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					                  Whistleblowing Policy



      Approved by:              Workforce Group




                                February 2009
      On:




                                January 2012
      Review Date:




      Directorate responsible   OD and Workforce
      for Review




      Policy Number:            WD/018




      Signed by                 ………………………………….
                                Nigel Skea
                                Interim Director of OD and
Lei                             Workforce
          VERSION CONTROL




Version        Date               Amendment
                            Approved by PCT Board.
  1.0       October 2006
                            Contacts Updated.
  1.0        June 2008
                            Approved by Workforce
  2.0      February 2009
                            Group.
                            Updated contacts within
  3.0       October 2010
                            policy.
Equality Impact Assessment – Policy/ Service Screening Checklist
Policy Title: Whistleblowing Policy                                     Directorate: Human Resources

Name of person/s auditing / authoring policy: Sue Moss


Policy/ Service Content:

   For each of the following checks is this policy sensitive to people of different age, ethnicity, gender,
    disability, religion or belief, sexual orientation & transgender?
   The checklists below will help you to see any strength and / or highlight improvements required to
    ensure that the policy / procedure is compliant with equality legislation.

A. Check for DIRECT or INDIRECT discrimination against any minority group of SERVICE
USERS:
                                                                      Action     Resource
Question: Does your policy/service contain any issues Response
                                                                     required   Implication
which may adversely impact people from using the
services who otherwise meet the criteria under the    Yes    No     Yes No      Yes     No
grounds of:
1.0 Age                                                                  x
1.1 Gender (Male, Female and Transsexual)                                x
1.2 Learning Difficulties / Disability or Cognitive                      x
    Impairment
1.3 Mental Health Need                                                   x
1.4 Sensory Impairment                                                   x
1.5 Physical Disability                                                  x
1.6 Race or Ethnicity                                                    x
1.7 Religion or Belief (including other belief)                          x
1.8 Sexual Orientation                                                   x
If yes is answered to any of the above items the policy may be considered discriminatory and requires
                     review and further work to ensure compliance with legislation.
B. Check for DIRECT or INDIRECT discrimination against any minority group relating to
EMPLOYEES:
                                                                      Action       Resource
Question: Does your policy/ service contain any issues Response
                                                                     required     Implication
which may adversely impact employees from operating
the under the grounds of:                              Yes   No     Yes No        Yes     No
1.9 Age                                                                  x
2.0 Gender (Male, Female and Transsexual)                                x
2.1 Learning Difficulties / Disability or Cognitive                      x
    Impairment
2.2 Mental Health Need                                                   x
2.3 Sensory Impairment                                                   x
2.4 Physical Disability                                                  x
2.5 Race or Ethnicity                                                    x
2.6 Religion or Belief (including other belief)                       x
2.7 Sexual Orientation                                                x
If yes is answered to any of the above items the policy may be considered discriminatory and requires
                     review and further work to ensure compliance with legislation.
TOTAL NUMBER OF ITEMS ANSWERED ‘YES’ INDICATING DIRECT or INDIRECT
DISCRIMINATION = 0

Number of ‘Yes’ answers for Service users                                     (A) 0

Number of ‘Yes’ answers for Employees.                                        (B) 0
                                                Yes/ No     Comments /

Is there any evidence that some groups              X
are affected differently?

Is there a need for external or user                X
consultation?

If you have identified potential                    X
discrimination, are any exceptions valid,
legal and/or justifiable?

Is the impact of the policy/guidance likely         X
to be negative?

If so can the impact be avoided?                    X


What alternatives are there to achieving            X
the policy/guidance without the impact?

Can we reduce the impact by taking                  X
different action?


  IMPACT
   (Please       High                Medium                  Low          x
    Tick)

   To be completed and attached to any procedural document when submitted to the appropriate
   committee for consideration and approval.
   If you have answered “Yes” to any of the above questions, it is likely the policy/ service will
   need a full EIA, please complete a full impact assessment. If you have identified a potential
   discriminatory impact of this procedural document, please refer it to policy/service administrator;
   together with any suggestions as to the action required to avoid/reduce adverse impact.

