Chapter 11 - Whistleblowing
Appendices
- Roles and responsibilities |
- Legal liability |
- Examples and definitions |
- Flowchart (not currently available)
- The Crown Prosecution Service is committed to the highest standards of openness, probity and accountability in the delivery of its services. Whilst the Service has put in place a wide range of policies and procedures to deliver this commitment we need to ensure we can identify any malpractice and/or wrongdoing that may still occur.
- Employees are often the first to become aware of bad practice within the Service. However, they may not express their concerns because they feel that speaking up would be disloyal to their colleagues or to the Department. They may also fear being penalised for raising a concern.
- Employees and others, such as contractors and agency staff, with serious concerns about any aspect of the Department's work should be encouraged to come forward and voice those concerns without fear of reprisal. The Department will treat seriously any allegations of a whistleblower being subjected to a detriment.
- These procedures are in addition to the Department's Complaints Procedure (see Chapter 5 of this Volume), the Equality and Diversity Complaints Procedure (EDCP) (see Volume 5 Chapter 7) and the Civil Service Code (see Chapter 1 of this Volume).
- Raising these concerns internally will minimise the risk that disclosure breaches the Official Secrets Act (see Conduct chapter in this Volume and Appendix 2) or a duty of confidentiality.
- The Whistleblowing Policy aims to:
- provide protection to an employee who raises a concern;
- assist and support an employee who requests help and guidance in raising concerns about malpractice and/or wrongdoing;
- ensure consistent and sensitive handling of any concerns of malpractice and/or wrongdoing raised using the procedures laid out in this policy.
- The concern may be about something that:
- is unlawful;
- relates to improper conduct or unethical behaviour;
- makes a member of staff feel uncomfortable in terms of the standards to which the Department subscribes;
- is against the Department's policies and/or procedures;
- fails to comply with established standards, practices, legal obligations or statutes;
- constitutes financial malpractice, impropriety or fraud.
- The Public Interest Disclosure Act 1998 as inserted into the Employment Rights Act 1996 (see Appendix 2) was developed following the recommendations of the Committee on Standards in Public Life, whose task was to recommend measures to ensure the highest standards of propriety in public life. The Committee recommended that effective 'elements of best practice' for whistleblowing arrangements include:
- respect for the confidentiality of staff who raise concerns (if they wish), and the opportunity to raise concerns outside the line management structure;
- a clear statement that malpractice is taken seriously in the organisation and an indication of the sorts of matters regarded as malpractice (see Appendix 3);
- penalties for making false and malicious allegations; and
- an indication of the proper way in which concerns may be raised outside the organisation if necessary.
- The Act provides protection to employees who act reasonably and responsibly. Protection is not guaranteed to employees who make disclosures externally, e.g. to the media, when the information could and should have been raised internally.
- The CPS is committed to good practice and high standards and wants to be supportive of employees.
- The CPS 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. The CPS will do what it lawfully can to protect staff when a genuine concern is raised.
- This does not mean that, if the whistleblower is already the subject of disciplinary, inefficiency, redundancy or other procedures, those procedures will be halted as a result of the whistleblowing.
- The CPS will do its best to protect the identity of an individual who raises a concern and does not want their name to be disclosed. It must be appreciated that the investigation process may reveal the source of the information and a statement by the whistleblower may be required, particularly if the police or external auditors become involved.
- It is best if an allegation is not made anonymously. However, in circumstances where this happens, the allegation will be considered at the discretion of the CPS.
- In exercising the discretion, factors to take into account would include:
- the seriousness of the issues raised;
- the credibility of the concern; and
- the likelihood of confirming the allegation from an attributable - that is, someone other than the anonymous - source.
- If an allegation is made in good faith, but is not confirmed by subsequent investigation, no action will be taken against the whistleblower. If, however, the investigator concludes that a malicious or vexatious allegation has been made, disciplinary action may be taken.
- A whistleblower should normally raise their concern with their line manager (see Appendix 4). This depends, however, on the seriousness and sensitivity of the issues involved and who is thought to be involved in the malpractice. If it is not possible or appropriate to raise the concern with the line manager, it should be referred as follows:
- for Senior Civil Service staff below HQ Director level and staff at Levels D and E - to the Director, Casework;
- for staff at Levels C, B and A - to the Area Business Manager (ABM), CPS London.
- Concerns about malpractice and/or wrongdoing should be confirmed forthwith in writing. The background and history of the concern should be set out, giving names, dates and places where possible, and the reasons why the particular concern has arisen.
- The whistleblower will need to demonstrate to the person contacted that there are sufficient grounds for their concern.
- Independent advice can be sought from Public Concern at Work, a registered charity which promotes accountability and good governance in organisations and responsibility among individuals, or from Trade Union Representatives (see paragraph 28 below on Independent Advice).
- A trade union representative or workplace colleague may be asked to raise a matter on the whistleblower's behalf. The whistleblower may also be assisted as above at any meeting that is held relating to the concern raised.
- The purpose of this policy is to set out the circumstances and way in which concerns of malpractice and/or wrongdoing within the CPS can and should be raised. A failure to adhere to this policy or the relevant statutory principles of the Employment Rights Act may result in disciplinary action being taken against the whistleblower.
- Once Management (line manager or manager as set out in paragraph 17 above) has been approached about a concern they will initially assess the situation to determine the action to be taken. The action taken will depend on the nature of the concern. The CPS could decide that the matter raised may be:
- investigated internally and/or dealt with in accordance with another CPS procedure (e.g. EDCP);
- referred to the Police;
- referred to an External Auditor (e.g. the National Audit Office);
- form the subject of an independent inquiry.
- In order to protect individuals and the CPS, the initial assessment will include deciding whether an investigation is appropriate and, if so, what form it should take. The decision will be taken with regard to the nature and circumstances of the concern.
- Some concerns may be resolved by agreed action without the need for investigation.
- Within 10 working days of a concern being received, the whistleblower's immediate manager or other, depending on who has been approached, will write to the individual to:
- acknowledge receipt of the concern;
- indicate how it is proposed to deal with the matter;
- give an estimate of how long it will take to provide a final response;
- indicate whether any initial enquiries have been made; and
- inform the whistleblower whether further investigations will take place, and if not, why not.
- The CPS accepts that the individual will need to be assured that the matter has been properly addressed. Subject to legal constraints, the whistleblower will receive sufficient information about the outcome of any investigation to enable them to be satisfied that the concern has been dealt with.
- This policy is intended to provide staff with an avenue to raise concerns within the CPS. If, in exceptional circumstances, the whistleblower is not satisfied, having raised their concern internally, and they wish to raise the matter outside the CPS, the following are possible contact points:
- the independent charity Public Concern at Work on 020 7404 6609 or at helpline@pcaw.co.uk;
- the National Audit Office on their dedicated whistleblowing helpline: 020 7798 7999;
- the Police;
- PCS or FDA.
- Lawyers at Public Concern at Work are available to give free confidential advice at any stage about how to raise a concern about malpractice at work.
Introduction
Principles
Procedures
Relevant legislation
Protection from detriment
Confidentiality
Anonymous allegations
In some instances it may be appropriate to put out a general message about the concern raised, rather than investigate an anonymous allegation. This may also increase the opportunity for other 'witnesses' to come forward and enable an investigation to take place.
Untrue allegations
Raising a concern
Exceptionally, if it is not possible or appropriate to raise the concern internally, and if the concern relates to the proper conduct of public business, value for money, fraud and corruption in the provision of centrally funded public services, it may be referred to the Comptroller and Auditor General of the National Audit Office (NAO).
Failure to follow this policy
Handling reported concerns
It will not be possible to acknowledge anonymous complaints.
