malpractice;

(iii) provide avenues for you to raise concerns and receive a response on any action taken;

(iv) allow you to take the matters further if you are dissatisfied with the Council's response;

(v) reassure you that you will be protected from reprisals or victimisation if you have reasonable belief that you have made any disclosure in good faith and that the disclosure falls within the categories set out in paragraph 6.3 below.

6. SCOPE

6.1 This policy applies to all employees of Carmarthenshire County Council, contractors working for the Council on Council premises e.g. agency staff, builders, the voluntary sector. It also applies to suppliers and those providing services under a contract to the Council.

6.2 The Whistleblowing Policy is intended to cover concerns that fall outside the scope of other procedures and therefore does not replace the Complaints Procedure or procedures that enable you to lodge a grievance relating to your own employment.

6.3 Thus serious concerns about any aspect of service provision or conduct of officers or Members of the Council or others acting on behalf of the Council can be reported under this policy. This may be about something that:

(i) is unlawful, fraudulent, corrupt; or

(ii) is against, or fails to comply with, the Council's Standing Orders, Financial Regulations or policies, codes of conduct, legal obligations; or

(iii) falls below established standards of practice; or

(iv) amounts to improper conduct; or

(v) constitutes sexual, physical or emotional abuse of clients; or

(vi) endangers the health and safety of any individual; or

(vii) is causing, or is likely to cause, damage to the environment; or

(viii) is a miscarriage of justice; or

(ix) is an attempt to cover up any of the above examples.

7. OTHER RELEVANT POLICIES AND PROCEDURES

7.1 This policy should be read in conjunction with the Council's Employee Code of Conduct and departmental procedures for investigating concerns which may be developed from time to time and which will be drawn to the notice of employees and others to whom this policy applies.

8. SAFEGUARDS

8.1 Harassment or victimisation

8.1.1 The Council recognises that the decision to report a concern can be a difficult one to make not least because of the fear of reprisal from those responsible for the malpractice. If you make an allegation in good faith you should have nothing to fear as you will be doing your duty to your employer, your colleagues and those to whom you provide a service.

8.1.2 Harassment or victimisation of individuals who have raised concerns, including informal pressures, will not be tolerated and will be treated as a serious disciplinary offence which will be dealt with under the disciplinary procedure.

8.1.3 Any investigation into allegations of malpractice will not influence or be influenced by any discipline or redundancy procedures that may already effect you. Neither does it mean that any disciplinary or redundancy procedures to which you are already subject will be halted as a result of raising concerns.

8.2. Allegations

This policy advises you to put your allegations in writing and put your name to it. Concerns expressed anonymously are much less persuasive. If you do not reveal your identity it will be more difficult to protect your position or give you feedback.

8.3 False Allegations

If an allegation is made in good faith, but is not confirmed by the investigation, no action will be taken against you. If, however, an allegation is made frivolously, maliciously or for personal gain, disciplinary action may be taken against you in accordance with the Council's Disciplinary Procedure.

8.4. Confidentiality

All disclosures will be treated in confidence and every effort will be made not to reveal your identity if you so wish. It must be appreciated however that the investigation process may reveal the source of the information and a statement by you may be required as part of the evidence.

9. HOW TO RAISE A CONCERN

9.1 If you have a concern you should not approach or accuse individuals directly or attempt to investigate the matter yourself.

9.2 You should raise concerns with your departmental Complaints Officer (See Appendix 1) as a first step. This depends, however, on the seriousness and sensitivity of the issues involved and who is thought to be involved in the malpractice. It may be more appropriate to approach the Chief Executive, Director of Finance and Information Technology or Director of Corporate Administration as the Council's Monitoring Officer.

9.3 If you do not initially feel you can put your concerns in writing you may telephone or meet the appropriate officer. You are advised to confirm your concerns in writing setting out the background and history of the concern, giving names, dates and places where possible and the reason why you are particularly concerned about the situation. The earlier concerns are expressed the easier it is to take action.

9.4 Although you are not expected to prove the truth of an allegation, you will need to demonstrate to the person contacted that there is reasonable and sufficient grounds for your concern.

