ORG 07. Whistleblowing (Public Interest Disclosure) Policy Name Purpose Of Document

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1 ORG 07 Policy Name Purpose Of Document Target Audience Whistleblowing (Public Interest Disclosure) To set out the actions for ICS workers to bring genuine concerns about the quality of care for service users to the attention the organisation that will take the relevant action and ensure the high quality of care for the service users. All ICS workers Version V1 Author Karen Matthews-Shard Date of Approval 19 TH February 2013 Published Date 1 st March 2013 Lead Director Review Frequency Last Reviewed Next Review Date April 2017 Risk And Resource Implications Associated Strategies and SOPs Equality Impact Assessment (EIA) Form Karen Matthews-Shard Resources: setting up whistleblowing hotline and training. Risks: Negligence /poor practice/corruption/bribery continuing unreported putting the organisation at risk. 2 yearly Risk Management Strategy Clinical Governance Strategy PULSE Reporting and managing complaints SOP TNS Reporting and managing complaints SOP TNS Reporting incidents SOP PULSE Reporting and grading incidents SOP Complaints and Incidents policy EIA completed by the author of this policy and attached as an appendix.

2 Document History Version Date Changes made/comments By whom Draft v 1 22/09/11 First draft K. Matthews- Shard Final 14/11/11 Added advice from Ropes & Gray letter re: Whistleblower hotline and Checked final draft v 2 12/01/12 Whistleblowing hotline details: Karen please add details Whistleblowing Karen please add details Otherwise this is final version K. Matthews- Shard K. Matthews- Shard Final V1 19/2/13 Published K matthews-shard V1 V1 April 2015 May 2015 Yearly review NMC Guidance added KNF/Sharon Jolley KNF 2

3 Table of Contents Section Contents Page No. 1. Policy standards 8 2. Roles and responsibilities 8 3. Supporting national policies, guidance and 9 legislation 4. Equality and Diversity Whistleblowing process generic good practice 10 Process for raising concerns 11 Responding to a concern 11 Whistleblowing hotline and/ Training Implementation plan Consultation Ratification 12 Dissemination 12 Audit and monitoring Associated policies References 13 Appendix A Appendix B Appendix C Appendix D Appendices Equality Impact Assessment form 14 Raising a concern guidelines 15 Responding to a concern - guidelines 16 Contacts for help and advice 17 3

4 About Independent Clinical Services (ICS) Group ICS consists of a number of trading companies, each providing services within core niche areas of the health and social care industries. Therefore, as this document is a Group Policy, the Policy herein applies to all trading companies detailed below: Pulse Staffing Limited (Pulse) Pulse recruits health and social care professionals for temporary and permanent jobs in the UK and abroad. Pulse is the UK s leading independent provider of staff bank management services and provides specialist care packages to individuals in their own home or community setting. As an approved supplier to the NHS, Pulse holds contracts with NHS trusts, private organisations and local authorities nationwide. Pulse also works with hospitals globally, specifically within in Australia, New Zealand, North America, the Middle East and across Europe. Pulse places candidates - medical, scientific and nursing staff, allied healthcare professionals, social workers, support workers and carers - in posts appropriate for their training and experience. Pulse Staffing consists of a number of Pulse brands delivering staffing solutions and health and social care services globally, with a UK branch network and overseas offices, key brands include; Pulse Community Healthcare Management of packages of care to support/ enable individuals to live independently Pulse Nursing & Care, Pulse Critical Care, PULSE Specialist Nursing, Pulse Theatres, Pulse@Home - provision of all categories and grade of nursing & midwifery staff Pulse Doctors Provision of all specialty and grade of doctor including Psychiatry, Acute and GP Pulse Allied Health & Health Science Services Provision of all categories and grade of AHP & HSS staff (including Physiotherapy, Radiography, Speech and Language Therapy and Pharmacy) Pulse Staffing Partners, incorporating end-to-end management of complete staff banks Pulse Social Care Provision of all categories of unqualified social care staff Pulse Social Work provision of all specialty of qualified social work staff Frontline Staffing (FL) FL is a dedicated division of PULSE, committed to managing short-notice and hard-to-fill vacancies on both a temporary and permanent basis across the spectrum of health and social care categories of staff 4

