Guidelines/Procedure/Methods Pages 3-5. Monitoring, Evaluation and Review Pages 5-6. Appendices Pages 8-12

Transcription

1 DOCUMENT CONTROL PAGE Title: Raising Concerns Policy Document Type: Policy Version Number as from December 2004: 5 Scope: Trust Wide Author: Karen Elmer, Divisional HR Business Manager updated by Ingrid Derbyshire, Acting Deputy Director of Workforce - May 2013 Groups Consulted: WF Senior Managers, Staff side, Executive representatives, JCC, WF Committee, Executive Board, Quality and Assurance Committee Validated By: Equality Impact Assessed: YES (If appropriate) Replaces Description of amendments: Change in name from Whistle blowing to Raising Concerns Policy Executive Summary has been re written Our Commitment to you new section National Whistle blowing helpline details added into the procedure Updated NED Champion to Mark Harrison Overall update based on the Speak up for a healthy NHS Whistleblowing arrangements guidance. Authorising Body: Quality Assurance Committee Date of Authorisation : 10 May 2013 Master Document Controller: Charlotte Eckersley - Personal Secretary to Suzanne Woolridge, Deputy Director of Workforce and OD Review Date: May 2015 Key Words: Raising Concerns, concerns, report, policy INDEX Executive Summary Page 1 Aim and Scope of the Policy Page 1 Definition of Raising Concerns Page 1 Responsibilities Page 2 Guidelines/Procedure/Methods Pages 3-5 Monitoring, Evaluation and Review Pages 5-6 Appendices Pages 8-12

2 RAISING CONCERNS POLICY If in doubt raise it!

3 RAISING CONCERNS POLICY 1. Executive Summary All of us at one time or another have concerns about what is happening at work. Usually these are easily resolved. However, when the concern feels serious because it is about a possible danger, professional misconduct or financial malpractice that might affect patients, colleagues, or the Trust itself, it can be difficult to know what to do. You may be worried about raising such an issue and may think it best to keep it to yourself, perhaps feeling it is none of your business or that it is only a suspicion. You may feel that raising the matter would be disloyal to colleagues, to managers or to the organisation. You may have said something but found that you have spoken to the wrong person or raised the issue in the wrong way and are not sure what to do next. The Board of Bolton Trust is committed to running the organisation in the best way possible and to do so we need your help. This policy is here to reassure you that it is safe and acceptable to speak up and to enable you to raise any concern you may have at an early stage and in the right way. Rather than wait for proof, we would prefer you to raise the matter when it is still a concern. 2. Aims and Scope of the Policy The Public Interest Disclosure Act 1998 gives significant statutory protection to employees who disclose information reasonably and responsibly in the public interest. It encourages people to raise concerns about malpractice in the workplace and will help to ensure that organisations respond by dealing with concerns thoroughly, fairly and expeditiously. This legislation states that it is unlawful to dismiss discipline or victimise a worker who blows the whistle on criminal behaviour or other malpractice. This policy sets out guidelines as to how employees of the Trust can highlight any concerns that they may have at an early stage and in the correct manner. This policy advises managers on how to handle any concerns which may be brought to their attention, and to reassure staff that if they raise a concern they will not suffer any form of retribution as a result. The policy applies to all workers in the Trust including substantive and temporary staff, bank workers, agency staff, volunteers and staff employed by on-site contractors. It is primarily for concerns where the interest of others, or of the organisation itself are at risk. It could be regarded as a mechanism for the Trust s internal complaints procedure. The Trust s formal Complaints Procedure will be utilised by those external to the Trust i.e., patients, carers, members of the public, other organisations etc. The policy does not cover issues relating to the employment of staff and staff are referred to the Trust Grievance Procedure for such matters. The policy does not cover issues relating to the treatment of staff at work and staff are referred to the Trust Dignity at Work Policy for such matters. If in doubt raise it!

