3.1 Policy Statement

3.1.1 B3Living is determined that the culture of the organisation is one of honesty and integrity, where misconduct, abuse, fraud and corruption are strongly opposed.

3.1.2 We are committed to achieving the highest possible standards of service in line with our values. We recognise that often staff are the first to realise that there may be something wrong within the workplace. You are encouraged and will be supported to not overlook concerns; if you have any doubts at all about a practice or issue you should raise the concern.

3.2 What is Whistleblowing?

3.2.1 This Whistleblowing policy or ‘Speak Up Arrangement’ as it is more commonly known, is intended to cover concerns about actions or inactions within B3Living that fall outside the scope of other procedures. That concern may be
about something that:
► Is unlawful;
► Is against our policies;
► Falls below established standards or practices; or
► Amounts to improper conduct.

3.2.2 This will usually be something you’ve seen at work - though not always.

3.2.3 You must have a reasonable belief that the wrongdoing you disclose is in the public interest. This means it must affect others, for example the general public.

3.2.4 You can raise your concern at any time about an incident that happened in the past, is happening now, or you believe will happen in the near future.

3.2.5 Whistleblowing means disclosing or reporting information which relates to suspected malpractice or wrongdoing within an organisation or dangers at
work. This may include:
► a criminal offence;
► failure to comply with any legal or professional obligation or regulatory requirements;
► miscarriages of justice;
► negligence;
► breach of the law or Group contractual duties;
► breach of other legal requirements;
► danger to health and safety of any person;
► damage to the environment;
► unethical conduct;
► bribery;

and/or any deliberate attempt to cover up any of the events or practices described above. It could be something that you have witnessed, or if you
are being required to act in a certain way.

3.2.6 Personal grievances (for example bullying, harassment, discrimination) are not covered by whistleblowing law, unless your particular case is in the public interest. These should be dealt with via the Grievance Policy.

3.2.7 Protection is offered for people who speak out against malpractice under the Public Interest Disclosure Act 1988 and the Employment Rights Act 1996.

3.2.8 The process for raising a whistleblowing concern and the way in which they
will be dealt with are set out below. This policy shall apply equally to those complaints or concerns received from both internal and external sources.

3.2.9 If a whistleblowing complaint or a concern is received from an external source, consideration will be given to the matter being investigated by an external body to ensure total transparency of process. This will be dependent on the matter outlined in the complaint and will follow an initial examination of the information provided by the responsible officer.

3.3 Protection and Support for Whistleblowers
3.3.1 It is understandable that whistleblowers are sometimes worried about possible repercussions from them making a whistleblowing allegation. We aim to encourage openness and will support staff who raise genuine concerns under
this policy, even if they turn out to be mistaken.
3.3.2 Whistleblowers must not suffer any detrimental treatment as a result of raising
a concern. Detrimental treatment includes dismissal, disciplinary action,
threats or other unfavourable treatment connected with raising a concern. If
you believe that you have suffered any such treatment, you should inform the
Head of HR immediately. If the matter is not remedied you should raise it
formally using our Grievance Procedure.
3.3.3 You must not threaten or retaliate against whistleblowers in any way. If you
are involved in such conduct you may be subject to disciplinary action. You should note that in some cases the whistleblower could have a right to sue you personally for compensation in an employment tribunal.

3.3.4 A confidential support and counselling helpline is available to whistleblowers
who raise concerns under this policy. Their contact details are set out at
paragraph 9.2.6.

