Internal Whistleblowing Policy

The Agency Board approved the Whistleblowing Policy on 27 February 2024. Since then, the stage one nominated Corporate Leadership Team (CLT) contacts are no longer on CLT.  Replacement nominated contacts for stage one were agreed by CLT on 22 May 2024 (as highlighted in Appendix A). The updated policy is now presented to the Board for approval.

The Board is asked to approve the updated Internal Whistleblowing policy.

The Board is asked to note that a fuller review of this policy will take place later this year.

Jennifer McWhirter, Head of Corporate Legal & Leadership Support

Kirsty-Louise Campbell, Chief Officer Governance, Performance and Engagement

Date: 22 May 2024

This policy applies to all current and former workers of SEPA, including;
Board members

• All SEPA employees
• Agency or contract workers
• Self-employed contractors
• Casual workers
• Volunteers
• Interns
• Individuals on work experience or a formal SEPA training programme
• Suppliers or those providing services for SEPA from their own premises under a contract with SEPA

Whistleblowing is the disclosure of information which relates to suspected wrongdoing or dangers at work.

This may include:

• Criminal activity, for example bribery or fraud;
• Failure to comply with a legal obligation, including failure to comply with SEPA policies and procedures such as the employee code of conduct;
• A miscarriage of justice;
• A danger to health and safety;
• Damage to the environment;
• Failure to disclose a conflict of interest; and
• The deliberate concealment of any of the above matters.

A whistleblower is someone who raises a concern relating to one of the above categories. This policy is not to be used for individual grievances or complaints that relate to your own personal circumstances, for example bullying or harassment. In those circumstances it will be more appropriate to use the grievance procedure.

If you are unsure if your concern is covered by the whistleblowing policy, please seek further guidance from the whistleblowing team by emailing whistleblowing@sepa.org.uk.

If you would like to raise a concern, you can contact the whistleblowing team directly on whistleblowing@sepa.org.uk.

Please do not send emails regarding whistleblowing disclosures to any other email addresses. This is to protect the confidentiality of the whistleblower.

The members of the whistleblowing team are:

• Kieron Gallagher Head of Governance
• Jennifer McWhirter Corporate Solicitor/Clerk to the Board

If you don’t feel comfortable contacting the whistleblowing team directly, you can raise a concern via the external whistleblowing helpline provided by Safecall

Disclosures can be made to Safecall;

• by phone on 0800 915 1571; or
• by online web form

This helpline will act as an intermediary between you and the whistleblowing team. You can provide your details to the helpline or remain anonymous. If you provide your details, you can ask that these are not passed to the whistleblowing team.

Stage one:

If you decide to raise a concern and you would like to discuss it further before contacting the whistleblowing team, SEPA has nominated whistleblowing contacts. You can raise your concern with these individuals either by phone or in person:

• Kirsty-Louise Campbell - Chief Officer Governance, Performance and Engagement
• Alex Flucker - Chief Operating Officer Data, Evidence and Innovation
• Angela Milloy - Chief Officer Finance, Modernisation & Digital.

Stage two:

If you feel unable to raise your concern with the whistleblowing team or any of the nominated whistleblowing contacts or you are unhappy with the response you have received from the whistleblowing team or nominated whistleblowing contact, you can raise your concern by contacting the nominated whistleblowing contacts for the SEPA board. The nominated individuals are:

• Craig Hume
• Harpreet Kohli
• Lorraine McMillan.

All disclosures will be treated as highly confidential. If you wish, you can make the disclosure anonymously. However this policy is intended to provide personal protection against detriment to those who raise a concern. It may not be possible to rely upon the same level of protection if your concern is raised anonymously.

If you have provided contact details, you will receive an acknowledgement within five working days.

The Whistleblowing team will undertake an initial assessment of your disclosure to confirm it is suitable to be dealt with under the whistleblowing policy and to determine what further action should be taken.

One of the nominated stage one whistleblowing contacts will be allocated to the matter. If your disclosure relates to one of the stage one whistleblowing contacts or the actions of CLT, the matter will be allocated to one of the nominated board contacts.

The further action to be taken will depend on the nature of the disclosure that has been made.

You will be advised who is handling the matter, how to contact them, and whether any further assistance from you is required.

You will be provided with feedback at the end of the SEPA investigation. You may be provided with interim feedback, but this is not guaranteed. The feedback may be limited to protect the confidentiality of other individuals.

If you are unhappy with how your concern was dealt with at stage one, you may wish to escalate your concern to stage two of this process.

Alternatively, you may wish to raise your concern with the appropriate body referred to as a “prescribed person”. The appropriate regulator will depend on the nature of your concern. A full list of prescribed persons can be found in the Public Interest Disclosures (Prescribed Persons) Order 1999. If you are unsure which prescribed person to report your concern to, then the whistleblowing service provided by Safecall or Protect, the whistleblowing charity, will be able to provide assistance.

You can get independent advice from Protect, the whistleblowing charity.

• Helpline number: 020 3317 2520
• Email: whistle@protect-advice.org.uk

If you are a member of Unison, you can get advice from their confidential helpline on 0800 0857 857.

The Clerk to the Board will maintain a record of concerns raised under this policy and the outcomes of those concerns and report on these annually to the Audit and Risk Committee. The number of concerns received are reported on a quarterly basis to the Audit and Risk Committee.

The Chief Executive will identify the nominated whistleblowing contacts who may be contacted to raise a concern under stage one of this policy.

The Agency Board will identify the nominated whistleblowing contacts who may be contacted to raise a concern under stage two of this policy.

The Head of Governance will ensure that the nominated whistleblowing contacts receive appropriate training in this policy and the whistleblowing legislation to ensure they have the knowledge and skills to respond appropriately.

The Head of Governance will provide guidance and support to managers on how to raise awareness of this policy for the individuals they are responsible for.