Agenda item

This report presents the annual whistleblowing report of the Council to the Audit and Governance Committee to provide transparency and accountability.

The report summarises the whistleblowing activity over the last year and analyses the effectiveness of the Council’s process and system.

Witnesses:

Shella Smith, Director of People and Change

Key points raised in the discussion:

1.    The Director of People and Change explained that whistleblowing cases could be raised directly in writing to a Council senior officer or through the external independent organisation Navex Global. Whistleblowing cases received by the Council were triaged through the People and Change team, a decision was made about the appropriate route for those to be investigated. Any case involving the potential allegation of fraud was sent to the Internal Audit team to investigate. She noted that twenty whistleblowing cases were received in 2023/24 and the slight increase from the previous year showed the increased awareness of the policy by staff.

2.    A Committee member referred to the benchmarking exercises undertaken with other authorities, noting that the Council’s figure was higher compared to others particular Hampshire County Council which had a low figure of whistleblowers; and she asked why that was the case. The Director of People and Change noted that making a like-for-like comparison was difficult, she noted that Hampshire County Council might be recording cases in a different way. She would investigate why their number of cases was so low given their higher headcount.

3.    As a supplementary on the above, the Committee member asked whether there was no prescribed way to assess such cases. The Director of People and Change explained that there was a legal definition of whistleblowing and each local authority must have a whistleblowing policy, however there was no requirement to report externally in a set way. The Council was transparent in reporting every case it received even if not upheld.

4.    The Chairman noted that the assessment of cases was referred to either the People and Change team, Internal Audit or the Monitoring Officer. Regarding the outstanding cases underway some were referred to a Human Resources (HR) People Consultant, he asked how independent that was regarding their handling. The Director of People and Change explained that the HR People and Change Consultants had expertise in investigating such issues through their work in supporting managers with grievances and sickness absence cases, they were not aligned with the service being investigated. Any complaints about the People and Change service were referred to the Monitoring Officer.

5.    A Committee member sought clarity on whether the Officer Code of Conduct had been reviewed and updated and approved by the Council in May 2024, as incorporated into that the whistleblowing policy on the website was dated May 2021. The Director of People and Change confirmed that the Officer Code of Conduct was reviewed annually as in May 2024 to ensure it was up to date, it referenced policies such as the whistleblowing policy. She explained that the policies were reviewed at last every two years, the whistleblowing policy would have been reviewed since 2021 but no changes were made. Going forward, she would ensure that the date the policy was reviewed would be included on its front cover.

6.    A Committee member referred to the outcomes recorded and where those findings could not be shared due to confidentiality, he asked for an explanation of what the confidentiality related to and who was made aware of the outcome. The Director of People and Change noted that the group which included the Monitoring Officer, the Head of Insights, Systems and Governance in the People and Change team, and Internal Audit reviewed whistleblowing cases quarterly, they would be made aware of the outcome of those investigations. Reasons for confidentiality varied for example if individuals or service users were identified. The Chairman noted that having liaised with the Monitoring Officer, the Committee could have a Part 2 update on the matter at the September or November Committee meeting.

7.    The Chairman referred to the ‘Closed Cases’ table asking whether an additional column could be added indicating whether the whistleblowing case was found in favour or against, that would provide an idea of how many cases were progressed annually. The Director of People and Change noted that could be added.

8.    A Committee member referred to the ‘Closed Cases’ table where there were several that had outcomes to be confirmed or the date closed was to be confirmed, he asked whether that was because information had not been input or was there another reason for that. The Director of People and Change would provide a written response.

RESOLVED:

1.    Reviewed the contents of the Annual Whistleblowing report to satisfy themselves that the governance arrangements are operating effectively; and

2.    Made recommendations for improvement.

Actions/further information to be provided:

1.    A22/24 - The Director of People and Change will investigate why Hampshire County Council’s number of whistleblowing cases is so low compared to Surrey’s.

2.    A23/24 - Going forward, the Director of People and Change will ensure that the date the Whistleblowing Policy is reviewed will be included on its front cover.

3.    A24/24 - The Director of People and Change will liaise with the Monitoring Officer about the Committee receiving a Part 2 update on the reasons for confidentiality regarding findings from whistleblowing cases at the September or November Committee meeting. 

4.    A25/24 - The Director of People and Change will add in an additional column into the ‘Closed Cases’ table indicating whether the whistleblowing case was found in favour or against.

5.    A26/24 - The Director of People and Change will provide a written response explaining the reasons for the outcomes listed as to be confirmed or the date closed as to be confirmed in the ‘Closed Cases’ table.