Policy Statement
Whistleblowing refers to the process whereby employees, volunteers and sisters seek to report serious concerns about the treatment of residents or practices within the home.
The Institute of Our Lady of Mercy is committed to achieving the highest possible standards of service and ethical practice. To achieve these ends, we encourage freedom of speech.
We encourage staff to use all internal and external mechanisms for reporting malpractice or illegal acts. It is our belief that, should a member of staff witness malpractice, they should be able to report their concerns without fear of reprisals and be assured that their concerns will be fully investigated. Harassment or victimisation of a whistleblower will not be tolerated and would be treated as a formal disciplinary offence.
A worker is protected if:
- They honestly think what they’re reporting is true;
- They think they’re telling the right person;
- They believe that their disclosure is in the public interest.
and believes:
- That a criminal offence has been committed, is being committed, or is likely to be committed.
- Abuse, neglect or bullying has taken place.
- That a person has failed, is failing or is likely to fail to comply with a particular legal obligation.
- That a miscarriage of justice has occurred, is occurring or is likely to occur.
- That the Health and Safety of any individual has been, is being, or is likely to be endangered.
- That the environment has been or is likely to be damaged.
- That information indicating the occurrence of any of the above has been, is being, or is likely to be deliberately concealed.
Purpose
This policy establishes the Institute’s approach to staff “whistleblowing”. In addition, it seeks to ensure that staff can report their concerns in confidence and be confident that they will be listened to and thoroughly investigated.
Your information will, as far as possible, be treated with the utmost confidence, though it may not be possible in all cases e.g., if there is evidence of a criminal offence having been committed.
Legislation
- Health and Social Care Act 2008
- Public Interest Disclosure Act 1998
Policy
In the first instance, allegations should be made as soon as possible verbally or in writing and in any case supported by a written statement/report to your/a Manager. Other avenues of redress include our Independent Care Quality Consultant or Independent Business Partners/Advisors, a Trustee of the Institute or the Designated Safeguarding Lead (safeguarding.lead@iolmercy.org.uk).
The matter will be investigated and will aim to be impartial and objective and as far as is reasonably practicable fair to all parties concerned in seeking to clarify the facts before any further action is taken.Consideration will be given as to whether it is necessary and appropriate at that stage to honour anonymity. However, whilst the Institute may be able to give anonymity initially, you must be advised that should any serious matter proceed to tribunal, the person making the allegation, and indeed any other involved parties to the matter, may well be called to give evidence and therefore outside of the Institute, anonymity cannot be guaranteed.
Any person ‘blowing the whistle’ for whom it is deemed appropriate to maintain anonymity, can be assured that their anonymity will be respected as far as is reasonably practicable and possible. However, in the interests of fair justice it may not always be possible, but every case will be considered on its own merits and circumstances.
There may be good reasons why a worker wishes their identity to remain confidential. The law does not compel an organisation to protect the confidentiality of a whistleblower; however, it is considered best practice to maintain that confidentiality, unless required by law to disclose it.
It will help to manage the expectations of whistleblowers if the risk that some colleagues may still speculate about who has raised the concern is explained to them. Anonymous information will be just as important for organisations to act upon. Employees should be mindful that the ability of the Institute to ask follow up questions or provide feedback will be limited if the whistleblower cannot be contacted. Employees should note that making a disclosure anonymously means it can be more difficult for them to qualify for protections as a whistleblower. This is because there would be no documentary evidence linking the worker to the disclosure for the employment tribunal to consider.
In the event of an allegation being made in accordance with this policy an initial interview will be held to gather information about the areas of concern, where possible. (If the allegation has been made anonymously, the investigation will be undertaken on the basis of the information received).
All concerns will be recorded and an investigation will be carried out. At this stage it may be necessary to implement the safeguarding policy and procedures.
If, as a result of the investigation, it is deemed that there is a case to answer by any individual, action will be taken in accordance with the disciplinary procedure.
Where there is no case to answer, but the person making an allegation held a genuine concern and was not deemed to be acting maliciously, the designated officer will ensure that they are protected against reprisals.
Only where allegations are considered to have been made maliciously will the Institute consider taking disciplinary action against the person making the allegation.
However, disciplinary action may follow against the person who is alleged to have breached any of the defined criteria as set out above.
