Concerns at Work Policy
“Whistleblowing”Key Points
- It is essential that any concerns with regard to professional competence or wrongdoing by an employee, or individual undertaking work on the Trust’s behalf, are reported and properly dealt with. The Trust welcomes genuine concerns and is committed to dealing responsibly, openly and professionally with them. Without the staff, the Trust cannot deliver a safe service and protect the interests of patients, staff and the Trust. The Trust would rather staff raised an issue when it is just a concern than to wait until it becomes serious.
Author:Angela Doak, Director of HR & OD
Date (Revised):September 2008
Version:Version 2
Approved by JCNC:January 2009
Approved by TMT:April 2009
Revision Date:January 2012
Version Control Sheet
Version / Date / Author / Status / Comment1 / July 2004 / Angela Doak / Final / Approved by TMT July 2004
2 / January 2009 / Angela Doak / Final / Updated
3 / April 2009 / Angela Doak / Final / Approved by TMT April 2009
Document Location:
Document type / LocationElectronic / Trust Intranet Site
Paper Copies / Human Resources Department
Related documents
Document type / Document NamePolicy / TPP202 Counter Fraud Policy
Policy / TPP619b Confidentiality Code of Conduct
Policy / TPP402 Disciplinary Policy & Appeals Procedure
Policy / TPP104 Policy for Complaint Handling
Policy / TPP404 Policy on Equal Opportunities
Policy / TPP401 Individual Grievance Procedure
Policy / TPP204 Policy on Promotion of Business by Companies
Policy / TPP108 Disclosure of Clinical Information
Policy / TPP111 Patient Access Policy
Policy / TPP422 Environmental Issues
Policy / TPP405 Health & Safety Policy
Contents Page No
POLICY
- Purpose3
- What is required 3
- The policy 4
PROCEDURE
- Raising a Concern 6
2.Who to Raise the Concern With 6
3.External Contacts 7
4.Monitoring and Review 8
GUIDANCE
1.Raising a Concern Stage 10
2.Concerns after Investigation 10
3.External Contacts 10
Appendix 1 – Relevant Acts 11
Appendix 2 – Key Related Policies and Procedures11
PURPOSE OF THE POLICY
1.1It is essential that any concerns with regard to professional competence or wrongdoing by an employee, or individual undertaking work on the Trust’s behalf, are reported and properly dealt with. The Trust welcomes genuine concerns and is committed to dealing responsibly, openly and professionally with them. Without the staff, the Trust cannot deliver a safe service and protect the interests of patients, staff and the Trust. The Trust would rather staff raised an issue when it is just a concern than to wait until it becomes serious.
1.2This policy takes account of the Public Interest Disclosure Act 1998 and as amended (see appendix 1) provides protection for workers who raise legitimate concerns about specified matters – also known as ‘whistleblowing’. Under the act, a ‘qualifying disclosure’ is made in good faith by an employee who has a reasonable belief that one of the following is being, has been or is likely to be committed:
- A criminal offence
- A miscarriage of justice
- Malpractice
- Financial mismanagement
- An act of creating a risk to Health and Safety
- An act causing damage to the environment
- A breach of any other legal obligation
- Concealment of any of the above
1.3It is not necessary for an individual to have proof that such an act is being, has been, or is likely to be committed – a reasonable belief is sufficient. If an individual believes something is wrong they have no responsibility for investigating the matter. It is the Trust’s responsibility to ensure that an investigation takes place
1.4The Trust has introduced this policy to enable employees to raise their concerns without fear, and encourage a culture of openness, accountability and integrity so that issues are raised at an early stage before they have a chance to become more serious.
2WHAT IS REQUIRED OF THE POLICY
2.1The policy applies to all staff who are employed by Heatherwood and Wexham Park Hospitals NHS Foundation Trust; bank; agency staff; private contractors; trainees and volunteers working with the Trust who should use the policy and procedure.
2.2The policy is primarily concerned with the interests of those within the Trust and where there is a risk both for individuals and the Trust.
2.3In addition to professional rules, guidelines and codes of conduct, the Trust has a number of policies, procedures and guidelines, which identify the
2.4standards of behaviour and professional practice expected in the workplace. The main policies are listed in appendix 2 – copies can be obtained from the intranet or from your line manager or the Human Resources department. The Trust has policies and procedures in place and encourages the staff to use the appropriate method in order to quell concerns. If they have exhausted the policies and procedures then they should contact their line manager or Staffside for advice on the appropriate route forward.
