This instruction applies to: / Reference:
National Probation Service / PI 41/2014
Issue Date / Effective Date
Implementation Date / Expiry Date
12 September 2016
(Revised) / 01 June 2014 / N/A
Issued on the authority of / NOMS Agency Board
For action by / All staff responsible for the development and publication of policy and instructions
National Probation Service (NPS)
Instruction type / HR function
For information / All staff
Provide a summary of the policy aim and the reason for its development / revision / The aim of the policy is to ensure that wrongdoing in the NPS Directorate of NOMS will be identified and addressed and staff will raise concerns in the appropriate way.
Update 12 September 2016 - Nominated Officers and Staff Network contact details have been updated at paragraphs 2.7, 2.8, and Annex A – 1.8 and 1.10. The expiry date has also been removed.
Contact / Shared Services HR Contact Centre
' 0845 010 3504
Associated documents / Guidance on undertaking all the requirements contained in this Instruction can be found on the My Services website.
PI 05/2016 - Corruption Prevention: How to Identify, Report and Manage Staff Corruption in the National Probation Service
Civil Service Code
Replaces the following documents which are hereby cancelled: None
Audit/monitoring: Chief Officer Grade staff Pay Bands A-D will ensure local records are kept and monitored to demonstrate compliance with the mandatory actions set out in this instruction
Compliance with this Instruction will be monitored by Deputy Directors (DDs) within their Division.
Introduces amendments to the following documents: None
Notes: All Mandatory Actions throughout this instruction are in italics and must be strictly adhered to.
PAGE 3
CONTENTS
Section / Title / For reference by1 / Executive summary / All staff
Background
2 / Reporting Wrongdoing Policy
Raising concerns at the right level
Highly Exceptional Circumstances: Matters of conscience
Further Sources of Advice
3 / Annex
Part A How to raise concerns
Part B Protection
Part C Action to address concerns
Further references
1. Executive summary
Background
1.1 The NOMS/NPS Reporting Wrongdoing policy encourages staff to raise concerns about possible wrongdoing or malpractice at work in the appropriate way.
1.2 Staff who raise concerns under this policy are protected by the Employment Rights Act (ERA) 1996 as amended by the Public Interest Disclosure Act (PIDA) 1998.
1.3 Any member of staff who raises a concern about wrongdoing in good faith, and that they reasonably believe to be true, will be protected from any form of discrimination or victimisation arising from the allegation.
1.4 This policy applies to all members of staff employed in the NPS Directorate of NOMS.
Desired outcomes
1.5 Wrongdoing in the NPS Directorate will be identified and addressed and staff will raise concerns in the appropriate way.
1.6 Concerns will be raised at the lowest appropriate level and with line management unless this is clearly inappropriate given the particular circumstances.
1.7 Staff will know how to raise concerns and how they will be dealt with.
1.8 In exceptional circumstances, where staff do not feel able to raise concerns through the normal channels they are directed to the Reporting Wrongdoing Hotline.
1.9 In addition to the Hotline, in highly exceptional circumstances, members of staff are also able to raise matters of conscience in confidence, to a nominated official.
Application
1.10 All staff must be familiar with all sections of this policy.
Mandatory actions
1.11 All actions in this Instruction are mandatory unless otherwise specified and are shown in italics. All levels of management and all employees must ensure that they are aware of these mandatory actions and ensure this policy is implemented and adhered to.
Resource Impact
1.12 It is not anticipated that there will be any direct resource impact resulting from this Instruction.
For further information please contact:
Shared Services HR Contact Centre
' 0845 010 3504
(Approved for publication)
Martin Beecroft
Director of Human Resources, NOMS
2. Reporting Wrongdoing Policy
Purpose
2.1 This Instruction encourages staff to raise concerns about possible wrongdoing or malpractice at work in an appropriate way. It seeks to ensure that:
· wrongdoing in the NPS (NOMS) can be identified and addressed;
· concerns are raised at the lowest appropriate level and with line management, unless this is clearly inappropriate given the particular circumstances;
· staff who have concerns know how to raise them and how they will be dealt with;
· staff who raise concerns under this policy are protected by the Employment Rights Act (ERA) 1996 as amended by the Public Interest Disclosure Act (PIDA) 1998.
2.2 Any member of staff who raises a concern about wrongdoing in good faith, and that they reasonably believe to be true, will be protected from any form of discrimination or victimisation arising from the allegation. However, staff who wilfully make false and malicious allegations will themselves be liable to disciplinary action, which could result in dismissal.
Raising concerns at the right level
2.3 If you have concerns about your personal treatment you should raise your concern in almost all circumstances through the NPS Staff Grievance procedure. Concerns that are not about your treatment should always be raised first with your line manager (or the next more senior manager if clearly inappropriate to raise concerns with your line manager).
2.4 In exceptional circumstances, where you do not feel able to raise your concerns through the normal channels, NOMS has a Reporting Wrongdoing Hotline.
2.5 The Reporting Wrongdoing Hotline (( 01527 544777) is staffed between 9.00am and 5.00pm Monday to Friday. Calls received outside these hours will be recorded and where required will be returned on the next working day.
2.6 If you have raised an issue under this procedure and do not receive a reasonable response, you may report the matter to the Civil Service Commission. Their address is:
G08
1 Horse Guards Road
London
SW1A 2HQ
Tel 020 7271 0831
Highly Exceptional Circumstances: Matters of Conscience
2.7 In addition to the Hotline, members of staff are also able to raise matters of conscience, in confidence, with the following nominated officials (correct as at June 2014):
Martin Beecroft / NOMS HR Director / Clive House, London / ( 0300 047 5161Paul Woods / Staff Officer, Director of Public Sector Prisons / Clive House, London / ( 0300 049 7017
Jim Barton / Deputy Director, Development and Business Change / 5 St Phillips Place, Birmingham / ( 07769 169098
Sarah Chand / Deputy Director, NPS Midlands / 5 St Phillips Place, Birmingham / ( 07813 010684
2.8 Members of staff wishing to obtain confidential advice from an independent source, outside NOMS, can contact the following nominated official who is a NOMS non-executive Director:
Alan Hammill ( 07802 485101
2.9 Staff should only raise matters with a nominated official where the internal grievance procedure is clearly inappropriate given the gravity of their concerns or where the concerns are such that it is inappropriate to raise then with a more senior manager in their line management chain. Whilst in no way an exhaustive list, the gravity and scale of the concerns to justify approaching one of the nominated officials would be of type such as:
· Wide spread and systematic abuse of offenders with the active or passive collusion of the most senior operational managers; or
· Issues relating to fraud by, or in collusion with, the most senior managers
All concerns will be treated in confidence where possible. Staff are encouraged to identify themselves when raising concerns with the Reporting Wrongdoing Hotline or, in exceptional circumstances, with the nominated officials. However, staff can remain anonymous if they wish.
2.10 Staff who report misconduct, including those who make corruption prevention reports, must be aware that the information they provide may be required to support disciplinary proceedings and/or a criminal investigation. This means that their reports, and/or the information they provide, may be disclosed and they may be required to give evidence both internally and to external bodies such as criminal courts or inquiries. If this is likely to arise the situation must be discussed with that member of staff and arrangements put in place to manage the process prior to disclosure.
2.11 It is important to ensure that the appropriate support is available to staff. Any member of staff who comes forward to report their concerns or who makes an allegation of misconduct must not be victimised, harassed or bullied as a result of doing so. Such behaviours are totally unacceptable and may lead to disciplinary action.
2.12 Actions that can be taken as a result of a report of possible wrongdoing depend on the nature and seriousness of the information received. Where a nominated official believes it would be more appropriate for staff to raise their concerns in an alternative way, for example, via the grievance procedure, they will advise the staff member accordingly.
Further sources of advice
2.13 Full details on reporting wrongdoing and the actions that can be taken to address staff concerns are set out in the attached annex and additional guidance is available on the My Services website. Staff should read this information carefully to enable them to determine the appropriate way to deal with any concerns they might have about possible wrongdoing or malpractice.
2.14 Staff may also seek advice from their trade union representative, Employee Assistance provider or the staff associations. Further information and the contact details for Employee Assistance and the staff associations are available in the annex attached.
Further information
2.15 Guidance on undertaking all the requirements contained in this Instruction can be found on the My Services website.
2.16 Line managers are the initial point of contact for queries about this Instruction. However if they are unable to deal with the query Shared Services should be contacted.
HR Contact Centre at Shared Services - 0845 010 3504
Annex – Guidance for Staff
Section A – How to Raise Concerns
1.1 There are a number of ways to raise concerns about possible wrongdoing or malpractice depending on the nature of the concern.
Concerns about treatment
1.2 If staff have concerns about their personal treatment then they should raise their concern through the NPS Staff Grievance procedure, with additional guidance available on My Services. There are also processes to complain about treatment in specific areas – harassment, discrimination, and performance management concerns. For details/information on these please see My Services. The key principle is that staff should raise any concerns at the most immediate point in the line management chain - this is normally the line manager.
Other concerns about misconduct
1.3 If possible, concerns that are not about an individual’s treatment should be raised first with their line manager. If staff do not feel able to do this then they should raise their concerns with a more senior manager. The seriousness and sensitivity of the issue, and who it is that the member of staff believes is acting improperly, will determine with whom staff should raise their concerns. For example, if a member of staff believes that a member of their senior management team has behaved improperly then, whilst they may wish to discuss this with their line manager, their concerns should also be brought to the attention of the senior manager, or in more exceptional circumstances with the Deputy Director responsible.
In the most serious or exceptional circumstances: What staff should do?
1.4 In exceptional circumstances, if staff do not feel able to raise their concerns in the above way and doing so would be clearly inappropriate then NOMS has a Reporting Wrongdoing Hotline.
Reporting Wrongdoing Hotline ( 01527 544777
The information provided to this hotline will be processed according to the nature and seriousness of the information. Information held in the Unit will be stored securely. The actions that may be taken as a result of information received by the Unit are set out in section C of this document.
Nominated officials
1.5 In the most extreme cases, staff have the right to raise matters of conscience in confidence with a nominated official. The essential role of a nominated official is to provide a means by which staff may raise matters of concern in confidence with an individual outside the normal management line. But this is not another avenue of appeal simply when other avenues, such as the NPS grievance procedure, have been exhausted.
1.6 An appeal to a nominated official would only be appropriate where the internal grievance procedure is clearly inappropriate given the gravity of the concerns, or where the concerns are such that it is inappropriate to raise them with a more senior manager in the line management chain. Examples of where this may be a justifiable approach include:
· Widespread and systematic abuse of offenders and / or victims with the active or passive collusion of the most senior managers;
· Issues relating to fraud by, or in collusion with, the most senior managers.
1.7 On receipt of a complaint the nominated official will consider whether there is evidence of: anything illegal; unethical; in breach of constitutional convention or professional code; maladministration; or otherwise inconsistent with the Civil Service Code. They will then decide what action can or needs to be taken, or whether the matter needs to be investigated further or advise the person raising the complaint to raise the issue in the normal way, for example, via the NPS staff grievance procedure.
1.8 The nominated officials are:
Martin Beecroft ( 0300 047 5161
Paul Woods ( 07769 169098
Jim Barton ( 07769 169098
Sarah Chand ( 07813 010684
For confidential advice from an independent source outside NOMS, the nominated official is:
Alan Hammill ( 07802 485101
Other sources of advice
1.9 In addition to the above procedures, staff may seek advice from their trade union representative on how to deal with possible concerns of any wrongdoing.
1.10 Other options include contacting the Employee Assistance provider which offers confidential support and advice on a wide variety of issues including bullying and harassment, debt, ill health and relationships, or the staff associations: