Whistleblowing policy
Issue Date:
To be Reviewed: November 2013
Prepared by: Human Resources
Sponsored by:
This policy / service has been reviewed in accordance with Equalities Legislation on race, disability, age, gender, sexual orientation and gender identity, faith and belief.
Something Seriously Wrong?
(A policy on how you can raise your concerns)
CONTENTS
Page
Background 3
Scope 3
If in Doubt – Raise it! 4
1. Introduction 3
2. Our commitments to you 4 - 5
3. What we expect from you 5
4. How we will handle the matter 5 – 6
5. How to raise a concern internally 6
6. The Independent Options 7
7. The media 7
8. If you are dissatisfied 8
9. Contact Names 8
10. Monitoring and Review 8
Appendix A 9
A procedure for staff raising concerns internally
Appendix B 10
A Framework within which colleagues from our partner
Organisations and agencies can raise concerns
Appendix C 11
Contact Names
Something Seriously Wrong?
(A policy on how you can raise your concerns)
Background
In 1998 the Government introduced the Public Interest Disclosure Act, which provides a statutory framework and protection for those pursuing their concerns in good faith.
This policy was designed in response to the Act by a group comprised of clinicians, staff side representatives and managers. The group believed that the policy was necessary to:-
Ø Encourage staff to be open about their concerns rather than feeling that they are bound by corporate rules of secrecy.
Ø Provide a clear framework for our staff to raise their concerns.
Ø Demonstrate the commitment of the Trust to the spirit of the Act, and how we intend to respond to issues raised.
Scope
This policy and the accompanying procedure (see Appendix A) covers all staff in the Trust, and is designed to enable them to raise issues which could be in the public interest (examples are given later). It is not to be used in cases where staff may be aggrieved about their personal position. The Trust’s Grievance Procedures, which are available locally, should be used for this.
Whilst this procedure could be used to raise concerns about financial irregularities or fraud, the Trust already has in place Fraud Response Plans, which encourage staff to raise such issues:
A Fraud Policy and Response Plan
· with their line manager or Head of Department
· with the Finance Director or Head of Human Resources where local management may be implicated
· with the Chair of the Audit Committee or any other member of that Committee in cases where they wish to report suspicions confidentially
· with the Chief Internal Auditor in exceptional cases
Local Counter Fraud Specialist
We realise that colleagues from partner organisations may on occasions have concerns about our services. In Appendix B attached we suggest how they may raise such concerns. Similarly, you may through your work with Sheffield Primary Care Trust, have concerns about services provided by other organisations who work in partnership with the Trust, and you may be unsure about how to raise them. Under the 1998 Act all public bodies are required to introduce a policy and process similar to this one, and as such you might refer to their policy to see if it provides guidance and advice on how you might best proceed. In the event that it does not, you might then proceed in accordance with Appendix A or Section 6 of this policy as you consider appropriate.
If in Doubt - Raise it!
1. Introduction
All of us at one time or another have concerns about what is happening at work. Usually these concerns are easily resolved. However, when they are about areas such as: -
· Unlawful conduct
· Financial malpractice or fraud
· Dangers to the public or the environment
· Delivery of care to a patient or client
· Health and safety
Or indeed any area, which could be in the public interest, it can be difficult to know what to do.
You may be worried about raising such issues or may want to keep the concerns to yourself, perhaps feeling it’s none of your business or that it’s only a suspicion. You may feel that raising the matter would be disloyal to colleagues, managers or to the Trust. You may decide to say something but find that you have spoken to the wrong person or raised the issue in the wrong way and are not sure what to do next.
Sheffield Primary Care Trust has introduced the accompanying procedure attached to enable you to raise your concerns about malpractice at an early stage and in the right way. We would prefer that you raised the matter when it is just a concern rather than wait for proof. Indeed, as members of the NHS we all have a duty to raise concerns where the interests of patients and clients may be at risk.
If something is troubling you, which you think we should know about or look into, please use the associated procedure attached. If, however, you are aggrieved about your personal position, please use the Trust’s Grievance Procedure.
2. Our commitments to you
The PCT is committed to this policy. If you raise a genuine concern under the accompanying procedure, you will not be at risk of losing your job or suffering any form of retribution as a result. Provided you are acting in good faith, it does not matter if you are mistaken.
Of course we do not extend this assurance to someone who maliciously, or for personal gain, raises a matter they know is untrue. If this is found to be the case, it may be regarded as a serious disciplinary matter and dealt with under the Trust Disciplinary Procedure. This issue is explored further in Section 5 of this policy.
This policy has been jointly developed with the joint staff side, and if you wish to have the support of your union at any stage of the process, then we would encourage you to involve them.
We will not tolerate the harassment or victimisation of anyone raising a genuine concern. However, we recognise that you may nonetheless want to raise a concern in confidence under this policy. If you ask us to protect your identity by keeping your confidence, we will not disclose it without your consent. If the situation arises where we are not able to resolve the concern without revealing your identity (for instance, because your evidence is needed in court), we will discuss with you whether and how we can proceed.