2.5On occasions when an employee feels that the policies and procedures are inappropriate or believe there is an attempt to cover up wrongdoing, this procedure should be followed.
3THE POLICY
3.1The Trust Board and Trust Management Team are committed to this policy. If any member of staff raises a genuine concern under it, there will be no risk of job loss or of suffering any form of retribution as a result. Provided a concern is raised in good faith, it does not matter if an individual is mistaken. This assurance is not extended to anybody who is found to maliciously raise a matter they know to be untrue or for an act of personal gain.
3.2The Trust will not tolerate the harassment or victimisation of anyone raising a genuine concern. It is recognised that individuals may want to raise a concern in confidence. If an individual requests that their identity is protected, the Trust will endeavour not disclose it without their consent. If the situation arises where we are not able to resolve the concern without revealing the individuals identity, for instance, because evidence is needed in court, we will discuss this with the individual and agree how to proceed from there.
3.3It will be very difficult for the Trust to effectively investigate any issues raised, protect personal positions, or give feedback, if a concern is raised anonymously. Accordingly, whilst the Trust may consider an anonymous report, this policy is not appropriate for concerns raised in this way.
3.4The Trust will endeavour to provide feedback as much as possible. However, it will need to balance this intention against its duty of confidentiality to others.
TPP 418 – Policy/Procedure/GuidanceConcerns at Work Policy
“Whistleblowing”Author:Angela Doak, Director of HR & OD
Date (Revised):September 2008
Version:Version 2
Approved by JCNC:January 2009
Approved by TMT:April 2009
Revision Date:January 2012
PROCEDURE
1RAISING A CONCERN
1.1When a concern is raised an assessment will be undertaken to determine what action should be taken. This may possibly involve an interview, informal review, internal inquiry or an investigation, or a combination of these. The employee who raised the concern will be advised of the person dealing with the investigation and their contact details and over time may be asked for more information on the matter. They may be accompanied by a trade union representative or a colleague throughout the process.
1.2The employee who raises an issue may be asked for suggestions on how the concern could be resolved. The employee will be asked to declare any conflict of interest.
1.3If it is felt that the concern fits within the grievance or other procedure, the employee will be advised of this.
1.4When the employee raises a concern, they should make it clear if they wish to raise this in confidence and then the appropriate arrangements can be put in place. The Trust confirms that it will make every effort to manage the concern in confidence.
1.5 Wherever possible, a response should be given within 10 working days but if more time is required the employee will be advised.
1.6The Trust will provide as much information as possible any feedback, but it must also consider the confidentiality of those concerned.
2WHO TO RAISE THE CONCERN WITH
2.1 In the First Instance
2.1.1In the first instance you should raise the concern with your line manager/lead clinician so it can be resolved locally. This should be done in writing. The manager will decide what action is to be taken in conjunction with their manager.
2.1.2The line manager will confirm the action to be taken and if appropriate provide feedback on the process.
2.1.3In circumstances where your line manager is involved, or in the event where you find it difficult to approach them, or as a member of staff, you are not satisfied with the outcome, please see 2.2.
2.2In the Second Instance
2.2.1If the section above is not appropriate or you are not satisfied with the outcome, the outstanding concern should be raised with your Grandparent manager and copied to HR.
2.2.2The employee will have the opportunity to make a written or verbal statement. The manager will write a brief summary of the meeting and this will be agreed by both parties. The nominated manager will report to the Grandparent Manager who will be responsible for agreeing the commissioning of any further investigation.
2.2.3There may be occasions where the Grandparent Manager is unable to investigate. In these circumstances, they will nominate an alternative manager.
2.2.4The nominated investigator will brief the Grandparent Manager about the outcome of the investigation. The nominated manager will in turn keep the employee informed of the progress of the investigation and confirm ideally the outcome within one month of raising a concern under this policy.
2.3In the Third Instance
2.3.1 If the first two stages have been followed and the concerns remain, or the incident is so serious that it cannot be discussed with any of the above, the appropriate Director is the point of contact: If the concern is relating to the Director, please contact the Chief Executive or the Chair.
2.3.2The Trust also recognises its accountability within the NHS. In light of this contact can also be made with:
NHS Counter Fraud Line on 08702 400 100 if your concern is about financial malpractice or the Department of Health on 0113 254 500 for any other concerns.