4 3. Definition of Raising Concerns (Whistleblowing) Whistleblowing is the popular term used when someone who works in, or for an organisation, raises a concern about a possible fraud, crime, danger or other serious risk that could threaten the public or the organisation s reputation. The Trust prefer to use the term Raising Concerns Any concerns relating to service provision or the conduct of staff employed by the Trust can be reported under this policy. As an early warning system, Raising Concerns can help alert the Trust to risks such as: a danger in the workplace; fraud and corruption in, on or by the Trust; offering, taking or soliciting bribes; damage to the environment; misreporting performance data; medical negligence; Financial malpractice A miscarriage of justice Other unethical conduct. Deliberate covering up of information tending to show any of the above. 4. Responsibilities Every manager has a duty to ensure that staff are easily able to express their concerns. Managers have an obligation to ensure that these concerns are dealt with thoroughly, fairly and expeditiously. Managers should make sure they are visible within the organisation as this will help staff feel able to raise concerns at the earliest opportunity. Any concerns raised under this policy will be reported to the Workforce Committee or the Quality Assurance Committee. It is the responsibility of the Board of Directors to monitor the concerns raised by staff and to be satisfied that appropriate action has been taken. 5. Our Commitment to you Your Safety The Trust is committed to good practice and high standards whilst being supportive of employees. The Trust recognises that the decision to report a concern can be a difficult one to make. The Trust will not tolerate any harassment or victimisation and will take appropriate action to protect staff when a concern is raised in good faith. Any investigation into allegations of potential malpractice will not influence or be influenced by any disciplinary or redundancy procedures that are already in effect. Your Confidence This policy encourages staff to put their name to their concerns at the earliest opportunity wherever possible.

5 Concerns expressed anonymously are much less powerful, and a judgement would be made as to what, if any, further action should be taken. Staff who are concerned about their confidentiality are encouraged to take advice from their trade union/professional organisation or Public Concern at Work (See Section 13 of this policy). Should an individual who raises a concern not wish to be identified, then he/she has the right to remain anonymous. However, should an individual remain anonymous, the Trust will be less able to protect them against any reprisals or to provide feedback on the investigation of the issue. In some instances the Trust may not be able to investigate the concern without the individual s input. If an employee makes a disclosure and does not remain anonymous then the Trust will guarantee confidentiality by not disclosing the identity of the individual without their consent, unless required to by law. If the situation arises where the Trust is unable to resolve the concern without revealing the identity of the employee (for instance because your evidence is needed at a hearing or in court), this will be discussed with the individual before proceeding. As well as seeking support from your trade union/professional organisation, staff may feel the need for emotional help and support either whilst their concerns are being investigated or post investigation. Staff are therefore encouraged to contact the Workplace Health and Wellbeing team who are able to offer such support. 6. Untrue allegations If an employee raises a concern in the public interest, which following further investigation is found to be untrue, no further action will be taken against the employee. However, if during the investigation, it becomes evident that the complaint was made frivolously, maliciously or for personal gain, then action may be taken under the Trust s Disciplinary Procedure. 8. Fraud and corruption If the concern raised is regarding fraud and corruption, then the member of staff should immediately contact the Trust s Local Counter Fraud Specialist (LCFS) or the Director of Finance. In such cases it is requested that the line manager is not involved at this stage (in case they themselves may be implicated, or may attempt to suppress the allegation for whatever reason). Contact with the line manager will be at the discretion of the Local Counter Fraud Specialist. A list of Designated Officers and contact details can be found in Appendix 3, including the contact details for the LCFS. Under no circumstances should the member of staff investigate the allegation, prior to reporting it. 9. Procedure for Raising a Concern Staff who wish to raise concerns in line with Section 3 of this policy should utilise the following procedure. If, however, there is an immediate and urgent threat to the safety, health or well being of patients, clients or colleagues, staff should go to the stage they feel most appropriate. Please note Student Nurses are also able to raise concerns directly with their Professional Education Facilitators When you raise a concern it will be helpful to know how you think the matter might best be resolved. If you have any personal interest in the matter, we do ask that you tell us at