   Signatures of authors / auditors: Sue Moss

   Date of signing: 20 January 2009
                         NHS Leicestershire County and Rutland

                          Whistleblowing Policy and Procedure


                                            CONTENTS

                                                                 Page No

Policy Statement                                                       6

    1. Induction                                                       7

    2. Scope of policy                                                 7

    3. The Public Interest Disclosure Act 1998                         7

    4. When it applies                                                 8

    5. Assurance to our staff                                          9

    6. How to raise a concern internally (see also appendix B         10

    7. How ORGANISATION will respond (see also appendix B)            10

    8. Matters Concerning Suspected Fraud                             11

    9. Independent advice                                             11

    10. External contacts                                             11

    11. If staff are dissatisfied                                     11

    12. Communication of the policy                                   12

Appendix A - Whistleblowing in the NHS: Contact Points                13

Appendix B - Reporting a concern                                       Reporting a conce
                                                                      14




Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
                        The Public Interest Disclosure Act 1998

                                 Whistleblowing in the NHS
                                     Policy Statement
POLICY STATEMENT

The Whistleblowing in the NHS Policy applies to all staff employed by NHS
Leicestershire County and Rutland (NHS LCR) and Leicestershire County and
Rutland Community Health Services (LCR CHS) to be referred to throughout as
‘the Organisation’. NHS LCR is the operating name of Leicestershire County and
Rutland PCT.

The Organisation committed to achieving and maintaining high standards with
regard to behaviour at work, service to the public and in all its working practices
and workers are expected to conduct themselves with integrity, impartiality and
honest. The Organisation seeks to develop a culture that encourages the
challenge of inappropriate behaviour at all levels. To achieve this aim, the
Organisation encourages workers to report genuine concerns about malpractice,
illegal acts or failures to comply with recognised standards of work without fear of
reprisal or victimisation. The Public Interest Disclosure Act 1998 provides
employees with protection against victimisation or dismissal should they
reasonably and in good faith report such concerns (or “blowing the whistle”). This
policy is accompanied by a procedure that should be followed when “blowing the
whistle”.

The Organisation will not tolerate harassment or victimisation of a genuine
whistle blower and will treat such conduct seriously including the application of
disciplinary procedures against the perpetrators of such actions.




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Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
1.      Introduction

1.1      The Organisation seeks to ensure that all of its activities are conducted to
         a high standard and with integrity. To achieve this, it encourages
         employees to use internal mechanisms for reporting any malpractice,
         illegal acts or omissions by its employees.

1.2      The Organisation has introduced this policy to enable everyone to raise
         genuine concerns safely so that such issues are raised at an early stage
         and in the right way. The Organisation is committed to dealing with all
         genuine concerns raised appropriately, openly, responsibly and
         professionally. Without the help of employees we cannot deliver a safe
         service and protect the interests of patients, employees and the
         Organisation.

1.3      The policy aims to foster a climate of openness and dialogue which
         encourages and enables employees to feel able to raise genuine concerns
         sensibly and responsibly without fear of victimisation.

1.4     This policy acts as a framework to allow concerns to be raised
        confidentially and provides for a thorough and appropriate investigation of
        the matter to bring it to a satisfactory conclusion.


2.      Scope of policy

2.1      This policy applies to employees (permanent and fixed term), agency or
         bank workers, trainees, Independent Contractors and volunteers within the
         Organisation. The people covered by this policy will be known as
         ‘workers’

2.2      This policy does not form part of an employees’ contract of employment.


3.      The Public Interest Disclosure Act 1998

3.1      The Employment Rights Act 1998 (as amended by the Public Interest
         Disclosure Act 1998) gives significant statutory protection to employees
         who disclose information reasonably and responsibly in the public interest
         and are victimised as a result. The Organisation’s policy does not in any
         way affect individual members of staff’s right under the Act. The Act
         provides strong reasons why organisations should set up whistleblowing
         policies in order to foster a climate of openness and dialogue, which
         encourages staff to feel able to raise concerns sensibly and responsibly
         without fear of victimisation.




