1. Policy Statement
ADTREX Ltd is committed to achieving the highest possible standards of probity and integrity regarding it’s practices.
ADTREX Ltd recognises that it is important for all Employees to have a means by which they can raise serious concerns about any aspect of the operation of ADTRREX Ltd.
ADTREX Ltd further acknowledges it’s obligations under the Public Disclosure Act (1998) to ensure mechanisms are in place through which concerns relating to matters of public interest can be raised.
ADTREX Ltd encourages Employees to raise any concerns internally at the earliest opportunity rather than disregarding issues or raising the matter externally.
ADTREX Ltd will address concerns seriously and undertake as much investigation as is necessary given the circumstances – this may include referral to external agencies.
ADTREX Ltd will endeavour to advise an Employee/whistle-blower of any actions/outcome arising from a complaint where appropriate.
Reasonable support and protection will be afforded to an Employee who raises a concern.
Where a concern is raised in good faith, an Employee will be protected from detriment, harassment and victimisation. It is recognised that in certain cases it may be appropriate to consider concerns raised on a confidential or anonymous basis.
This policy and procedures explains:
- The mechanism for raising concerns.
- The range of responses ADTREX Ltd may take upon receipt of concerns.
- The support and protection available to Employees.
2. Legal Framework
This Policy and Procedure applies to all employees of ADTREX Ltd.
The Whistle Blowing Procedure provides a means for Employees to raise concerns about conduct or situations which they believe are inappropriate. The complaint must be a 'qualifying disclosure'. This is any disclosure of information which in the reasonable belief of the employee' making the disclosure tends to show that one or more of the following has occurred, is occurring, or is likely to occur, concerns may include, but are not limited to:
- The support and protection available to Employees.
- Conduct which is, has been or is likely to be an offence or breach of law.
- Conduct that has occurred, is occurring or is likely to occur the result of which ADTREX Ltd fails to comply with a legal obligation acts or potential acts of fraud / corruption or the misuse of funds / resources past, current or likely health and safety risks.
- Concerns about any aspect of service provision.
- Concerns of a safeguarding / child protection nature.
- Unethical or unprofessional conduct that causes concern.
- The deliberate concealment of information relating to concerns listed above.
Employees may raise concerns about the practice of anyone who works for or on / behalf of ADTREX Ltd.
Prior to raising a concern, an Employee may wish to discuss the matter with colleagues to see if it is shared. If this is the case Employees may wish to raise the matter collectively, however staff should be prepared to give their own account during any investigation should this be required.
There is no time limit for raising a concern, however Employees are encouraged to do so at the earliest opportunity since it may be difficult to address a matter if a significant time has elapsed.
3. Responsibilities of ADTREX Ltd
ADTREX Ltd have a responsibility:
- To foster a culture where Employees and Participants/Delegates can feel confident in raising concerns
- To ensure concerns are fully considered, investigated as necessary and action taken as appropriate.
- To ensure that Employees and Participants/Delegates raising concerns receive feedback on any action taken where appropriate.
- To make Employees aware how they can take matters further if they are not satisfied.
- To reassure Employees that they will be protected against detriment and reprisal should they raise a concern.
4. Responsibilities of Employee
ADTREX Ltd Employees have a responsibility:
- To raise legitimate concerns only where there is reasonable grounds/evidence for doing so.
- To raise matters in good faith and not of a malicious/vexatious nature.
- To engage with internal/external actions to address any concerns – by attending meetings and/or participating in any investigation.
5. Responsible Officer & Monitoring of Complaints
ADTREX Ltd Director has overall responsibility for the maintenance and operation of this policy and procedure.
The Director will maintain a confidential record of all concerns raised and their outcomes for reporting and monitoring purposes. Any reporting will not identify the parties to the complaint.
6. Raising a Concern
Whenever possible employees should raise concerns with the ADTREX Ltd Director.
In instances where the complaint involves the ADTREX Ltd Director the complaint should be raised with a prescribed person. A prescribe person would include, for example, HMRC, the Health & Safety Executive, The Duke of Edinburgh’s Award, Leadership Skills Foundation and so on. The worker must reasonably believe the disclosure falls within the regulator’s remit and that the allegations are substantially true
In addition to the employer, whistle-blowers may make a qualifying disclosure to:
- Someone other than the employer who is legally responsible for the situation in respect of which the disclosure is made. This could include, for example, the client (for example, the employee is working with a client or at a client’s premises and finds evidence of malpractice and reports it to the client rather than the employee)
- A legal advisor. The worker does not have to act ‘in good faith’ for this disclosure to be protected.
- A government minister if the individual is appointed under a Parliamentary Act by the minister.
- Some other person to whom it is reasonable to disclose to.
6.1 Raising Concerns – Written or Verbal
Concerns may be raised verbally or in writing.
- A concern raised in writing should:
- Set out the background and history of the concern – giving names, dates and places where possible.
