Purpose
1.1 This policy outlines the process to follow if a person wishes to 'whistleblow' and raise
a concern about a wrongdoing in their workplace.
1.2 This policy and procedure does not apply if a member of the workforce is aggrieved
about their personal position. They must use the Grievance Policy and Procedure.
1.3 To meet the legal requirements of the regulated activities that Epitome Home Care
Agency is registered to provide:
• Regulatory Reform (Scotland) Act 2014
• Public Services Reform (Scotland) Act 2010
• The Social Care and Social Work Improvement Scotland (Requirements for Care
Services) Regulations 2011
• The Criminal Justice and Courts Act 2015
• Public Interest Disclosure Act 1998
2. Scope
2.1 The following roles may be affected by this policy:
• All staff
• NHS staff
• Persons working on training courses
• Temporary Agency Staff
2.2 The following people may be affected by this policy:
• Service Users
2.3 The following stakeholders may be affected by this policy:
• Commissioners
• Local Authority
• Care Inspectorate
3. Objectives
3.1 All staff have a duty to ensure standards of quality care by raising concerns regarding
wrongdoing or malpractice. This policy will provide the means of ensuring that staff can
confidentially raise genuine concerns of malpractice and/or misconduct through appropriate
means at the earliest point without fear of reprisal.
4. Policy
4.1 Epitome Home Care Agency is committed to the principals of whistleblowing and
supporting and providing mechanisms for employees to fulfil their duty without fear of any
reprisals.
4.2 Epitome Home Care Agency is committed to a high standard of care, to honesty,
openness and decency in all its activities. It is recognised that Service User safety must
come first at all times and whilst it can be difficult for staff to raise concerns about the
practice of others, including managers, the implications of not raising those concerns are
potentially very serious for Epitome Home Care Agency, its employees and most
importantly for those receiving our services.
4.3 This organisation encourages a free and open culture in its dealings with its employees
and all people with whom it engages in business and legal relations. In particular,
Epitome Home Care Agency recognises that effective and honest communication is
essential if any wrongdoing or malpractice is to be effectively dealt with and the
organisation’s success ensured.
4.4 Epitome Home Care Agency believes raising concerns/speaking up is important to
ensure the safety of Service User, employee and public safety.
4.5 Epitome Home Care Agency recognises staff members are likely to be the first to realise
that there may be something seriously wrong within the organisation but may feel that
speaking up would be disloyal to colleagues or their employer who may under certain
circumstances face criminal charges. They may also fear harassment or victimisation and
fear for a loss of job or reduction in work hours.
4.6 Epitome Home Care Agency will not tolerate the ill treatment including any bullying or
harassment of anyone raising a concern. We will ensure that any individual who raises a
concern, can do so confidentially in line with the Public Interest Disclosure Act 1998 (PIDA).
4.7 Epitome Home Care Agency will ensure that any individual who raises a genuine
concern under the Whistleblowing Policy and procedure will not be at risk of termination of
their employment or suffer any form or reprisal which includes but not limited to loss or
reduction of hours or changes to regular working patterns because of it.
4.8 Epitome Home Care Agency will support and enable members of staff and volunteers to
speak out regarding misconduct and malpractice through a structured and regularly
reviewed process.
4.9 Epitome Home Care Agency recognise that whistleblowing concerns are often raised
when employees do not feel their earlier concerns have been listened to or that any action
has been taken. Epitome Home Care Agency will put in place mechanisms for our staff to
discuss concerns when they arise and endeavour to give feedback on any actions if
confidentiality will not be breached.
5. Procedure
5.1 All staff have a duty to raise concerns regarding inappropriate behaviour, unlawful
conduct, poor practice or behaviour to ensure standards of quality care.