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Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
4.      When it applies

4.1      Any worker at sometime may have a genuine concern about what is
         happening at work. Usually these concerns can be resolved simply.
         However, when they are about unlawful conduct, malpractice (financial or
         otherwise) or dangers to the public or the environment it can be difficult to
         know what to do.

4.2      Examples of such concerns might include misrepresentation or misuse of
         the Organisation’s information, finances or other assets; unacceptable
         behaviour to colleagues or the public, or action contrary to the business or
         activities of the Organisation or the NHS. Concerns could relate to any
         part of the Organisation in which an individual is employed, or a related
         organisation. For example, an employee could become aware of, and feel
         it necessary to bring to someone’s attention, a cause for concern relating
         to another NHS organisation, or a GP practice, and vice-versa.

4.3      Employees may, quite naturally, be worried about raising such issues or
         may prefer to keep their concerns to themselves, perhaps feeling that it is
         none of their business or that it is only an unsupportable suspicion. They
         might feel that raising the matter would be disloyal to colleagues,
         managers or to the Organisation. They may fear the consequences of
         possible speaking to the wrong person, or raising an issue in the wrong
         way and being unsure what to do next.

4.4      The Organisation has adopted this procedure to enable all workers to
         raise their concerns about malpractice at an early stage and in the right
         way. The policy is intended to encourage workers to feel able to raise a
         matter when it is just a concern, rather than wait for proof. If a worker is
         troubled by something which they think the Organisation should know
         about or look into, they should feel able to use this procedure.

4.5      Disclosures should be made in good faith with a reasonable belief that the
         information and any allegation in it is substantially true, and that the
         disclosure is not made primarily or solely for personal gain. On the other
         hand malicious or deliberately false allegations will be treated as a serious
         disciplinary offence.

4.6      This procedure does not replace other procedures in place in the
         Organisation regarding incident reporting, grievance, reporting cases of
         potential fraud or corruption or complaints, nor does it replace the normal
         lines of communication between staff and their managers so that matters
         of concern may still be dealt with through normal management/advisory
         channels.

4.7      If the issue causing concern relates to a management decision or
         conditions of service which affect the employee personally, it is probably
         more appropriate to raise it as a grievance under the Grievance and
         Disputes Procedure.

4.8     If the issues relate to bullying, victimisation or harassment of staff then the
         Harassment Procedure should be used.

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Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
4.9      If the issue relates to concerns where the interests of others or the
         Organisation itself are at risk then the Whistleblowing Procedure should
         be followed.

4.10     The role of the Staff Ombudsman.

         The staff ombudsman will provide a means by which workers may freely
         express concerns about issues that could affect patient care or care
         delivery, in the knowledge that their concerns will be dealt with sensitively
         and appropriately.

4.11     The key message to all workers, however, should be “raise your concern,
         even if you are unsure.”


5.      Assurance to our staff

5.1      Safety
         The Organisation’s Boards are committed to this policy. If workers raise
         genuine concerns under this policy, they will not be at risk of losing their
         jobs or suffering any form of retribution as a result. Provided they are
         acting in good faith, it will not matter if they are mistaken. Of course this
         assurance cannot be extended to someone who maliciously raises a
         matter they know is untrue.

5.2      Confidentiality
         The Organisation will not tolerate the harassment or victimisation of
         anyone who raises a genuine concern on any matter. However, it is
         recognised that someone may have good reasons to prefer to raise a
         concern in confidence under this policy. If a worker asks for their identity
         to be protected, by keeping their confidence, it will not be disclosed
         without their consent, but there may be circumstances that it would be
         illegal for the Organisation not to act on information received which may
         make it impossible for the anonymity to be sustained. Workers therefore
         should be advised of this before making a disclosure.

5.3     If the situation arises where a concern cannot be resolved without
         revealing an identity (for instance because evidence is needed in court),
         this will first be discussed with the person raising the concern.

5.4      This assurance of confidentiality should avoid the need to raise concerns
         anonymously. Without an identity, it can be difficult to look in to a cause
         for concern, or to protect someone’s position, or to provide feedback.
         Accordingly, while anonymous reports will not be ignored, it may not be
         possible to follow the policy in some cases where concerns are raised
         anonymously.




