The Education Authority (EA) is committed to the highest standards of openness, probity and accountability in the delivery of its services. Whilst EA has put in place a wide range of rules, regulations, procedures and codes of practice, we recognise that malpractice may unfortunately still occur.

EA does not tolerate any such malpractice and encourages anyone who has any knowledge of such to raise their concerns.

Policy Statement

‘The Raising Concerns – EA Whistleblowing Policy and Procedure aims to ensure that employees and the general public have a mechanism, in which to raise concerns, identify wrongdoing, risk, or malpractice. As a learning organisation EA promotes a culture of open and honest reporting and seeks to learn from all concerns raised’. 

This document will set out EA’s policy position and outlines the procedure for managing ‘whistleblowing’ using a structured and standardised approach that promotes consistency. The policy reflects the key messages from the Northern Ireland Audit Office (NIAO) Raising Concerns – A good practice guide for the Northern Ireland public sector (June 2020) 

The Raising Concerns – EA Whistleblowing Policy and Procedure will provide a step-by-step guide to how the EA manages, resolves and learns from cases of whistleblowing.

Policy Objectives

The objectives of this policy are to: 

• ensure that all employees feel supported in speaking up in confidence and reporting matters they suspect may involve anything improper, unethical and inappropriate;
• ensure that members of the public feel supported in speaking up in confidence and reporting matters they suspect may involve anything improper, unethical and inappropriate;
• provide clear procedures for the reporting of such matters;
• manage all concerns in a timely, consistent and professional manner; and
• provide assurance that all concerns will be taken seriously, treated as confidential and managed without fear of victimisation.

If the concern relates to possible fraud, it may be helpful to refer to the Anti-Fraud Policy which can be found on the EA website: Anti-Fraud policy and response plan. 

EA Values

EA values promote openness and transparency, creating an environment where both staff and members of the public feel empowered to speak up and identify potential wrongdoing.

As a public body, we have a duty to act in the public interest. This responsibility requires us to uphold the highest standards of integrity and accountability. Therefore, we are committed to discharging our duties in full alignment with our core values:

• Openness: 
  We will promote a culture of openness and will be transparent in our dealings with the public, our partners and colleagues.
• Respect: 
  We will listen to and respect those we serve, as well as each other and will recognise effort, achievement and contribution.
• Reflection:
  We will be a learning organisation reflecting and taking on board the lessons learned from our own experiences and from comparable organisations.

Responsibility:
We will act responsibly and acknowledge that our actions will impact on others. We will be helpful, conscientious reliable and accountable for our actions.

• Excellence:
  We will strive for quality in everything we do. We will behave professionally and take pride and ownership for everything we say and do.
• Equality:
  We will promote equality of opportunity through our employment practices, service delivery and engagement activities.

EA employees should consider the key messages as outlined by the ‘NIAO Raising Concerns – A good practice guide’, and engage in the managing whistleblowing protocol with these messages in mind:

• Organisational culture: “Organisations must take steps to instil a culture in which workers have the confidence to raise concerns openly; listen to all concerns raised; and protect those who speak up.”
• Raising concerns as part of normal business: “Organisations should strive to establish a culture in which raising concerns is regarded as natural and routine.”
• Raising concerns champion: “A raising concerns champion can be a source of advice and support for staff but, in addition, a key resource for connecting the organisation to service users and the wider public.”
• Strong visable leadership: “If senior managers and board members have a presence across an organisation and speak with staff informally on a regular basis, they are better placed to influence the culture, encourage openness and get a better understanding of the issues which are important to staff.”

Benefits of Raising a Concern (whistleblowing)

NIAO outline the benefits to organisations who encourage the raising of concerns and the potential risks of discouraging the raising of concerns, many of which are relevant to EA: 

This policy and procedure consider the following groups/individuals in scope if they meet the definition and requirements of whistleblowing:

Employees (raising concerns in the workplace)

As a learning organisation EA promotes a culture of open and honest reporting and is committed to learning from all concerns raised. EA seeks to ensure that employees have a clear mechanism in which to raise concerns, identify wrongdoing, risk and/or malpractice. Employees who raise concerns are protected under the Public Disclosure Order (NI) 1998.

Members of the Public (raising a concern for the greater good)

Members of the public can raise concerns through the Raising Concerns – EA Whistleblowing Policy if the concern is for the ‘greater good’ or in relation to a ‘public interest’ matter. Personal dissatisfaction with a service provided to an individual is classified as a complaint and should be addressed through the EA Complaints Handling Policy and Procedure.  Members of the public who raise whistleblowing concerns are not protected by the law in the same way as employees. 

Schools

Concerns about schools should, in the first instance, be raised directly with the school and managed under the school’s policies and procedures. Therefore, concerns raised to EA about schools will be referred to the school. However, on occasion there are exceptions to this, for example, when the school is unresponsive, conflicted, or fraud is reported. EA intervention with a school in relation to whistleblowing will differ based on the management type of the school.  

Third Parties

On occasion EA may receive whistleblowing concerns in relation to third party providers/contractors. In such instances, EA may be required to conduct a whistleblowing investigation, this should be determined by the contract and the ability of the organisation to consider the concern under their own policy/procedure.  

Whistleblowing

According to the Northern Ireland Audit Office (NIAO), “The term ‘whistleblowing’ does not exist in law. It is a word that has become commonly associated with the action of raising a concern, usually by an employee or worker, about what they believe is wrongdoing within their organisation.

