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Whistleblower Policy

CONTEXT

The Solving Plastic Waste CRC (SPW CRC) encourages the reporting of any instances of suspected unethical,

illegal, corrupt, fraudulent or undesirable conduct involving SPW CRC business activities, and provides protections and measures to individuals who make a disclosure in relation to such conduct without fear of victimisation or reprisal.

PURPOSE

This Policy aims to:

  • encourage a person to report improper conduct in good faith if they know or have reasonable grounds to suspect such conduct
  • provide a mechanism to report misconduct or dishonest or illegal activity that has occurred or is suspected within the organisation
  • enable SPW CRC to deal with reports from whistleblowers in a way that will protect the identity of the whistleblower and provide for secure storage of the information
  • ensure that any Reportable Conduct is identified and dealt with appropriately
  • ensure that individuals who disclose wrongdoing can do so safely, securely and with confidence that they will be protected and supported, and
  • help to ensure that SPW CRC maintains the highest standards of ethical behaviour and integrity.

SCOPE

A report can be made if a person is, or has been, any of the following:

  • a Director or officer of SPW CRC
  • an employee of SPW CRC
  • a supplier of services or goods to SPW CRC (whether paid or unpaid)
  • an employee of a supplier of services or goods to SPW CRC (whether paid or unpaid)
  • an associate of SPW CRC, such as a secondee or student
  • a family member or dependent of any of the above individuals.

REPORTABLE CONDUCT

A person may disclose any information that the person has reasonable grounds to suspect concerns misconduct, or an improper state of affairs or circumstances in relation to SPW CRC.

What is Reportable Conduct?

Reportable conduct is any past, present or likely future activity, behaviour or state of affairs considered to be:

  • dishonest;
  • corrupt (including soliciting, accepting or offering a bribe, or facilitating payments or other such benefits);
  • fraudulent;
  • illegal (including theft, drug sale or use, violence or threatened violence, or property damage);
  • in breach of regulation, internal policy or code (such as our Code of Conduct);
  • improper conduct relating to accounting, internal controls, compliance, actuarial, audit or other matters of concern to the whistleblower;
  • a serious impropriety or an improper state of affairs or circumstances;
  • endangering health or safety;
  • damaging or substantially risking damage to the environment;
  • a serious mismanagement of SPW CRC’s resources;
  • detrimental to SPW CRC’s financial position or reputation;
  • maladministration (an act or omission of a serious nature that is negligent, unjust, oppressive, discriminatory or is based on improper motives);
  • concealing reportable conduct.

Reportable Conduct usually relates to the conduct of employees or directors, but it can also relate to the actions of a third party, such as a Partner, customer/client, supplier or service provider.

What is not Reportable Conduct?

For the avoidance of doubt, Reportable Conduct does not include personal work-related grievances. A personal work-related grievance is a grievance about any matter in relation to an employee’s current or former employment, having implications (or tending to have implications) for that person personally and that do not have broader implications for MBCRC. Examples of personal work-related grievances are as follows:

  • An interpersonal conflict between the employee and another employee;
  • A decision relating to the engagement, transfer or promotion of the employee;
  • A decision relating to the terms and conditions of engagement of the employee;
  • A decision to suspend or terminate the engagement of the employee, or otherwise to discipline the employee.

However, personal work-related grievances may be covered by this policy where they include information about misconduct, an allegation that the entity has breached employment or other laws punishable by imprisonment by a period of 12 months or more, or the grievance includes victimisation due to whistleblowing.

REPORTING A DISCLOSURE

Before conduct is reported, the Whistleblower must have reasonable grounds to suspect that Reportable Conduct has occurred. Individuals must not make baseless reports or knowingly provide false or misleading information regarding Reportable Conduct. Doing so may result in disciplinary action up to and including termination.

