TrustPolicy
Version no.: / 3
Approved by: / JSC / Date: / 28th October 2009
Ratified by: / DMT / Date: / 28th October 2009
Review Frequency: / Every 2 years
Next Review: / 28th October 2011 / This document remains valid whilst under review
Owner: / Wendy Jehan / Author: / Karen Swirsky
Owner Title: / Director of Nursing & Governance / Author Title: / Joint Head of Governance
Owner Signature:
TARGET AUDIENCE (including temporary staff)
People who need to know this policy in detail / The Board, DMT, all managers, Local Counter Fraud Specialist, Staff-side
People who need to have a broad
understanding of this policy / All Staff
People who need to know that this policy exists
LINKED TRUST DOCUMENTS / STANDARDS
(e.g. Standards for Better Health, NHSLA)
- Bullying & Harassment at Work Policy
- Grievance Policy
- Living by the Rules
- Our Expectations of Staff
- Risk Management Strategy
- Standards of Conduct and Performance
- Whistleblowing
- Raising Concerns
Ratified 28th October 2009
Raising Concerns (Whistleblowing)
SUMMARY
South Downs Health Trust is committed to promoting a climate of openness and dialogue in which staff feel free to raise concerns in a reasonable and responsible way, without fear of victimisation. The raising of concerns is an important aspect of good governance and will protect the interests of patients, staff and the organisation.
The Public Interest Disclosure Act 1998 was introduced to protect employees who are worried about wrongdoing in their place of work and want to ‘blow the whistle'. It requires organisations to have whistleblowing arrangements in place which give employees options to raise concerns without fear of reprisal.
Staff who blow the whistle are protected under the Act if they believe that malpractice in the workplace is happening, has happened in the past or will happen in the future, if the concern is of the right type and it is raised in the appropriate way. The concerns that qualify for protection under the Act are:
- actual or apprehended breaches of civil, criminal, regulatory or administrative law
- dangers to health, safety and the environment
- miscarriages of justice
- the cover-up of any such malpractice.
However, anyone who reports a concern to the media that could and should have been raised within the Trust will not be protected under the Act.
There are several sources of advice and information for staff who are unsure whether or how to raise a concern
- Human Resources
- Trade Union
- Professional association
- Care First 0800 174319
- Public Concern at Work 020 7404 6609
Most concerns can be raised and resolved locally with the line manger or within the service. More serious concerns may need to be raised and investigated by a senior manager, the relevant Director or the Director of Nursing & Governance. The Local Counter Fraud Specialist will investigate all concerns relating to fraud, corruption and financial malpractice. The person raising the concern can seek support from the Staff-side coordinator or trade union.
When a member of staff raises a concern verbally or in writing arrangements for the initial meeting must be made within 5 working days. The meeting should take place within those 5 working days or as soon as possible. The person being investigated should be offered support and all parties should be treated fairly and openly. The person raising the concern will receive feedback after the investigation.
The Director of Nursing and Governance will keep a central record of situations where someone has blown the whistle and will report annually to the Governance Committee.
CONTENTS
1Introduction
1.1Purpose
1.2Scope
1.3Background
1.4Principles
1.5Definition of Terms
1.6Roles and Responsibilities
1.7Development, Consultation and Communication with Stakeholders
1.8Review
1.9Equality Impact Assessment
1.10Approval and Ratification
1.11Dissemination Plan
1.12Breach
2Process / action
2.1Deciding whether to raise a concern
2.2Options for Raising a Concern
2.2.1Raising a Concern within the Service
2.2.2Other Options for Raising Concerns
2.2.3External Agencies
2.2.4Anonymous Concerns
2.3Responding to Concerns
2.3.1Arranging the Initial Meeting
2.3.2Initial Meeting
2.3.3Initial Response
2.3.4Support and Feedback to the Whistleblower
2.3.5Supporting the Person under Investigation
3Standards / Key Performance Indicators
4Monitoring Compliance
5Awareness, Training and Implementation
6vERSION cONTROL
7References
APPENDIX A - Whistleblowing Flowchart
APPENDIX B - Equality Impact Assessment
Ratified 28th October 2009
Raising Concerns (Whistleblowing)
1Introduction
1.1Purpose
South Downs Health Trust is required to safeguard the people who use our services. This policy is to encourage employees to raise genuine concerns, to clarify the different ways to raise concerns, and to reassure staff that they will not be victimised if they do so.
