CORPORATE. Freedom to Speak Up Standard Operating Procedure. Document Control Summary Status:

Transcription

1 CORPORATE Freedm t Speak Up Standard Operating Prcedure Dcument Cntrl Summary Status: Replacement. This plicy supersedes the Public Interest Disclsure Plicy (v3.1) Versin: V1.1 Date Authr/Owner: Paula Jhnsn, Freedm t Speak Up Guardian Freedm t Speak Up Guardian Apprved by: Plicy and Prcedures Cmmittee Date: 23 March 2017 Ratified: Plicy and Prcedures Cmmittee Date: 23 March 2017 Implementatin Date: May 2017 Review Date: May 2020 Key Wrds: Whistleblwing, Freedm t Speak Up, Cncerns, Fraud, Health and Safety, Envirnmental Damage Assciated Plicy: Freedm t Speak Up Plicy

2 2 Cntents 1 Freedm t Speak Up Prgress Flwchart 2 Standing Operating Prcedure Appendix 1: Appendix 2: Prcess fr Raising and Escalating a Cncern Guidelines fr Initial Discussin with the Persn Raising a Cncern and Public Interest Disclsure Recrd f Actin Taken

3 3 VERSION DATE AMENDMENT V1.1 June 2017 Additinal paragraph t Step 4

4 4 FREEDOM TO SPEAK UP PROCESS FLOWCHART STAGE 1 Des the cncern relate t the abuse r neglect f a service user r child? YES - Fllw Safeguard Prcedures YES Cntact the Natinal Fraud Line, Directr f Finance r the Cunter Fraud Specialist NO - Des the cncern relate t fraud, financial irregularity r crruptin? NO -Des the cncern relate t a serius breach f security? YES - Cntact the Trust s Lcal Security Management NO Raise cncern with Line Manager. This can be undertaken with the supprt f a Trade Unin Representative if felt apprpriate. Nt apprpriate Investigates infrmally and cmpletes Appendix 1 Reslved YES Feedback given t Whistleblwer. Cmplete Appendix 1 and send t Freedm t Speak Up Guardian (F2SUG) STAGE 2 NO Raise cncern with the F2SUG, wh will acknwledge receipt and discuss cncern with staff member NO If nature f cncern is serius, NED will assess implicatins in full with CE and Directr f Wrkfrce and Develpment, prir t frmal investigatin; therwise F2SUG will liaise with Directrate fr infrmal reslutin. Senir Manager t Des the cncern relate t the Chief Executive (CE)? NO YES Refer t NED t raise cncern with Chairman Findings f infrmal reslutin t be fedback t Whistleblwer by F2SUGuardian. Remains dissatisfied, ffer meeting with NED. Cmplete Appendix 1 Arrange fr cncern t be investigated either infrmally r frmally. Cmplete Appendix 1 Frmal investigatin feedback t CE r Chairman, as apprpriate, by NED r F2SUG CE, nminated representative r Chairman, as apprpriate, t feedback t Whistleblwer. Cmplete Appendix 1 and send t F2SUG

5 5 STANDARD OPERATING PROCEDURE 1 Intrductin This Standard Operating Prcedure shuld be read in cnjunctin with Appendix 1, which gives an versight f the prcess fr raising and escalating a cncern. 2 Acknwledgement On receipt, the cncern will be recrded and yu will receive an acknwledgement within tw wrking days f receipt. The central recrd will nte the date the cncern was received, whether yu have requested cnfidentiality, a summary f the cncerns, dates when updates r feedback have been given and any lessns/service imprvements learnt (see Appendix 2). 3 Investigatin Where yu have been unable t reslve the matter quickly (usually within a few days) with yur line manager, the Freedm t Speak Up Guardian will make arrangements t see yu t discuss yur cncern and agree a way frward, which may, fr example, take the frm f an infrmal apprach t reslving yur cncern. Where a prprtinate investigatin is required, the Trust will appint smene suitably independent (usually frm a different part f the rganisatin) and prperly trained and we will reach a cnclusin within a reasnable timescale (which we will ntify yu f). Wherever pssible, we will carry ut a single investigatin s, fr example, where a cncern is raised abut a patient safety incident, we will usually undertake a single investigatin that lks at yur cncern and the wider circumstances f the incident. Hwever, if yur cncern suggests a serius incident has ccurred, an investigatin will be carried ut in accrdance with the Serius Incident Plicy ( The investigatin will be bjective and evidence-based and will prduce a reprt that fcuses n identifying and rectifying any issues and learning lessns t prevent prblems recurring. We may decide that yur cncern wuld be better lked at under anther methd; fr example, the prcess fr dealing with bullying and harassment. If s, this will be discussed with yu. Any emplyment issues that affect nly yu and nt thers identified during the investigatin will be cnsidered separately. 4 Cmmunicating with yu We will treat yu with respect at all times and will thank yu fr raising yur cncern. We will discuss yur cncerns with yu t ensure we understand exactly what yu are wrried ut. We will tell yu hw lng we expect the investigatin t take and keep yu up-t-date with its prgress. Wherever pssible, we will share the full investigatin with yu, whilst respecting the cnfidentiality f thers.

6 6 5 Hw will we learn frm yur cncern? The fcus f the investigatin will be n imprving the service we prvide fr patients. Where it identifies imprvements that can be made, we will track them t ensure necessary changes are made and are wrking effectively. Lessns will be shared with teams acrss the rganisatin, r mre widely, as apprpriate. 6 Bard Oversight The Bard will be given high level infrmatin abut all cncerns raised by ur staff thrugh this plicy and what we are ding t address any prblems. We will include similar high level infrmatin in ur annual reprt. The Bard supprts staff raising cncerns and wants yu t feel free t speak up.