Raising a concern in the public interest is the action of telling someone in authority, either internally and/or externally (e.g. regulators or media), about wrongdoing, risk or malpractice”. 

The NIAO continue to define this further, “There can be confusion around the terms ‘raising a concern’ and ‘whistleblowing’. Some wrongly believe that they are separate steps involving an ‘escalation’, i.e. someone ‘raises a concern’ then, if they feel they have not been heard, they ‘blow the whistle’ within their organisation or to an outside body. This is a misunderstanding. Whistleblowing and raising a concern are the same thing”.

“Whistleblowing may be called speaking up or raising a concern. It is all about ensuring that if someone sees something wrong in the workplace, they are able to raise this within the organisation, or to a regulator, or more widely. Whistleblowing ultimately protects customers, staff, beneficiaries and the organisation itself by identifying harm before it’s too late”.                                                               

Protect (formerly Public Concern at Work)

Put simply whistleblowing is when a member of staff or the public raises concerns for the greater good about misconduct, safety violations, misuse of funds or unethical behaviour that they have seen or become aware of in relation to EA’s conduct, practice or staff. 

The purpose of ‘blowing the whistle’ is to highlight and uncover wrongdoing, fraud, or risks that might otherwise go unnoticed, this policy and procedure seeks to support and empower individuals to speak up without fear of punishment. EA promotes the disclosure of concerns to protect the public interest and organisational integrity leading to accountability and transparency. Whistleblowing plays a crucial role in maintaining ethical standards within organisations.

What is Malpractice, Abuse or Wrongdoing?

• Malpractice, abuse and wrongdoing can include a variety of issues, some of which are listed below: any unlawful act, whether criminal (e.g. theft, bribery) or a breach of the civil law (e.g. slander or libel);
• maladministration (e.g. unjustified delay, incompetence, negligent advice);
• failure to safeguard personal and/or sensitive information and/or subsequent misuse of such information;
• health and safety risks, including risks to the public as well other employees (e.g. faulty equipment);
• abuse of children and vulnerable adults (e.g. through physical, sexual, psychological or financial abuse, exploitation or neglect);
• the unauthorised use of public funds (e.g. expenditure for improper purpose);
• fraud (e.g. concealing theft of public funds through teeming and lading);
• bribery (e.g. to solicit or receive any gift / reward as a bribe);
• breach of the Board member or employee Code of Conduct;
• abuse of power (e.g. bullying / harassment); and
• deliberate concealment of information tending to show any of the above. 

This is not a comprehensive list but is intended to illustrate the sort of issues that may be raised under this policy.

The below table outlines the key categories in which whistleblowing concerns are considered:

• Fraud and Financial Misconduct
  Reporting instances of financial fraud, embezzlement, accounting irregularities, or bribery
• Safety Violations
  Highlighting risks to public safety of health due to negligence or violations of safety protocols within the workplace
• Ethical Breaches
  Reporting unethical practices such as discrimination, harrassment, child protection/safeguarding, conflicts of interest or environmental violations
• Legal Violations
  Bringing attention to illegal activities, regulatory non-compliance, or violations of laws and regulations
• Misuse of Resources
  Reporting misuse or misappropriation of company resources or funds
• Whistleblower Retaliation
  Reporting retaliation against individuals who have previously reported wrongdoing or misconduct

Is It Whistleblowing?

Every potential whistleblowing allegation is initially routed to the Head of Corporate Governance – HCG* (*or in his/her absence an agreed senior member of EA’s Corporate Governance Service) who will determine if it should be considered as a whistleblowing allegation, see Appendix 1, and dealt with under the Raising Concerns – EA Whistleblowing Policy and Procedure. This is not always a straightforward decision. 

‘There can be instances where a person raises an issue which has elements both of a wider concern affecting others and of personal interest. The challenge for organisations is to disentangle the issues and deal with each in accordance with the relevant policy’ NIAO Raising Concerns – A good practice guide for Northern Ireland Public Sector – June 2020.

The nature of the issue being raised will determine whether it is a concern (whistleblowing), a grievance, or a complaint, and therefore the appropriate policy under which it should be addressed. 

Concern

Whistleblowing may be called speaking up or raising a concern. It is all about ensuring that if someone sees something wrong in the workplace, they are able to raise this within the organisation, or to a regulator, or more widely. Whistleblowing ultimately protects customers, staff, beneficiaries and the organisation itself by identifying harm before it is too late.

Protect (formerly Public Concern at Work) 

Grievance

Grievances are concerns, problems or complaints raised by a staff member with management. Anybody may at some time have problems with their working conditions or relationships with colleagues that they may wish to raise.

Advisory, Conciliation and Arbitration Service (ACAS)

Complaint

An expression of dissatisfaction by one or more members of the public about EA’s action or lack of action, or about the standard of service provided by or on behalf of EA. Any member of the public who receives, requests, or is directly affected by our services can make a complaint to us.

EA Complaints Handling Policy and Procedure

Judgement is required as to the most appropriate process under which to progress the consideration of the allegations. Some allegations are actually complaints which are better dealt with under the EA Complaints Handling Policy and Procedure. Others are complaints against the actions taken within a school which may be more appropriately dealt with under the school’s complaints policy. The HCG* will provide advice on the most appropriate process to deal with the allegations. They may be referred at this stage to the Board of Governors at the school in question or be registered and allocated for investigation as part of the EA Complaints Handling process. 

