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1.5.2 Whistle Blowing Procedure

Contents

  1. Introduction
  2. Aims of the Policy
  3. Key Principles
  4. Grounds for Action
  5. Procedure for Making a Complaint
  6. The Investigation of the Complaint

1. Introduction

The local authority has procedures to deal with comments and complaints from the public, the harassment of staff and matters of staff grievance and discipline. 

These procedures offer the opportunity for both the public and staff to seek redress for various matters.  However, a number of Reports of Major Enquiries have highlighted the need for an additional formal procedure to enable staff to put their concerns to senior managers.

The Warner Report, for example, stated that staff should be able to raise concerns outside their normal line management structure where they consider that their manager has been unresponsive or is the subject of concern

An important factor identified in a number of Enquiries has been that some staff had their complaints and concerns ignored whilst others did not feel able to raise them at all as the first point of reference was the very person about whom the complaint was being made.

This procedure is designed to address this need for staff to have an independent and objective means of redress involving reporting to the senior management.  The procedure is straightforward and offers an immediate response to staff who have concerns that severe bad practice is being practised in the local authority.

The procedure is available where there are concerns or suspicions, which may have been reported but not acted on, in relation to any instances of bad practice for example:

  1. occasional or systematic abuse (Significant Harm) in a home
  2. harassment of an individual by a member of staff
  3. fraud or theft
  4. the introduction of a system of care which appears to contradict good practice or procedures
  5. the inappropriate use of therapies

2. Aims of the Policy

  1. To encourage staff to feel confident about raising serious concerns and to question and act upon concerns about practice
  2. To provide a way for staff to raise those concerns outside the line management structure where appropriate and receive appropriate feedback on any action taken
  3. To ensure that staff receive a response to their concerns and that they are aware of how to pursue them if they are not satisfied
  4. To reassure staff that they will be protected from possible reprisals or victimisation if they have made any disclosure in good faith


3. Key Principles

  1. All members of staff have a moral obligation, a right and a duty to raise with the Directorate any instance of malpractice, negligence or unprofessional behaviour towards a service user.
  2. Every manager has a duty to ensure that members of staff are easily able to express their concerns through all levels of management in the Directorate. Managers must ensure that any concerns raised are dealt with thoroughly, fairly and promptly.
  3. Staff who express their views in accordance with this procedure will not be penalised or suffer adverse consequences including informal pressures, unless there is evidence of criminal or malicious intent.  Support will be made available from outside their place of work.
  4. Attempts to persuade staff not to use this procedure to bring attention to legitimate concerns will be viewed seriously by the Directorate and may result in disciplinary proceedings.
  5. The Directorate expects openness to be fostered so that staff are encouraged freely to contribute their views on all aspects of the Directorate’s activities, especially the delivery of care and services to users and carers.  Moreover, staff must feel that their legitimate views will be welcomed, appreciated, kept confidential where possible and, where appropriate, acted on positively.  This procedure should act as a spur to ensure that the appropriate steps are taken.


4. Grounds for Action

A member of staff must act under this procedure where he or she witnesses or has reasonable grounds for belief that another member or members of staff are:

  1. Undertaking the care of service users in such a way that is clearly an infringement of their personal, human and basic rights; and/or
  2. Misappropriating property; and/or
  3. Acting in breach of the Directorate’s obligations of care towards an individual or the established standards of practice


5. Procedure for Making a Complaint

Where members of staff believe that there are grounds for action (as set out in paragraph 4 above), and they do not feel able to discuss this with their line manager, they should immediately contact the Directorate’s Designated Manager (Complaints).

Under such circumstances, it would be perfectly proper for staff to engage the assistance of another person acting on their behalf, such as a Trades Union representative.

The complaint may be in writing, by telephone or through personal contact to the Designated Manager (Complaints).  The Designated Manager (Complaints), by consulting others as necessary, will advise whether this is the correct procedure to use and if so, acknowledge the complaint as being within this procedure.

If the complainant agrees, the matter will be raised with the appropriate line manager for informal resolution unless it is felt by the Designated Manager (Complaints) to be more appropriate not to use this approach or the complainant feels that the informal process would not resolve the situation and wishes to take the matter further.  In these circumstances there will be a formal investigation.


6. The Investigation of the Complaint

When the complaint has been acknowledged as requiring a formal investigation, the Designated Manager (Complaints) will convene a meeting with the appropriate line manager and a Human Resources Officer.  The purpose of the meeting will be to make immediate recommendations to the Director of Social Services and Culture as to the action required.

An Investigating Officer, agreed as independent, untainted and competent for the task, will make a preliminary report within 10 working days.  The report will be based on the Investigating Officer’s enquiries including interviews with the complainant and any available witnesses.  The report will be presented and discussed with the Designated Manager (Complaints) and the Human Resources Officer involved.

The report will state whether:

  1. There is a prima facie case to answer
  2. The Directorate should continue the formal investigation
  3. In the view of the Investigating Officer, there should be either a disciplinary and/or audit investigation and/or the Police should be informed.

The Designated Manager (Complaints) will recommend an appropriate course of action to the Director of Social Services and Culture.

The Designated Manager (Complaints) will inform the complainant in writing of the decision concerning this.

Where the decision is to continue the formal investigation, the Investigating Officer will complete this and provide a further report on the conclusions of his or her further enquiries within 28 days of the decision.

A copy of the report will be sent to the Designated Manager (Complaints) who will send a copy to the Director of Social Services and Culture for a decision as to the action to be taken.

The complainant will be informed of the outcome of the investigation into the concerns raised. Sometimes it may not be possible to reveal the full extent of the investigation where this relates to personal issues involving a third party. Where action is not taken an explanation will be given.

 An investigation resulting in action taken by the Directorate where the complaint is in the main upheld will be reported to an appropriate elected members forum.

End