Whistleblowing Policy

1. Purpose and commitment

The Guild of Young Freemen is committed to conducting its affairs with honesty and integrity.

We encourage all members to raise concerns about wrongdoing or risk as early as possible. We will take concerns seriously, investigate them appropriately, and ensure that individuals who raise concerns in good faith are treated fairly.

This policy is intended to support disclosures that may be protected under UK whistleblowing law (including “qualifying disclosures” made in the public interest).

2. Who this policy applies to

This policy applies to all members of the Guild of Young Freemen, those that sit on any of its committees, and all members of the Court. (Collectively referred to as “members” for this policy.)

This policy also applies to whistleblowing disclosures by third parties in relation to the Guild or members.

3. What is whistleblowing?

Whistleblowing is the reporting of suspected wrongdoing, risk, or malpractice that is in the public interest.

Under UK law, a “qualifying disclosure” is a disclosure of information which the worker reasonably believes is made in the public interest and tends to show one or more of the following has happened, is happening, or is likely to happen:

a criminal offence
breach of a legal obligation
miscarriage of justice
danger to health and safety
environmental damage
deliberate concealment of any of the above

4. What should be reported under this policy?

You should use this policy to report concerns, such as (examples only):

fraud, theft, bribery, corruption, money laundering
breaches of regulatory requirements or professional standards
serious misconduct, unethical behaviour, market abuse
serious health and safety risks
deliberate cover-ups or destruction of evidence
systemic control failures that could harm the Guild, its members, third parties the Guild interacts with, the public, or the environment

Personal grievances

Personal issues are usually better raised via the Complaints Policy and Disciplinary Procedure. However, a concern that appears “personal” can still be whistleblowing if it also raises wider issues in the public interest (e.g., unsafe practices affecting others). Examples of a concern that appears “personal” but may also be whistleblowing include personal disagreements, allegations of bullying, belittling, and harassment.

5. Confidentiality and anonymity

We will treat all whistleblowing reports sensitively and will seek to keep your identity confidential as far as possible, and consistent with:

a fair investigation,
legal requirements, and/or
regulatory expectations.

You may raise concerns anonymously, but this can make the investigation harder and may limit the feedback we can provide.

6. Protection from retaliation

We will not tolerate retaliation, victimisation, or detrimental treatment of anyone who raises a concern in good faith (even if the concern is not ultimately substantiated). Any retaliation will be treated as a disciplinary matter.

Support may include (as appropriate):

adjustments to reporting lines, if working on a committee,
wellbeing/member assistance support,
steps to protect confidentiality,
escalation to senior oversight.

7. How to raise a concern (internal reporting)

We encourage you to raise concerns internally first, where appropriate.

Step 1: Choose a reporting route

You may raise a concern via the following routes:

(i) By email to the Guild’s Clerk (clerk@youngfreemen.org)

The Clerk will triage the disclosure to determine if it concerns members of the Court and should proceed on the senior escalation pathway or does not involve members of the Court and can proceed to be investigated by the Guild’s whistleblowing panel as detailed below.

(ii) Senior Escalation Route: by email to the Honorary Court Assistant (honcourtassistant@youngfreemen.org)

If you feel unable to submit a disclosure to the Clerk as set out above, for example if the whistleblowing involves the Clerk, a disclosure can be made to a Senior member of the livery movement who will consider the disclosure and decide whether to open an investigation under the senior escalation route provisions as set out below.

Step 2: What to include in your report

Provide as much detail as you can, including:

what happened / is happening,
dates/times/locations,
names of individuals involved (if known),
how you became aware of the issue,
any supporting documents or evidence,
whether you have raised this before and the outcome,
what outcome you are seeking (if any),
whether you want confidentiality and/or anonymity.

8. What happens after you report

Acknowledgement

We aim to acknowledge receipt within 3 working days, unless you reported anonymously or did not provide contact details.

Initial assessment (triage)

The Whistleblowing Panel

In the event the disclosure can be investigated internally, the Clerk must, as soon as is reasonably practicable, inform the Court that a disclosure has been received and convene a whistleblowing panel (the “Whistleblowing Panel”) to consider the disclosure and decide any appropriate actions to be taken in response to the disclosure.

