Raising Concerns – EA Whistleblowing Policy and Procedure Section 4 - Employees – Raising a Concern at Work

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