3.4 The Whistleblowing Procedure: How to raise a whistleblowing concern
Disclosures or ‘blowing the whistle’ on malpractice should be made as
specified below:
3.4.1 If you are a member of staff, we hope that in most cases you will feel able to
raise any concerns with your line manager or the HR department. You may
tell them in person or put the matter in writing if you prefer. They may be able
to agree a way of resolving your concern quickly and effectively. In some
cases they may refer the matter to the Company Secretary (as the
designated officer).
3.4.2 However, where the matter is more serious, or you feel that your line manager
or the HR department has not addressed your concern, or you prefer not to
raise it with them for any reason, you should contact the Company Secretary
as the designated officer .If you are for any reason not comfortable with
disclosing your concern via these channels, you may alternatively raise your
concern with the Chair of our Audit and Risk Committee.
3.4.3 Board, committee members and other workers mentioned above should
make the disclosure in writing to the Company Secretary as the designated
officer. If you are for any reason not comfortable with disclosing your concern
via these channels, you may alternatively raise your concern with the Chair of
our Audit and Risk Committee.
3.4.4 Where the designated officer is the subject of the disclosure, it should be
made to another senior officer, the Chair of the Audit and Risk committee, or
our internal audit providers.
3.4.5 For other options please see the contact details under the section headed
“Speak up Notification requirements” at paragraph 3.7.2.

3.4.6 On receipt of the disclosure, the designated officer will consider the disclosure
and the information made available to him/her and decide whether the
disclosure falls within the scope of this policy or whether it would be more
appropriately considered through another policy. The designated officer will
promptly issue an acknowledgement of receipt of the disclosure to the
individual making the disclosure (where their identity is known);
3.4.7 We will arrange a meeting with you as soon as possible to discuss your
concern. All workers and officers if they choose, may bring a colleague or
union representative to any meetings arising under this policy. Your
companion must respect the confidentiality of your disclosure and any
subsequent investigation.
3.4.8 We will take down a written summary of your concern and provide you with a
copy after the meeting. We will also aim to give you an indication of how we
propose to deal with the matter.
3.4.9 Where the disclosure falls within the scope of this Whistleblowing Policy, the
designated officer will decide whether to:
► Appoint a senior manager to lead an investigation; or
► For more serious/high impact allegations, appoint someone external to
the group to lead an independent inquiry; or
► Request the internal auditors to undertake an investigation depending
upon the nature and detail of any disclosure; or
► In the most serious cases refer the matter to the police for investigation.
3.4.10 Where the matter is to be investigated internally, the investigator will normally
be a member of the Group’s Management Team; the person selected shall
be independent of the area in which the malpractice or impropriety is
alleged to have occurred.
3.5 Principles for handling a disclosure and confidentiality
3.5.1 All concerns raised by an individual will be treated fairly and properly.
3.5.2 Disclosures will be treated in a confidential and sensitive manner and all
related material will be stored securely.
3.5.3 The information produced when handling a disclosure will be kept
confidential, limiting access to those people who need to know it, having
regard to their role in carrying out or considering the outcomes from the
investigation. This includes the identity of the individual making a disclosure.
3.5.4 Official written records will be kept at each stage of the whistleblowing
investigation process.
3.5.5 We hope that whistleblowers will feel able to voice whistleblowing concerns
openly under this policy. However, if you want to raise your concern
confidentially, we will make every effort to keep your identity secret. If it is necessary for anyone investigating your concern to know your identity, we will discuss this with you.