5.2 This procedure is intended to provide a safeguard to enable members of staff to raise
concerns about one or more of the following that has occurred, is occurring, or is likely to
occur. These qualifying disclosures (see definition) mean that you can raise a concern
about risk, malpractice or wrongdoing you think is harming the services, might harm or has
in past harmed any aspect of the services we deliver. A few examples of this might include
(but are by no means restricted to):
• Unsafe care
• Unsafe working conditions
• Inadequate induction or training for staff
• Lack of, or poor, response to a reported Service User safety incident
• Suspicions of fraud (which can also be reported to the local counter-fraud team)
• Damaging the environment – e.g. disposing materials or waste incorrectly, for example,
flushing medicines or syringes down the toilet or sink
• A bullying culture (across a team or organisation rather than individual instances of bullying)
• Incidents of unsafe staffing, falsification of timesheets, Service User visit logs or MAR
charts or clinical or care records
• Failure to investigate claims of physical or sexual assault
• Physical, verbal or sexual abuse of any Service User, colleague or other
• Breaching the Data Protection Act
5.3 How to Raise a Concern- Step 1
• If a member of staff has a concern about a risk, malpractice or wrongdoing at work, it
is hoped that they feel they will be able to raise it first with their line manager
• This may be done verbally or in writing
• It is better to raise a concern as soon as it arises
• Where possible, unless for example, where the concern relates to a Safeguarding
matter, your concerns will be treated confidentially
• There will be no repercussions for the member of staff because of their raising of genuine
concerns.
• Your line manager will inform you if they cannot keep the concern confidential
• The Registered Manager has overall responsibility for concerns raised and your line
manager may need to share your concern with the Registered Manager who will have
access to the Registered Provider
5.4 How to Raise a Concern – Step 2
• If a member of staff does not feel they can raise the concern with their line manager or
the concern relates or involves the line manager, or they have raised it with the line
manager and no action has been taken – the colleague should then escalate their
concerns to the Registered Manager.
5.5 Registered Manager and Registered Providers Responsibility
• Responsibility for dealing with any concerns reported will lie with the Registered
Manager who will have access to the Registered Provider
• If the concerns relate to the Registered Manager, concerns should be escalated to the
Registered Provider
• If your concerns involve both or they are fulfilling the both roles you can contact the Care Inspectorate
5.6 How to Raise a Concern – Step 3
• If you do not feel that the Registered Manager or Registered Provider will
appropriately handle your concerns, you may report your concerns directly to the
Social Care and Social Work Improvement Scotland – Care Inspectorate on 0845
600 9527 or through their website
• The Care Inspectorate will not disclose your identity without your consent unless there
are legal reasons requiring them to do so, e.g. where your information is about a child
or vulnerable adult who is at risk
5.7 Investigation
The Registered Manager, in consultation with the Registered Provider, shall have discretion
over the nature of the investigation into concerns raised, including, where it is considered
appropriate, the involvement of others such as Social Work Services or Auditors. If there is
evidence of criminal activity, the Police will be informed.
5.8 Protected Disclosures and Safeguarding
• Where a safeguarding concern is received by a member of staff, local
safeguarding policies and procedures will be followed
• Where a safeguarding concern is received by a member of staff and refers to the
actions of the Manager or Deputy Manager, then the referral must in the first instance
be made to the Social Work Adult Protection Team
• The Adult Protection Team will take the responsibility of informing other agencies. The
contact details for your local Social Services are as follows:
NA
5.9 Raising a Concern – Timescales
The Manager will acknowledge your disclosure within locally agreed timescales and in line with
best practice.
They will let you know who will be investigating the disclosure and any contact information you
or they will require and how they will keep you informed.
Any further clarification will be asked for and a review and/or completion date to the investigation.
5.10 Where possible, the responsible manager will feedback on the outcome of any
investigation, although this may not always be possible in full due to the nature of the
disclosure.
5.11 A record of the information you have given, and proceedings will be kept in line with best
practice.
5.12 False Allegations
All whistleblowing concerns will be investigated, however if an employee is found to have
made allegations maliciously and/or not in good faith, disciplinary action may take place. A
member of staff will never be disciplined for raising a concern, so long as they follow the
whistleblowing procedure or make disclosures in accordance with the Public Interest
Disclosure Act 1998.The Registered Provider shall decide whether disciplinary action is to
commence.