• Each individual case is different
• HCG* considers and directs to most appropriate procedure
• If confirmed as whistleblowing HCG* arranges an investigating officer

HCG* Head of Corporate Governance, or senior member of the Corporate Governance Team

The below table should be referred to when considering the most appropriate policy/procedure to effectively manage the concern:

The diagram below illustrates the pathway that should be considered by employees and members of the public when they wish to raise a concern:

EA employees:

• Personal complaint relating to you and your employment - GRIEVANCE PROCEDURE
• Danger, wrongdoing or illegality that affects others, including anonymous concerns - RAISING CONCERNS / WHISTLEBLOWING POLICY
• Allegation of fraud or financial impropriety: ANTI-FRAUD POLICY

Members of the public:

• Allegation of fraud or financial impropriety: ANTI-FRAUD POLICY
• Service complaint: COMPLAINTS HANDLING POLICY AND PROCEDURE
• Danger, wrongdoing or illegality that affects others, including anonymous concerns - RAISING CONCERNS / WHISTLEBLOWING POLICY

Employees – Raising a Concern at Work

EA encourages staff to identify and report wrongdoing and acknowledge that the decision to raise a concern can be a difficult one, “However, employees are the eyes and ears of an organisation and responsible employers should want to address concerns such as health and safety risks, potential environmental problems, fraud, corruption, the misuse of public funds, deficiencies in the care of vulnerable people, cover-ups and other such issues.  Addressing problems before damage is done should be the ultimate goal for both workers and employers”. (NIAO)

Within EA, concerns should be reported through internal structures, typically starting with line management. These concerns will generally relate to issues within EA and, in most cases, will be investigated through internal investigations.

EA employees:

• Personal complaint relating to you and your employment - GRIEVANCE PROCEDURE
• Danger, wrongdoing or illegality that affects others, including anonymous concerns - RAISING CONCERNS / WHISTLEBLOWING POLICY
• Allegation of fraud or financial impropriety: ANTI-FRAUD POLICY

The law that protects employees who raise a concern is the ‘Public Disclosure Order (NI) 1998’. Employees who raise a genuine concern under this policy will not be at risk of losing their job/position or suffer any form of retribution as a result, except where the individual has been complicit in the commission of the offence (either by direct action or the failure to act when they became aware of the offence). As long as they have not been complicit, individuals will be protected even if the matter is found to be mistaken, provided they have a reasonable belief that the issue has occurred, either in the past, the present or is likely to happen in the future.

The harassment or victimisation of anyone raising a concern will not be tolerated. It is an offence for management and staff to victimise employees who may raise a concern. Any individual who believes they are being penalised/victimised for raising a concern, should refer to the EA Grievance Procedures and/or report their concerns to Employee Relations who will take the matter further.

Raising Concerns at Work (Whistleblowing) or Complaint?

If the concern raised is about a risk, malpractice or wrongdoing that affects others and could be something which adversely affects other employees, the organisation itself and/or the public, it will be considered under this policy. A grievance is a personal complaint about someone’s own employment situation. 

Therefore, generally, the person raising the concern has no self-interest in the issue being raised. However, this distinction may not always be clear cut. If you have any personal interest in the matter, we do ask that you tell us at the outset. If your concern falls more properly within the Grievance Procedure, we shall tell you. 

How to Raise a Concern – Internally

Step 1

If you have a concern about malpractice, we hope you will feel able to raise it first with your line manager. This may be done verbally or in writing. Those who wish to make a written statement should set out the background and history of the concern (giving relevant dates) and the reasons why they are particularly concerned about the situation. The earlier a concern is expressed the easier it will be to act. 

EA does not expect an individual to prove their concern is true, but it will be necessary to demonstrate to the person contacted that there are reasonable grounds for the issue to be raised. 

It is reasonable for an individual to discuss concerns with a colleague as it may be helpful to raise the matter if there are two (or more) individuals present who have the same experience or concerns. 

Step 2

Normally concerns about malpractice, abuse or wrongdoing should be raised firstly with line managers. However, if an individual feels unable to raise the matter with their line manager, then the Head of Service / Assistant Director / Chief Officer, as appropriate, is the next point of contact. 

If the above steps have been considered and 

• an individual still has concerns; or
• reasonably believes that they will be victimised if they raise the matter internally; or
• believe that disclosure will result in the destruction of evidence; or
• feel that the matter is so serious that they cannot discuss it with their line manager or Head of Service / Assistant Director / Chief Officer; or
• consider that it is not appropriate (e.g. the individual is a contractor); 

then please proceed to Step 3.

Step 3

If you feel that your concern is so serious that you cannot discuss it with any of the above then, in the first instance, you should contact one of the following:

• Michael Robinson, Head of Corporate Governance; or
• Gail Flavell, Chief Finance Officer; or
• Robbie McGreevy, Chief People Officer.

If you deem the above contacts not to be appropriate given the nature of your concern, you may report your concern to one of the following: 

• Richard Pengelly, Chief Executive Officer; or
• Mervyn Storey, Chairperson of the Board.

Confidentiality

We recognise that you may want to raise a concern in confidence under this policy. If you ask us to protect your identity by keeping your confidence, we will not disclose it without your consent. If a situation arises where we are unable to resolve the concern without revealing your identity (for instance because your evidence is needed in court), we will discuss this matter with you. It may also be the case that colleagues may try to guess the employee’s identity if they become aware that a concern has been raised. 

The EA will take practical steps to try and protect the confidentiality of the person raising the concern including: 

• ensuring that paper files and electronic files are properly classified and stored as confidential;
• ensuring the minimum number of people have access to case files; and
• being discreet about when and where any meetings are held.