If the ‘whistleblower’ is not satisfied with the outcome of the investigation, they will be given the right to appeal and to take other action which may include asking a senior Manager, Trustee or external agency to investigate the matter further. Alternatively, the ‘whistle blower’ may lodge a formal grievance which will be dealt with in accordance with the Institute’s grievance procedure.
At any stage, concerns can be reported to CQC/CSSIW or Social Services although you are encouraged to try to raise this with an appropriate person internally in the first instance to allow the Institute to resolve the matter as quickly as possible.
Institute’s Pledge to Staff
You are assured that any concern you may have will be listened to and investigated. You may wish to raise your concern by yourself directly or in writing, but you are also entitled to make your representations accompanied by a friend or colleague or trade union representative.
The investigation of your concerns will aim to be impartial and objective, and as far as is reasonably practicable fair to all parties concerned in seeking to clarify the facts before any further action is taken.
You will be informed of the broad actions that are being taken and the outcomes, although it may be important for us to respect the confidentiality of other members of staff and persons who are involved or connected in any way in the process of the investigation.
Further Information
You can obtain confidential and independent advice on any aspect of whistleblowing from:
Protect
CAN Mezzanine
7 – 14 Great Dover Street
London SE1 4YR
Tel: 020 7404 6609
Fax: 020 7403 8823
Email: whistle@protect-advice.org.uk
Supplementary Whistleblowing Guidance
This document provides further guidance and best practice about addressing allegations of abuse of residents made by members of staff of the home against other staff. The policy is available to meet the requirements, Safeguarding People who use Services from Abuse. It is written in recognition of and compliance with the provisions of the Public Disclosure Act 1998.
In the past, people who have reported colleagues’ actions who they consider have ill-treated, neglected or abused service users, have often been regarded as troublemakers and have been penalised inconsequently for “doing the right thing”. It is now recognised that staff are the people most likely to observe and be in a position to report on bad practice. It is important for any workplace, Institute dwelling, care home or convent with care to create an atmosphere of open communication and commitment to high standards of work within which criticisms can be frankly made and thoroughly investigated.
This guidance complies with the Public Disclosure Act 1998, which aims in law to protect staff and to ensure they are not victimised when reporting and seeking to have investigated genuine and reasonable concerns about any form of malpractice that they encounter in their work.
Salient features of the Public Disclosure Interest Act 1998. This legislation encourages people to raise concerns about malpractice in the workplace and will help ensure that organisations respond by:
- Addressing the message rather than the messenger; and
- Resisting the temptation to cover up serious malpractice.
Through protecting whistleblowers from dismissal and victimisation in the following circumstances, the Act promotes the public interest.
Malpractice
The Act applies to people at work raising genuine concerns about crime, civil offences (including negligence, breach of contract, breach of administrative law), miscarriage of justice, danger to Health and Safety or the environment and the cover up of any of these. It applies whether or not the information is confidential.
Individuals Covered
In addition to employees, it covers home staff (paid and voluntary), contractors, trainees, Police and all employees of the NHS. The usual employment law restrictions on minimum length of service and age do not apply.
Legal Advice
The Act confirms that workers may safely seek legal advice on any concerns they have about malpractice. This includes seeking advice from Public Concern at Work, which is designated a legal advice centre by the Bar Council.
Internal Disclosures
A disclosure in good faith will be protected if the whistleblower has a reasonable suspicion that the malpractice has occurred, is occurring or is likely to occur. Where a third party is responsible for the matter this same test applies to disclosures made to it.
Wider Disclosures
Wider disclosures, e.g., to the police, the media, MPs, and non-prescribed regulators, are protected if they meet one of the following preconditions.
Provided they are not made for personal gain, these preconditions are that the whistleblower:
- Reasonably believed they would be victimised if they raised the matter internally or with a prescribed regulator reasonably believed a cover-up was likely and there was no prescribed regulator; or
- Had already raised the matter internally or with a prescribed regulator.
Full Protection
Where the whistleblower is victimised in breach of the Act, they can bring a claim to an employment tribunal for compensation. Awards will be uncapped and based on the losses suffered. Additionally, where an employee is dismissed, they may apply for an interim order to keep their job.
Gagging Clauses
Gagging clauses in employment contracts and severance agreements are void insofar as they conflict with the Act’s protection.
Training
All new staff receive training in this policy on whistleblowing as part of the induction training. Staff receive updated training yearly and /or as needed as policies change.