Employer Whistleblowing Policy - Template, Sample Form Pro · UK-law
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WHISTLEBLOWING POLICY
________
Made under the Public Interest Disclosure Act 1998 and Part IVA of the Employment Rights Act 1996
§ 1. Introduction and Scope
1.1 This whistleblowing policy (the "Policy") has been adopted by ________ of ________ ("we", "our", "us"). It sets out our procedures for the raising and handling of concerns about wrongdoing in the workplace.
1.2 This Policy reflects the protections conferred on workers by the Public Interest Disclosure Act 1998, which inserted Part IVA (sections 43A to 43L) into the Employment Rights Act 1996 (the "ERA 1996").
1.3 This Policy applies to all of our workers within the meaning of section 230 of the ERA 1996 (as extended by section 43K of that Act), including employees, agency workers, contractors, trainees and volunteers ("you", "your", "yours").
1.4 This Policy does not form part of your contract of employment or engagement and we may amend, withdraw or replace it from time to time. Any such changes will be notified to you.
1.5 The person with overall responsibility for the operation of this Policy is ________.
§ 2. What is Whistleblowing
2.1 Whistleblowing is the term commonly used where a worker raises a concern about wrongdoing, risk or malpractice in the workplace. In law it is described as a "qualifying disclosure" which, where the relevant conditions are met, becomes a "protected disclosure" under section 43A of the ERA 1996.
2.2 Under section 43B of the ERA 1996, a disclosure is a qualifying disclosure where, in the reasonable belief of the worker making it:
(a) the disclosure is made in the public interest; and
(b) it tends to show that one or more of the following has occurred, is occurring, or is likely to occur:
- the commission of a criminal offence;
- a failure to comply with any legal obligation;
- a miscarriage of justice;
- a danger to the health and safety of any individual;
- damage to the environment; or
- the deliberate concealment of information tending to show any of the above matters.
2.3 A protected disclosure is different from a personal grievance about your own employment. A matter that affects only you personally will not normally be a qualifying disclosure unless it is also in the public interest. If you wish to raise a personal grievance you should do so in accordance with our grievance procedure, which can be located at: ________
2.4 We will provide regular training and guidance to workers at all levels about whistleblowing. Further sources of information about what may amount to a protected disclosure are set out in § 9 below.
§ 3. Protection for Whistleblowers
3.1 If you make a protected disclosure you have legal rights and protections. As a result of making a protected disclosure you must not, by reason of that disclosure:
- be dismissed (a dismissal for making a protected disclosure is automatically unfair under section 103A of the ERA 1996);
- be selected for redundancy on those grounds (section 105(6A) of the ERA 1996); or
- be subjected to any other detriment by any act or deliberate failure to act (section 47B of the ERA 1996), including detriment caused by a co-worker or agent for which we may be liable.
3.2 By virtue of section 43J of the ERA 1996, any provision in an agreement (including any non-disclosure or settlement agreement, or any confidentiality clause) is void in so far as it purports to preclude you from making a protected disclosure.
3.3 You have the right to bring a claim before an Employment Tribunal if you believe your rights in relation to a protected disclosure have been infringed. Any such claim is ordinarily subject to early conciliation through Acas and to the statutory time limits under the ERA 1996.
3.4 We will support you if you make a protected disclosure in good faith, even where your concern turns out to be mistaken or does not lead to any further action, provided you held a reasonable belief at the time.
3.5 If you believe you have suffered any detriment in breach of § 3.1, you may raise the matter with the person dealing with your disclosure or, if you remain dissatisfied, by invoking our grievance procedure. You may also seek independent advice using the sources set out in § 9.
§ 4. Making a Disclosure to Us
4.1 If you have a concern about any matter covered by this Policy, you should ordinarily raise it with your line manager or supervisor.
4.2 If you feel that it is not appropriate to raise the matter with that person, you should raise it with: ________.
4.3 You may report your concern in whatever manner you feel most comfortable in the circumstances. A written account is helpful, but you may first wish to discuss the matter in person, and you may request a private meeting before or after submitting a written account.