5 Thornbury Nursing Services (TNS) Established in 1983, TNS is one of the UK s leading independent nursing agencies. Providing skilled nurses on a temporary or permanent basis to NHS Trusts and private sector clients throughout England and Wales. The TNS mission is simple: To provide the best professional solution to meet the requirements of each of our clients whilst recognising and rewarding the exceptional skills and efforts of our nurses. TNS delivers an exceptional service to both patients and clients by ensuring every nurse represented meets the most rigorous professional standards. TNS team of specially trained recruiters (themselves qualified nurses) personally interview and select nurses across the country using a strict method of competence-based assessment, ensuring that every nurse meets the highest expectations in terms of professional accreditation, competency, attitude and personality. Scottish Nursing Guild (SNG) Established in 1995, SNG, as part of Independent Clinical Services Ltd, is one of Scotland s leading independent nursing agencies, providing skilled nurses on a temporary basis to major NHS Trusts and private sector clients throughout Scotland and Northern Ireland. SNG s ability to respond promptly to staffing needs makes the service a invaluable resource in maintaining effective nursing coverage, with unparalleled commitment to providing nurses who meet the highest professional standards. SNG provides appropriately skilled health care assistants, operating department practitioners and qualified nursing staff to cover staffing shortages both short-term and ongoing. SNG provides temporary nursing staff to both NHS Trusts and private sector clients throughout Scotland. SNG s procedures and standards fully conform to or exceed the regulatory requirements in each territory. Thornbury Community Services (TCS) Thornbury Community Services (TCS) is part of Thornbury Nursing Services, which was first established in Thornbury Nursing Services is a large independent nursing agency providing commissioned and staffing solutions, covering the whole of England and Wales. TCS supply Registered Nurses (RNs) and Health Care Support Workers (HCSWs) to Clinical Commissioning Groups (CCGs), case managers and private individuals providing care for clinically complex patients in their own homes. 5

6 Hobson Prior Hobson Prior International is an award winning provider of staffing services for the medical device, drug discovery and clinical development community in Europe. Since 2002, we have been working exclusively within the life sciences industry, supporting organisations seeking to engage with exceptional professionals within the functional disciplines of clinical operations, medical affairs, pharmacovigilance, quality assurance and regulatory affairs. All our consultants specialise in a specific life sciences discipline and combine in-depth industry knowledge with an ethical and proactive sourcing approach to deliver the right solution for each client. Asclepius Asclepius is the only healthcare recruitment consultancy in the UK to give you access to six distinct, expert companies to best serve every medical specialty, along with managed services, under one roof. We re committed to helping improve patient care within the NHS by offering truly extraordinary temporary and permanent recruitment services to our clients and candidates. Maximma Maxxima is an established recruitment agency operating under two successful brand names; Labmed Recruitment and Swim Recruitment. Maxxima operates predominantly within the Healthcare and Social Services sectors. As well as offering traditional recruitment solutions to their clients, Maxxima runs a number of successful Master Vendor contracts, providing the NHS with a robust Vendor Managed Solution able to provide large scale cost savings whilst still retaining the expert knowledge and attention to detail associated with more specialist agencies in the market. 6

7 ICS Health & Wellbeing (ICS H&W) Pulse H&W is one of a few organisations in the UK offering a fully integrated health and wellbeing service that can be tailored to suit the needs of individuals and local communities. We have extensive experience of providing large-scale health improvement services for public and private sector organisations. By creating an approach that incorporates innovative technology, strong operational management and effective engagement, we use our expertise and wide range of skills, to provide a high quality and efficient solution for commissioners and long-term health benefits for individuals. Commissioners can choose to work with us across all, or a selection of our four core elements: 1. Health and wellbeing hub and interventions 2. Community outreach 3. Training 4. Social marketing campaigns 7

8 ICS Whistleblowing (Public Interest Disclosure) Policy 1 Policy standards 1.1 ICS has fostered an atmosphere of open communication and commitment to high standards of service, within which criticisms can be frankly made and thoroughly investigated. 1.1 The ICS policy on whistleblowing complies with the Public Interest Disclosure Act 1998 in protecting and not victimising any worker who seeks to report, and has investigated, a genuine and reasonable concern about any form of malpractice that they encounter in the course of their work. 2. Roles and responsibilities 2.1 The overall organisational roles and responsibilities are set out in the policy document, ORG1 Policy for drafting, approval and review of policies and SOPs. 2.2 ICS acknowledges that whistleblowing is the responsibility of all its workers. The following table outlines the responsibilities of the key people concerned with whistleblowing. Table 1: The roles and responsibilities of the key workers concerned in whistleblowing Role Individual workers Line Managers/ appropriate others Responsibilities Have a responsibility to: work within their professional code of conduct ensure that the best standards of care are achieved report any concerns which might compromise these standards raise concerns in good faith with a true belief that a malpractice has occurred not raise concerns with any malicious intent. All managers have a responsibility to: treat concerns in a sensitive and confidential manner take the worker s concerns seriously consider them carefully and undertake an investigation understand the difficult position the worker may be in seek appropriate advice take prompt action to resolve the concern or refer it on to an appropriate person keep the worker informed of the process monitor and review the situation inform the Clinical Director ensure that workers who genuinely report concerns are not penalised in any way. 8