For a report to be investigated, it must contain enough information to form a reasonable basis for investigation. It is important therefore that you provide as much information as possible. This includes any known details about the events underlying the report such as the date, time, location, name of person(s) involved, possible witnesses to the events and evidence of the events (e.g. documents, emails).  In your report, include any steps you may have already taken to report the matter elsewhere or to resolve the concern.

How can I make a report?

A report must be made to the Whistleblower Protection Officer (WPO) or other “Eligible Recipient” (a director or officer, the CEO, the organisation’s auditor, or a member of the audit team).  The Company Secretary will act as the WPO for the SPW CRC.

SPW CRC will also protect individuals who have made a report in connection with SPW CRC:

  • To the Australian Securities and Investments Commission (ASIC) or the Australian Prudential Regulation Authority (APRA) or another Commonwealth regulatory body prescribed in legislation.
  • To a legal practitioner for the purposes of obtaining legal advice or legal representation about whistleblower protections; or
  • That qualifies as an emergency or public interest disclosure under the Corporations Act 2001(Cth). It is important that you understand the criteria for making a public interest or emergency disclosure and you may wish to consult an independent legal adviser before making a public interest or emergency disclosure.

While SPW CRC encourages you to identify yourself to a WPO or other “Eligible Recipient” in a confidential manner, you may opt to report your concerns anonymously or in a partially anonymous manner.

What happens once a report is made?

All reports of misconduct under this Policy will be dealt with promptly, fairly and objectively. SPW CRC’s response to a report will vary depending on the nature of the report and the amount of information provided. Your report may be addressed and resolved informally or through formal investigation.

While making a report does not guarantee a formal investigation, all reports will be properly assessed and considered by the WPO and a decision made as to whether it should be investigated.

How are reports investigated?

If the WPO determines that an investigation is required, the WPO will brief the Whistleblower Investigation Officer (WIO) to undertake an investigation with the objective of locating evidence that either substantiates or refutes the claims of Potential Misconduct. The WIO will be appointed by the Board on a case by case basis and may engage external professionals to assist in any investigation. The WPO will monitor the WIO’s investigation to ensure the confidentiality of the investigation is maintained.

If there is insufficient information to warrant further investigation, or the initial investigation immediately identifies there is no case to answer, the individual who reported the Reportable Conduct will be notified at the earliest possible opportunity.

If an investigation is deemed necessary, it will be conducted fairly, objectively and in a timely manner. The investigation process will vary depending on the nature of the Reportable Conduct and the amount of information provided.  All staff (employees, directors, secondees, students and contractors) must cooperate fully with any investigation.  If the identity of the Whistleblower is known, SPW CRC will endeavour to keep them informed about the status of an investigation.

The WIO will gather documents, information and evidence relating to the report including ensuring that all documentations and information relating to the report is kept secure and protected. The WIO will draw objective conclusions based on the evidence gathered during the investigation and present findings and recommendations to the WPO. The WPO will determine appropriate response and necessary action to remediate, or act on the investigation findings.

Any individuals who are accused of misconduct in a report (a Respondent) will have an opportunity to respond to allegations before any adverse findings are made and before any disciplinary action (if appropriate) is taken.

At the conclusion of the investigation, a report will be prepared outlining:

  • a finding of all relevant facts
  • a determination as to whether the allegation(s) have been substantiated or otherwise
  • the action that will be taken, which may include disciplinary action and dismissal.

The disciplinary action will be dependent on the severity, nature and circumstances of the Reportable Conduct.

Where possible and appropriate, having regard to SPW CRC’s privacy and confidentiality obligations, the Whistleblower will be informed of the outcome of any investigation into their concerns.

SPW CRC is committed to implementing the findings and recommendations of any investigation with a view to rectifying any wrongdoing as far as is practicable in the circumstances.

PROTECTION

How will I be protected if I speak up about Reportable Conduct?

If you have reasonable grounds to suspect Reportable Conduct, even if it turns out your concerns are mistaken, SPW CRC will support and protect you and anyone else assisting in the investigation.