5.13 Bullying and Harassment of Whistleblowers
The Regulatory Reform (Scotland) Act 2014 imposed a new personal liability on co-workers
who victimise or harass whistleblowers as well as vicarious liability on the part of their
employers. Unless an employer has taken reasonable steps to prevent this type of
victimisation by co-workers, it will be deemed liable for the acts of its staff. It is therefore no
longer enough to deal with incidents of bullying or harassment as and when they arise, on a
case by case basis. The only basis upon which an employer will now be able to defend itself
against liability for the actions of its staff will be by proactive steps. In order to demonstrate
a “reasonable steps” defence, an employer will need to anticipate conduct such as bullying
and harassment. To avoid incidents of bullying or harassment occurring Epitome Home
Care Agency will take the following steps:
• Adhere to the Whistleblowing Policy
• Embed a culture of openness and transparency
• Communicate the policy
• Offer any necessary training to ensure it is put into effect
• Take action if any worker bullies or harasses a whistleblower
5.14 Implementing Whistleblowing Procedures
The Whistleblowing Policy and Procedure will form part of induction. Raising concerns
will be discussed regularly during supervision and team meetings to promote an open
culture and ensure whistleblowing processes are embedded within our business.
5.15 Employment Contracts, Whistleblowing and Confidentiality
A settlement agreement is used to bring an employment relationship to an end in a manner which
is mutually agreed by the parties. In some instances, they may be used where the employee and
employer agree that the employment relationship can no longer proceed and must be brought to
an end. They may also be used to resolve a dispute or issue, where the employment does not
need to be terminated, for example a dispute over pay. Epitome Home Care Agency will seek legal
or Human Resource advice when drawing up any compromise agreements or employment
contracts to avoid the risk of breaching the Public Interest Disclosure Act.
6. Definitions
6.1 Whistleblowing
• A member of staff who raises a concern about something they have seen firsthand at
work in relation to malpractice or wrongdoing. This could be concerns about
inappropriate or unlawful conduct, financial mismanagement, poor practice or
behaviour
6.2 Qualifying Disclosure
• Qualifying disclosures are disclosures of information where the worker reasonably
believes (and it is in the public interest) that one or more of the following matters is either
happening, has taken place, or is likely to happen in the future.
• A criminal offence
• The breach of a legal obligation
• A miscarriage of justice
• A danger to the health and safety of any individual
• Damage to the environment
• Deliberate attempt to conceal any of the above
6.3 Public Interest
• A disclosure made in the interest of the public, i.e. not relating to an individual such as in a
grievance case
6.4 Grievance or Private Complaint
• A dispute about the employee’s own employment position without a public interest aspect
6.5 PIDA
• Public Interest Disclosure Act 1998 – Legislation which provides protection to
workers who make disclosures in the public interest
6.6 Employee/Staff
• PIDA refers to 'workers'. This policy has used the term employee/staff /colleagues to
reflect the relevant persons this policy relates to. The NHS integrated Policy (2016)
Freedom to Speak Up: Whistleblowing Policy for the NHS refers to Volunteers being
included however PIDA does not specifically include volunteers as they are not paid
employees and therefore cannot be compensated financially for ill treatment or
unfair dismissal
6.7 Criminal Justice and Courts Act 2015
• Legislation which lays out the offences involving ill-treatment or wilful neglect by a
person providing health or social care
6.8 Anonymously
• Made or done by someone whose name is not known or made public
Key Facts – Professionals
Professionals providing this service should be aware of the following:
• Epitome Home Care Agency is committed to the
Whistleblowing policy and procedure, and will act on
information given in line with it
• All staff have a duty to ensure standards of quality care by raising
concerns regarding inappropriate behaviour, unlawful conduct,
poor practice or behaviour and will be protected and supported to
do so
• All whistleblowers will be treated in fair way and not be victimised or
prejudiced as a result of a genuine concern
Key Facts – People Affected by The Service
People affected by this service should be aware of the following:
• People affected by the Service can raise concerns through the complaints
process
Further Reading
As well as the information in the 'Underpinning Knowledge' section of the
review sheet we recommend that you add to your understanding in this
policy area by considering the following materials:
• Adult Support and Protection Policy and Procedure
• Grievance Policy and Procedure
• Complaints and Procedure
• Anti-Bullying Policy and Procedure
• Confidentiality Policy and Procedure
Excellent Practice
To be ‘Excellent’ in this policy area you could provide evidence that:
• Epitome Home Care Agency enables employees to raise
concerns by providing support (such as a helpline) from an
independent agency in regard to whistleblowing concerns
• Epitome Home Care Agency has a designated Whistleblowing
Champion and evidence of the proactive nature of this role and how it is a success
• Staff report that the organisation is extremely open, transparent and that it actively supports and encourages whistleblowing
• Epitome Home Care Agency uses lessons learnt from concerns, without breaching confidentiality, to ensure continuous improvement of your service.