Anonymous Disclosure

This policy encourages an individual to put their name to the issue of concern whenever possible as, without this, it is more difficult to investigate a matter and to corroborate facts. However, the EA will take seriously concerns raised anonymously and will carry out such investigations as deemed necessary. 

It may be the case that: 

• detailed investigations may be more difficult to progress if you choose to remain anonymous and cannot be contacted for further information;
• the information and documentation you provide may not easily be understood and may need clarification or further explanation;
• there is a chance that the documents you provide might reveal your identity; and
• it may not be possible to remain anonymous throughout a detailed investigation. 

EA will also be less able to protect the individual’s position or provide feedback on the outcomes of any action taken. Although anonymous concerns may be less impactful due to limited context or follow-up, EA will nonetheless give them the same due consideration.

EA’s Commitment to Employees

EA commits to the following:

• Create a safe environment for employees to speak up;
• Protect employees from retribution who raise a concern (as per the Public Disclosure Order (NI) 1998, see section 4.0 above);
• Establish a clear whistleblowing policy;
• Simplify reporting procedures and ensure action on reports;
• Encourage employees to report issues to prevent harm;
• Support a culture free of retaliation;
• Provide training and support for reporting;
• Act quickly to investigate and resolve reports;
• Act promptly to manage potential risks; and
• Encourage reporting to manage problems efficiently.

In order to successfully listen to, manage and resolve your concerns EA requests that whistleblowers consider the following:

• Whistleblowing should serve the public interest;
• Be open, honest and transparent in your sharing of information;
• Disclosures must be factual and accurate;
• State facts and not hearsay;
• Provide evidence where it is available;
• Focus on the matter(s) of concern in your correspondence;
• Provide contact details if you wish to receive acknowledgement and outcome; and
• Tell us if you want to remain anonymous. 

The following should be considered by EA staff members when raising concerns under the Raising Concerns – EA Whistleblowing Policy and Procedure:

• Be aware of the appropriate way to raise your concern;
• Be familiar with the Raising Concerns – EA Whistleblowing Policy and Procedure
• Gather relevant supporting evidence;
• Follow the Raising Concerns – EA Whistleblowing Policy and Procedure to submit your concern;
• Note the expected timeframe for acknowledgement and feedback on your concern;
• Keep a record of the date you reported your concern along with any related documentation; and
• If necessary, inquire about the progress of your concern.

Independent Advice

If you are unsure whether to use this procedure or you want independent advice at any stage, you may contact your union or the independent charity, PROTECT Tel: 020 3117 2520 3117 2520. 

PROTECT can give you free confidential advice at any stage about how to raise a concern about serious malpractice at work. For more information, you can visit their website at PROTECT Advice Line | Protect – Speak up stop harm

Members of the Public – Raising a Concern for the Greater Good

A member of the public can raise concerns directly with any public sector organisation. The nature of the issue raised will determine the policy under which the organisation should consider the matter. 

Many organisations regard whistleblowing as an internal matter, involving only staff of the organisation. However, for example, a visitor to an EA premises may witness a potential danger, or a member of the public may know about potentially fraudulent behaviour by a public official. These people are not directly affected by the matter but wish to raise a concern in the public interest. EA treats such concerns seriously and these will be dealt with in the same way as concerns raised by staff members. It is the issue being raised which is important, not the person raising it. 

Identifying the correct policy or procedure is important in helping resolve and/or address your concern. Upon receipt of your concern, EA will identify the correct policy/procedure under which the concern will be addressed.

• Danger, wrongdoing or illegality that affects others, including anonymous concerns - RAISING CONCERNS / WHISTLEBLOWING POLICY
• Allegation of fraud or financial impropriety: ANTI-FRAUD POLICY
• Service complaint: COMPLAINTS HANDLING POLICY AND PROCEDURE

Raising a Concern

Concerns raised about EA will be investigated through the Raising Concerns – EA Whistleblowing Policy and Procedure. These concerns will focus on issues/concerns about EA or, on occasion schools, and will be, for the most part, investigated by internal investigations. 

EA has a single point of contact for members of the public who wish to raise a concern in the public interest. As a member of the public, you may raise a concern in the first instance through the following channels:

• Online:          Fill in our Complaints Form
• By Email:       feedback@eani.org.uk
• By Phone:     Call our Complaints Office on 028 9047 5399
• By Post:        Complaints Office, 1 Hospital Road, Omagh, Co Tyrone, BT79 0AW

When raising a concern, please tell us:

• Your full name and contact details (optional);
• As much as you can about the concern; and
• What has gone wrong.

Legislation

Whistleblowing legislation does not apply to members of the public as outlined by the Northern Ireland Audit Office as follows:

“Legislation is in place to provide a remedy to workers who raise concerns about wrongdoing at work.  It allows them to take their employer to an employment tribunal if they are victimised in any way as a result of raising a concern. As a member of the public, you have no employment relationship with the organisation about which you are raising a concern and so will not have, and will not need, this legal protection”.

EA’s Commitment to Members of the Public

EA commits to the following:

• Create a safe environment for members of the public to speak up;
• Establish a clear whistleblowing policy;
• Simplify reporting procedures and ensure action on reports;
• Encourage members of the public to report issues to prevent harm;
• Support a culture free of retaliation;
• Provide training and support for reporting;
• Act quickly to investigate and resolve reports;
• Act promptly to manage potential risks; and
• Encourage reporting to manage problems efficiently.

