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Whistleblowing Policy

Employees may, in properly carrying out their duties, have access to, or come into contact with, information of a confidential nature. Their terms and conditions provide, that except in the proper performance of their duties, employees are forbidden from disclosing, or making use of in any form whatsoever, such confidential information.

However, the law allows employees to make a “protected disclosure” of certain information. In order to be “protected”, a disclosure must relate to a specific subject matter (clause 2) and the disclosure must also be made in an appropriate way (clause 3). Whistleblowing protection is confined to a disclosure which, in the reasonable belief of the employee making the disclosure, is made in the public interest.

Elm Case Management is committed to compliance with the Bribery Act (2010). The Company actively encourages a culture of honesty and openness and therefore all employees are required to bring up to their manager, or other designated person, any issue that, in the employee’s opinion, might constitute bribery or corruption.

Specific Subject Matter

If, in the course of employment, an employee becomes aware of information which they reasonably believe, tends to show, one or more of the following:

  1. That a criminal offence has been committed, is being committed or is likely to be committed.

  2. That a person has failed, is failing or is likely to fail to comply with any legal obligation to which he is subject.

  3. That a miscarriage of justice has occurred, is occurring or is likely to occur.

  4. That the health or safety of any individual has been, is being or is likely to be, endangered.

  5. That the environment has been, is being or is likely to be, damaged.

  6. That information tending to show any of the above, is being, or is likely to be, deliberately concealed.

  7. That the business, or any associated person, has been, is being, or is likely to be, receiving or offering bribes.

  8. That any foreign official has been, is being, or likely to be, bribed or offered facilitation payment by the company, or any associated person.

They must use the Company’s disclosure procedure, as set out below.

Disclosure Procedure

  1. Information which an employee reasonably believes tends to show one or more of the above should promptly be disclosed to Mark Rodd – Director so that any appropriate action can be taken.

  2. If it is inappropriate to make such a disclosure to the manager, the employee should speak to Mark Rodd - Director

  3. Employees will suffer no detriment, of any sort, for making such a disclosure in accordance with this procedure.

  4. However, failure to follow this procedure may result in the disclosure of information losing its “protected status”. 

  5. For further guidance in relation to this matter, or concerning the use of the disclosure procedure generally, employees should speak in confidence to Mark Rodd – Director.

Commitment to Staff

Elm Case Management assures its staff that their concerns about any possible mistreatment of its clients will be listened to and investigated.

Staff members are encouraged to raise any concern directly or in writing. They are also entitled to make their representations accompanied by a friend, colleague or trade union representative, as they decide and think fit. They might also wish to obtain witness statements.

Elm Case Management undertakes to assess and investigate any concerns impartially and objectively, so that it can be fair to all parties concerned in seeking to clarify the facts before taking further action.

Elm Case Management’s management team will keep any staff members, affected by an investigation, aware of the actions being taken and the outcomes, considering the need to respect the possible confidentiality of some of the information relating to other staff members and clients, which has developed in the process of the investigation.

Information will, usually, be treated with the utmost confidence. This might not be possible in all cases, e.g. if the alleged malpractice requires reporting to the police and/or the local safeguarding adult’s authority.

Staff are also made aware that all instances of alleged, or actual, abuse must be notified to the local safeguarding adults’ authority and to the CQC, under its notification of serious incident procedures.

Investigating and dealing with allegations

The Case Manager takes reports from whistle-blowers seriously and investigates all allegations thoroughly. Any allegations against colleagues, however, which are found to be unwarranted or malicious, may render the person who made them liable to disciplinary action.

Further Information

The care service provides staff with the following information, which they may need to help raise a concern in confidence:

  • Whistleblowing Helpline for NHS and Social Care Staff: Tel. 08000 724 725; email:

  • Care Quality Commission: Tel. 03000 616161; email:

  • Care Quality Commission leaflet “Raising a Concern with CQC” available at

  • Safeguarding Authority/Multi-Agency Safeguarding Hub (MASH):  0300 500 80 90.

  • Public Concern at Work: (for advice and guidance on ways forward).


All new staff receive training on this whistleblowing policy as part of the induction training. All staff receive updated training as policies change.

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