The Whistleblowing Panel will consist of the following individuals (unless it is determined that this composition is inappropriate for the particular complaint based upon independence, conflicts of interest and/or any other relevant matter):

a panel composed of three Court members,
Honorary Court Assistant,
one external Livery Master or Clerk appointed pro tempore

As soon as is reasonably practicable, a meeting of the Whistleblowing Panel will be convened (at which all members of the Whistleblowing Panel must be present) to consider the disclosure and all available evidence. The Whistleblowing Panel may require further evidence before completing its investigation.

The Whistleblowing Panel will assess:

whether the concern is whistleblowing or a grievance/complaint,
the level of risk (including urgent safety/member harm),
what immediate steps are needed (e.g., preserve evidence, stop harmful activity, reporting to the authorities).

We aim to complete investigations within 28 days, but this may vary depending on complexity. We may need to limit what we can share due to confidentiality, data protection, or legal/regulatory constraints.

Outcome and Actions

The Whistleblowing Panel is not limited to it but may take the following actions:

referral to the authorities if warranted;
commencing the complaints process and disciplinary procedure if the investigation discloses individual wrongdoing;
the recommendation of the implementation of policies to ensure not future recurrence of the wrongdoing; and
any other appropriate actions.

Feedback

Where feasible and appropriate, the Whistleblowing Panel will provide feedback on:

whether the matter was investigated,
the broad outcome (e.g., substantiated/not substantiated/inconclusive),
general actions taken (without breaching confidentiality),
whether a referral was made to the Complaints Panel and the determination of that Panel unless it is inappropriate or unlawful to do so in the circumstances of the particular matter.

Such feedback will be communicated to the individual who made the disclosure and the Court unless it is inappropriate to do so.

Action which can be taken if Purported Whistleblower is Aggrieved by the Result of the Whistleblowing Panel

Where the individual who has submitted a whistleblowing disclosure is aggrieved by the result of the Whistleblowing Panel investigation, they may request a review within 28 days of being informed of the result of the investigation.

A review will be undertaken by the Honorary Court Assistant who will consider the disclosure, the response to the allegation, and any other evidence which was received by the Whistleblowing Panel. They will determine whether the whistleblowing disclosure has been considered objectively and fairly, taking into account the rights of the individual making the disclosure as well as those of the subject of any such complainant. They will also consider whether the outcome and actions taken were within the range of outcomes and actions that might be taken by a reasonable person acting reasonably.

If the Honorary Court Assistant determines that the whistleblowing allegation has been determined objectively, fairly, and that the outcomes or actions were within the range of outcomes and actions that might be taken by a reasonable person acting reasonably, such feedback will be communicated to the individual who made the disclosure and to the Court unless it is inappropriate to do so.

If the Honorary Court Assistant determines that the whistleblowing allegation has not been determined objectively, fairly, or that the outcomes or action were not within the range of outcomes and actions that might be taken by a reasonable person acting reasonably, then they will commence the Senior Escalation Route as set out below.

The Honorary Court Assistant will endeavour to complete the assessment above within 28 days, but this may vary depending on complexity. Where possible the outcome of this review will be communicated to the individual who made the disclosure and the Court unless it is inappropriate to do so. We may need to limit what we can share due to confidentiality, data protection, or legal/regulatory constraints.

The Senior Escalation Route

Where a whistleblowing disclosure is made directly to the Honorary Court Assistant as:

there is a reason why it could not be determined by the Whistleblowing Panel (if it concerns a member of the Court for example),
it is allocated to the Senior Escalation Route by the Guild’s clerk upon receipt of the disclosure, or
the Honorary Court Member upholds a complaint about the Whistleblowing Panel’s decision,

then the disclosure shall proceed using the Senior Escalation Route.

The Senior Escalation Route Investigation will be proportionate and will be conducted by a panel (the “Senior Escalation Panel”) composed of the following:

the chair: the Honorary Court Assistant
and at least two Livery Masters or clerks as appointed pro tempore by the Honorary Court Assistant

We aim for the Senior Escalation Route investigation to be completed within 28 days, but this may vary depending on complexity and the availability of the panel. This decision of the Senior Escalation Panel will be communicated to the individual who made the disclosure and the Court unless it is inappropriate to do so. We may need to limit what we can share due to confidentiality, data protection, or legal/regulatory constraints.