9 3. Supporting national policies, guidance and legislation 3.1 Set out in table 2 is some of the legislation, national policies and guidance that support this policy. Table 2 Legislation, national policies and guidance that support whistleblowing. Act, policy, guidance. Public Concern at Work, founded in The Public Interest Disclosure Act England, Scotland and Wales. The Public Interest Disclosure (Northern Ireland) Order Speak up for a healthy NHS Social Partnership Forum. Care Quality Commission Essential standards of quality and safety. March Regulator standards. Regulation and Quality Improvement Authority (RQIA). 2005,2009 Explanation Is the leading authority on public interest whistleblowing. Its charitable objectives are to promote compliance with the law and good practice in organisations across all sectors. In practical terms, it focuses on the responsibility of workers to raise concerns about malpractice, and the responsibility of those in charge to investigate and remedy such issues. - set up a Commission in Feb 2013 to cover workplace Whistleblowing ) Protects workers who 'blow the whistle' about wrongdoing. It applies where a worker has a reasonable belief that their disclosure tends to show one or more of the following offences or breaches: a criminal offence the breach of a legal obligation a miscarriage of justice a danger to the health and safety of any individual damage to the environment, or deliberate covering up of information tending to show any of the above. Came into operation in Northern Ireland on the 31st October The order offers a framework of protection against victimisation or dismissal for workers who blow the whistle on criminal behaviour or wrongdoing as defined in the legislation. Guidance for employers on implementing whistleblowing arrangements. Developed with the charity Public Concern at Work. CQC introduced a Whistleblowing Policy November 2013 Regulator standards. There should be an open culture in healthcare services that allow staff to feel supported to raise concerns, both inside and outside of the service, without fear of recrimination. 'The Regulation and Quality Improvement Authority (RQIA) is the independent body responsible for monitoring and inspecting the availability and quality of health and social care services in Northern Ireland, 9

10 Social Care and Social Work Improvement Scotland (SCSWIS) September 2011 (Known as the Care Inspectorate.) Health and Social Care Act 2008 updated 2014 NMC Raising Concerns: Guidance for nurses and Midwives. March 2015 and encouraging improvements in the quality of those services.' The reviews undertaken by RQIA are based on the 2006 'Quality standards for health and social care'. In 2009 the duties of the Mental Health Commission were also transferred to RQIA. The independent regulator of social care and social work services across Scotland. They regulate, inspect and support improvement of care, social work and child protection services for the benefit of the people who use them. Care Quality Commission: Essential standards of quality and safety. March The relevant part of this act to this policy is introduction of the Care Quality Commission which is an integrated regulator for health and adult social care bringing together existing health and social care regulators into one regulatory body, with new powers to ensure safe and high quality services. This document provides guidance for nurses and midwives in raising concerns (including whistleblowing) and the process to follow. 4 Equality and diversity 4.1 Equality and Diversity Under the Race Relation (Amendment) Act 2000 ICS has a statutory duty to set out arrangements to assess and consult on how their policies and functions impact on race equality, in effect to undertake Equality Impact Assessments (EIA) on all policies and SOPs. The Equality Act October 2010 demands a similar process of Equality Impact Assessment in relation to disability. An EAI must be completed by the author of this policy using the checklist provided in Appendix A. See also the ICS Equality and Diversity policy and Equality Impact Assessment policy. 5 Whistleblowing process 5.1 The formal phrase for blowing the whistle is Public Interest Disclosure. ICS workers have a legal right to blow the whistle and are protected by law under such circumstances. Its purpose is to protect the interests of the service users in the care of ICS where error has gone unchecked. 5.2 The Whistleblowing Policy should be followed if a worker believes that one of the following either has occurred, is in the process of occurring, or is likely to occur: a criminal offence failure to comply with a legal obligation or an ICS policy a miscarriage of justice endangering of a service user/worker s health and safety damage to the environment, or deliberate concealment of any of the above 10

