What's the process when you receive a whistleblowing complaint?

An employee approaches you with serious concerns about wrongdoing in your business. They're worried about speaking up but feel they have to.

Whistleblowing isn't just any workplace complaint. It's specifically about issues in the public interest that fall into six protected categories:

• Criminal offences

• Failure to comply with legal obligations

• Miscarriage of justice

• Danger to health and safety

• Damage to the environment

• Deliberate concealment of any of these

Workers who raise these concerns have legal protection under the Public Interest Disclosure Act 1998. You cannot dismiss them or treat them unfairly for whistleblowing. This protection is automatic; they don't need qualifying service.

Your step-by-step process

1. Take it seriously

When someone raises a whistleblowing concern, acknowledge it immediately. Thank them for bringing it to your attention.

Never dismiss it as troublemaking or assume it's unfounded. Even if it turns out to be mistaken, treating it seriously from the start protects everyone.

2. Reassure on confidentiality

Reassure them that their identity will be protected as far as possible during the process. Be honest though, you might need to share some details to investigate properly.

Document their concerns carefully. Get specifics: what happened, when, who was involved, any evidence they have.

3. Start investigating

Begin your investigation promptly. The longer you leave it, the harder it becomes to establish facts.

Appoint someone impartial to investigate, not someone implicated in the complaint. For serious matters, consider an external investigator.

4. Protect the whistleblower

Make sure the person who raised concerns isn't punished or treated differently. Watch for subtle retaliation too, being excluded from meetings, passed over for opportunities or isolated by colleagues.

Tell relevant managers that they must not take any action against the whistleblower. Document this instruction.

5. Act on your findings

Once you've investigated, decide what action to take. This might be:

Disciplinary proceedings if wrongdoing is confirmed

Process changes to prevent recurrence

Training if the issue stems from lack of understanding

No action if concerns were unfounded (but still thank the whistleblower)

6. Close the loop

Tell the whistleblower that you've completed the investigation and taken appropriate action. You don't need to share all details, especially if disciplinary action is involved.

Keep records of everything: the disclosure, your investigation, actions taken and communications.

Protecting your business

Have a clear whistleblowing policy before you need it. It should explain what whistleblowing is, how to raise concerns and what protection employees have.

Remember: mishandling complaints carries serious risks. Employment tribunals can award uncapped compensation if a whistleblower is treated unfairly.

Plus, the original issue might cause real harm if ignored.

Review your process now. Make sure that everyone knows it exists and how it works.

We can help with policies, investigations and ensuring that you meet your legal obligations. Drop us a message.