What Members of the Public can Expect When Raising a Concern

Timeframe

Concerns under whistleblowing can be complex and require time to fully investigate, therefore it can be difficult to set a timeframe. EA however commits to resolving whistleblowing concerns as soon as possible and within a reasonable timeframe given the nature of the case. EA aims to have most cases investigated and concluded within 30 working days from acceptance of the matter as a whistleblowing case. Where you have provided contact details, and where the case cannot be resolved within this timeframe, we will contact you.

Letter of Acknowledgement 

The Corporate Governance Service will acknowledge receipt of the concern within 7 working days.

Confirmation Letter 

The letter of confirmation will confirm that EA considers your concern to be whistleblowing and will inform you of how this will be considered and managed as per the Raising Concerns – EA Whistleblowing Policy and Procedure. 

Investigation 

The Corporate Governance Service will arrange for an appropriate member of EA staff to investigate your concerns and produce an investigation report including recommendations. The investigating officer will normally be from within the directorate that the concern is raised about and have the specialist knowledge to consider your concern in detail. 

If your whistleblowing concern is regarding a matter that is the responsibility of a school, EA will refer this matter directly to the school to be managed under the school’s relevant policy/procedure.

Letter of Closure

If you provide contact details, you will receive a letter of closure to inform you that the matter has been fully investigated and that any recommendations as a result of the investigation will be actioned. Please note, information that is deemed to be sensitive, or that would breach data protection will not be shared. For example, if your concern is in relation to a member of staff, as a member of the public, you will not receive any detail regarding the investigation findings or outcome. 

What EA Expects from Members of the Public Raising Concerns

In order to successfully listen to, manage and resolve your concerns EA requests that whistleblowers consider the following:

• Whistleblowing should serve the public interest;
• Provide evidence where it is available;
• Be open, honest and transparent in your sharing of information;
• Disclosures must be factual and accurate;
• State facts and not hearsay;
• Focus on the matter(s) of concern in your correspondence;
• Provide contact details if you wish to receive acknowledgement and outcome; and
• Tell us if you want to remain anonymous.

The following should be considered by members of the public when raising concerns:

• Be aware of the appropriate way to raise your concern.
• Be familiar with the Raising Concerns – EA Whistleblowing Policy and Procedure.
• Gather relevant supporting evidence.
• Follow the Raising Concerns – EA Whistleblowing Policy and Procedure to submit your concern.
• Note the expected timeframe for acknowledgement and feedback on your concern.
• Keep a record of the date you reported your concern along with any related documentation.
• If necessary, inquire about the progress of your concern.

Confidentiality

We recognise that you may want to raise a concern in confidence under this policy. If you ask us to protect your identity by keeping your confidence, we will not disclose it without your consent. If the situation arises where we are unable to resolve the concern without revealing your identity (for instance because your evidence is needed in court), we will discuss this matter with you. 

The EA will take practical steps to try and protect the confidentiality of the person raising the concern including: 

• ensuring that paper files and electronic files are properly classified and stored as confidential; and
• ensuring the minimum number of people have access to case files.

Anonymous Disclosure

This policy encourages an individual to put their name to the issue of concern whenever possible as, without this, it is more difficult to investigate a matter and to corroborate facts. However, the EA will take seriously concerns raised anonymously and will carry out such investigations as deemed necessary. 

It may be the case that: 

• detailed investigations may be more difficult to progress if you choose to remain anonymous and cannot be contacted for further information;
• the information and documentation you provide may not easily be understood and may need clarification or further explanation;
• there is a chance that the documents you provide might reveal your identity; and
• it may not be possible to remain anonymous throughout a detailed investigation. 

EA will be unable to give feedback on the outcomes of any action taken. Concerns expressed anonymously are therefore much less powerful but will be considered.

Unacceptable Actions Policy

EA’s Unacceptable Actions Policy sets out our approach to the relatively few complainants whose actions or behaviour we consider unacceptable. The term also includes anyone acting on behalf of a complainant or who contacts us in connection with our business.

People may act out of character in times of trouble or distress. There may have been upsetting or distressing circumstances prior to engagement with the EA. The EA do not view behaviour as unacceptable just because an individual is assertive or determined. However, the actions of individuals who are demanding, obsessive, prolific, repetitive, harassing or persistent may result in unreasonable demands on the EA, our resources and an unacceptable impact on staff. It is these actions that we consider unacceptable and aim to manage under this Policy.  We have grouped these actions under three headings: 

• Aggressive or abusive language or behaviour
• Unreasonable demands
• Unreasonable persistence.

In certain circumstances, where a complainant’s behaviour has been deemed particularly vexatious or unreasonable, the EA reserves the right to impose some form of restricted contact. You can find details of the full policy here: Unacceptable Actions Policy

Independent Advice

If you are unsure whether to use this procedure or you want independent advice at any stage, you may contact your union or the independent charity, PROTECT Tel: 020 3117 2520 3117 2520 

PROTECT can give you free confidential advice at any stage about how to raise a concern about serious malpractice at work. For more information, you can visit their website at PROTECT Advice for Whistleblower Advice Line | Protect – Speak up stop harm

Intervention Procedure for Schools

Often it can be a member of staff who is the first to realise that there may be something wrong within a school. In such instances it is encouraged that concerns are raised directly with the school. However, it is recognised that staff may not feel comfortable expressing their concerns because the concern relates to the leadership and/or governors of the school. 

As a result, the individual may not feel the concern will be properly addressed within the school’s whistleblowing policy protocols. In these circumstances, it may be appropriate for EA to become the lead investigator regarding the concern. As a managing authority and funding authority, EA has a responsibility to fulfil its obligations within legislation. 