- Give the reason why the employee is particularly concerned about the situation.
- State that the employee wishes their concern to be addressed under the whistleblowing procedure.
Should a verbal complaint be made an employee may be asked to confirm this in writing.
An employee is not expected to prove doubt the validity of their concern/s, however they will need to demonstrate that there are sufficient grounds for their complaint.
7. ADTREX Ltd Response
Preliminary enquiries may be made to decide on the appropriate course of action. This may necessitate further discussion with the Employee who has raised the concern.
On occasion, it may not be appropriate for the person who receives the complaint to progress the concern and the matter may be referred to an external organisation.
It may be possible to resolve some concerns informally by agreed action without the need for further formal investigation.
Where it is not possible to resolve the matter informally, the action taken by ADTREX Ltd will depend on the nature of the concern and may include:
- Referral to a regulatory authority.
- Referral to the Police.
- Referral to the local authority.
Within 10 working days of receipt of any concern the person progressing the matter will write to the Employee to:
- Acknowledge that the concern has been received.
- Indicate how ADTREX Ltd proposes to address the matter including whether further investigation or referral to another organisation will be made.
- Indicate whether further information will be sought from the employee and the arrangements for obtaining this where known.
The form of further contact between the Employee and the person progressing the complaint will depend on the nature of the matter raised and the follow up action required.
In instances where an investigation is prolonged or referral to an external agency takes place – arrangements may be made to provide the Employee with situational updates as far as practicable.
8. Notification of Outcome of the Concern
ADTREX Ltd recognises that an Employee raising a concern would wish to be assured that the matter has been fully addressed. Feedback will be provided on the outcome of the complaint, whenever possible.
In some circumstances however it may not be appropriate or permissible to share this information (for example where legal/disciplinary or regulatory authority action is pending or if sharing information may infringe the duty of confidence owed to a third party).
9. Taking the Matter Further
This procedure is intended to provide Employees with a mechanism to raise concerns internally within ADTREX Ltd.
Should this process be exhausted and the Employee feels that matters have not been fully/appropriately addressed or that concerns are ongoing they may wish to raise the matter outside of ADTREX Ltd.
An Employee who intends to raise a concern externally is encouraged to consider carefully whether this is the most appropriate form of action to resolve the issue and whether all reasonable internal steps have been taken.
If a matter is raised outside of ADTREX Ltd, an Employee should take all reasonable steps to ensure that confidential or privileged information is not disclosed.
10. Protection and Support for Employees
ADTREX Ltd will take reasonable measures to support and protect Employees who raise concerns
10.1 Protection from Detriment
Employees raising a concern in good faith and with reasonable grounds for doing so will not be subject to discrimination, harassment or victimisation. Should an Employee believe they have been subject to detriment or retribution they should report this to the ADTREX Ltd Director who may address the matter.
Should an Employee raise a concern in good faith but these are not confirmed by a subsequent investigation, no action will be taken against them. However, action may be taken against individuals who knowingly make false, malicious or vexatious allegations
Should an Employee commit a criminal offence in raising a concern (e.g. accepting a bribe or an act of corruption) – protection from detriment may be lost and the Employee may be subject to disciplinary procedures.
10.2 Confidentiality
It is recognised that there may be some circumstances where an Employee would prefer to raise a concern in confidence. Employees should make ADTREX Ltd aware of this when raising their concern.
Consideration will be given to arrangements to maintain the Employee’s confidentiality.
Every effort will be made not to reveal the Employee’s identity, without their prior consent, if this is their wish.
However, in certain cases, it may not be possible to maintain confidentiality if the concern is subject to an external/police investigation where disclosure is required. Employee’s will be advised should there be a possibility that their confidentiality cannot be maintained.
10.3 Anonymous Concerns
Employees are encouraged to put their name to any allegation where possible.
Anonymous allegations will be considered and investigated at ADTREX Ltd.’s discretion.
In exercising the discretion, the following factors may be considered.
- The seriousness of the issues raised.
- The credibility of the concern; and
- The likelihood of confirming the allegation from attributable sources.
It should be noted that it may be more difficult to address the concern, support an employee or advise them of the outcome where a concern is reported anonymously.
10.4 Contacting the Media
Should an Employee be considering contacting the media they are strongly advised to seek professional guidance regarding contact with the media and where possible discuss the matter with ADTREX Ltd Director.
10.5 Record Keeping
Notes may be taken of all meetings with Employee held under this procedure. Where notes are taken a copy will be made available to Employee within 5 workings days.
All records will be treated as confidential and processed in accordance with the Data Protection Act (1998) which provides individuals with the rights to request and have access to certain data.
11. Contacts
ADTREX Ltd can be contacted at the following:
ADTREX Ltd
22 River Court
Chartham
Canterbury
CT4 7JN
Kent
Employees may also wish to raise a concern with:
- Director of Children’s Services
- An elected member of the local authority.
- A solicitor.
- The Police