3 EXTERNAL CONTACTS
3.1.1The Trust would prefer that all the concerns are resolved internally, but in the event that an external body is needed, it would prefer that the appropriate external regulator be contacted. Employees can contact specific regulating bodies, such as the Health and Safety Executive or the Audit Commission. Where an employee believes that the local response has been inadequate, their concern can also be raised with National Patient Safety Agency or the Commission for Health Care Audit and Inspection.
3.1.2If staff still believe that the matter should be raised externally, then they are also advised to contact “Public Concern at Work” on their legal helpline 0207 404 6609. “Public Concern at Work” are an independent, external body, who can advise on the options available. Staff Side organisations will also be able to advise about which route is appropriate.
3.1.3Employees are encouraged to exhaust the internal procedures before contacting external bodies or sources such as the media or Local MP’s. Protection for disclosures in these instances are only assured if the preconditions have been met and they are encouraged to consult with one of the Trust’s designated officers or trade union representative for advice before making an external disclosure.
4MONITORING AND REVIEW
4.1 The Trust’s Chief Executive has overall responsibility for the monitoring and review of this policy and procedure. They will maintain records of all concerns raised and the outcomes of investigations in a way that does not compromise confidentiality.
4.2This policy has been reviewed with Staff Side and will constantly be kept under review. Current legislation, however, will always take precedent.
TPP 418 – Policy/Procedure/GuidanceConcerns at Work Policy
“Whistleblowing”Author:Angela Doak, Director of HR & OD
Date (Revised):September 2008
Version:Version 2
Approved by JCNC:January 2009
Approved by TMT:April 2009
Revision Date:January 2012
GUIDANCE FOR RAISING A CONCERN
1.RAISING A CONCERN STAGE
1.1Raise the concern with your line manager/lead clinician who will investigate the concern and provide an outcome
1.2If you have a concern with your line manager/lead clinician then you can raise the concern with your Grandparent Manager they will nominate an appropriate manager to hear the concern.
1.3The nominated manager will investigate the concern and confirm the outcome.
2CONCERNS AFTER INVESTIGATION
2.1If after the outcome of the concern you are still not satisfied, you should raise the concern with the appropriate Director.
2.2In the event of the concern involving the Director, please contact the Chief Executive or Chair appointed to manage concerns.
2.3There is also the NHS Counter Fraud Line on 08702 400 100 who can be contacted if the concern is over malpractice.
2.4The Department of Health also has a number that can be used if the concern relates to accountability: 0113 254 500.
3EXTERNAL CONTACTS
3.1The Trust prefers that all the concerns are resolved internally but if an external regulator is needed, firstly you should discuss this with staff side, and we would prefer that the concern is referred to the appropriate external body:
- Health and Safety Executive
- Audit Commission
- National Patient Safety Agency
- Commission for Health Care Audit and Inspection
3.2 Should the concern be expressed outside the Trust, we must advise that confidentiality cannot be guaranteed.
APPENDIX 1
The following are acts that are related to raising concerns at work:
- Public Interest Disclosure Act 1998
- Employments Rights Act 1996
- Management Health and Safety at Work Regulations 1999
- Public Interests Disclosure (Compensation) Order 1999
- Public Interests Disclosure (Prescribed Persons) (Amendment) Order 2003
- Public Interests Disclosure (Prescribed Persons) (Amendment) Order 2004
- Public Interests Disclosure (Prescribed Persons) (Amendment) Order 2005
(This is not an exhaustive list and the Trust will meet its duties and requirements in relation to all relevant legislation).
APPENDIX 2
Key Related Policies and Procedures*
- Counter Fraud policy (TPP 202)
- Confidentiality Code of Conduct (TPP 619b)
- Disciplinary Policy & Appeals Procedure (TPP 402)
- Policy for Complaint Handling (TPP 104)
- Policy on Equal Opportunities (TPP 404)
- Individual Grievance Procedure (TPP 401)
- Policy on Promotion of Business by Companies (TPP 204)
- Disclosure of Clinical Information (TPP 108)
- Patient Access Policy (TPP 111)
- Environmental Issues (TPP 422)
- Health and Safety Policy (TPP 405)
*(This is not an exhaustive list and the Trust will meet its duties and requirements in relation to all relevant policy and legislation).
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