“I don’t want to make this formal, but there’s something you should know…” – Responding to unofficial disclosures from staff members

July 18, 2024 by Practice Index in GP Practice Management, HR - Human Resources

“Can I speak to you about something…?” I think these words strike fear into most managers’ hearts when uttered quietly by a staff member who’s slipping into the room. We know that something is coming, but we don’t know what. How serious will it be?

In most cases, the situation becomes quickly apparent. Whether it’s a minor or a major concern, we know what we need to do next. However, it becomes much more difficult if the staff member follows up whatever concern they’ve raised with words along the lines of: “But I don’t want to make this formal. I just thought you should know about it.”

All together now: “WELL, WHAT AM I SUPPOSED TO DO ABOUT THAT?!” (And exhale.)

If an employee refuses to make their concerns official, give a statement or participate in any further process, then our hands can be tied. It’s frustrating, even if we sympathise with their reasons. In this blog, I’m going to suggest several key questions to guide a Practice Manager who finds themselves in this situation.

Key question no. 1: What is the concern, and how does it relate to your policies and responsibilities as a practice?

It might be a bullying or discrimination allegation. It might relate to patient care or potential fraud. Or it might be a bit of unimportant gossip. The possibilities are almost endless. By identifying, right from the outset, how this concern relates to your practice’s policies and responsibilities (to patients, colleagues and/or the NHS as a whole), you’re fulfilling your role as a leader. This knowledge will guide you through the next steps. Key policies that might be relevant include those relating to equality, harassment, significant events & incidents, whistleblowing and/or duty of candour.

Key question no. 2: What would you normally do as a result of this concern?

Imagine the staff member was willing to make a formal statement, if needed. Would you consider it necessary? Would you formally investigate or notify others? Again, having this knowledge will help to anchor your thinking and guide you.

Key question no. 3: Why does the staff member not want to make it formal?

Hmmmm… Is it because they think it’s unimportant? Because they’re worried about creating drama? Or because they fear it will damage their working relationships and career? Discuss this with them and probe their reasoning. Remember, sometimes the spreading of unverified gossip or rumour about a colleague is a method of bullying. It can be a way for the bully to manipulate relationships and power structures in the workplace. Be on your guard for all possibilities.

Key question no. 4: If appropriate, can you persuade them to make it formal?

Assuming this is a concern that you’d normally proceed with on a formal basis, how can you persuade them to participate in that? This could include:

Reassuring them about your policies for grievances as well as speaking up/whistleblowing
Explaining what your formal processes look like, and the steps used to keep them confidential
Reminding the staff member of their professional obligations such as duty of candour, duty to help protect people’s health and safety, and duty to help prevent unlawful discrimination in the workplace

Key question no. 5: Can you respond to the issue appropriately without involving the staff member in a formal process?

Maybe this staff member’s statement isn’t essential. You could try commencing investigation via other means. For example, you could ask other potential witnesses general questions to see if they disclose similar concerns, you could check records and paperwork, or you could try to observe events happening yourself. By taking proactive action, you demonstrate that you’re taking the issue seriously. This may help to persuade the original witness to change their mind about participation. It may uncover other evidence. It may put your mind at rest at least.

Bear in mind, though, that in situations involving risks to patient care, for example, the employee will probably be obliged to make formal notifications based on their responsibilities under professional codes of conduct. Avoiding formal action may not be an option from their perspective.

Key question no. 6: What, at this point, are your remaining professional obligations?

Forget the other staff member’s obligations for a moment. What, if any, are your remaining professional obligations now that you’re in possession of this information? If you’re unsure, speak to a Partner and/or take professional advice. These are delicate but important matters.

In some instances, policies and professional guidelines will require you to take the allegation further. You can’t avoid investigating or recording serious matters just because an employee doesn’t want to make it formal.

For example, say the allegation related to sexual harassment, physical intimidation or racism at work, you have a duty of care to that employee and others to deal with this fairly and thoroughly. Once the allegation is made, even informally, it can’t be shrugged off or forgotten about. This might mean that as part of a sensitive and careful process, you need to disclose allegation(s) to the alleged perpetrator despite the wishes of those making them.

Most Practice Managers will find themselves in a situation like this at one point or other, and it can be a huge test of professional judgement. At Practice Index, we offer policies, training and other resources to support Practice Managers in making the right call when difficult situations arise. Some of them are listed below:

Freedom to speak up policy and procedure (whistleblowing) [PLUS]
Duty of candour policy[PLUS]
Caldicott and confidentiality policy [PLUS]
Confidentiality and data protection handbook [PLUS]
Bullying and harassment policy [PLUS]
Conducting an investigation policy [PLUS]
Disciplinary and grievance investigation report template [PLUS]
Disciplinary policy and procedure [PLUS]
Grievance policy and procedure [PLUS]
Equality and diversity policy [PLUS]
Significant event and incident policy [PLUS]