All whistleblowing investigations are assessed and, if deemed appropriate to proceed, initiated by the Head of Corporate Governance (HCG). 

This procedure aims to:

• outline the criteria for when the Education Authority will investigate school-based concerns; and
• set out the protocol for these investigations.

This procedure does not replace the school’s own policies and existing procedures relating to Complaints, Whistleblowing, Discipline, Grievance, Capability etc. but will only be considered when it is deemed necessary for EA to investigate concerns at a school level.

This procedure applies to all employees and those contractors working for the school, on school premises, for example, agency staff, builders, and drivers. It also covers suppliers and those providing services under a contract with the school.

Criteria for Intervention (Controlled Schools and Non-Controlled Schools)

EA will assess the suitability to investigate a concern raised about a controlled school and a non-controlled school based on the following criteria:

• a concern relates to EA’s duties; and
• if there is alleged fraud/financial misconduct.

In relation to a controlled school, or a non-controlled school (only where non-teaching staff are EA employees), EA will advise and engage where the following is apparent:

• the school leadership, including the Chair of the Board of Governors, are involved in the matter of concern;
• an initial concern has not been addressed by the school leadership and the concern remains; and
• the concern has been expressed that the school leadership and school governors may be compromised and/or a conflict of interest may exist.

EA may receive whistleblowing concerns about practice that is not within the remit or authority of the organisation. This may include Catholic maintained schools (CCMS), grant maintained integrated schools (GMI), voluntary grammar (VG) schools and independent schools. Such concerns will be forwarded to the relevant organisation, school or body to be considered under their policy (except in the case of alleged fraud which may require investigation by EA Audit). Once passed to the relevant organisation or body, EA will consider the matter closed. 

How EA Will Respond

The action taken by EA will depend on the nature of the concern. Where appropriate, the matters raised may:

• Be investigated by Internal Audit or EA directorates;
• Be referred to the Police;
• Be referred to an external Auditor;
• Form the subject of an independent enquiry; and

Within 7 working days of a concern being raised EA will write to the person raising the concern:

a) Acknowledging that the concern has been received; and

b) Indicating how it is proposed to deal with the matter.

The Investigation Procedure

Step 1

• Receipt of whistleblowing

Step 2

• Letter of acknowledgement sent from EA (HCG*)

Step 3

• The school is notified (Chair of Board of Governors and/or Principal) in writing that a concern has been received and it is deemed appropriate that EA will be the lead investigator

Step 4

• Whistleblowing case discussed with the appropriate directorate and agreed intestigating officer identified

Step 5

• Investigating Officer reports his/her findings to the HCG*

Step 6

• HCG* reports in writing the outcome to the Chair of the BoG and/or Principal

Step 7

• HCG* communicates in writing the outcome to the whistleblower

Step 8

• Internal actions may be required if malpractice is found

HCG* Head of Corporate Governance, or senior member of the Corporate Governance Team

Schools Under a Different Management Authority

On occasion, EA may receive whistleblowing concerns in relation to schools under different management types. These concerns will be notified to the school in question and, where appropriate, the Council for Catholic Maintained Schools (CCMS) to manage under their policy/procedure, with the exception of allegations of fraud. Where whistleblowing has been received in relation to a maintained school:

Council for Catholic Maintained Schools (CCMS)

Where whistleblowing has been received in relation to a maintained school:

• if the Principal and Governors are not conflicted, EA will forward the concern to the school to be managed under its policy and copy in the Director of Workforce Planning and Governance CCMS;
• if the Principal and Governors are conflicted, EA will forward the concern to the Director of Workforce Planning and Governance in CCMS to be managed in accordance with their policy/procedure.

In both instances, upon referral to one or both of the above, EA will consider the matter closed.

Whistleblowing Procedure

It is essential that a clear process is in place for the management of whistleblowing cases. This provides officers with a guide to the steps and actions required to successfully manage whistleblowing. EA operates a two-stage process for the management of whistleblowing cases outlined below:

HCG* Head of Corporate Governance or a senior member of the Corporate Governance Team

HIAA** Head of Internal Audit and Assurance

EA has a clear process for managing whistleblowing cases, this is essential to provide a quality service, find resolution and learn as an organisation. The below diagram outlines the steps in managing a whistleblowing case. 

Step 1

• Receipt of whistleblowing

Step 2

• Letter of acknowledgement sent from EA HCG*

Step 3

• Stage 1 whistleblowing case discussed with the appropriate directorate

Step 4

• Agreed investigating officer

Step 5

• Investigating officer reports his/her findings to the HCG*

Step 6

• HCG* reports in writing the outcome to the whistleblower

Step 7

• If dissatisfied move to Stage 2

Step 8

• Internal actions may be required if malpractice is found

HCG* Head of Corporate Governance or a senior member of the Corporate Governance Team

Whistleblowing Investigation

When is an Investigation Required?

An investigation is required when concerns are raised in line with the Raising Concerns - EA Whistleblowing Policy and Procedure, and the Head of Corporate Governance is assured that whistleblowing is the correct procedure to address the matter. 

When is an Investigation Not Required?

An investigation under the whistleblowing procedure is not required when it can be managed under a more appropriate policy/procedure, for example, if a complaint is made this is managed under EA’s Complaints Handling Policy and Procedure or, if a staff member is unhappy about working conditions this is managed under the EA Grievance Procedure, or if there is an allegation in relation to the safety of children and young people, this is managed under the Child Protection Policy and Protocol. 