Determination of outcomes and actions by the Senior Escalation Panel are final. The Panel has right to determine whether to admit fresh evidence when considering matters that have proceeded to the Senior Escalation Route following a challenge to the determination of the Whistleblowing Panel.

Outcome and Actions of the Senior Escalation Panel

The Senior Escalation Panel is not limited to it but may take the following actions:

referral to the authorities if warranted;
commencing the complaints process and disciplinary procedure if the investigation discloses individual wrongdoing;
the recommendation of the implementation of policies to ensure no future recurrence of the wrongdoing; and
any other appropriate action.

Feedback

Where feasible and appropriate, Senior Escalation Panel will provide feedback on:

whether the matter was investigated,
the broad outcome (e.g., substantiated/not substantiated/inconclusive),
general actions taken (without breaching confidentiality),
whether a referral was made to the Complaints Panel and the determination of that Panel unless it is inappropriate or unlawful to do so in the circumstances of the particular matter.

Repeat Complaints or Complaints Alleging Materially Similar Conduct

Where it appears that a disclosure has been made which has previously been subject to a determination under the processes set out above, that disclosure may for forwarded to the Honorary Court Assistant.

If the Honorary Court Assistant considers that the disclosure is materially different to one previously made or should be considered together with any other disclosure for reasons of expediency or fairness, then that disclosure will proceed following the processes set out in this Policy.

If the Honorary Court Assistant considers that the disclosure is materially the same as one previously made and that that there is no proper reason for it to be reconsidered under this Policy, then that disclosure will be considered as being previously determined and not subject to any further consideration under this policy. This decision will be communicated to the individual who made the disclosure and the Court unless it is inappropriate to do so. We may need to limit what we can share due to confidentiality, data protection, or legal/regulatory constraints.

9. Fair treatment of those implicated

We will treat anyone named in a report fairly. Raising a concern does not mean wrongdoing has occurred; allegations will be assessed and investigated appropriately. Before any factual determination is made by the Whistleblowing Panel or Senior Escalation Panel the subject(s) of any whistleblowing disclosure shall be asked whether they wish to provide a written account or response to any allegation against them where it is felt that it is appropriate to do so. Should the subject(s) decide not to provide a written account or response to any allegation against them if invited to do so, that decision must be conveyed to the Whistleblowing Panel or Senior Escalation Panel (as constituted) in writing. Where such accounts or responses are given, they shall be considered as part of the evidence by the panels.

10. Malicious or knowingly false reports

We encourage people to speak up. However, deliberately false or malicious allegations may lead to disciplinary action (see ‘Disciplinary Procedure’ in the Complaints Policy). Honest disclosures made in good faith will not lead to disciplinary action even if they are mistaken.

11. External reporting (prescribed persons and other routes)

We hope you will raise concerns internally first, but you can disclose to certain external bodies in some circumstances.

Prescribed persons

Under the whistleblowing framework, certain regulators and bodies are “prescribed persons” for specific subject areas. The list is set out in the Public Interest Disclosure (Prescribed Persons) Order 2014, and the government publishes guidance and a practical list.

If you are considering reporting externally, it is important to:

choose the correct body for the issue,
ensure the concern falls within that body’s remit,
keep a clear record of what you reported and why.

(You may wish to seek independent advice before reporting externally.)

12. Records and data handling

We will keep secure records of:

concerns raised,
steps taken to assess and investigate,
outcomes and actions.

Access will be restricted on a need-to-know basis. Records will be retained for 6 years or longer where required by law/regulation or where litigation is anticipated.

13. Training and awareness

The Guild will ensure members are aware of:

what can be reported,
how to report,
the protections available.

Members of the Court will receive training on:

recognising a whistleblowing disclosure,
protecting confidentiality,
preventing retaliation,
handling reports appropriately.

14. Review

This policy will be reviewed at least annually and after any material incident, regulatory change, or learning outcome.

Appendix — Whistleblowing report form (template)

Your name (optional):

Contact details (optional):

Preferred confidentiality level:
(Confidential / Anonymous / No preference)

Nature of concern:

Details (what, when, where, who):

How did you become aware?:

Evidence available:

Has this been raised before?:

Immediate risk (if any):

Any suggested resolution/action:

Date: