Policy
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Speak Up (Whistleblowing) policy
Foreword from the Chair and CEO
The Board and the Executive want Gambling Commission employees to speak up whenever they have concerns about something they see or hear at work. Not only is speaking up OK, but it is something we actively welcome.
We know speaking up can feel difficult to do, so we have set out this policy to explain how to do it.
Marcus Boyle, Chair and Andrew Rhodes, CEO.
1. Introduction
Anyone can have concerns about things that are happening at work. Usually, these concerns can be easily resolved. If concerns are not dealt with or when they relate to serious issues like possible unlawful conduct, fraud, risks to the public or the environment, or other malpractice, it can be difficult to know what to do.
People in this situation may worry about reporting their concerns. This could be because the concern is only a suspicion or because they feel it is ‘none of their business’. They may feel that they are being disloyal to colleagues or to the Commission. They may also have concerns about being branded a troublemaker or worry about their job security or prospects.
These fears are understandable but unnecessary. The Commission welcomes people raising concerns. This policy is intended to give you information about the protections offered by the Public Interest Disclosure Act 1998 (PIDA) and the process you can use to speak up.
2. Policy Statement
You can raise a concern at any time. You can speak up about conduct or an incident that happened in the past, is happening now, or you believe will happen.
We will treat all concerns sensitively. We will endeavour to keep your concern confidential, but we cannot guarantee complete confidentiality in circumstances where that would hamper our ability to properly investigate the issue you raise.
Concerns raised under this policy are protected disclosures. This means that the Commission will not tolerate the detrimental treatment of anyone because they have raised a concern under this policy. As long as you are acting in the reasonable belief that it is in the public interest, it does not matter if it turns out you were mistaken.
This policy does not replace our Grievance policy. You should read the Grievance policy to understand if your concern is of ‘public interest’ (dealt with under this policy), or a ‘private’ concern relating to your own treatment (usually more suitable for the grievance policy).
How to speak up
Take the following steps to speak up:
Raise your concern with your manager. You can do this verbally or in writing.
If you do not feel able to go to your manager, for whatever reason, you can raise your concern with:
- a Head of function or Director
- a member of the Executive Team.
If your concern relates to a member or members of the Executive Team, including the CEO you can raise the concern directly with a Commissioner or the Chair.
If your concern relates to a Commissioner you can raise the concern directly with the Chair or CEO.
If your concern relates to the Chair, you can raise the concern directly with the Senior Independent Director (SID) or our sponsor body, the Department for Culture, Media and Sport (DCMS).
You can speak to an adviser using the confidential Dignity at Work hotline (which is run by a separate company on behalf of the Commission) for support on how to report and escalate a concern.
What happens next
The person you have raised your concern with will take appropriate action. This is likely to involve taking advice from relevant Commission teams, for instance, People Services, Finance, Governance or Legal. You may be asked how you think the matter should be resolved.
The person you have raised your concern with must notify the Head of Governance that a disclosure has been made to ensure it can be recorded.
If you have asked for a written response, we will write to you within 10 working days of the date you raised your concern. We will summarise your concern and set out how we propose to handle it. We will tell you who is dealing with the matter, the expected timeline of the process, and outline whether your further assistance may be needed.
If we decide that a formal investigation is needed, it will normally be the responsibility of the Executive Director of People Services or the Head of Governance to make the appropriate arrangements. The Commission may, where appropriate, appoint an external body to investigate and report their findings to the Commission. The Commission remains responsible for receiving the report, deciding on the action to be taken, and reporting the decision and outcome.
If you have asked to be kept informed, we will give you as much feedback as we can. We may not be able to tell you the precise action we take or provide full details of the investigation where this would infringe on a duty of confidence owed by us to someone else or undermine our regulatory functions.
What to do if you are unhappy with the outcome
If you are unhappy with our response or with the outcome of speaking up, you can write to the Chair of the Board or the SID. If the response came from the Chair or SID, you can contact DCMS.
You are encouraged to escalate your concerns as soon as possible after we tell you what action has been taken. It is helpful to explain why you are unhappy with the result, and what action you think should be taken.
The Chair or SID will consider your concerns. They will confirm how the matter will be taken forward, and the expected timeline for response. The outcome will be confirmed to you in writing. While we cannot guarantee that we will respond to all concerns in the way that you might wish, we will handle the matter fairly and properly.
3. Scope
The Speak Up policy applies to employees of the Commission or agency workers temporarily working at the Commission. It can be used to report a concern which threatens the interests of any person or the Commission.
Concerns relating to interpersonal behaviour, like workplace bullying, may fall in scope of this policy or you may be directed to the Dignity at Work policy and Grievance policy. This will depend on the behaviour and its context. The protections of this policy will still apply to your initial disclosure even if it is handled under a different policy.
Anonymous disclosures are not in scope of this policy. We will still consider anonymous reports, but we cannot offer the full protection of this policy to those who do not identify themselves. If you do not tell us who you are, it is much more difficult for us to look into the matter, protect your position, or give you feedback.
This policy does not apply to anyone found to have maliciously made allegations they know to be untrue. To do so may lead to disciplinary action.
Whistleblowing disclosures about organisations or individuals we regulate, or other third-party organisations are not covered by this policy. The Gambling Commission is not a prescribed body under the PIDA legislation. We will manage information received by individuals whistleblowing within the industry using the principles of a prescribed body and all information will be treated in confidence. These disclosures can be made to our Intelligence Team on 0121 230 6655.
4. Roles and Responsibilities
The Board of Commissioners own this policy.
The Accounting Officer is responsible for ensuring this policy is applied effectively.
The Audit and Risk Committee (ARC) is responsible for scrutinising reporting of disclosures and tracking action taken as a result.
All employees are responsible for understanding their responsibilities in the event that a disclosure is made to them.
The Head of Governance is responsible for:
- maintaining a register of disclosures
- reporting the number of concerns raised and an outline of action taken to ARC and ensuring a summary of the number of disclosures and an assessment of the effectiveness of the policy is included in the Commission’s published Annual Report and Accounts (ARA). No identifiable details will be shared with ARC or included in the ARA
- undertaking or commissioning investigations under this policy, if relevant and where Governance are the lead
- providing guidance on the appropriate handling of concerns raised and the application of this policy
- making reasonable efforts to maintain the confidentiality of the disclosure and investigation.
5. Advice and guidance
If you are still unsure whether to use this procedure, you can get independent legal advice through Protect (formerly Public Concern at Work). Protect are an independent charity and a leading authority on public interest disclosures. They can be contacted on 020 3117 2520 and through the Protect website (opens in new tab).
A qualifying disclosure is protected if you make it as part of getting legal advice. You should seek an appointment with a reputable legal adviser.
Further information is contained within the Guide to the Public Interest Disclosure Act (opens in new tab) available on Protect’s website.
For further information about this policy or how to use it, please contact the Director of People Services or the Head of Governance.
The Board champion for this policy is the Senior Independent Director.
There is a factsheet and FAQ document that sit alongside this policy.
6. Policy Review
Planned for annual review, with the option of more frequent revisions if deemed essential.
Next review date due February 2025.
7. Version History
Version | Author and/or reviewer | Date | Description of change |
---|---|---|---|
1 | Head of Governance | September 2023 | Creation of Document |
2 | Board of Commissioners | February 2024 | Approval of Board |
Last updated: 5 June 2024
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