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Current Document Status
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Version
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1.2
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Approving Body
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Issue Date
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1/06/2026
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Date of Formal Approval
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Responsible Officer
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Director – Corporate Fraud
(Veritau)
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Document Location
(e.g. network drive)
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Version History
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Date
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Version
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Reviser
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Comments
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08/11/2019
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1.1
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Jonathan Dodsworth
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Full rewrite of previous iteration
from 2016.
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15/06/2026
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1.2
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Jonathan Dodsworth
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Updated to reflect changes to
legislation (Employment Rights Act 2025) and employment tribunal
rulings.
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Review History
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Review Period:
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Annual review by Veritau. Updates
as required by employment law and tribunal decisions.
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Date Reviewed
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Reviewed By
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Next Review Date
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Comments
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Document Retention
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Document Retention
Period
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Old versions to be retained for 6
years
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1
INTRODUCTION
1.1
City of York Council is committed to maintaining high standards of
integrity and accountability. It aims to create an open environment
in which employees and those working on behalf of the council can
raise issues and be confident that they will be acted upon. The
council’s message to anyone working for the organisation is
straightforward - if in doubt, raise it!
1.2
The whistleblowing policy provides a framework for council workers
to raise concerns about issues happening at the council. For
example, health and safety risks, criminal or unlawful activity, or
activities that could damage the environment. It sets out how
concerns can be raised and the protection that people working for
the council have if they raise an issue.
1.3
The policy covers concerns raised by employees, workers, and
contractors. It reflects the specific protections they have in law
when making a protected disclosure. This is also known as raising a
whistleblowing concern or blowing the whistle. Further information
on what a protected disclosure is, and who the law protects is set
out below.
1.4
The Public Interest Disclosure Act 1998 (PIDA) is the law that
protects people against detrimental treatment or dismissal if they
make a protected disclosure. It is part of the Employment Rights
Acts 1996 and 2025. This policy is designed to reflect the
legislation
as well as guidance from the government and other
organisations.
1.5
A guide for managers and other employees on what to do if they
receive a whistleblowing report is contained in appendix A of this
policy. Training packages for both staff and managers on
whistleblowing can be found on the council’s e-learning
system which provides further information on the principles set out
in this policy.
2
AIMS AND SCOPE OF THE POLICY
2.1
This policy aims to:
·
encourage workers to raise concerns
they have about their workplace or working practices
·
make sure managers know what a
whistleblowing concern is and how they must address it
·
ensure that workers receive a
response to any concerns raised
·
inform workers about how they can
pursue an issue further if they are not satisfied with the action
taken by the council
·
reassure workers that they will be
protected from dismissal or negative treatment if they raise
concerns.
2.2
This policy applies to most people working for the council. This
includes employees, workers, staff in maintained schools, agency
personnel, contractors and staff seconded to or from a third party.
Throughout the rest of the policy, the terms worker, or workers is
used to mean anyone covered by the policy and the protections of
PIDA.
2.3
PIDA does not currently provide protection under the law for job
applicants, genuinely self-employed workers, or
volunteers.
Definitions
2.4
Protected disclosures are concerns raised that are protected under
PIDA. To be a protected disclosure, anyone raising a concern
must:
·
reasonably believe that their
concern is in the public interest – this is explained in
paragraph 2.6;
·
reasonably believe their concern is
a type of wrongdoing covered by the law – a list of the types
is included in paragraph 2.7; and
·
raise it in a way that that is in
accordance with the law – further information on this is
provided in section 7.
2.5
A reasonable belief is one where the whistleblower has some
reasonable grounds or basis for believing there has been
wrongdoing. It does not actually have to be true. For example, it
does not matter if it turns out they were mistaken, providing they
had reasonable grounds for believing it when they originally raised
the concern.
2.6
An issue in the public interest means that it will usually affect
people other than just the person raising it. Something that
relates only to an individual’s own employment may not be
covered by whistleblowing legislation, although there are some
circumstances when this could still be in the public interest (for
example, an issue about bullying or sexual harassment usually
reflects a wider cultural issue in a team). This policy is intended
to cover workers raising an issue in the public interest. If a
person needs to address a problem that relates only to their own
employment, then they should refer to the Grievance Procedure.
However, any concern related to alleged sexual harassment should be
considered under the whistleblowing policy and with reference to
the Dignity at Work Policy.
2.7
The list below sets out the types of concerns that qualify for
protection under the law if they are raised.