4.4 It is helpful, where possible, to include the following information in any disclosure:
- any relevant dates;
- the details of your concern, including the factual background;
- the reasons for your concern;
- the details of any witnesses to relevant events; and
- details of any evidence available to you.
4.5 We can investigate a disclosure even if you have no evidence beyond your own account of your concerns.
4.6 We understand there may be occasions when you wish to make an anonymous report. Anonymous disclosures can be more difficult to investigate and may limit the feedback and support we can give you, but we will investigate any anonymous report so far as we reasonably can (see § 6).
§ 5. Reporting Externally
5.1 There may be circumstances in which you do not feel it appropriate to raise a concern with us directly and consider it necessary to make your disclosure externally, for example to a Member of Parliament, a legal adviser, or a prescribed person or body.
5.3 The full list of prescribed persons and bodies is published on the GOV.UK website and should be consulted before making any external disclosure. The prescribed regulators most likely to be relevant to our organisation are listed in § 9. We strongly encourage you to obtain independent advice before reporting externally.
§ 6. How We Will Deal With a Disclosure
6.1 We are committed to dealing with any disclosure covered by this Policy fairly, consistently and promptly.
Inquiries and investigations
6.2 Once you have raised a disclosure, we will assess your concern and, where appropriate, carry out a formal investigation. The timeframe will depend on the nature and complexity of the matter. As a general guide, we would expect to deal with your disclosure within approximately ________ weeks. More complex cases may take longer, and we will keep you informed where that is the case.
6.3 We will provide you with reasonable feedback on the progress of any investigation and, on its conclusion, a summary of our findings, subject to the rights of third parties, our duties of confidentiality and any legal constraints.
Confidentiality and record keeping
6.4 We will keep a record of all protected disclosures received, including their number and nature, the outcome of any investigation and the feedback provided. All personal data will be processed in accordance with the UK General Data Protection Regulation and the Data Protection Act 2018 and with our data protection policy, which can be located at: ________
6.5 From time to time we may conduct surveys to review and improve our whistleblowing procedures.
6.7 We will make appropriate inquiries following any anonymous report received, while recognising the practical limitations referred to in § 4.6.
Disciplinary action
6.8 Where an investigation or inquiry following your disclosure results in a finding of wrongdoing, we may deal with the matter under our disciplinary procedure, which can be located at: ________
6.9 Depending on the nature and severity of the finding, it may be necessary to refer the matter to an external body, such as a relevant regulator, professional body or the police.
6.10 Any victimisation of, or detriment to, a worker as a result of a protected disclosure will be treated as a serious disciplinary matter and dealt with under our disciplinary procedure.
6.11 Disclosures must not be made maliciously. Where a person makes an allegation which they do not reasonably believe to be true, or which is made for personal gain rather than in the public interest, that person may be subject to disciplinary action. This will apply only in serious cases where there is clear evidence of bad faith.
§ 7. Status of this Policy
7.1 This Policy does not create contractual obligations between you and us and may be reviewed and amended at our discretion. Nothing in this Policy limits any statutory rights you have under the ERA 1996 or any other applicable legislation.
§ 8. Governing Law
8.1 This Policy and any disputes arising from or in connection with it are governed by the law of England and Wales and subject to the jurisdiction of the courts and tribunals of England and Wales.
§ 9. Further Information and Support
9.1 We recognise that making a disclosure can be a difficult and worrying experience and we are committed to supporting you throughout the process. If you require further information about this Policy or about whistleblowing generally, you may speak to the person dealing with your disclosure or to a member of management.
9.2 You may also find it helpful to obtain independent advice before, during or after making a disclosure.
Sources of independent advice
9.3 You may seek advice about making a protected disclosure from:
- an independent legal adviser;
- the Advisory, Conciliation and Arbitration Service (Acas);
- the whistleblowing charity "Protect"; and
- any trade union or works council of which you are a member.
Prescribed persons and bodies
9.4 The prescribed persons and bodies most likely to be relevant to our organisation are:
________
Adopted on behalf of ________
Signed: ________
Name: ________
Position: ________
Dated ________
Fields you complete are inserted into the document live. This template is general guidance only — not legal advice.