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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Whistleblowing (Speaking Up) Policy

1. Introduction

At {{org_field_name}}, we are committed to creating an open and honest workplace where employees feel safe and supported when raising concerns about wrongdoing, misconduct, or poor practice. We recognise that speaking up is essential for maintaining high standards of support, ensuring compliance with legal and regulatory requirements, and safeguarding the well-being of tenants and staff.

This policy explains how workers and others connected with {{org_field_name}} can raise concerns about wrongdoing, risk, unsafe practice or failures in care in the public interest, and how those concerns will be handled.

This policy should be read in line with the Employment Rights Act 1996, as amended by the Public Interest Disclosure Act 1998, and with the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, including Regulation 16 (Receiving and acting on complaints), Regulation 17 (Good governance), Regulation 18 (Staffing) and Regulation 20 (Duty of candour). It also reflects CQC guidance and CQC’s current “Freedom to speak up” expectations within the well-led assessment framework.

{{org_field_name}} is committed to an open, fair and learning culture in which concerns are welcomed, investigated sensitively and confidentially, and used to improve the quality and safety of support.

2. Purpose and Scope

The purpose of this policy is to ensure that concerns about wrongdoing, poor practice, risks to people’s health, safety or welfare, breaches of law, misconduct, or attempts to conceal wrongdoing can be raised promptly and addressed appropriately.

This policy applies to employees, workers, agency staff, bank staff, contractors, consultants, students, trainees, apprentices and volunteers working for or on behalf of {{org_field_name}}. Former workers may also raise concerns about matters that occurred during their engagement with the organisation.

For the purposes of statutory whistleblowing protection, the law applies to “workers” as defined by the Employment Rights Act 1996. Where a person raising a concern does not fall within that legal definition, {{org_field_name}} will still take their concern seriously and will not tolerate retaliation for raising it in good faith.

Whistleblowing is different from:

• a complaint by a person using the service or someone acting for them about care or treatment;
• a staff grievance about an individual’s own employment position;
• routine incident reporting; or
• safeguarding reporting.

However, a concern raised under this policy may also require action under the safeguarding, complaints, disciplinary, incident reporting, duty of candour, data protection or grievance procedures.

Concerns may relate to:

• Abuse, neglect, or mistreatment of tenants.
• Unsafe working practices that pose a risk to health and safety.
• Breaches of legal or regulatory requirements, including CQC standards.
• Fraud, corruption, or financial mismanagement.
• Covering up or concealing any of the above.

• unsafe staffing levels, poor training, poor supervision or poor deployment of staff;
• failures in safeguarding, risk assessment, medicines management, infection prevention and control, record keeping or governance;
• bullying, harassment or victimisation connected with someone raising concerns;
• deliberate concealment, falsification or destruction of records;
• conduct that places tenants, staff or the public at risk.

By establishing clear reporting procedures, we ensure that all concerns are properly investigated, addressed, and, where necessary, escalated to external authorities.

2.1 Definitions

Whistleblowing means raising a concern, in the public interest, about wrongdoing, risk, malpractice or illegal conduct connected with the organisation.

A complaint is usually made by a person using the service, or by someone acting on their behalf, about the care, treatment or support they have received.

A grievance is usually a concern raised by a worker about their own employment position, treatment at work, terms and conditions, or interpersonal issues affecting them personally.

A safeguarding concern is any concern that a child or adult is experiencing, or is at risk of, abuse or neglect and must be reported in line with safeguarding procedures without delay.

Where a concern overlaps more than one process, {{org_field_name}} will decide the appropriate route or routes and will not delay urgent protective action.

3. Encouraging a Culture of Speaking Up

{{org_field_name}} will foster a culture in which speaking up is welcomed, respected and acted upon. Staff and leaders must act with openness, honesty and transparency. All workers must be able to raise concerns without fear of dismissal, disadvantage, bullying, victimisation, loss of work, reduction in hours, unfair treatment, threats or any other detriment.

