6.7 Explain how to refer any concerns to an appropriate person

This guide will help you answer 6.7 Explain how to refer any concerns to an appropriate person.

In health and social care, learning and development activities help staff gain skills and knowledge. But sometimes problems or issues arise during training or after applying new skills in practice. These problems can be small or serious. You must know how to respond.

Referring concerns means telling the right person about an issue so it can be addressed. In the context of reviewing a learning or development activity, this could relate to safety, competence, resources, policy breaches, or barriers to learning. It protects service users, supports staff, and helps improve practice.

Types of Concerns During or After Learning Activities

Concerns can be varied. Common examples include:

• A colleague applying unsafe techniques learned incorrectly during training
• Training content that does not match organisational policies
• Lack of resources or equipment needed to apply learning safely
• A worker being unable to understand or carry out training tasks
• Signs of discriminatory attitudes or behaviour during training
• Safeguarding concerns revealed in the course of role-play or discussion

Each of these situations can affect service quality, safety, and compliance with legislation.

Knowing Who the “Appropriate Person” Is

The appropriate person to refer concerns to will vary. It depends on the subject of the concern, the seriousness, and the organisational structure.

Examples include:

• Line Manager – First point of contact for general issues or personal concerns about applying learning.
• Training Manager or Learning and Development Officer – For concerns about quality or suitability of training materials and delivery.
• Designated Safeguarding Lead (DSL) – For any safeguarding concerns involving children or vulnerable adults.
• Supervisor or Mentor – For support with practical barriers to applying learning in the workplace.
• Health and Safety Officer – For concerns that involve risks to staff or service users from unsafe practice.
• HR Department – For concerns about equality, bullying, or inappropriate behaviour during learning activities.

If you are unsure, refer to your organisation’s reporting policy. The policy should clearly set out who you can speak to in different situations.

Following Organisational Procedures

Every organisation should have procedures for reporting concerns. This ensures issues are addressed in the right way and by the right person. Always follow these procedures.

This may involve:

• Using a concern or incident report form.
• Logging details in a secure system.
• Speaking directly to your manager or designated person.
• Recording the date, time, and nature of the concern.

Never bypass procedures unless there is an immediate threat to life or safety, where emergency services or safeguarding authorities may need to be contacted first.

The Importance of Acting Quickly

Concerns need to be passed on without delay. Waiting can make the situation worse. For example:

• If unsafe practice is not stopped quickly, harm may occur.
• If a safeguarding concern is delayed, a child or adult could remain at risk.
• If a barrier to applying learning is not addressed, the training may not have the intended benefit.

Acting in a timely manner shows professionalism and protects all parties involved.

Giving Clear and Accurate Information

When making a referral, be clear and factual. Avoid personal opinions unless specifically asked for them and indicate they are your opinion. Use the “who, what, where, when” approach.

Example:

• Who was involved?
• What happened or what is the concern?
• Where did it occur?
• When did it occur?

If the concern is about poor training delivery, explain the content, the delivery method, and what impact you noticed. Avoid vague statements. Be specific about incidents or behaviour.

Document any evidence such as training materials, handouts, or witness accounts.

Maintaining Confidentiality

Concerns must be reported to the right people only. Do not discuss issues with colleagues who are not part of the official process. This prevents gossip and protects the privacy of everyone involved.

Confidentiality also builds trust. Staff are more willing to raise concerns when they know information will be handled with care. Personal or sensitive information should be shared on a “need to know” basis only.

Considering Safeguarding in Referrals

If a concern links to possible abuse, neglect, or exploitation, this must be treated as a safeguarding matter. Safeguarding refers to protecting people’s health, wellbeing, and rights, especially children and vulnerable adults.

When such concerns arise:

• Speak directly to the designated safeguarding person in your organisation.
• Follow safeguarding reporting procedures.
• If that person is unavailable and the risk is immediate, contact local authority safeguarding teams or the police.

Never attempt to investigate matters yourself. Your role is to report, not to prove or disprove allegations.

The Role of Legislation and Standards

Referring concerns is not just best practice, it is a legal and professional requirement in many cases. Laws and guidance that may apply include:

• Health and Safety at Work etc. Act 1974 – Duty to report unsafe practices or conditions.
• Care Act 2014 – Duties relating to adult safeguarding.
• Children Act 1989 and 2004 – Duties relating to child protection.
• Working Together to Safeguard Children – Statutory guidance on inter-agency working.
• Care Quality Commission (CQC) Regulations – Expect registered providers to have systems to receive and act on concerns.

Ignoring a concern can make you personally accountable, especially if harm occurs.

Possible Barriers to Referring Concerns

Some workers hesitate to refer issues. Common reasons include:

• Fear of upsetting colleagues or managers.
• Worry about being seen as a troublemaker.
• Uncertainty about what counts as a concern.
• Lack of knowledge about procedure.

Training should cover whistleblowing policies and reassure staff that genuine concerns will be taken seriously. Whistleblowing laws protect staff who report wrongdoing in the public interest.

Good Practice Tips for Referring Concerns

To help you refer concerns effectively:

• Keep written records.
• Follow the correct chain of command.
• Remain objective.
• Be respectful in communication.
• State the facts clearly and avoid using emotional language.
• Ask for feedback on what action will be taken.
• Keep a copy of your report for your records if appropriate and permitted.

Example Scenario: Unsafe Lifting Technique After Training

Imagine you observe a colleague using a manual handling technique taught during training, but the method appears unsafe. You notice the technique puts the colleague and service user at risk.

Step-by-step referral process:

1. Make a note of what you saw, including time, place, and names.
2. Speak to your line manager as soon as possible.
3. Explain exactly what you saw and why you feel it is unsafe.
4. Provide supporting evidence, such as the training manual or slides.
5. Follow your organisation’s reporting form process.
6. Do not discuss the incident with unrelated colleagues.

This allows the manager to review the training, investigate, and offer further support or retraining.

Example Scenario: Discrimination During a Learning Activity

During a training session, a participant makes a comment that is discriminatory towards a protected group under the Equality Act 2010. It makes others uncomfortable and could influence attitudes in care practice.

Steps:

1. Record the exact words used and the context.
2. Refer the matter to the training manager and HR department.
3. Submit a written report describing the impact on the group.
4. Allow the appropriate person to deal with the participant in line with policy.

By referring, you help maintain a safe and respectful learning environment.

Reflecting After a Concern is Referred

After referring, think about what happened. Reflection involves looking at the situation, the actions you took, and the outcomes. Ask yourself:

• Did I follow the correct procedure?
• Did I communicate clearly?
• Did my action lead to a positive change?
• What could I do differently next time?

This reflection not only supports your own development but will improve your approach to similar issues in future.

How Referring Concerns Links to Reviewing Learning and Development

Part of reviewing learning and development activities is checking if they achieve intended outcomes. If staff cannot apply learning, or if learning introduces unsafe or discriminatory practice, the feedback must be reported.

Referring concerns:

• Helps improve future training delivery.
• Protects the wellbeing of staff and service users.
• Identifies gaps in resource or policy alignment.
• Highlights areas where extra support is required.

These referrals contribute to a cycle of continuous improvement.

Final Thoughts

Referring concerns to an appropriate person is a professional duty in health and social care, especially during the evaluation and review of learning and development activities. You must know:

• What counts as a concern.
• Who to approach for different types of issues.
• How to record and communicate factual information.
• Why confidentiality matters.
• How safeguarding concerns require special action.

By acting quickly and following procedures, you play a key role in maintaining quality, safety, and compliance across your workplace.