7 7 APPENDIX I FREEDOM TO SPEAK UP Prcess fr raising and escalating a cncern Step One If yu have a cncern abut a risk, malpractice r wrngding at wrk, we hpe yu will feel able t raise it first with yur line manager, lead clinician r tutr (fr students and dctrs in training). In the case f gvernrs, please cntact the Membership Office. This may be dne rally r in writing. Yu als have an ptin t cntact yur Trade Unin Representative fr supprt. Step Tw If yu feel unable t raise the matter with yur line manager, lead clinician, tutr r fr gvernrs the Membership Office fr whatever reasn, r are dissatisfied with their respnse, please raise the matter with ur lcal Freedm t Speak Up Guardian: n r F2SU@sssft.nhs.uk This persn has been given special respnsibility and training in dealing with whistleblwing cncerns. They will: treat yur cncern cnfidentially unless therwise agreed ensure yu receive timely supprt t prgress yur cncern escalate t the Bard any indicatins that yu are being subjected t detriment fr raising yur cncern remind the rganisatin f the need t give yu timely feedback n hw yur cncern is being dealt with ensure yu have access t persnal supprt since raising yur cncern may be stressful. If yu want t raise the matter in cnfidence, please say s at the utset s that apprpriate arrangements can be made. Step Three If these channels have been fllwed and yu still have cncerns, r if yu feel that the matter is s serius that yu cannt discuss it with any f the abve, please cntact the identified Nn-Executive Directr with respnsibility fr raising cncerns n r F2SU@sssft.nhs.uk

8 8 Step Fur Yu can raise cncerns frmally with external bdies: NHS Imprvement fr cncerns abut: hw NHS trusts and fundatin trusts are being run ther prviders with an NHS prvider licence NHS prcurement, chice and cmpetitin the natinal tariff Care Quality Cmmissin fr quality and safety cncerns NHS England fr cncerns abut: primary medical services (general practice) primary dental services primary phthalmic services lcal pharmaceutical services Health Educatin England fr educatin and training in the NHS NHS Prtect fr cncerns abut fraud and crruptin. If yu chse t pursue yur cncern with ne f these external bdies, it is nrmal practice that as part f their due prcess, they will make cntact with a representative frm Trust Crprate Services. This representative will then facilitate the prvisin f required infrmatin t the external bdy, in a timely manner. In all cases the Freedm t Speak Up Guardian will be infrmed and kept updated with prgress, by the representative, fr mnitring purpses.

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10 10 APPENDIX 2 FREEDOM TO SPEAK UP Guidelines fr Initial Discussin with the Persn Raising the Cncern and Public Interest Disclsure Recrd f Actin Taken This is a suggested structure t supprt yu in gaining as much infrmatin as pssible and can be used at Steps 1-3 inclusive (See Appendix 1 f the Standard Operating Prcedure fr Freedm t Speak Up). Depending n the nature f the cncern, sme f the pints may be inapprpriate. At the end f each stage, please frward a cpy f this frm and any related dcumentatin t the Freedm t Speak Up Guardian at F2SU@sssft.nhs.uk Please indicate at what stage f the prcess this frm relates t: STEP 1 STEP 2 STEP 3 DATE OF INITIAL DISCUSSION NAME OF INDIVIDUAL* DESIGNATION* CONTACT DETAILS* * Only disclse if persn raising the cncern is agreeable. DOES THE PERSON RAISING THE CONCERN WISH THEIR IDENTITY TO REMAIN CONFIDENTIAL? IF SO, ARE THEY AWARE OF THE CIRCUMSTANCES WHERE THEIR IDENTITY WOULD BE RELEASED, EG? Yes Yes N N Please cmplete all fields applicable t this case. DETAILS OF CONCERN Backgrund Key Dates

11 11 DETAILS OF CONCERN Key Events Places assciated with this cncern Names f peple assciated with this cncern Witnesses Supprting infrmatin Has the matter been raised with anyne else? If s wh and when? Name f persn t whm disclsure was made

12 12 DETAILS OF CONCERN Actins agreed, taken and utcme, eg reslved, referral t next step f the plicy? Cnclusin and Recmmendatins Date f Feedback t Whistleblwer Fraudulent Issue Breach f Security Issue Manager t Cnsider FURTHER ISSUES FOR CONSIDERATION If this is ptentially a fraudulent issue, cntact ne f the fllwing: Trust s Lcal Fraud Officer at fraud.ffice@sssft.nhs.uk Directr f Finance via the Trust s switchbard Natinal Fraud Line n Is this ptentially a serius breach f security n Trust premises? If s, then the Trust s Lcal Security Management Specialist shuld be cntacted via the Trust s switchbard. Is this serius? Is this reslved? D yu need t speak t yur Manager r the Freedm t Speak Up Guardian?

13 13 MANAGER TO COMPLETE PRIOR TO SUBMISSION TO F2SU GUARDIAN A criminal ffence Public Interest The breach f a legal bligatin Disclsure Categry A miscarriage f justice Act* please tick A danger t the health and safety f any individual applicability Damage t the envirnment Deliberate attempt t cnceal any f the abve Signed:.. Persn Raising the Cncern r tick if nt signed, t maintain cnfidentiality Signed:. Manager Manager s Name Designatin Base Telephne Number *