We will:

• make sure workers know how to raise concerns inside and outside the organisation;
• allow concerns to be raised outside normal line management arrangements where appropriate;
• respond promptly, proportionately and fairly;
• investigate sensitively and confidentially;
• protect people who speak up in good faith from detriment;
• learn from concerns raised and use them to improve the service; and
• support an open culture that is consistent with good governance, safeguarding and duty of candour requirements.

4. How to Raise a Concern

Workers should raise concerns as soon as possible. A concern may be raised verbally or in writing. Written concerns are helpful but not required.

A worker can raise a concern to any of the following:

• their line manager;
• the Service Manager;
• the Registered Manager;
• the Safeguarding Lead;
• a nominated Whistleblowing Lead or senior manager not directly involved in the matter;
• a director or owner where the concern involves senior management or there is a conflict of interest.

A worker does not have to raise the matter with their line manager first if they believe this is inappropriate, unsafe or unlikely to be effective.

Concerns should include, where possible:

• what happened;
• who was involved;
• when and where it happened;
• whether the concern is ongoing;
• whether there is an immediate risk to a tenant, colleague or member of the public; and
• any evidence or witnesses.

If the concern suggests an immediate risk of abuse, neglect, serious harm, serious misconduct, criminal conduct or unsafe care, the person receiving the concern must take immediate protective action and follow safeguarding, emergency and notification procedures without delay.

4.1 External Reporting

Workers may also raise concerns externally where appropriate, including where:

• they reasonably believe the concern has not been addressed appropriately;
• they believe evidence may be concealed or destroyed;
• they fear retaliation;
• the concern involves senior leaders; or
• the matter is serious and urgent.

Depending on the issue, external bodies may include:

• Care Quality Commission (CQC) – for concerns about the provision of health and social care, including adult social care services in England;
• Local Authority Adult Safeguarding Team – for abuse, neglect or safeguarding risk;
• Police – where criminal conduct is suspected or there is immediate danger;
• Local Authority / commissioning body – where the concern relates to commissioned services or contractual oversight;
• Health and Safety Executive (HSE) – for health and safety breaches;
• Information Commissioner’s Office (ICO) – for serious data protection concerns;
• Professional regulators where concerns relate to the fitness to practise of an individual professional.

Workers may seek independent confidential advice from Protect before making an external disclosure.

4.2 Anonymous concerns

Concerns may be raised anonymously. Anonymous concerns will be considered and acted upon as far as reasonably possible, taking into account the seriousness of the issues raised, the credibility of the concern, the ability to investigate, and whether sufficient information has been provided.

5. Handling Whistleblowing Reports

All concerns raised under this policy will be assessed promptly, fairly and proportionately. The organisation will decide whether the matter should be handled under this policy alone or also under safeguarding, complaints, disciplinary, incident reporting, duty of candour, data protection or other procedures.

5.1 Acknowledgement and triage

The concern will normally be acknowledged within 5 working days. An initial risk assessment will be completed to decide:

• whether there is any immediate risk to a tenant, worker or member of the public;
• whether safeguarding action is required;
• whether the police, local authority, CQC, commissioners or other bodies should be notified;
• whether immediate management action is required to protect people or preserve evidence; and
• who is the appropriate person to review or investigate the matter.

5.2 Appointment of reviewer or investigator

Concerns must be reviewed by a person with appropriate seniority who is not implicated in the matters raised and has no conflict of interest. Where the concern relates to the Registered Manager, Service Manager, Safeguarding Lead or another senior leader, the matter must be escalated to a more senior or independent person without delay. External investigation or advice may be commissioned where appropriate.

5.3 Investigation

Investigations will be conducted sensitively, confidentially and without unnecessary delay. The investigation may include reviewing records, speaking with the whistleblower, interviewing witnesses and checking whether there are linked complaints, incidents, safeguarding concerns, notifications, audits or previous concerns.

The organisation will keep a clear written record of:

• the concern raised;
• actions taken at each stage;
• decisions made and the reasons for them;
• any referrals or notifications made;
• the outcome; and
• lessons learned and improvements required.

5.4 Feedback and outcome

The person raising the concern will, wherever possible, be given feedback that the concern has been considered and told whether it has been upheld, partially upheld, not upheld, or referred elsewhere. Detailed confidential employment information about other individuals may not be shared.