·
A criminal offence – for
example corruption, theft, or fraud.
·
Failure to comply with a legal
obligation such as a statutory requirement, a contract, or common
law obligations (eg negligence).
·
A miscarriage of justice.
·
Health and safety risks. This
includes risks to anyone, not just workers – for example
risks to customers and service users.
·
Sexual harassment
has occurred, is occurring, or is likely to occur.
·
Environmental damage. Any wrongdoing
that endangers or damages the environment.
·
Cover-up. This includes anything
where wrongdoing in any of the above areas has been deliberately
concealed.
3
SAFEGUARDS
3.1
The council recognises that a decision to report a concern can be a
difficult one. In many cases it is workers who are best placed to
learn of wrongdoing within service areas and schools or to hear
about issues where standards have fallen below those that the
council and public expect. The council is grateful to everyone who
reports their concerns.
3.2
Workers should have nothing to fear by reporting their concerns if
they have grounds for believing what they are reporting is true.
Even if it is later found to be incorrect, no action will be taken
against anyone genuinely reporting a concern.
3.3
While rare, deliberately false reports are sometimes made. If false
or deliberately misleading information is provided, then this would
be considered a serious matter. It could result in action being
taken under the council’s disciplinary policy. Equally,
deterring another worker from reporting a genuine concern is also a
serious matter and may also result in disciplinary action being
taken.
3.4
The council will not tolerate any negative treatment (including
harassment or victimisation) of a worker who has raised a
whistleblowing concern, by anyone (including colleagues and
managers). Any allegations of negative treatment of someone raising
a concern will be investigated. Where evidence of mistreatment is
found then this could result in disciplinary action being
taken.
3.5
The council recognises that workers may want to raise a concern in
confidence under this policy. If a worker asks the council to
protect their anonymity, then efforts will be made to protect their
identity from being disclosed. However, this cannot be guaranteed,
for example, if evidence needs to be presented in court, or
revealed as part of a subsequent investigation. Equally, the
council cannot guarantee that the worker’s colleagues will
not deduce, or simply guess, their identity. If it becomes clear
that a whistleblower’s anonymity cannot be protected, then
this will be discussed with them before any disclosure is
made.
3.6
The council encourages workers to put their names to information
they disclose. Concerns expressed anonymously will be considered by
the council. However, they can be harder to investigate. This may
make it more difficult to gather evidence to confirm wrongdoing. It
will also not be possible to provide feedback to an anonymous
whistleblower during or following an investigation. Anonymous
reports are, however, preferred to silence.
4
HOW TO RAISE A
CONCERN
4.1
Many whistleblowing concerns are raised and properly addressed
within individual service areas. In most cases, workers are
therefore encouraged to raise concerns with their line manager in
the first instance.
Line managers will provide feedback to the whistleblower about the
action they are taking. Contractors should report issues to the
council’s designated contract or client manager.
4.2
Concerns do not have to be made in writing. Any issues raised
verbally will be treated just as seriously.
4.3
If a worker raises an issue with their line manager but it is not
adequately addressed or if the concern involves the line manager,
then they should speak to a more senior officer. School-based
workers can escalate issues to the chair of governors.
4.4
The council recognises that there may be times when whistleblowers
feel unable to speak to anyone in their own service area. For
example, if they believe the issue involves more senior officers or
if the issue has already been raised through the normal channels
but has not been addressed. In this situation workers can contact
the council’s whistleblowing hotline on 0800 9179 247, which
is overseen by Veritau. Veritau is not independent from the
council, rather it provides another route to raise whistleblowing
concerns.
4.5
If anonymous concerns are raised through social media, then they
will be considered under the more general counter fraud or
complaints policies unless it is beyond doubt that the person
raising the concern would fall under the whistleblowing
policy.
5 HOW THE COUNCIL
WILL RESPOND
5.1
All whistleblowing reports will be carefully considered. Initial
enquiries will be made to help decide whether an investigation is
needed or what action may be required.
5.2
The council aims to acknowledge all whistleblowing reports within
five working days. The line manager or other officer dealing with a
whistleblowing issue will try to write or speak to the
whistleblower promptly, to provide additional information on what
is being done. For example, whether an investigation is needed or
if specific action is to be taken.
5.3
If an investigation is undertaken, the line manager or
investigating officer will provide feedback on the outcome, and
details of action to be taken as far as possible. Although it may
not always be possible to provide full details. For example, it
would not be appropriate to share personal data about other
people.
