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Rother
District Council Agenda Item:
Report to - Standards Committee
Date - 10 February 2004
Report of the - District Secretary and Monitoring Officer
Subject - Anti-Fraud and Corruption: "Whistleblowing" Policy
The Council, at its meeting held on 15 December 2003, received a report on
the Anti-Fraud and Corruption: "Whistleblowing" Policy from the
Cabinet meeting held on 3 November 2003. The minute and
recommendation relating to this item are reproduced below.
Recommendation: It be RESOLVED that the Standards Committee concur
with Rother District Council's Anti-Fraud and Corruption; "Whistleblowing"
Policy as set out in Appendix A.
CB107. ANTI-FRAUD AND CORRUPTION: "WHISTLE-BLOWING" POLICY
The Council had a culture of honesty and integrity and had always taken a
strong stance against fraud and corruption. Following a recent
review of the existing Anti-Fraud and Corruption Policy a revised
Anti-Fraud and Corruption: Whistle Blowing Policy had been written.
The Policy was designed to give confidence to and provide the necessary
framework for both employees and Members to raise serious concerns and to
be assured that any concerns raised would be properly investigated.
The main aims of the policy were to
§ Encourage employees to feel confident in raising serious concerns;
§ Provide avenues for employees to raise those concerns, on an anonymous
basis if necessary, and to have confidence that those concerns will be
properly dealt with; and
§ Reassure them that they will be protected from possible reprisals or
victimisation if they have reasonable belief that they have made the
disclosure in good faith.
In order to strengthen the system, process and culture, and to allow the
whistle blowing policy to be fully effective, an anonymous Hotline and a
website reporting facility would be introduced, the funding for which
would be met from existing budgets. In order to combat any false
allegations on malicious grounds, it was noted that all allegations of
fraud or corruption were investigated thoroughly by a Senior Officer
before being acted upon and evidence to support any such claims would be
fully researched. The Officers were thanked for a clear and legible
policy document.
RECOMMENDED: That subject to the concurrence of the Standards Committee,
Rother District Council's Anti-Fraud and Corruption:
"Whistle-Blowing" Policy be approved and adopted and form part
of the Constitution of the Council.
APPENDIX 1
Rother District Council
Anti-Fraud and Corruption:
"Whistle-Blowing" Policy
1. Introduction
Rother District Council is committed to the highest standards of good
corporate governance and to full accountability for all of its services.
It is also committed to the prevention, deterrence, detection and
investigation of all forms of fraud, theft or corruption. As part of these
commitments, this existing Anti-Fraud and Corruption:
"Whistle-Blowing" Policy has been revised.
This Policy applies equally to all Council employees and Members and forms
part of the Constitution of the Council.
This "Whistle-Blowing" Policy is intended to supplement, rather
than replace, the existing procedures whereby Council employees, its
Members and members of the public may already raise complaints or matters
of genuine concern with the Council.
2. Culture
Rother District Council is determined that the culture and tone of the
organisation shall be one of honesty and strong opposition to fraud,
corruption or any form of malpractice. There is an expectation and
requirement that all individuals and organisations associated in whatever
way with the Council will act with integrity and that employees, at all
levels, will lead by example in these matters.
The Council's employees are an important element in its stance against
fraud, corruption or any form of malpractice and are positively encouraged
to raise any concerns that they may have on these issues where they are
associated with the Council's activity. They can do this in the knowledge
that such concerns will be treated in confidence, properly investigated
and dealt with fairly.
3. What is "Whistle-Blowing"?
"Whistle-Blowing" has been defined, as the disclosure by an
employee of confidential information, which relates to some danger, fraud
or other illegal or unethical conduct connected with the workplace, be it
of the employer or of his fellow employees.
The Public Interest Disclosure Act 1998 was introduced to protect
employees who expose serious wrongdoing in the workplace. It encourages
people to raise concerns about malpractice in the workplace. It applies
where a malpractice is disclosed involving: -
§ A crime or breach of regulatory, administrative or common law;
§ A miscarriage of justice;
§ Danger to health and safety;
§ Damage to the environment;
§ Unauthorised use of public funds;
§ Possible fraud and corruption.
4. Aims and Scope of this policy
This policy aims to:
§ Encourage employees to feel confident in raising serious concerns
§ Provide avenues for employees to raise those concerns, on an anonymous
basis if necessary, and to have confidence that those concerns will be
properly dealt with
§ Reassure them that they will be protected from possible reprisals or
victimisation if they have reasonable belief that they have made the
disclosure in good faith.
5. The Council's Commitment to you
This Policy is intended as a clear and unequivocal statement that,
whenever and wherever any malpractice or wrongdoing by Rother District
Council, its Members, any of its employees, or by any of its contractors
or suppliers, is identified by or reported to the Council, it will be
promptly and thoroughly investigated. Any faults found will be rectified
and any means of preventing such malpractice or wrongdoing in the future
will be instituted.
