Raising Concerns – EA Whistleblowing Policy and Procedure Section 6 - Intervention Procedure for Schools

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.