6
INVESTIGATION AND REPORTING PROCESS
6.1
The steps line managers need to take will depend on the nature,
complexity, and seriousness of the issue raised. An outline of the
process managers should follow is set out below. Further
information for managers on who they need to inform about
whistleblowing issues is set out in the guidance at appendix
A.
6.2
Straightforward whistleblowing issues may be dealt with directly by
line managers. The manager must ensure the requirements for
acknowledging concerns and providing feedback are followed (see
section 5 above). When the issue has been dealt with, the line
manager must provide details to Veritau of the concern raised and
the outcomes (Veritau keeps a record of all whistleblowing concerns
raised, on behalf of the council).
6.3
For more complex cases, and any case involving suspected fraud,
corruption, or theft, managers must refer the issue to Veritau at
the outset. Veritau will liaise with the manager to decide how the
issue should be investigated. The officers assigned to investigate
each case will depend on the nature of the issue. For example,
safety issues may be investigated by the Health & Safety Team,
alleged fraud or criminality by the Counter Fraud Team, or
employment issues by the manager or a manager from another team,
with support from Human Resources.
6.4
For sexual harassment cases the principles and processes documented
in the Dignity at Work Policy should be followed.
6.5
The amount of contact between officers investigating whistleblowing
concerns and the whistleblower will depend on the nature of the
matters raised and the clarity of the information provided. If
necessary, further information may be sought from the
whistleblower.
6.6
If a face-to-face meeting is necessary or desirable the
whistleblower has the right, if they so wish, to be accompanied by
a Union representative or a colleague who is not involved in the
area of work to which the concern relates.
6.7
The council will take steps to support whistleblowers during an
investigation, where possible. For example, if they are required to
give evidence in any proceedings, the council will provide advice
and support with the process as far as appropriate. Whistleblowers
should contact HR if they suffer any negative treatment as a result
of raising an issue. Investigating managers should be alert to the
possibility of a whistleblower being mistreated and should liaise
with the Head of HR or relevant HR manager if they have
concerns.
6.8
All whistleblowing issues raised will be logged centrally by
Veritau. The Chief Executive, Section 151 Officer, and the
Monitoring Officer will be notified of relevant whistleblowing
issues. Numbers of whistleblowing concerns raised, and significant
trends, will also be reported annually to the Audit and Governance
Committee.
7
HOW MATTERS CAN BE TAKEN FURTHER
7.1
This policy aims to provide workers with the means to raise
concerns within the council. If workers have reported an issue in
accordance with the policy, but are not satisfied that it has been
addressed then they may contact the following prescribed
bodies:
·
the council’s External Auditor
– Forvis Mazars[11]
·
the NSPCC or Ofsted (for concerns
about children at risk of abuse)[12]
·
relevant professional bodies or
regulatory organisations[13],
for example, the Information Commissioner’s Office, Care and
Quality Commission (CQC), and the Health and Safety
Executive.
7.2
Disclosure of issues to a non-prescribed body (such as a newspaper
or through social media) do not usually provide whistleblowers with
protection under PIDA. Workers who are considering making a
disclosure, other than to the prescribed bodies, should obtain
specialist legal advice before doing so.
8
INDEPENDENT ADVICE
8.1
Free confidential advice on how to raise a concern about
malpractice at work can be sought from the independent charity
PROTECT. They can be found at
www.protect-advice.org.uk,
or contacted by email at
info@protect-advice.org.uk.
The charity’s lawyers can give free confidential advice about
how to raise a concern about serious malpractice at
work.
9 DATA
PROTECTION
9.1
When managing whistleblowing reports, the council processes
personal data collected in accordance with its employee privacy
notice. Data collected from the point at which a report is made is
held securely and accessed by, and disclosed to, individuals only
for the purposes of managing the whistleblowing concern.
9.2 Inappropriate access or
disclosure of employee data constitutes a data breach and should be
reported in accordance with the councils Breach Management policy
immediately. It may also constitute a disciplinary offence, which
will be dealt with under the council’s Disciplinary
policy
10
REVIEW OF THE POLICY
10.1
This policy will be reviewed at least every three years or when any
significant changes to whistleblowing legislation, guidance or
employment law occurs.
Managers’
Guidance on Whistleblowing
1
Introduction
1.1
The council’s whistleblowing policy aims to encourage
employees, workers, and contractors
to raise concerns about activities in the workplace. It contains
further information about what whistleblowing is and should be read
alongside this guidance.