5.5 Timeframes

Investigations should normally be completed within 28 calendar days where possible. Where this is not achievable, the whistleblower should be updated on progress and the revised expected timeframe.

5.6 Learning and improvement

Outcomes from whistleblowing concerns must be fed into governance, audit, quality assurance, supervision, training, safeguarding review and service improvement arrangements. Where failings are identified, action plans must be created, monitored and completed.

5.7 Safeguarding, notifications and duty of candour

Raising a concern under this policy does not replace any separate duty to take safeguarding action, submit statutory notifications, report serious incidents, or comply with the duty of candour. Where a concern identifies actual or potential abuse, neglect, serious harm, unsafe care or another reportable incident, {{org_field_name}} will take immediate action under the relevant procedure in addition to this policy.

Where Regulation 20 duty of candour applies, the organisation will ensure that relevant persons are treated in an open and transparent way, are given an apology where required, and are informed of the actions being taken in line with legal requirements.

6. Protection and Support for Whistleblowers

{{org_field_name}} will not tolerate any detriment against a person because they have raised, attempted to raise, or supported a concern under this policy.

Detriment may include dismissal, disciplinary action, loss of work, reduction in hours, threats, bullying, intimidation, harassment, ostracism, withholding opportunities, unfair negative performance management or any other disadvantage connected with speaking up.

Any person who victimises or retaliates against someone for raising a concern may be subject to disciplinary action.

Support offered may include:

• a named contact for updates;
• access to wellbeing or occupational support where available;
• temporary changes in reporting arrangements where appropriate;
• support at meetings in line with internal procedures.

A concern raised honestly and in the public interest will not attract disciplinary action simply because it is not upheld. However, deliberately false, malicious or vexatious allegations may be managed under the disciplinary procedure.

7. Confidentiality and Anonymity

{{org_field_name}} will treat concerns raised under this policy as confidential so far as reasonably possible. Information will be shared only with those who need it to assess, investigate, take protective action, obtain advice, comply with legal duties or report the matter to an appropriate authority.

The organisation will seek to protect the identity of the person raising the concern, but absolute confidentiality cannot be guaranteed in every case, for example where disclosure is required by law, by a regulator, by the police, by a court, or where safeguarding duties make disclosure necessary to protect a person from harm.

All records created under this policy must be handled in line with the UK GDPR, the Data Protection Act 2018, confidentiality requirements and the organisation’s records management arrangements.

8. Roles and responsibilities

All workers must raise concerns promptly where they believe there is wrongdoing, unsafe practice or a risk to people’s health, safety or welfare.

Managers must listen, take concerns seriously, make immediate safeguarding or emergency referrals where needed, preserve evidence, avoid reprisals and escalate concerns appropriately.

The Registered Manager / Whistleblowing Lead must ensure concerns are acknowledged, risk assessed, investigated appropriately, recorded, and reported through governance systems.

Senior leaders / directors must ensure there is an open culture, effective oversight, adequate resources, and learning from concerns raised.

The organisation must ensure staff know how to speak up internally and externally and that policies, training and governance systems support this.

9. Related policies and procedures

This policy should be read alongside the following documents, as applicable:

• Safeguarding Adults Policy
• Complaints Policy
• Grievance Policy
• Disciplinary Policy
• Incident Reporting Policy
• Duty of Candour Policy / Incident Management Procedure
• Equality, Diversity and Inclusion Policy
• Bullying and Harassment Policy
• Data Protection / Confidentiality Policy
• Governance and Quality Assurance Policy

10. Compliance and Policy Review

This policy will be reviewed at least annually and sooner if there is a change in legislation, CQC guidance, case law, organisational learning, service model, or following a serious incident, whistleblowing concern, safeguarding review or inspection outcome.

The Registered Manager and the nominated governance lead are responsible for ensuring that:

• staff are made aware of this policy;
• training and induction cover speaking up and escalation routes;
• concerns raised under this policy are logged, tracked and reviewed; and
• themes, trends and lessons learned are reported through governance and quality assurance processes.

The effectiveness of this policy will be monitored through audits, staff feedback, supervision, incident review, safeguarding review and governance reporting.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
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