3.5.6 We do not encourage whistleblowers to make disclosures anonymously.
Proper investigation may be more difficult or impossible if we cannot obtain
further information from you. It is also more difficult to establish whether any
allegations are credible. Whistleblowers who are concerned about possible
reprisals if their identity is revealed should come forward to the Company
Secretary. Appropriate measures can then be taken to preserve
confidentiality. If you are for any reason not comfortable with disclosing your
concern via these channels, you may alternatively raise your concern with
the Chair of our Audit and Risk Committee (paul.tyrrell@b3living.org.uk). If you
are in any doubt you can seek advice from our Employee Assistance line
referred to at section 3.7.2 or Protect, the independent whistleblowing charity,
who offer a confidential helpline. Their contact details are at the end of this
policy.
3.5.7 Any individual making a disclosure can retain their anonymity unless they
agree otherwise. It must be noted that anonymous concerns will necessarily
carry less credibility, and the Group will have discretion in each case whether
to continue with the investigation of an anonymous disclosure.
3.5.8 In exercising discretion, consideration will be given to:
► The seriousness of the issues raised;
► The degree of credibility of the issues raised;
► The likelihood of confirming the allegation from alternative credible
sources;
3.5.9 Disclosures will be investigated as sensitively and as quickly as possible;
3.5.10 The Group will not tolerate reprisals against, harassment or victimisation of any
whistleblower raising a genuine concern that is in the public interest;
3.6 Consequences of whistleblowing: protection and support
3.6.1 If an individual makes an allegation in good faith, which is not confirmed by
subsequent investigation, no action will be taken against the individual.
3.6.2 If we conclude that a whistleblower has made false, malicious or vexatious
allegations, and particularly if that individual persists in making false, malicious
or vexatious allegations, disciplinary action may be taken against
whistleblower if they are an employee.
3.6.3 In the case of continued vexatious claims made by third parties, B3Living
reserves the right to seek legal redress against the person(s) making such
claims.
3.7 “Speak Up” notification arrangements

3.7.1 Effective communication methods need to exist to allow for employees to
report or ‘speak up’ about a potential issue, and to make sure that anyone
who does this feels safe and protected.
3.7.2 We have a number of options which a worker or Board member can choose
from. These are:
► a dedicated and confidential Company Secretariat email;
company.secretary@b3living.org.uk.
► a direct telephone number to the Group’s internal auditors, on 07870
681512.
► Protect (independent whistleblowing charity): Helpline: 0203 117 252 or Email: info@protect-advice.org.uk, Website: https://protectadvice.org.uk/contact-protect-advice-line/;
► Confidential employee assistance helpline Health Assured on
0800 030 5182.
3.7.3 These arrangements are in place so that we can not only live out our
commitment to openness, but also ensure that our employees and
stakeholders can raise concerns in good faith, without the potential worry of
any perceived communication barriers.
3.8 Action following investigation
3.8.1 Once an investigation (whether internal or independent inquiry) has been
completed, a written report will be submitted to the designated officer who
will determine what action, if any, should be taken in the circumstances. The
investigator(s) may make recommendations for change to enable us to
minimise the risk of future wrongdoing. This might include invoking other
policies, or reference to an external agency as appropriate.
3.8.2 These may include:
► Police
► HM Revenue and Customs
► Health and Safety Executive
► Office of Fair Trading
► Environmental Agency
► Serious Fraud Office
► Director of Prosecutions
3.8.3 The designated officer shall ensure that all matters are reported to the
B3Living’s Audit and Risk Committee.
3.9 Informing of investigation outcomes
3.9.1 We will aim to keep the whistleblower informed of the progress of the
investigation and its likely timescale. However, sometimes the need for confidentiality may prevent us from giving the whistleblower specific details of
the investigation or any disciplinary action taken as a result. The whistleblower
should treat any information provided to him/her about the investigation as
confidential.
3.9.2 The whistleblower, if their identity is known, will be informed of the outcome of
the investigation of the disclosure. If no action is to be taken, the individual will
be informed of the reason for this.
3.10 If you are not satisfied
3.10.1 While we cannot always guarantee the outcome you are seeking, we will try
to deal with your concern fairly and in an appropriate way. By using this
policy you can help us to achieve this.
3.10.2 If you are not happy with the way in which your concern has been handled,
you can raise it with one of the other key contact[s] listed in section 3.4.
Alternatively you may contact the Chair of the Board or our internal auditors
whose contact details are listed in 3.7.2.
3.10.3 If a Board Member has concerns about the organisation that cannot be
resolved, these concerns are shared with the Board and formally recorded.
3.11 External Disclosures
3.11.1 The aim of this policy is to provide an internal mechanism for reporting,
investigating and remedying any wrongdoing in the workplace. In most cases
you should not find it necessary to alert anyone externally.
3.11.2 The law recognises that in some circumstances it may be appropriate for you
to report your concerns to an external body such as a regulator. It will very
rarely if ever be appropriate to alert the media. We strongly encourage you
to seek advice before reporting a concern to anyone external. The
independent whistleblowing charity, Protect, operates a confidential helpline.
They also have a list of prescribed regulators for reporting certain types of
concern. Their contact details are at the end of this policy.
3.11.3 Whistleblowing concerns usually relate to the conduct of our staff, but they
may sometimes relate to the actions of a third party, such as a customer,
client, supplier or service provider. In some circumstances the law will protect
you if you raise the matter with the third party directly. However, we
encourage you to report such concerns internally first. You should contact
your line manager or one of the other key contact[s] set out in Paragraph 4
for guidance.
3.12 Safeguarding Arrangements
3.12.1 We encourage employees and our other stakeholders to report any concerns
around suspected abuse. Our Safeguarding Policy and Procedures are in place to help inform our employees if they see anything that they question, and we are confident that our internal reporting for this is working. Employees would only need to “blow the whistle” externally if someone has reported an issue, and it is not dealt with in line with B3Living’s Safeguarding policy and
procedure. 