1.2
All managers are expected to take concerns raised by workers
seriously and to follow the process set out in this guidance.
Further training on whistleblowing is available through the
council’s e-learning platform - MYLO.
2 What is a
whistleblowing complaint?
2.1
Managers need to consider any concern raised by a worker about
working practices or malpractice, to assess whether it is a
whistleblowing issue.
2.2
The concern does not have to be raised in writing. Issues raised
verbally should be treated as seriously as those raised in writing.
You should carefully document anything raised verbally with
you.
2.3
It is not necessary for the term “whistleblowing” or
“protected disclosure” to be used for an issue to be
considered whistleblowing. Any concern that falls under the types
of issues covered by the policy (see paragraph 2.7 of the main
policy) may be a whistleblowing issue. The range of issues that
could qualify is very broad and could include problems that may not
initially appear very serious. For example, relatively minor
breaches of health and safety processes or issues concerning a
breach of contract. Care must therefore be taken to assess any
issue raised with you, to consider whether it is
whistleblowing.
2.4
Whistleblowing will generally be about issues that relate to more
people than the individual who raised it. If it is clear that a
concern relates only to an individual worker, other than in cases
of potential sexual harassment which should always be considered
under the whistleblowing policy (along with the Dignity at Work
policy), then it should be considered under the Grievance
Procedure. However, care is needed when deciding this. For example,
a report of bullying could just be about one worker. However, it
could also reflect a culture of bullying and harassment in a
service area. In this case the concern may be
whistleblowing.
2.5
Whistleblowing reports can only come from people who work for the
council (including contractors). Further detail about who can
report a concern is set out in paragraphs 2.2 and 2.3 of the
policy. Concerns raised by members of the public or other groups
would not be considered as whistleblowing. They should still be
taken seriously though and directed to the relevant team. For
example, the council’s complaints, feedback and compliance
team or counter fraud team.
2.6
Whistleblowing reports are often made anonymously. Where an
anonymous report is made, you should try to encourage (but not
pressure) the person to give their name. For example, if you are
taking information by phone or have an email address you can
respond to. Make it clear that it can be more difficult to
investigate concerns if contact with the whistleblower is not
maintained.
2.7
Concerns or complaints about councillors are not covered by the
whistleblowing policy. They come under the council’s
Standards procedures. Any issues relating to councillors should be
referred to the Monitoring Officer for advice.
2.8
If you are not sure whether an issue should be classed as
whistleblowing then advice should be sought from Human Resources or
Veritau.
3 Reporting
the receipt of a whistleblowing concern
3.1
Section 6 of the policy sets out what managers should do when they
receive a whistleblowing concern. Managers should also notify their
director or assistant director (or the chair of governors, for
schools). They should also inform the Head of HR or HR manager
responsible for their area.
3.2
If the issue involves any of the people named above then you should
tell a more senior officer such as the Monitoring Officer, Section
151 officer, the Head of Internal Audit, the Corporate Director the
Corporate Director, Adults and Safeguarding, or the Corporate
Director, Children’s and Education (in the case of
schools).
3.3
Veritau maintains a central log of all whistleblowing reports
received. Where a whistleblowing issue is handled within a service
area or directorate, the outcome of any investigation and action
taken should be reported to Veritau once the matter is
completed.
3.4
If you are unsure about how to deal with a whistleblowing issue
then you can seek advice from Veritau. Any complex issues, or any
case involving fraud, corruption or theft should be reported to
Veritau immediately. Veritau will determine how the issue should be
investigated, in consultation with other relevant
officers.
3.5
If you receive details of a whistleblowing concern raised with an
external body (one of the prescribed persons and organisations set
out in section 7 of the policy), the information should be
forwarded to Veritau.
4
Initial response
4.1
If you are notified of a concern, you should acknowledge it
immediately. Unless it was raised anonymously (with no way of
responding) then this should usually be done by email. If you are
notified verbally, you should try to find out as much information
as possible and document it. Try to obtain contact details if
possible. Where information is received in writing you should
usually try to arrange a meeting with the whistleblower to gather
further information.
4.2
This initial meeting can be done in person, in or outside of the
council’s offices, or by telephone. It is important to find
an environment that the whistleblower feels comfortable with. They
may be supported by a trade union representative or colleague. A
note taker can be brought to the meeting with prior agreement from
the whistleblower.