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Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
6.      How to raise a concern internally (see also Appendix B)

6.1      If an employee has a concern about malpractice, they should, if they feel
         able, raise it first with their manager. This may be done orally or in writing.

6.2      If they are unsure which procedure it should be raised under then they
         may wish to discuss this with their manager or if this is inappropriate with
         Human Resources.

6.3     If an employee feels unable to raise the matter with their manager, for
         whatever reason, they can raise the matter with one of the members of
         staff nominated to deal with Whistleblowing issues (see appendix a).

6.4      The person raising the matter should at this stage say if they want to do so
         in confidence so that the appropriate arrangements can be made, though
         they should be advised of circumstances where anonymity may not be
         maintained.

6.5      If these channels have been followed and the employee still has concerns,
         or if they feel that the matter is so serious that they cannot discuss it with
         any of the above, they may contact the Chief Executive (see appendix a).

6.6      If appropriate a matter may also be raised with the Secretary of State for
         Health.


7.      How the Organisation will respond (see also Appendix B)

7.1      Once a concern had been raised, it will be looked into to assess initially
         what action should be taken. This may involve an internal inquiry or a
         more formal investigation. The person raising the concern will be told who
         is handling the matter, how they can be contacted, and whether further
         assistance may be needed and information on how it is proposed to
         handle it. The worker reporting the concern should be advised if
         requesting anonymity that this cannot be guaranteed in all instances.

7.2      The person raising a concern may be asked how they think the matter
         might best be resolved. If they have any personal interest in the matter
         they will be asked to make this known at the outset. If it appears that the
         concern falls more properly within another policy, this advice will be given.

7.3      While the purpose of this policy is to enable the Organisation to
         investigate possible malpractice and to take appropriate steps to deal with
         it, people who have raised concerns will be given as much feedback as
         can properly be given. If requested, this will be in writing. However, in
         some instances it may be inappropriate to detail the precise action being
         taken, e.g. where this would infringe a duty of confidence owed to
         someone else.




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Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
8.      Matters Concerning Suspected Fraud

8.1      In instances where you suspect fraud to have occurred please contact the
         Organisation’s Director of Finance or your Local Counter Fraud Specialist
         (LCFS) see appendix a.          Interviews or investigations should be
         undertaken by the Local Counter Fraud Specialist, who will ensure that
         any investigation is completed observing the standards defined in the
         Fraud and Corruption Manual.

8.2      There is also a confidential telephone hot line, “NHS Fraud and Corruption
         Reporting Line on 0800 028 4060 which may be used to report suspicion
         of fraud or corruption in the NHS.


9.      Independent advice

9.1      If a worker is unsure whether to use this procedure or if they want
         independent advice at any stage, they may contact:

               Anyone in the Human Resources Department
               If applicable, their Appropriate Union or Professional Association (if
                applicable)
               The Local Counter Fraud Specialist for the Organisation
               The NHS Fraud and Corruption Reporting Line
               Public Concern at Work (PCaW)
               Anyone on the Prescribed Persons List
               The Organisation’s Staff Ombudsman (see section 4.10)

         Contact points are listed in Appendix A.


10.     External contacts

10.1     While this policy seeks to provide the reassurance workers need to raise
         such matters internally, there may be circumstances where matters can
         properly be reported to outside bodies, such as regulatory bodies (e.g.
         General Medical Council), or the police. Workers may contact Public
         Concern at Work (or, if applicable, a professional association or union)
         who will be able to advise on such an option and on the circumstances in
         which an outside body can be contacted.


11.     If workers are dissatisfied

11.1     If a person who has raised a concern is unhappy with the response, they
         should be fully aware that it is possible to go to the other levels and bodies
         detailed in this policy. While it may not always be possible to guarantee
         the response someone might wish, they should be assured that the matter
         will be handled in the appropriate manner.




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Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
12.     Communication of the policy

12.1     The Director with lead responsibility for the implementation and
         maintenance of this policy is the Director of Organisational Development
         and Workforce.      They will be required to ensure that adequate
         arrangements exist to communicate this policy widely throughout the
         Organisation, at the time of its introduction and any future amendments
         and to ensure new workers are made aware of its existence.