It is important for employees to raise concerns in order to
- Protect patients and staff
- Improve patient safety and clinical practice
- Protect the reputation of the Trust
- Ensure effective and appropriate use of public money
- Deter staff from engaging in malpractice
1.2Scope
This policy covers the raising of concerns by Trust employees including the raising of serious concerns that fall within the remit of Whistleblowing and the Public Interest Disclosure Act 1998 (see section 1.5) and less serious concerns that can be dealt with at local or service level.
This policy applies to all permanent and temporary Trust employees, agency staff, and Trust contractors.
It also applies to staff seconded to the Trust when the concern being raised relates to the business, systems or assets of the Trust. Staff should use Brighton & Hove City Council’s Whistleblowing Policy when the concern being raised relates to the staff, business, systems or assets of the council.
This policy does not cover matters that fall within the scope of the Grievance Policy, the Trust Standards of Conduct and Performance (including disciplinary procedures) and the Bullying &Harassment at Work Policy
1.3Background
The Public Interest DisclosureAct 1998(see section 1.5) was introduced to protect employees who are worried about wrongdoing in their place of work and want to ‘blow the whistle'. It requires organisations to have whistleblowing arrangements in place which give employees options to raise concerns without fear of reprisal.
A whistleblower is protected by the Public Interest Disclosure Act if the whistleblower
- believes that malpractice in the workplace is happening, has happened in the past or will happen in the future
- is revealing information of the right type (a 'qualifying disclosure')
- reveals it to the right person, and in the right way (making it a 'protected disclosure')
1.4Principles
Good whistleblowing arrangements can create an atmosphere for staff to raise their concerns. South Downs Health Trustis committed to good governance and encourages the raising of concerns in order to protect the interests of patients, staff and the organisation. TheTrust therefore welcomes and supports the raising of genuine concerns about malpractice, criminal actions, fraud and corruption. The Trust willprotect responsible whistleblowers and dealing openly and professionally with concerns that are raised.
Victimisation of a person raising a concern or ‘blowing the whistle’ is unacceptable and will not be tolerated. It is considered a serious matter, which will be dealt with under the Trust’s Standards of Conduct and Performance (including disciplinary procedures). Employees can be reassured that a member of staff who raises a serious concern is not at risk of losing their job or suffering any form of retribution as a result. As long as the action was taken in good faith, it does not matter if it was mistaken
The Trust does not permit the use of ‘Gagging Clauses’ in employment contracts and severance agreements.
1.5Definition of Terms
Whistleblowing
‘Blowing the whistle’ or ‘whistleblowing’ is the term commonly used for ‘making a disclosure in the public interest’. ‘Making a disclosure in the public interest’ means that if an employee believes that there is wrongdoing in the workplace they can report this by following the correct processes, and their employment rights are protected.
Whistleblowing is the raising of concerns at work about:
- Professional misconduct
- Ill treatment of someone
- Breach of statutory obligations e.g. Health & Safety regulations
- Financial malpractice and misuse of public money
- An illegal action such as fraud or corruption
- Other criminal/illegal practices
Local Counter Fraud Specialist (LCFS)
A Local Counter Fraud Specialist is appointed by all NHS Trusts to undertakeproactive work to detect cases of fraud or corruption, particularly where systems weaknesses have been identified, and to investigate suspicions or concerns raised by staff in confidence or anonymously.
The Public Interest Disclosure Act 1998 (PIDA)
The Public Interest Disclosure Act creates a practical framework for whistleblowing and provides strong protection for genuine whistleblowers. Only a disclosure that relates to one of the broad categories of malpractice can qualify for protection under the Act. These include:
- actual or apprehended breaches of civil, criminal, regulatory or administrative law
- dangers to health, safety and the environment
- miscarriages of justice
- the cover-up of any such malpractice.