4.3
If anonymity is requested then every effort should be made to keep
the whistleblower’s identity concealed. However, anonymity
cannot be guaranteed, and you should not promise this. If it
becomes apparent that a whistleblower’s identity may become
known, then they should be told about this as soon as
possible.
4.4
All information relating to a whistleblowing report or gathered
during a subsequent investigation should be kept confidential.
Information should only be shared on a strictly need to know
basis.
4.5
A record of any meetings with the whistleblower should be made
either contemporaneously or as soon as possible afterwards. These
notes must be kept securely.
4.6
No commitments should be made about the process or outcome of a
whistleblowing investigation. However, the whistleblower should be
reassured that their concerns will be taken seriously.
4.7
Any additional information you obtain should be shared with the
people you have already notified (paragraphs 3.1 and 3.2 above) or
with Veritau, if the issue is to be referred to them.
5 Conducting
an investigation
5.1
At the start of an investigation, the person looking into the issue
should inform the whistleblower that they are investigating the
matter.
5.2
It is best practice to provide updates to
the whistleblower on the status of the investigation while
investigating. However, only limited information can be shared. The
findings of an investigation and personal data about other people
must not be shared. Nor can any information that may prejudice the
investigation. In some cases, it may be better to wait until the
end of the investigation before sharing any details (although
personal data cannot be shared at any point).
5.3
Notes should be made throughout the investigation about the action
being taken and evidence collected. Conclusions should also be
documented.
5.4
The investigator should consider whether any action to be taken
during the investigation is likely to lead to the identity of the
whistleblower becoming known. If it becomes apparent that the
investigation cannot be pursued without the whistleblower’s
identity becoming known, then they should be made aware of this
before further action is taken. The whistleblower’s name
should only be made known to other people on a need-to-know
basis.
5.5
Investigations should be completed as quickly as possible. Where a
whistleblowing investigation leads to other council processes being
considered or commencing (such as a pre-disciplinary investigation)
then relevant officers should be made aware at an early
stage.
5.6
At the conclusion of an investigation a report should be prepared
setting out all of the evidence gathered and stating whether it
confirms or contradicts the original issue raised. It should also
set out the conclusions reached, and recommendations. The report
should be shared with those notified of the issue originally
(paragraphs 3.1 and 3.2 above). A copy should also be sent to
Veritau to be logged.
6 Special
circumstances
Safeguarding concerns
6.1
If a concern raised includes issues relating to safeguarding, then
the manager notified should ensure that it is raised immediately
through normal council safeguarding arrangements.
Anonymous concerns
6.2
If a concern has been made anonymously then it must still be
treated as credible and dealt with through the procedure detailed
in this guidance.
Negative treatment of the whistleblower
6.3
The council will not tolerate any negative treatment of
whistleblowers. If any manager becomes aware of any mistreatment of
a whistleblower, they should report this to the Head of HR or
relevant HR manager as soon as possible. The council may be in
contravention of whistleblowing legislation if action is not taken
to address this behaviour.
Vexatious or malicious reports
6.4
If a whistleblower acts in bad faith or raises malicious,
vexatious, or knowingly untrue concerns then they may be subject to
disciplinary action. If you have reasonable grounds to suspect that
this may be the case, then the matter should be reported to the
Head of HR or relevant HR manager.
External disclosures
6.5
It is important to be supportive and encouraging to those raising a
concern. However, if a worker indicates that they are considering
taking their concerns outside of the council, for example to the
media or social networking sites, you should advise them of the
following:
·
You may not be able to support them
if they take this action
·
Their disclosure may not be covered
by the whistleblowing policy and relevant legislation
·
Their action may represent an
unauthorised disclosure
·
They could jeopardise any legal
protection that they may have in law
·
They could be subject to
disciplinary action themselves.
·
They should take specialist advice
before doing so, eg from PROTECT.
6.6
If a whistleblower makes an external disclosure, then this should
be reported to Veritau as soon as possible. Some types of
disclosure are covered by legislation. However, consideration of
whether the action taken is appropriate or not will need to be
considered on a case-by-case basis.
Support
6.7
If you have any queries or issues about the investigation of a
whistleblowing concern then you can seek further advice from
Veritau.
BACKGROUND
COUNTER FRAUD MANAGEMENT
MULTI-AGENCY WORK
INVESTIGATIVE WORK