An Equality Impact Assessment has been carried out on this policy to determine that it is accessible to all, provided it is communicated at induction and by managers to existing colleagues.

Our Data Protection Policy and data processing arrangements apply this policy.

The legislative provisions applicable to this area are set out below:
Key Definition: Protected Disclosure
For a disclosure to be protected, the concern must fit set criteria as set out in section

3.2.2 above.
You must reasonably believe the allegation to be true and you must act in good
faith. A disclosure will not qualify if a worker commits an offence by making it, or if the
information is subject to legal professional privilege. If you report your concerns to the media, in most cases you will lose the protection of
the whistleblowing provisions.

The Public Interest Disclosure Act 1998 The Public Interest Disclosure Act 1998 protects workers who make certain disclosures of information in the public interest from detrimental treatment, victimisation or any
form of retribution or loss.

Regulation 11 and 13 of the Health and Social Care Act 2008, Care Act 2014,
Working Together to Safeguard Children 2015
Regulation 11 and 13 of the Health and Social care Act 2008 (Regulated Activities)
Regulations 2010 requires that the registered person must make suitable
arrangements to ensure that service users are safeguarded against abuse by means
of: taking reasonable steps to identify the possibility of abuse and prevent it before it
occurs; and responding appropriately to allegations of abuse. Similarly, the Care Act 2014 seeks to ensure that staff ensure safeguarding of adults takes place, which would include whistleblowing as appropriate.

Skills for Care Code of Conduct for Healthcare Support Workers and Adult Social
Care Workers in England
The Code of Conduct sets the standard of conduct expected of healthcare support
workers and adult social care workers. It outlines the behaviour and attitudes that
customers should expect to experience from those workers. You have a personal
responsibility to raise appropriate issues through this policy and procedure and cooperate with any investigations.

Modern Slavery Act 2015
In line with the Modern Slavery Act this policy and related procedure encourages all
its workers, customers and other business partners to report any concerns related to
the direct activities, or the supply chains of the organisation that may give rise to
enhanced risk of slavery and human trafficking.
The RSH Regulatory Standards (Governance standard) states as follows:
“Registered providers shall ensure that they manage their affairs with an appropriate
degree of skill, independence, diligence, effectiveness, prudence and foresight.”
The NHF Code requires that:
there are clear and well-publicised arrangements for members of staff and others
associated with the organisation to raise confidential concerns with a designated
non-executive member of the board (other than the chair), where these are serious
concerns and cannot appropriately be raised through the usual channels, and for
these to be dealt with through proportionate and independent investigation as
necessary.
(1) The board ensures that appropriate whistleblowing policies and procedures
are in place.
(2) The board (or an appropriate committee) regularly receives an account of
matters raised under these policies, and actions taken in response.
(3) If a board member has concerns about the board or the organisation that
cannot be resolved, these concerns are shared with the board and formally
recorded.