9.5 Advice and guidance on how matters of concern can be pursued can be obtained from your departmental complaints officer or any of the following:

Arwyn Howells Alan Jones Roger Jones Hugh Davies

Acting Chief Executive Director of Corporate Administration Acting Director of Finance and Information Technology Head of Corporate Human Resources

Extension 4111 Extension 4010 Extension 4120 Extension 4751

9.6 You may invite your trade union representative to raise the matter on your named behalf.

9.7 In addition, if you are unsure whether to use this policy or want independent advice at any stage, you may contact the independent charity Public Concern at Work on 020 7404 6609. Their lawyers can give you free confidential advice at any stage about how to raise concerns about serious malpractice at work.

10. HOW THE COUNCIL WILL RESPOND

10.1 Action taken by the Council will depend on the nature of the concern. The matters raised may:

· be investigated internally

· be referred to the Police

· be referred to the District Auditor

· form the subject of an independent inquiry

10.2 In order to protect individuals and the Council, initial enquiries will be made to decide whether an investigation is appropriate and, if so, what form it should take. Concerns or allegations which fall within the scope of specific procedures (for example, child protection) will normally be referred for consideration under those procedures.

10.3 Some concerns may be resolved by agreed action without the need for investigation.

10.4 Within 10 working days of a concern being received, the relevant officer will write to you to:

· acknowledge that the concern has been received

· indicate how it is proposed to deal with the matter

· give an estimate of how long it will take to provide a final response

· tell you whether any initial enquiries have been made, and

· tell you whether further investigations will take place, and if not, why not.

You will be given as much feedback as possible, but sometimes precise action will not be set out where this would infringe on a duty of confidence owed to Carmarthenshire County Council by someone else.

10.5 The parties may, on occasion and by mutual agreement, modify the time limits referred to in this policy.

10.6 The amount of contact between you and the officers considering the issues will depend upon the nature of the matters raised, the potential difficulties involved and the clarity of the information provided. If necessary further information will be sought from you.

10.7 When any meeting is arranged, you have the right, if you so wish, to be accompanied by a trade union representative or a colleague who is not involved in the area of work to which the concern relates.

10.8 Steps will be taken to minimise any difficulties which you may experience as a result of raising a concern. For instance, if you are required to give evidence in criminal or disciplinary proceedings, the Council will arrange for you to receive advice about the procedure.

10.9 It is accepted that you need to be assured that the matter has been properly addressed. Thus, subject to legal constraints, you will be informed of the outcome of any investigation.

10.10 If you are unhappy with the Authority's response to concerns raised under this policy and procedure you can contact the other levels and bodies detailed in this policy. While the Authority cannot guarantee that it will respond to all matters in the way that you might wish, we will endeavour to handle the matter fairly and properly. By using this policy you will help the Authority achieve this.

11. RESPONSIBLE OFFICER

The Director of Corporate Administration as Monitoring Officer has overall responsibility for the maintenance and operation of this policy. That officer will maintain a record of concerns raised and the outcomes (but in a form that does not endanger confidentiality) and will report as necessary to the Chief Officers Management Team on a biannual basis and to Standards and Scrutiny Committees annually.

12. HOW THE MATTER CAN BE TAKEN FURTHER

12.1 This policy is intended to provide an avenue to raise concerns within the Council. The Council hopes you will be satisfied with any action taken. If not, and if you feel that it is right to take the matter outside the Council, the following are contact points:-

· District Audit

· Audit Commission Anti Fraud and Corruption Unit (Public Interest Disclosure Line 020 7630 1019)

· Relevant professional bodies or regulatory organisations

· Your trade union

· The Police

· The charitable organisation Public Concern at Work (020 7404 6609)

· Health and Safety Executive

12.2 If you do take the matter outside the Council you should ensure that you do not disclose confidential information or that disclosure would be privileged.

12.3 You should be aware that disclosures made other than in accordance with the internal procedure require certain conditions to be satisfied to offer full protection to you. Anyone wishing to resort to such disclosure should seek independent legal advice.

Appendix 1

DEPARTMENTAL COMPLAINTS OFFICERS

Department	Name	Designation	Contact No.
Chief Executive	Karen Hiscocks	Departmental Support Co-ordinator	4816
Finance & Information Technology	Gary Brinson	Management Support Unit Manager	4471
Education & Community Services	Robert Blewitt	Head of Policy & Finance	4527
Environment & Economic Development	Alan Howells	Support Unit Manager	4356
Operations	Mike Rogers	Head of Policy & Business Development	5120
Social Care & Housing	Stephen Young	Head of Inspection Unit	01267 221000