An investigation is not required when a person or correspondence is deemed to be vexatious and will be treated in line with the EA procedure. 

Who Should Conduct the Investigation?

The Head of Corporate Governance will determine how the allegation should be investigated and who is best placed to conduct/oversee the investigation. Occasionally it will be appropriate for the allegation to be fully independently investigated by the EA Internal Audit team, particularly where there is any allegation of fraud or misuse of public money involved. In some instances, it is more appropriate for cases to be allocated and investigated by EA officers depending on the subject of the allegations. Where a whistleblowing concern has multiple components, EA may be required to establish a cross-directorate panel. On such an occasion the panel must have a lead investigating officer. The Corporate Governance Team will advise and assist officers in progressing the investigation. 

The below diagram illustrates the involvement and role of officers when investigating whistleblowing. Please note that further delegation is permitted upon approval from the Head of Corporate Governance and Assistant Director responsible, to a relevant member of staff who is best placed to undertake the investigation. 

• Corporate Governance
  The HCG* will be the central liaison in all cases defined as whistleblowing and will advise on the process at each stage until completion.
• Chief Officer
  The Chief Officer must be informed of any whistleblowing that involves his/her directorate. 
  However, in the interest of confidentiality the specific detail is not required.
• Assistant Director
  An Assistant Director will be responsible for investigating the Whistleblowing case
  Stage 1 - Investigation within own directorate
  Stage 2 - Review of Stage 1 investigation completed by another directorate.
• Head Of Service
  A Head of Service may undertake:
  Stage 1 - Investigation within own directorate
  Stage 2 - Review of Stage 1 investigation completed by another directorate. 
  The delegation of this duty must be agreed by the AD and HCG*.

HCG* Head of Corporate Governance, or a senior member of the Corporate Governance Team 

Conducting the Investigation

When a concern meets the criteria to be considered as whistleblowing and an investigation is required the Head of Corporate Governance (HCG), or Corporate Governance Manager, will arrange for an investigation officer to be appointed. This officer will consider the concern(s) and complete an Investigation Report – see Appendix 2. This will be carried out as expeditiously as possible with priority given to conducting the investigation. All appropriate sources of evidence will be reviewed and any determination of the accuracy of the allegations must be based on consideration of the facts and supporting evidence. 

The outcome of the investigation will be notified to the Head of Corporate Governance (or link Corporate Governance Manager) who will record the outcome and update the whistleblowing register. Where the whistleblower’s contact details are known, the Head of Corporate Governance (or link Corporate Governance Manager) will contact the whistleblower in writing and, if appropriate, advise them of the outcome of the EA investigation into their concerns. 

For cases that are notified to EA via the Department of Education (DE), the Head of Corporate Governance will copy the Chief Executive’s Office into the response to DE to notify them of the outcome. It is normal practice for DE to withhold the identity of a whistleblower who has contacted them, and so DE will be responsible in such cases for notifying the whistleblower of the outcome. In rare cases, the allegations may be deemed to be malicious – that is deliberately and knowingly false. This is distinct from them simply being wrong but made in good faith. In such cases, proving that the allegations were malicious is very difficult, but consideration may be given to disciplinary action (employees only), or reporting to the PSNI if there is clear evidence of malicious intent and the identity of the whistleblower is known. 

Occasionally the exact nature of the concern may be unclear. Provided the whistleblower has provided contact details, then the HCG, or Corporate Governance Manager will acknowledge receipt and inform them that their allegations will be investigated under the Raising Concerns – EA Whistleblowing Policy and Procedure. If required, additional information for clarity may be requested. 

Investigation Reports and Outcome

Whistleblowing investigation reports are considered to be confidential by default. They often contain details of evidence sources and witnesses who were interviewed as part of the investigation. Data Protection considerations are paramount along with the need to preserve the integrity of the investigation process. For these reasons, investigation reports are not shared or provided to the whistleblower. Where Freedom of Information (FOI) requests have been made to release investigation reports that pertain to specific staff or their employment, standard exemptions exist and are applied in such cases by the EA Information Governance service. 

Management of Outcomes

An appropriate officer will be identified to undertake a whistleblowing investigation and will upon considering evidence produce a report that will include their consideration, outcome, recommendations and any lessons learned that require action. For each component of the whistleblowing concern, the investigating officer will determine if the concern is ‘Founded’, ‘Unfounded’, or ‘Partially Founded’ as detailed below:

          *Head of Corporate Governance, or senior member of the Corporate Governance Team

The above categories will assist the investigating officer to consider the evidence and decide on the appropriate outcome. These determinations will indicate if actions are required to be taken as a result of the investigation outcome. 

Given the sensitive nature of whistleblowing cases, and in particular where they pertain to a member of staff and their employment, details will not be shared with the whistleblower. Where this is the case and concerns are ‘founded’ or ‘partially founded’ EA will determine internally the next steps.

The implementation of recommendations and learning actions from a whistleblowing case will be the responsibility of the relevant directorate. The investigating officer will have a role in communicating and assuring that any investigation report recommendations have been appropriately actioned.

Whistleblowing Case Closure

Whistleblowing cases are considered closed when the investigation has been completed and the whistleblower has received a letter of closure, or in the case of an anonymous whistleblower when the investigation has been completed and the Head of Corporate Governance is satisfied that the matter has been addressed. 

When a whistleblowing investigation has concluded and concerns are ‘unfounded’ the whistleblowing case will be closed. When a whistleblowing investigation has concluded and concerns are ‘founded’ or ‘partially founded’, and the recommendation is that a formal process should be invoked, the whistleblowing aspect of this matter will be closed upon confirmation from the relevant EA officer that the appropriate formal process will be implemented. 

Upon investigation recommendations, whistleblowing cases will be closed and/or where there is a more robust policy/procedure for the matter to be expertly addressed. For example: 

• If a whistleblowing case expressed concerns about the behaviour of an employee, the recommendation from the whistleblowing investigation could be the implementation of the EA Disciplinary Policy, at this point the whistleblowing case would be considered closed, and the formal process of the disciplinary policy would begin.  
• If a child protection allegation or concern is raised through whistleblowing this will be referred to EA Child Protection Support Service (CPSS) and the whistleblowing case will be considered closed. 

Closure of Whistleblowing Managed by Schools

Whistleblowing concerns may be raised with EA as the managing authority for controlled schools. In the first instance these concerns are best managed under the school’s own policy and procedures. EA upon receipt of such concerns will forward the matter to the school to be considered under their relevant policy/procedures. EA will liaise with the school and monitor progression of the investigation. Upon confirmation that the concern has been investigated and an outcome reached, EA will then consider the matter closed.

On occasion, EA may receive whistleblowing concerns about practice that is not within the remit or authority of the organisation. This may include Catholic maintained schools, grant maintained integrated schools, voluntary grammar schools and independent schools. Such concerns will be forwarded to the relevant organisation, school, or body to be considered under their policy (except in the case of alleged fraud which may require investigation by EA Audit). Once passed to the relevant organisation or body, EA will consider the matter closed. 

Where whistleblowing concerns are not within the remit of EA and are the responsibility of a third-party organisation, EA will forward the matter to the relevant organisation and consider the matter closed.

Monitoring Progress and Reporting

Progress against outstanding whistleblowing cases is conducted by each of the EA Directorate Management Teams (DMTs). The Corporate Governance Team will issue each directorate a list of live whistleblowing cases on a monthly basis for their consideration and follow up as necessary through the line management structure. Business Services Managers within each DMT will liaise with the Corporate Governance Team to report on progress against outstanding cases. This should be a standing item on each DMT agenda at least once per quarter. 

EA will appoint a non-executive whistleblowing champion from the Governance, Risk and Audit Committee (GRAC). The whistleblowing champion will be responsible for ensuring that appropriate and robust whistleblowing arrangements are in place, communicated, monitored and frequently reported upon.  This will include ensuring that the whistleblowing policy is implemented in full, interactions with the wider sector are considered and lessons learned are acted upon.

The Head of Corporate Governance reports five times per year on progress against whistleblowing cases to GRAC. A report is produced showing trends including the number of cases by type and directorate as well as the length of time taken. Particular focus is given to cases that are more than six months old. This is a standing item on the GRAC agenda. 

“Once a concern is raised formally, it is essential that organisations provide a straightforward system for logging them. This will…facilitate monitoring of trends and themes for organisational learning.”

Source: Freedom to Speak Up

Raising a Concern - Externally

This policy is intended to provide an appropriate mechanism for staff and members of the public to raise their concerns, however, it is also possible to raise a matter externally. 

EA also encourages contact from external sources who have concerns about the use of public funding or other issues. All such notifications will be considered in terms of: 

• the seriousness of the issues raised;
• the creditability of the concern; and
• the likelihood of confirming the allegation from attributable sources. 

External notifications can be made to the following: 

Department of Education 

Head of Internal Audit 

7 Rathgael House 
Balloo Road 
Bangor 
BT19 7PR 

Tel: 028 9127 9669 
Email: DE.DEWebMail@education-ni.gov.uk

Or alternatively: 

Northern Ireland Audit Office 

The Comptroller and Auditor General 

106 University Street 
Belfast 
BT7 1EU 

Tel: 028 9025 1100 
Email: whistleblowing@niaoauditoffice.gov.uk 

1. Receipt of allegations
   1. Members of the public should in the first instance raise concerns through EA’s Complaints Handling Policy and Procedure
   2. Staff should in the first instance raise concerns through their line management structure and/or named contacts contained within the policy
   3. All potential whistleblowing allegations should be directed initially to the HCG*
2. Decision on whether allegation(s) is whistleblowing
   1. HCG*
3. Seeking clarity / additional information
   1. HCG* in consultation with Operational Management as appropriate
4. When it is considered to be a whistleblowing allegation / Who should conduct the investigation?
   1. Anonymised details registered on a database by HCG*
   2. Full details registered on monitoring database by HCG*
   3. Case allocated by HCG* to most appropriate person to investigate
5. Conducting the investigation / Notifying the outcome
   1. Investigation Officer allocated by the HCG*
   2. Outcome notified to whistleblower, where possible, by HCG*
6. Investigation Reports
   1. Held by the Corporate Governance Service in line with the EA Interim Combined Legacy Retention and Disposal Schedule
7. Monitoring and Reporting Progress
   1. Monthly by Directorate Management Teams for outstanding cases
   2. Five times/year to CLT / GRAC in statistical trend data only

HCG* Head of Corporate Governance, or Senior Member of the Corporate Governance Team

Whistleblowing Investigation Report

Investigating Officers should maintain a timeline of events and details whilst carrying out their investigation, e.g. 01/02/20xx telephone call with A N Other, Principal of Any Town Primary School. Include responses to questions asked and any follow up action required to progress the investigation.

Please send all supporting documentation for central storage along with the completed Investigation Report to the named CGS Case Officer e.g. email threads, file notes, notes of telephone calls etc.