11 5.3 Concerns raised should be factual, to the best of the worker s knowledge. See Appendix B: Raising a concern - guidelines. Any such concerns should be raised in good faith with a genuine belief that malpractice has occurred. ICS workers should not raise concerns with malicious intent or of a vexatious nature. Any concerns should be raised at the earliest opportunity in order for ICS to investigate the matter. Inevitably some concerns will be genuinely misconceived because, for example, the full facts have not emerged. However, it should be noted that the malicious raising of unfounded allegations will be treated as misconduct and may lead to disciplinary action. 5.4 Process for raising concerns Concerns may be raised verbally or in writing. See Appendix B: Raising a concernguidelines. Workers are encouraged to raise concerns internally, at work, through their Line Manager/appropriate other in the first instance. Where, or for whatever reason, this is not appropriate the worker should contact the Clinical Director. Workers may, of course, seek the advice of their Trade Union or Professional Association/Organisation to support them in raising concerns. See Appendix D: Contacts for help and advice. 5.5 Despite the assurances given to its workers ICS accepts that there may be incidents that the worker does not feel confident or able to report in the first instance to their manager or the Clinical Director. ICS accepts the right and obligation of the worker to report their concerns to an outside authority such as the police, the Local Authority Safeguarding unit, the Care Quality Commission (CQC), the Scottish Commission for the Regulation of Care (SCRC) or the Regulation and Quality Improvement Authority Northern Ireland (RQIA) in order to initiate an investigation. ICS provides every worker with the contact details which may be found in Appendix D: Contacts for support or advice. 5.6 Responding to a concern Set out in appendix C is some guidelines to support the gathering of information from a worker, who has reported a concern. They are not intended to be used verbatim but as helpful hints to gather as much information as possible. See Appendix C: Responding to a concern guidelines. 5.7 If the matter has been reported to the Line Manager/appropriate other, and the concern has not been resolved satisfactorily then it should be raised again but this time in writing to the Clinical Director. 5.8 If the ICS worker has acted in good faith, not seeking personal gain out of the situation, the law is on their side. Where legitimate concerns have been raised, it is illegal for the organisation to cause the whistleblower any detriment as a result. 5.9 Should the organisation be unable to satisfy the concerns raised the worker, he/she is entitled to take the matter to a legal representative, CQC, SCRC, RQIA or other government office. This may be done without notifying ICS first, but only if there are grounds for not having notified the Clinical Director in the first place ICS recommends that the worker makes arrangements to have access to independent legal advice in the event of their being involved in allegations as a 11

12 whistleblower or involved as one of the people against whom allegations have been made. All ICS workers are encouraged to do this through membership of a trades union or professional organisation that includes legal advice as part of its services Investigating and Dealing with Allegations If the concern reported to the Line Manager/ appropriate other involves any form of abuse then he/she should take the necessary steps under the ICS Safeguarding Vulnerable Adults policy and ICS Safeguarding Children policy. The Line Manager/appropriate other must protect the source of the information. If the Line Manager/appropriate other fails to act promptly, suppresses evidence or is involved in any action to discourage whistleblowing, they may render themselves liable to disciplinary action Dealing with interference with or victimisation of a whistleblower Any worker who attempts to prevent another worker from reporting their concerns to a manager or who bullies, attempts to intimidate or discriminates against a colleague in these circumstances will be dealt with under disciplinary proceedings. A whistleblower who feels themselves to be subject to hostile action from colleagues should inform their Line Manager/appropriate other, who should if necessary take steps to alter the worker s duties so as to protect them from the hostile action. ICS includes in its staff handbook information on how to make contact with the Public Concern at Work organisation that has been established to protect whistleblowers from victimisation and bullying as a result of their actions Unjustified Reporting ICS managers take reports from whistleblowers seriously and investigate all allegations thoroughly. Any allegations against colleagues which are found to be merely flippant or malicious may render the person who made them liable to disciplinary action. 6 Training 6.1 ICS worker training ICS make the Whistleblowing Policy available to all staff via the Intranet, and provides training to support this policy via staff briefings and induction programmes. 6.2 ICS temporary workers In order to support this policy ICS offers a comprehensive portfolio of free study days to all temporary workers, regardless of band or qualifications. 7 Implementation Plan 7.1 For consultation, ratification and dissemination of this policy see the policy for drafting, approval and review of policies and SOPs. 7.2 This policy will be implemented through: communication of the policy to all relevant workers 12