6 the outset. If we think your concern falls more properly within our grievance, dignity at work or other relevant procedure, we will let you know. If you are worried about whether or how to raise a concern about a risk, wrongdoing or malpractice you can also seek free advice from the National Whistleblowing Helpline on Stage One Informal Wherever possible, all matters of concern should initially be addressed at an informal level, with the employee s line manager. However, if this not appropriate please refer to the next stage. All concerns must be given full and sympathetic consideration. Staff should be treated with respect and understanding, as it must be recognised that raising a concern can be a difficult experience for some staff. Any allegation or expressed concern, made under this procedure will normally be the subject of a preliminary investigation, either by the person to whom the allegation is reported, or more usually, by a person or persons designated by him/her to undertake this task. The investigation should be carried out as speedily and as sensitively as possible. In acting upon the information given, a manager may, in the course of investigating the matter, need to seek advice from other health care professionals. However, the need for confidentiality must be respected as far as possible. The policy requires that stage one should normally be undertaken within 3 weeks of the complaint being notified. 11. Stage Two - Formal Divisional Manager/Clinical Lead If it would be inappropriate to report the concern to the employee s line manager or if, after stage one, the matter remains unresolved, the member of staff may refer his/her concerns (in writing) to the relevant Divisional Manager or Clinical Lead (if not already done at stage one). The Divisional Manager / Clinical Lead will convene a meeting to discuss the issues with the member of staff, who may wish to be accompanied by a representative of his/her trade union/professional organisation. Thorough and fair consideration will be given to the concerns and the member of staff should be treated with respect and understanding. Where appropriate, the Divisional Manager / Clinical Lead will ensure that the concern is fully investigated, if this has not already been done at stage one. The Trust is fully committed to observing the principles of natural justice in its handling of expressed concerns about healthcare matters. This applies equally to those against whom complaints are made, as well as to those who make them. It is important that early in the investigation of an allegation, the person or persons against whom it is made must be told of the allegation, shown the evidence supporting it and be allowed to comment, before the investigation is completed and a report made. It will be a matter of judgement at what stage this point is reached, in the light of the circumstances of the

7 case and the need to avoid giving the individual whom the allegations have been made the opportunity to interfere with the inquiry in some way. The policy requires that Stage two should normally be undertaken within 3 weeks of the complaint being notified at this level. 12. Stage Three - Formal - Chief Executive If the concern is so serious or if, after stage two, the matter remains unresolved, the member of staff may raise his/her concerns (in writing) to the Chief Executive, who will nominate an appropriate person to investigate. This will normally be a Non-Executive Director of the Trust. A thorough and fair investigation into the issues raised will be carried out. The nominated person will convene a meeting to discuss the issue with the member of staff who may wish to be accompanied by a representative of his/her Trade Union or Professional Organisation and then report back to the Chief Executive. Subject to the limitations of individual confidentiality, the complainant will be given a full explanation (in writing) of what action is to be taken or, if applicable, the reasons why action is not considered appropriate. In exceptional circumstances, where a member of staff reasonably feels that it would be inappropriate to raise the concern through the line management structure, perhaps because the line manager is directly involved with the cause of concern, then reference may be made directly to the Chief Executive. The policy requires that Stage three should normally be undertaken within 4 weeks of the complaint being notified at this level. At each stage whenever possible, we will give you feedback on the outcome of the investigation. Please note, however, that we may not be able to tell you about the precise actions we take where this would infringe a duty of confidence we owe to another person. While we cannot guarantee that we will respond to all matters in the way you might wish, we will strive to handle the matter fairly and properly. By using this policy you will help us to achieve this 13. Complaints about the most senior person If, exceptionally, the concern is about the most senior person in the Trust, i.e. the Chief Executive, then this should be raised with the Chairman of the Trust, who will decide on how the investigation, if appropriate, will proceed. This may include an external investigation. In addition Mark Harrison, Non-Executive Director is the Trust Raising Concerns champion Mark can be contacted via the Chairman s Personal Assistant 14. Independent advice If you are unsure whether to use this policy or you want independent advice at any stage, you may contact:

8 Your trade union/professional organisation representative who, if you so wish, may assist/accompany you in raising your concerns at any stage; or The independent charity Public Concern at Work on or Their lawyers can give you free confidential advice at any stage about how to raise a concern about serious malpractice at work. 15. Monitoring of Policy Any concerns raised under this policy will be reported to the Workforce Committee and the Quality and Assurance Committee. It is the responsibility of the Quality and Assurance Committee to monitor the concerns raised by staff and to be satisfied that appropriate action has been taken. 16. Policy Review It will be necessary to use several methods to communicate the contents of this policy effectively. Methods to be employed include:- Sending a copy of the policy/leaflet to all employees. Publishing articles in newsletters and Team Brief. Issuing leaflets on the policy. Placing posters in the workforce Providing training for Line Managers or awareness raising activities for all employees. Raising the issue at team/departmental meetings. Using or Intranet facilities. Workplace presentations by Workforce and Staff Side Representatives Communication of the policy is a regular requirement and not just a necessity at launch time, for example, awareness raising should be included in induction and learning opportunities for all staff. 17. Associated Policies Fraud and Corruption Policy Grievance Procedure Dignity at Work Policy Trusts Complaints Procedure (applies to patients and carers in relation to NHS services) Child Protection Policy Incident Reporting Policy

9 External Contacts Prescribed Persons Whilst we hope this policy gives you the reassurance you need to raise your concern internally with us, we recognise that there may be circumstances where you can properly report a concern to an outside body. In fact, we would rather you raised a matter with the appropriate regulator such as the Care Quality Commission, the independent Regulator of NHS Foundation Trusts (Monitor), your professional regulator, the Audit commission or the national Patient safety Agency than snot at all. Your union or Public Concern at Work will be able to advise you on such an option if you wish. You can also contact the prescribed persons at Appendix 3. Wider Disclosures Wider disclosures are protected if they are not made for personal gain and the concern must first have been raised with the Trust or a prescribed person mentioned in appendix 3 if: a) you reasonably believed you would be victimised if you did so, or b) there is no prescribed regulator and you reasonably believed there would be a cover-up, or c) the matter was exceptionally serious Examples of where such disclosures could be made are as follows: I. The Mental Health Act Commission Where you have a concern about the care of a patient/client detained under the Mental Health Act 1983 you may be able to refer the matter to the Mental Health Act Commission. II. The Health Service Ombudsman All staff should be aware that the Ombudsman may look into complaints by staff on behalf of a patient provided that he is satisfied that there is no-one more appropriate, such as an immediate relative, to act on the patient s behalf. III. Members of Parliament and the Media If you have exhausted the procedure and have taken account of advice which may have been given you might wish, as a constitutional right, to consult your member of parliament in confidence. You might also, as a last resort, contemplate the possibility of disclosing your concern to the media. Whilst the Trust does not wish to restrict the rights of any employees in this respect, any unjustifiable action which might undermine confidence in the Trust will be considered as a breach of discipline. In view of these considerations if you are contemplating making a disclosure to the media you are advised to first seek further specialist guidance from professional or other representative bodies and to discuss the matter further with your colleagues and, where appropriate, line and professional managers. However, in view of the principles and options contained in this procedure it is expected that any staff concerns can be addressed and dealt with without reference to the media.

10 Appendix One RAISING CONCERNS POLICY FLOWCHART Employee Wishes to Raise Concern Nature of Concern Incident/Near Miss All other concerns Treatment/Harassment Employment Health & Safety Policy Accident/Incident Reporting Inform Dignity at Work Policy Grievance Procedure Inform Stage 1 Stage 2 Stage 3 Person in Charge or Your Manager Your Manager Divisional Manager/ Clinical Director Chief Executive or or Risk and Assurance Managerof Safety Investigation Investigation Investigation Medical Director Response within three weeks Response within three weeks Response within four weeks Resolved? NON EXECUTIVE DIRECTOR (Raising Concerns Champion) Resolved YES Raise with Prescribed Bodies Resolved? Make wider Disclosures eg. MP. Matter ends

11 Appendix Two PRESCRIBED PERSONS Disclosures of information may be made to the following persons, who have been prescribed by the Government. 1. Health and Safety Risks: HSE and local authority 2. Environmental Issues: the Environment Agency 3. Utilities: OFTEL, OFFER, OFWAT, OFGAS, Rail Regulators 4. Financial Services & the City: Finances Services Authority (and pending its full operation, its predecessor bodies); HM Treasury (insurance) 5. Fraud & Fiscal Irregularities: Serious Fraud Office, Inland Revenue, Customs & Excise, Audit Manager 6. Public Sector Finance: NAO Audit Commission, Account Commission for Scotland, Director of Counter Fraud Services 7. Company Law: Department of Trade & Industry 8. Competition & Consumer Law: Office of fair trading and local authority 9. Others: Certification Officer (Trade Unions), Civil Aviation Authority, Clarity Commission, Criminal Cases Review Commission, Data Protection Registrar, Occupational Pensions Regulatory Authority CONTACT DETAILS AND TELEPHONE NUMBERS NATIONAL WHISTLEBLOWING HELPLINE LOCAL COUNTER FRAUD SPECIALIST Collette Ryan: Telephone: Mobile: Address: The Conference Centre, Wrightington Hospital, Hall Lane, Appley Bridge, Wigan, Lancashire, WN6 9EP FREEPHONE NHS FRAUD AND CORRUPTION REPORTING LINE The NHS Fraud and Corruption Reporting Line is All calls will be treated in confidence and investigated by professionally trained staff. THE NHS FRAUD AND CORRUPTION TEAM: HUMAN RESOURCES DEPARTMENT OF HEALTH (CUSTOMER SERVICE CENTRE), Department of Health, Richmond House, 79 Whitehall, London SW1A 2NS o dhmail@dh.gsi.gov.uk o Telephone

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