Qualifying Disclosures
A ‘qualifying disclosure’ about malpractice ensures protectionto the whistleblower as above.
Protected Disclosures
For a disclosure to be protected it should be made to the right person and in the right way. A disclosure is protected if:
- it is made in good faith (which means with honest intent and without malice)
- the whistleblower reasonably believes that the information is substantially true
- the whistleblower reasonably believes they are making the disclosure to the right 'prescribed person'
The Public Interest Disclosure Act 1998 will not protect an employee who makes a rash disclosure. A rash disclosure includes reporting to the media a concern that falls within the scope of this policy that could and should have been raised within the Trust.
1.6Roles and Responsibilities
The roles and responsibilities in relation to this policy are:
Employees
- To raise financial, clinical or other concerns that impact on patient safety or the business and reputation of the Trust in accordance with this policy.
- To seek advice and support as necessary
- Not to investigate concerns personally but to refer the matter to someone who can
Trade Union
- To advise employees on how to raise their concerns
- To support employees when raising concerns
- To support the person under investigation If the trade union considers it appropriate
Local Counter Fraud Specialist
- To receive reports of suspected fraud, corruption or financial malpracticeraised in confidenceor anonymously
- Toinvestigate the concern when it is considered appropriate
- To inform the Director of Nursing & Governance of concerns raised and investigated
Line Managers
- To take seriously concerns raised by staff
- To investigate the concern or refer on to someone else as appropriate (e.g. all financial matters must be referred to the LCFS)
- To inform the Director of Nursing & Governance of concerns raised that fall within the scope of whistleblowing
Human Resources
- To advise employees on how to raise a concern
- To advise managers on how to investigate a concern
- To inform the Director of Nursing & Governance of concerns raised that fall within the scope of whistleblowing
Director of Nursing & Governance
- To initiate an investigation of concerns received.
- To ensure that there is a central record of substantiated whistleblowing incidents.
- To producean annual report of whistleblowing activity for the Governance Committee
1.7Development, Consultation and Communication with Stakeholders
A short life working group was convened by the Joint Head of Governance to review the Whistleblowing policy and discuss how staff currently raise concerns. This group comprised staff side representation, the Local Counter Fraud Specialist, Human Resources Managers, and service managers from clinical services. This group commented on the revised policy before it was presented for approval and ratification. The Head of Nursing & Governancefor the CYPT was also consulted.
1.8Review
The Director of Nursing & Governance is responsible for ensuring that a member of the Nursing & Governance Team reviews the policy within 2 years.
1.9Equality Impact Assessment
The Trust has a statutory obligation to assess the potential for policies to discriminate on the grounds of race, disability, gender (including transgender) (the Race Relations Amendment Act 2000, Disability Equality Duty 2006 and the Gender Equality Duty 2007) which will be extended by forthcoming legislation to cover sexual orientation, religion and belief, age and human rights.
The outcome of the screening for equality impact assessment was that this policy is considered a medium priority due to national concern about the lack of reporting of malpractice in relation to older people, children and people with learning disabilities in particular. In addition, as 70% of staff are women, they are indirectly affected as they are more likely to be whistleblowers or be the subject of whistleblowing. Whistleblowing raises human rights issues relating to right to fair trial, right to freedom of expression and right to life. Remedial action includes promoting the policy to ensure that staff are enabled and encouraged to raise genuine concerns.
1.10Approval and Ratification
The Raising Concerns (Whistleblowing) policy will be approved by the Joint Staff Committee and ratified by the Directors Management Team.
1.11Dissemination Plan
After the ratified policy has been made available on the Pulse, it will be sent electronically to policy keepers via the central alert system for dissemination to all staff.
