Whistleblowing Policy: why your organisation needs one & what to include

Introduction

A whistleblowing policy sets out how an organisation will respond to a whistleblowing report. This includes what qualifies as a legitimate whistleblower report (or “qualifying disclosures”), and when a qualifying disclosure will be protected, i.e. the legitimate report is made to an appropriate person.

Whistleblowing law in the UK

In the UK, individuals have a number of rights when it comes to whistleblowing, as long as certain criteria are met. Of particular importance to this is the Public Interest Disclosure Act (or PIDA for short).

This includes providing protection for workers reporting a concern about malpractice by their employers or third parties. Find out more about UK law by reading these FAQs.

When it comes to claims against employers for a breach of whistleblowing laws in the UK it’s important to note that there is no financial cap on compensation for the whistleblower and no requirement for the whistleblower to have a minimum period of service with the employer.

What kinds of complaints count as whistleblowing?

While some issues will certainly fall within the remit of the law, there will be some complaints that don’t quite make the cut. Your whistleblower policy should set this out in clear terms so there can be no confusion regarding what qualifies as legitimate concerns under whistleblower protection laws. Find out more by reading these FAQs.

Who needs a whistleblowing policy and procedure?

Any business at risk of any wrongdoing should have a whistleblowing policy. So, to put it more simply, all businesses need a whistleblowing policy.

Not only does a whistleblowing policy outline what happens once a whistleblower report is made, but it also goes a long way towards creating an open and transparent relationship between the business and its employees. Although the law does not require employers to have a whistleblowing policy in place, the existence of one showcases the employer’s commitment to lawfully and correctly addressing the concerns of its workers.

Benefits of having a whistleblowing policy

There are countless benefits to a whistleblowing policy and procedure. Not only will a policy help your business to outline its approach to whistleblower reports from a legal standpoint, but it can also have a number of other benefits. These include:

• the business can resolve an issue quicker, as a result of encouraging a culture where employees report concerns of wrongdoing;

• the business can provide support to those who need it;

• a whistleblower policy recognises that workers are valuable eyes and ears for the business;

• a whistleblower policy can ensure an employee has the option to make an anonymous disclosure or a confidential disclosure, where an employee has concerns regarding being treated differently by colleagues as a result of making a whistleblower report;

• a whistleblower policy can act as a deterrent to behaviour which falls below certain standards, by formalising the employer’s position on wrongdoing, and its support for staff raising issues; and

• the existence of a well-drafted whistleblower policy can give a positive impression to a prospective investor who performs due diligence on your business.

Who is a whistleblower, exactly?

Whistleblowing is a term that’s bounced around a lot, but it helps to ask, who is a whistleblower exactly? Put simply, a whistleblower is an individual who raises concerns of wrongdoing regarding a business or entity and qualifies for whistleblower legal protections.

Here’s a typical whistleblowing procedure...

Any whistleblowing policies or procedures should be clear, simple and easily understood. While there is no one-size-fits-all solution, and actions will depend on the size of the business, there is a typical process that is likely to be followed and documented via a whistleblowing policy. This might look like the below…

1. Step one: An employee informs an appropriate person of concerns they have of wrongdoing. This might be a manager, HR, or a “prescribed person”. Here the employee should say whether or not they want to remain anonymous. While they can do so verbally it would always be better for this to be in writing.

2. Step two: The employer or prescribed person will consider the concern and decide if any action is needed. If necessary, the employee may be asked for further information.

3. Step three: The employer or prescribed people can keep the employee informed about the action they’ve taken, but they cannot give much detail in circumstances where they have to keep information confidential about other people.

4. Step four: In the event that an employee believes a concern was not taken seriously, or the wrongdoing is still going on, they are able to raise the whistleblower report with someone else. This might be a senior member of staff, a prescribed person, or an external body.

A whistleblower report can have any number of results, including no further action, an independent inquiry, a criminal investigation, or an external audit.

What does our whistleblowing policy cover?

1. Who the whistleblower policy applies to: Whistleblower law covers a set group of workers, and some will not qualify for legal protection.

2. Who is responsible for the whistleblower policy: Whether that’s the board of directors or a defined role, responsibility will need to be taken for the effective use of this whistleblower policy.

3. What is whistleblowing: It’s important that a whistleblower policy is clear and easy to understand, which is why this whistleblower policy outlines in detail what classifies as whistleblowing.

4. Raising a whistleblowing concern: A whistleblower policy will need to outline the procedure relating to raising a concern. This includes who to raise a whistleblower report with, what to do if a matter is more serious, and what happens after a whistleblower report has been made.

5. Protection from retaliation: Whistleblowers qualify for a series of legal protections, and this whistleblower policy outlines in clear terms the protections for a whistleblower.

6. Confidentiality: There will be instances when a whistleblower might have concerns about repercussions for reporting. While there are protections against this, this whistleblower policy also sets out information relating to confidentiality for the whistleblower.

7. Investigation and outcome: This whistleblower policy explains the process for an investigation, an outcome, and what to do if an individual is not satisfied with an outcome.

While this isn’t an exhaustive list, the above reflects the goals of our whistleblower policy: to empower businesses to tackle whistleblower reports effectively, while advancing cultures that fight against unethical conduct.

Is your business in need of a business-bolstering whistleblowing policy? Look no further than Docue’s whistleblowing policy.

Use Docue's whistleblowing policy

At Docue we’re determined to equip businesses with the legal documents they need to shield, advance, and empower their business. That’s why our whistleblowing policy is designed to prepare a business for whistleblower reports while empowering it to foster a culture of transparency, accountability and high standards.

Just like all our template contracts and legal documents, the whistleblowing policy on the Docue platform is lawyer-made, lawyer-maintained, and has lawyer-crafted guidelines to steer you through every stage of drafting a whistleblower policy which is right for your business. So to create your whistleblower policy with confidence and speed, simply click through the intelligent tick box options and text box answers and you’ll have a comprehensive, tailored, and ready-to-use whistleblowing policy in no time. The Docue platform also allows you to put the finishing and personal touches to your whistleblower policy with logos and footers. Once you are all done you can leverage Docue’s unlimited and automatic archive storage, Docue Drive, to keep your whistleblower policy safe and sound. Whistleblower law in the UK can be tricky and complex, so if you do get stuck Docue's lawyer-drafted guidance notes are there to guide you through the process.

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