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