Remember that if you do not tell us who you are, it will be much more difficult for us to look into the matter or to protect your position or to give you feedback. Accordingly, while we will consider anonymous reports, there may be limits to what we can achieve in such circumstances.
We recognise that raising concerns will in most circumstances be extremely stressful, and as such we will ensure that we provide you with as much support as we are able to within the resources available to us. The nature of this support will be discussed at the earliest stages of the process.
3. What we expect from you
Every member of staff has a duty to raise any concerns they may have, provided they are not acting maliciously or for personal gain. Consequently, we have developed this policy and the accompanying procedure set out in Appendix A, so that you are clear how you can do so in safety and we would ask that you follow the procedures wherever possible.
We will be careful to respect your confidence but at the same time we must ask you to maintain confidentiality, especially relating to our clients.
4. How we will handle the matter
Once you have told us of your concern, we will look into it to assess initially what action should be taken. This may involve an internal inquiry or a more formal investigation.
We will tell you:
Ø who is handling the matter
Ø how you can contact them
Ø whether your further assistance may be needed
If you request it, we will also write to you summarising your concern and setting out how we propose to handle it.
When you raise the concern you may be asked how you think the matter might best be resolved. If you do have any personal interest in the matter, we do ask that you tell us at the outset. If your concern falls more properly within the Grievance Procedure, we will tell you.
While the purpose of this policy is to enable us to investigate possible malpractices as described in the Introduction Section, and take appropriate steps to deal with it, we will give you as much feedback as possible. We will confirm our response to you in writing within the timescales outlined in the procedure at Appendix A. Please note, however, that we may not be able to tell you the precise action we take where this would infringe a duty of confidence owed by us to someone else.
5. How to raise a concern internally
We have developed the step-by-step procedure already referred to through which you can raise your concerns and which shows how the Trust will respond to those. This is set out in Appendix A.
However, this procedure is flexible and you can decide which is the most appropriate stage for you to register your concern. For example, you may feel that you are unable to speak to your immediate line manager, but that you would be comfortable speaking to the next level of management. In this situation you may choose to go straight to stage two.
Whilst we hope this policy gives you the reassurance you need to raise such matters internally, we would rather you raised a matter with the appropriate body than not at all. Provided you are acting in good faith and you have evidence to back up your concern, you can also contact the independent options identified in the policy.
We realise that raising concerns could be a potentially traumatic experience and a source of great stress for you, and being clear about whether you should raise the issue or not, is not always easy. In such circumstances you should consult your trade union, professional body or the independent charity Public Concern at Work (see Section 6). However, you could also choose to consult Workplace Wellbeing where you will be provided with the opportunity to explore such issues confidentially. They can help you think about a situation from different perspectives, consider the issues associated with raising your concerns, and make a decision about the best level of action.
We think that it is very important that any issue you raise is dealt with promptly and positively, and that you are informed of the decisions made and action taken. Therefore, this procedure details timescales and the method by which we will communicate with you.
We will feedback action taken as a result of any investigations. However, this might be limited by considerations of confidentiality.
The procedure provides a framework for action but there may be occasions where it is necessary to step out of procedure. For example, where it is not appropriate for the line manager to investigate or where the timescales are not achievable due to the nature of the complaint. In such circumstances we will keep you informed of progress and the final outcome.
6. The Independent Options
This policy has been developed in order to provide you with guidance on how you can raise a matter of concern within a safe environment and without fear of victimisation, and the procedure set out in Appendix A has been designed to facilitate this process. If, however, you are unsure whether to use this procedure or you feel that you cannot raise an issue within the procedure, we are keen to ensure that you are aware of alternative sources of help and advice.
Within the Trust you may approach the following people directly to express your concerns or for advice on how to do so:
Ø Chief Operating Officer
Ø Director of Standards and Engagement
Ø Director of Finance
Independent advice outside the Trust is available at any stage from: -
Ø Your Trade Union or Professional Body
Ø The independent charity Public Concern at Work (0207 404 6609).
NB Their lawyers can give you free confidential advice about how to raise a concern about serious malpractice at work.
REMEMBER – If in doubt – raise it!
7. The media
We hope this policy gives you the reassurance you need to raise such matters internally. There have been some high profile cases of NHS employees making allegations direct to newspapers and other media. Such action may unreasonably undermine public confidence in the service and can have very damaging effects to the complainant and colleagues.
There may be circumstances where you can properly report matters to certain outside bodies such as regulators or the police. Public Concern at Work (or your trade union or professional association) will be able to advise you on such as option and on the circumstances in which you may be able to contact an outside body safely.
We would advise you that before involving the media in concerns you may have about malpractice in the Trust, you give serious consideration to the issues of confidentiality for the clients and other members of staff who might be involved.
Under its duty of care to its clients and staff, the Trust would need to consider action within the context of its disciplinary procedure if it felt that disclosure to the press had resulted in a breach of this duty of care. Furthermore, you need to be aware that should your concerns prove to be unfounded or misplaced after they have been published in the press issues of libel or slander may arise.