Reference 2019-652

REF:            2019-652

Subject:        Whistleblowing Cases



  1. How many clinical incidents were recorded in the Local Risk Management

Reporting System (LRMS) during the Period?


  1. How many of these were recorded as being incidents of a life-threatening or

otherwise serious nature?


  1. During the Period, how many cases have occurred (whether or not also

recorded in the LRMS) whereby an employee or other worker (all of whom for

the purpose of this FOI request I shall call Workers) has raised a concern

whether about patient safety, clinical or non-clinical malpractice or any other

matter? Note: for the purpose of clarity, I refer here to cases which would

usually be considered to be “whistleblowing” cases (this may be the case

regardless of whether the concern was raised internally, with a line manager orother person within the Trust, or externally, with another organisation such as another NHS body or a regulator such as the CQC). I will refer to these cases in the questions below as Whistleblowing Cases and to the Workers who raise the concern as Whistleblowing Workers. I have tried to explain in some detail in order to be as clear as possible about my enquiry and to assist you in responding accurately.


  1. Of the Whistleblowing Workers who raised concerns during the Period, how

many are still working for the Trust and how many are no longer working for the Trust?


  1. Of the Whistleblowing Cases which arose during the Period:

5.1 how many were resolved satisfactorily (by which I mean any clinical, malpractice or other issues were addressed and any dispute with the Whistleblowing Worker was amicably resolved)?


5.2 in how many cases were Employment Tribunal (ET) proceedings or other legal proceedings started?

5.3 how many were resolved by ACAS intervention before the ET or other hearing?


5.4 how many were the subject of other attempts at mediation or other form of

alternative dispute resolution (eg clinical early evaluation), whether by internal NHS Staff who mediated or by an external mediation provider such as CEDR (the Centre for Effective Dispute Resolution)? I refer to these below as ADR Cases;

5.5 how many went to a full ET hearing?

  1. In relation to the ADR Cases:

6.1 how many were the subject of a mediation at any stage?

6.2 how many were the subject of another form of alternative dispute resolution (e.g. arbitration) at any stage?

6.3 how many were resolved by means of the mediation or other form of

alternative dispute resolution?

6.4 does the Trust use internal NHS mediators and are they formally qualified as mediators? If so, how many ADR Cases did they settle during the Period?

6.5 does the Trust engage external mediation providers such as CEDR (see above)? If so, how many ADR Cases did they settle during the Period?

  1. Does the Trust have a main board director with explicit responsibility for

monitoring and reviewing Whistleblowing Cases and if so:

7.1 what is his/her name?

7.2 is he/she an executive or non-executive director?

7.3 how many Whistleblowing Cases were referred to the director during the Period?

7.4 does the director issue a report (eg annually) as to his/her findings? If so, please provide a copy of any such report issued during the Period;

7.5 is any report issued by the director made public or shared with any third parties and if so, who?

  1. Does the Trust have a whistleblowing policy? How many concerns were raised under the policy in each of the last 3 full financial years?


  1. Please provide the name and full contact details for the Local Freedom to

Speak Up Guardian (the Local Guardian) for the Trust. Is the Local Guardian a main board director of the Trust?


  1. How much did the Trust spend during the Period on legal and other

professional fees for advice in connection with Whistleblowing Cases;


  1. How much did the Trust spend during the Period in making compromise or

settlement payments to Whistleblowing Workers to settle their cases?


  1. Did the Trust enter into any Confidentiality Clauses or Non-Disclosure

Agreements with Whistleblowing Workers during the Period and if so how many?




We asked for clarification and never received a reply therefore this FOI request has now been closed.