"You are protected from victimisation by the Act, provided that you
reasonably believe the information and are acting in good faith. A
disclosure is protected if you have an honest and reasonable suspicion
that a malpractice has occurred, is occurring or is likely to occur. If
you make an allegation in good faith, but it is not confirmed by the
investigation, no action will be taken against you."
"The Council will do its utmost to protect the anonymity of the
disclosure source and prevent reprisals in respect of all matters of
concern raised by employees and Members."
6. Prevention Policies
The Council recognises that a key preventative measure in the fight
against fraud and corruption is to take effective steps at recruitment
stage to establish, as far as possible, the previous record of potential
employees, in terms of their propriety and integrity. In this regard,
temporary and contract employees will be treated in the same manner as
permanent employees.
Employees are expected to follow any Code of Conduct related to their
personal and professional institute or association and also abide by the
Council's Staff Code of Conduct, which sets out the Council's requirements
regarding personal conduct. The Council has in place Disciplinary
Procedures for all employees, which it will not hesitate to use if any
impropriety is suspected.
Members are expected to follow the several Codes and Protocols of Conduct
as set out in Part 5 of the Council Constitution. The Council has a
Standards Committee in place, which is charged with promoting and
maintaining the high standards of conduct by Councillors and also
assisting them to observe the Members Code of Conduct.
7. Financial Procedure Rules
The prevention of fraud and corruption is covered in several areas of the
Council's Financial Procedure Rules (FPRs). The Director of Resources is
responsible under FPR - M.1 for developing and maintaining an anti-fraud
and corruption policy and under FPR - L6. for ensuring that effective
procedures are in place to investigate promptly any fraud or irregularity.
Under FPR - L.12, the Chief Executive, each Director or Head of Service or
contractor who is subject to the Procedure Rules, is required to notify
the Director of Resources or Head of Audit Services immediately of any
circumstances which suggest the possibility of any irregularity affecting
cash, stores or other property of the Council, or any other suspected
irregularity in the exercise of the functions of the Authority.
8. How to raise a concern
As an employee, you can raise your concern or suspicion in the first
instance with your Line Manager or your Head of Service. If you prefer,
you can raise it directly with any of the following officers: -
Chief Executive (Derek Stevens - Tel. 01424-787800)
Director of Resources (Pav Ramewal - Tel. 01424-787700)
Director of Services (Tony Leonard - Tel. 01424-787510)
Head of Audit Services (Dave Dyer - Tel. 01424-787707)
Monitoring Officer (Trevor Elliott - Tel. 01424-787805)
Members can raise their concerns or suspicions directly with any of the
officers above.
Concerns can be raised verbally or in writing. If written, then the
envelope needs to be addressed to one of the officers above and marked
'PERSONAL, PRIVATE AND CONFIDENTIAL'. If the concern is serious nature,
the envelope should be hand delivered to the person to whom the matter is
being reported.
9. Facilities for reporting concerns anonymously
Whilst employees and Members are encouraged to put their names to
allegations, concerns expressed anonymously are much less powerful.
However, in order to ensure that maximum facilities are available to both
employees and Members to freely report anonymously on areas of concern,
the following has been set up.
"24 hour - Fraud Hotline - Tel. (01424) 787799" -This is
for all areas of concern about possible fraud or corruption (excluding
housing benefits, which has its own dedicated line) and will be under the
control of the Head of Audit Services.
Anonymous "Whistle-Blowing" facility on the Council's website
-This is for all areas of concern about possible fraud or corruption
(excluding housing benefits, which has its own dedicated facility) and
will be under the control of the Head of Audit Services.
These facilities are to be installed shortly and will be published freely
with details made available to all employees and Members as well as being
available to the public.
10. Protection for Employees
Rother District Council is proud of its reputation as a Council with the
highest standards of probity and will ensure that any complaints received
are properly investigated. However, the Council will view very seriously
any false or malicious allegations, which it receives, and will regard the
making of such allegations by an employee of the Council as a serious
disciplinary issue. Officers suffering from such allegations will be fully
supported by the Council.
11. Other means of reporting
If employees or Members still have reason to feel unable to report their
concern within the Authority, then they can report their concern to a
prescribed person such as: -
Public Concern at Work is an independent charity, which provides free
advice for employees who wish to express concerns about fraud or other
serious malpractice. www.pcaw.co.uk
Tel: 020 7404 6609
Sussex Police Tel: 0845 60 70 999
Audit Commission, Anti Fraud and Corruption Manager - PIDA, Millbank,
London SW1P 4QP Tel: 020 7630 1019
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THE PUBLIC MAY KNOW* |
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