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Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
                                                                                                     APPENDIX A
                                NHS LEICESTERSHIRE COUNTY AND RUTLAND
                                  Whistleblowing in the NHS: Contact Points
                            Appendix A

                                                                                      Last Updated October 2010
Internal Contacts                                                External Contacts
(nominated to deal with Whistleblowing issues)

Non-Executive Director                                           The Appropriate Union or Professional Association (if
Cathy Ellis, Chairman                                            applicable)
t. 0116 295 7538
e. cathy.ellis@lcr.nhs.uk
                                                                 NHS Fraud and Corruption Reporting Line
Chief Executive                                                  Easily accessible route for the reporting of genuine
Catherine Griffiths                                              suspicions of fraud within, or affecting the NHS to
t. 0116 295 7535                                                 people both inside and outside of ORGANISATION.
e. catherine.griffiths@lcr.nhs.uk
                                                                 t. 0800 028 4060 (Freephone Mon–Fri 8am – 6pm)
Director of Finance                                              e. nhsfraud@nhssbsa.nhs.uk
Sue Bishop                                                       w. http://www.nhsbsa.nhs.uk/counterfraud.aspx
t. 0116 295 7522
e.sue.bishop@lcr.nhs.uk                                          Public Concern at Work (PCaW)
                                                                 Free, confidential advice at any stage to people concerned
Medical Director                                                 about crime, danger or wrongdoing at work.
Aly Rashid
t. 0116 295 7535                                                 t. 0207 404 6609
e. aly.rashid@lcr.nhs.uk                                         e. enquiries: whistle@pcaw.co.uk
                                                                     helpline: helpline@pcaw.co.uk
Human Resources                                                      services: services@pcaw.co.uk
Director of OD and Workforce                                     w. http://www.pcaw.co.uk/
Nigel Skea
t. 0116 295 7609
e. nigel.skea@lcr.nhs.uk
                                                                 Prescribed Persons List
Associate HR Director (Corporate)                                A list of prescribed persons that disclosures can be made
Richard Bruce                                                    to. This list is located on the Department for Business
t. 0116 295 7609                                                 Enterprise and Regulatory Reform website. The list is
e. richard.bruce@lcr.nhs.uk                                      Appendix 1 of the ‘Disclosures in the public interest:
                                                                 protections for workers who ‘blow the whistle’: guidance’
Associate HR Director (CHS)
Kathryn Burt                                                     http://www.berr.gov.uk/whatwedo/employment/employment
t. 0116 295 0805                                                 -legislation/employment-guidance/page16186.html
e. kathryn.burt@lcrchs.nhs.uk

Equality, Diversity and Human Rights
Equality Diversity Officer
Sandy Zavery
t. 0116 295 8980
e. sandy.zavery@leicspart.nhs.uk

Equality Diversity Officer
Vyv Wilkins
t. 0116 225 3779
e. vyv.wilkins@leicspart.nhs.uk

ORGANISATION Local Counter Fraud Specialist
Richard Holmes
t. 0116 295 3166
e.richard.holmes@emias.nhs.uk
Joanna Clarke
t. 0116 295 3162
e. joanna.clarke@emias.nhs.uk

Staff Ombudsman (post hosted by LPT)
A means by which workers may freely express concerns
about issues that could affect patient care or care delivery.
Marian Charlesworth
t. 0116 246 3491 (confidential line only accessed by
Marian)


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            Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010
                                                                                  APPENDIX B
                                          Appendix B   Reporting a Concern



                             Worker has genuine
                             concerns that a
                             wrongdoing has been,
                             is being or is likely to be
                             committed



                             Concern raised with
                             manager, designated                        Fraud – LCFS
                             officer or LCFS if issue                   investigation carried out
                             concerns fraud



                             Record of concern
                             made by contacted
                             officer




                             Manager identified to
                             investigate the issue
                             and worker notified of
                             their name



                             Matter investigated




                             Worker provided with
                             appropriate feedback
                             and advised of further
                             rights




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Whistleblowing in the NHS/Version 3/FINAL VERSION/October 2010

				
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