13 communication of the policy to all stakeholders raising awareness and understanding of the policy and related processes throughout the organisation through committee meetings, ICS worker s meetings, ICS pages, the website and general communication through ICS induction programmes and related training. 7.3 Audit and Monitoring: ICS will regularly audit its approach to whistleblowing for compliance with this policy Processes for monitoring the effectiveness of this policy include: whistleblowing reporting procedure evidence of learning across the organisation appraisal and Personal Development Plan (PDP) The audit will: identify areas of operation that are covered by this policy highlight where non-conformance to the policy has occurred and suggest a tightening of controls and adjustment to related policies report the results to the Governance Committee via the Clinical Director. 8 Associated policies Records management policy Grievance policy HR Reporting and managing complaints policy Reporting and managing incidents policy Consent for examination or treatment of adults and children policy Policy for drafting, approval and review of policies and SOPs Communication policy Equality and diversity policy Equality impact assessment policy 9 References The Public Interest Disclosure Act England, Scotland and Wales. The Public Interest Disclosure (Northern Ireland) Order Speak up for a healthy NHS. Social Partnership Forum Raising Concerns: Guidance for Nurses and Midwifes NMC (March 2015) 13

14 Appendix A: Additional paper to be completed as part of the ratification process: Equality impact assessment (EIA) checklist for the Whistleblowing Policy. To be completed and attached to any procedural document when submitted to the appropriate committee for consideration and approval. Yes/N o Comments 1. Does the procedural document affect one group less or more favourably than another on the basis of: Race No Ethnic origins (including gypsies and travellers) Nationality No Gender No Culture No Religion or belief No Sexual orientation including lesbian, gay and bisexual people Age No Disability - learning disabilities, physical disability, sensory impairment and mental health problems 2. Is there any evidence that some groups are affected differently? 3. If you have identified potential discrimination, are there any exceptions valid, legal and/or justifiable? 4. Is the impact of the procedural document likely to be negative? 5. If so can the impact be avoided? N/A 6. What alternatives are there to achieving the procedural document without the impact? No No No No No No N/A 7. Can we reduce the impact by taking different action? N/A If you have identified a potential discriminatory impact of this procedural document or need advice please refer it to the Clinical Director, together with any suggestions as to the action required to avoid/reduce this impact. 14

15 Appendix B: Raising a concern - guidelines. 1 Raising a concern 1.1 Concerns raised should be factual, to the best of the whistleblower s Knowledge, and should cover the following: what has occurred or is thought to have occurred when it occurred where it occurred who was involved have service users/ics workers/the public been put at risk as a result has it happened before are there any other witnesses is there any supporting information how did the matter come to light has it been raised with anyone else? If so, details of when and by whom. 15

16 Appendix C: Responding to a concern- guidelines Guidelines for Line Managers/appropriate others to support initial discussion with a worker who has raised a concern. 1. Responding to a concern 1.1 These guidelines are not intended to be used verbatim but as helpful hints to gather as much information as possible. Depending on the nature of the concern, some of the points may not be appropriate: thank the worker for telling you, even if they may appear to be mistaken respect and heed legitimate concerns about their own position or career. manage expectations and respect promises of confidentiality discuss reasonable timeframes for feedback with the worker remember there are different perspectives to every story remember that the worker may be upset and/or nervous 1.2 Establish the following: Details of concern i.e.: o what has happened o when did it occur o where did it occur o who was involved, o how long has this been happening Are there any other witnesses? Is there any supporting information/evidence? How did he/she become aware of the incident/occurrence/ activity? Has the matter been raised with anyone else, if so who and when? Name of person to whom disclosure was made. Any actions agreed. 16

17 Appendix D: Contacts for help and advice. Regulator of nurses and midwives Nursing and Midwifery Council (NMC) Advice Centre, confidential service :00-18:00 Monday-Friday Regulators of other healthcare professionals General Medical Council Regulator for medical doctors throughout the UK in all healthcare sectors Health Professions Council Regulator for the allied health professions A full list of other regulators of healthcare professionals is available at Regulators of health and social care services These organisations regulate healthcare systems and environments England Care Quality Commission Department of Health (England) Scotland Scottish Commission for the Regulation of Care NHS Quality Improvement Scotland Edinburgh Glasgow The Scottish Government or Northern Ireland Regulation and Quality Improvement Authority Northern Ireland Department of Health, Social Services and Public Safety (Northern Ireland) Source RCN: Raising and escalating concerns: Guidance for nurses and midwives. 17