1.12Breach
The following are serious matters and fall within the scope of the Trust’s Standards of Conduct and Performance (including disciplinary procedures):
- Destroying or concealing evidence that relates to concerns raised under this policy
- Failure to raise known concerns that fall within this policy
- The malicious raising of a concern that is known to be untrue
2Process / action
2.1Deciding whether to raise a concern
Many people have concerns about what is happening at work at some time in their employment. However, there can be barriers to raising a concern. The common feelings or experiences that may discourage people from raising concerns are:
- it feels none of one’s business
- it is only a suspicion without hard evidence
- it is being disloyal to colleagues, managers or the organisation
- it didnot go according to plan when it was raised previously
- other people have had a poor experience of ‘blowing the whistle’
If someone is unsure whether or how to raise a concern the following questions may be helpful:
- Is someone (e.g. a patient) unaware that they are being exposed to a risk that you would not take or expose your loved ones to?
- What is the risk to the public and the organisation of you not raising the concern?
- If someone had a concern about your clinical or non-clinical practices, how would you want them to raise the issue?
- Have you talked to your colleagues or your team (if not, why not)?
- Can you find a solution within your team?
- How can the risk or concern be addressed in a way thatcauses the least damage to the colleague involved?
- If you have known of the risk for some time, why are you thinking of raising the issue now?What is your motivation?
- What do you think would be a satisfactory outcome?
It may be helpful to seek advice, information or supportbefore raising a concern. There are several sources of advice and information.
- Trade Union representative
- Staff-Side Co-ordinator
- Professional association
- Human Resources Manager or Human Resources Advisor
- Care Firstprovide free, independent and confidential counselling, advice and information to Trust staff by self referral. This service is confidential. Care First will not take action to bring a matter to the Trust’s attention, unless there are serious concerns about the safety of others. The service is available 24 hours a day, 7 days per week. Tel: 0800 174319
- Public Concern at Work(an independent authority on public interestwhistleblowing which provides a national helpline offering free advice to people with whistleblowing dilemmas andcan supply direct access to lawyers)Tel:020 7404 6609
2.2Options for Raising a Concern
2.2.1Raising a Concern within the Service
The preferable and most common way to raise and resolve concerns is at a local level within the service. This can be done through line management, in supervision, at team meetings and governance meetings. Raising a concern with the line manager can be done verbally or in writing.
2.2.2Other Options for Raising Concerns
Sometimes it may be difficult or not appropriate to raise concerns at a local level such aswhen the concern relates to the line manager or a senior colleague;when raising a concern within the service does not lead to resolution; or when the concern is about a criminal activity. In these situations, there are other options available as shown in the flowchart in Appendix A.
Employees can contact any of the people below about their concerns. These people may initiate an investigation themselves or refer the employee to someone more appropriate.
- Local Counter Fraud Specialist – particularly for concerns relating to financial matters, fraud and corruption Tel: 01323 460033 or 07799263905
- Human Resources ManagersTel: 01273 696011 ext 3519
- Director of Nursing & Governance Tel: 01273 696011 ext 3791
- the manager of the line manager
- other senior manager
2.2.3External Agencies
The Trust recognises that there may be circumstances where it is appropriate to report matters to outside agencies, including regulators or the police. It is better to raise a concern with the appropriate regulator than not at all, as long as this is in good faith and there is evidence to back up the concern. The Trade Union or Public Concern at Work will be able to advise on the circumstances in which an outside body can be contacted safely.
Suspected fraudulent conduct:
- NHS Counter Fraud Line 0800 028 4060
- Serious Fraud Squad
Financial matters:
- Audit Commission
- Charity Commission
Bear in mind that the Public Interest Disclosure Act 1998 will not protect an employee who makes a rash disclosure. This includes reporting to the media a concern that could and should have been raised within the Trust.
2.2.4Anonymous Concerns
TheLocal Counter Fraud Specialist will investigate suspicions of fraud or corruption in the workplace reported anonymously by employees.
It is, however, more difficult to investigate other concerns raised anonymously as it is not possible to give feedback to, or protect, the anonymous whistleblower.
2.3Responding to Concerns