Fraud and corruption

This policy applies to all those who perform work for our Council:

• The Chief Executive, Directors and Heads of Service
• Full and part-time employees
• Contractors and sub-contractors
• Agency staff
• Work experience, employees on the Council’s workers scheme, casual staff and other trainees including apprentices

For simplicity, this group of individuals is termed ‘staff’.

The following arrangements set out our policy and procedures with regard to “Whistleblowing” in the workplace and provide protection to staff that make disclosures to the Council. Whistleblowing is the confidential disclosure by staff of any wrong doing that they may encounter in the workplace that could put the Council and or the public at risk.

This policy is fundamental to the professional integrity of the Council and reinforces the value that the Council places on staff to be honest and respected members of their individual professions. The policy provides the Council with a mechanism to manage risk whilst offering whistleblowers protection from victimisation, harassment or disciplinary procedure.

Whistleblowers are protected under the Employment Rights Act 1996, as amended by the Public Interest Disclosure Act 1998 and subsequent legislation. Since 25 June 2013, a qualifying disclosure must be made in the reasonable belief that it is in the public interest. Workers are also protected from detriment, bullying, harassment or victimisation by colleagues because they have made a protected disclosure.

1. Policy

1.1 The fundamental elements of the policy are:

1.2 Protection – all staff are protected from victimisation, harassment, bullying, detrimental treatment or disciplinary action because they have made a protected disclosure. Protection applies where the disclosure meets the legal requirements for a protected disclosure. Allegations that are deliberately false, malicious or made for personal gain may be dealt with under the Council’s disciplinary procedures.

1.3 Anonymity – the identity of the whistleblower will be protected at all stages in any internal matter. Whilst the Council can provide internal anonymity, it cannot guarantee that this will be retained if external legal action flows from the disclosure. The Council is not accountable for maintaining anonymity where the whistleblower has told others of the alleged misdemeanour.

1.4 Encouragement – the Council encourages those who suspect wrong-doing to report it wherever there are concerns.

1.5 This policy applies to all current employees and volunteers as well as to former employees, volunteers and any individual who has previously worked with or for the Council.

2. Qualifying Disclosures

2.1 The policy applies to disclosures that may qualify as protected disclosures under the Employment Rights Act 1996. A qualifying disclosure is a disclosure of information which, in the reasonable belief of the staff member, is made in the public interest and tends to show one or more relevant failures. Whistleblowing differs from a personal grievance, which normally relates to an individual’s own employment circumstances rather than wider public interest concerns.

2.2 The relevant failures covered by whistleblowing legislation include concerns that, in the reasonable belief of the staff member, tend to show:

• A criminal offence has been, is being, or is likely to be committed
• A person has failed, is failing, or is likely to fail to comply with a legal obligation
• A miscarriage of justice has occurred, is occurring, or is likely to occur
• The health or safety of any individual has been, is being, or is likely to be endangered
• The environment has been, is being, or is likely to be damaged
• Fraud, bribery, corruption, money laundering, financial irregularity or misuse of public funds
• Sexual harassment, safeguarding concerns, or abuse of service users, clients or members of the public
• The deliberate concealment of information tending to show any of the above

2.3 From June 2013, a consequence of the new ‘public interest’ requirement is that staff will generally be precluded from being able to ‘blow the whistle’ about breaches of their own employment contract. Staff making such a complaint can still use the employer’s grievance procedure.

2.4 Disclosure of other wrongdoing may also be covered by this policy where it relates to general malpractice, gross misconduct, breach of the Council’s Constitution, breach of audit requirements, breach of relevant professional codes of conduct, or any matter that may fall within the remit of an appropriate prescribed person or regulator.

3. Procedure

3.1 Depending on the matter to be disclosed, the disclosure should always be reported confidentially in the first instance to one of the following -

• The Fraud and Financial Investigations Team
• Any Head of Service and or member of the Management Team
• Our Internal Auditors, Southern Internal Audit Partnership
• Our External Auditors, Grant Thornton UK LLP

3.2 In order to deal with a disclosure, then the earlier a disclosure is made the easier it is to respond and to investigate.  The whistleblower should make it clear that the disclosure is being made within the terms of this policy. This is so that the recipient realises and takes the necessary action both to initiate an investigation and to protect the identity of the individual.

3.3 Whilst the Council encourages whistleblowers to identify themselves, it is recognised that anonymous calls may also be made, but these will also be taken seriously and fully investigated where possible. The National Audit Office (NAO) also operates a dedicated telephone number:

• Telephone: 020 7798 7999
• Address: The Comptroller and Auditor General, National Audit Office, 157-197 Buckingham Palace Road, London, SW1W 9SP

Qualifying disclosures may be made by phoning this number or writing to the address.

3.4 Any disclosure will be investigated fully, including interviews with witnesses and other parties involved.

3.4.1 All personal data relating to a disclosure will be processed in accordance with UK GDPR, the Data Protection Act 2018 and the Council’s Privacy Notice. Information will be shared only where necessary to investigate the concern, meet legal obligations, protect individuals, or take appropriate action.

3.5 The possible outcome may be -

• Disciplinary and or legal action against the wrongdoer if the result of the investigation corroborates the disclosure
• No action if the allegation proves to be unfounded
• Disciplinary action against the whistleblower if the claim is found to be malicious or untrue

3.6 The Council will always keep the whistleblower informed of the progress and outcome of any investigation, within the constraints of maintaining confidentiality or observing legal restrictions.

3.7 Should the member of staff making the disclosure be unhappy with the manager investigating the allegation, action may be taken by way of the RBBC’S Fairness at Work Policy further details of this can be obtained from Human Resources or via the Council’s Intranet site (Working Here – My Employment-Grievance –Fairness at Work Policy).

3.8 These arrangements apply to disclosures made to the Council and, where appropriate, to external bodies. Staff may make a protected disclosure to a prescribed person or body where the matter falls within that body’s remit. Examples may include the Police, HM Revenue and Customs, the Health and Safety Executive, the Information Commissioner’s Office, the Environment Agency, the Serious Fraud Office, the Local Government and Social Care Ombudsman, or the Comptroller and Auditor General/National Audit Office for concerns about the proper conduct of public business, value for money, fraud or corruption in relation to public services. Staff should check the current GOV.UK list of prescribed people and bodies before making an external disclosure.

• Protect Advice Line: 020 3117 2520
• Email: whistle@protect-advice.org.uk
• Website: Protect – Speak Up, Stop Harm

4. Protection for Whistleblowers

4.1 We are committed to protecting whistleblowers from retaliation. Any form of victimization or retaliation against whistleblowers will result in disciplinary action, up to and including termination of employment.

4.2 Support is available via the Employee Assistance Programme.

5. Independent Whistleblowing Body

There is currently no single statutory independent whistleblowing body in force under UK law. Staff may seek confidential independent advice from Protect and may report concerns externally to the appropriate prescribed person or regulator where the legal conditions for doing so are met.

6. Legislation and guidance referenced

• Employment Rights Act 1996, including sections 43A to 43L and 103A on protected disclosures and automatic unfair dismissal
• Public Interest Disclosure Act 1998
• Enterprise and Regulatory Reform Act 2013, including the public interest requirement and protection from co-worker detriment
• Public Interest Disclosure (Prescribed Persons) Order 2014 and subsequent amendments, including the 2026 amendments to prescribed persons
• Prescribed Persons (Reports on Disclosures of Information) Regulations 2017
• UK General Data Protection Regulation and Data Protection Act 2018
• Relevant sector-specific legislation and guidance, including health and safety, equality, safeguarding, anti-bribery, anti-money laundering, audit, local government and environmental obligations where applicable

This document will be reviewed at least bi-annually, and amendments will be agreed between the relevant Head of Service (for Fraud and Financial Investigations), and other appropriate Service Heads or Function Managers.

Further information on fraud and corruption

• Fraud and corruption
• Anti-Money Laundering Policy
• Anti Money Laundering Template Report (Word Document)
• Counter Fraud, Corruption and Bribery Statement