SPW CRC will not tolerate any detriment inflicted on you because you or somebody else has made, or might make, a report of Reportable Conduct. Examples of a detriment include:

  • retaliation, dismissal, suspension, demotion, or termination of your role
  • bullying, harassment, threats or intimidation
  • discrimination, subject to current or future bias, or derogatory treatment
  • harm or injury
  • damage or threats to your property, business, financial position or reputation; or
  • revealing your identity as a Whistleblower without your consent or contrary to law
  • threatening to carry out any of the above actions.

This protection applies regardless of whether any concerns raised in a report are found to be true, provided that you are acting honestly and ethically and made the report on reasonable grounds.

This protection also applies to individuals conducting, assisting or participating in an investigation. You will also be entitled to the protection if you make a report of Reportable Conduct to an external body under this Policy.

Anyone found to be victimising or disadvantaging another individual for making a disclosure under this Policy will be disciplined and may be dismissed or subject to criminal or civil penalties.

If you believe you have suffered a detriment in violation of this Policy, we encourage you to report this immediately to the WPO or an Eligible Recipient or an external body under this Policy. Your concerns of being disadvantaged will be treated as a report of Reportable Conduct in line with this Policy.

Anyone engaging in detrimental conduct may be subject to serious consequences, including disciplinary action and/or termination of engagements or contracts, as applicable. They may also be subject to civil and criminal penalties.

You may also be entitled to the following legal protections for making a report:

  • protection from civil, criminal or administrative legal action
  • protection from having to give evidence in legal proceedings; and/or
  • compensation or other legal remedy.

How will SPW CRC ensure confidentiality?

A discloser can choose to remain anonymous while making a disclosure, over the course of the investigation and after the investigation is finalised. SPW CRC will do all it can to protect confidentiality.

However, we encourage all individuals to disclose their identity when raising a concern. This will assist us to gather further information on your report. If you choose to disclose your identity, your details will be treated confidentially to the fullest extent possible in connection with the investigation.  SPW CRC will take measures to protect your identity such as by redacting your personal information, storing your information and disclosure securely, referring to you in a gender-neutral context and only allowing qualified staff to investigate your disclosures.

You may choose to report your concerns anonymously. However, if you choose to disclose your identity, your details will be treated confidentially to the fullest extent possible in connection with the investigation, and your identity will not be disclosed unless:

  • you consent in writing to the disclosure
  • the disclosure is made to ASIC, APRA or the Australian Federal Police (AFP)
  • the disclosure is made to a Legal Practitioner for the purpose of obtaining advice
  • the disclosure is authorised under the Corporations Act 2001 (Cth); and/or
  • disclosure is necessary to prevent or lessen a threat to a person’s health, safety or welfare.

 

We encourage all individuals to disclose their identity when raising a concern. This will assist us to gather further information on your report. All information relating to a report of Reportable Conduct will be stored securely and access will be limited to authorised staff.

 

It is illegal for a person to identify a discloser or disclose information that is likely to lead to the identification of the discloser unless an exception above applies. If you feel that your confidentiality has been breached, you can lodge a complaint with a regulator, such as ASIC, APRA or the ATO, for investigation. SPW CRC may also take disciplinary action against individuals that breach the confidentiality of a discloser, including summary dismissal.

 

RESPONSIBILITIES

  • The Board is responsible for nominating a Whistleblower Protection Officer (WPO).
  • The Whistleblower Program Team (WP Team), comprised of the CEO, Chair and WPO, is responsible for:
    • Assisting the Whistleblower Protection Officer(s) (WPO) in the assessment and oversight of whistleblower reports
    • Providing advice and support to reporters
    • Maintaining a secure and restricted record of all reports made under this Policy and Procedure
    • Arranging role-specific training as and when required.
  • The Whistleblower Protection Officer (WPO) is responsible for:
    • Receiving whistleblower reports and protecting the interests of reporters
    • Determining whether the report falls within the scope of the Policy
    • Determining whether and how a report should be investigated
    • Appointing a Whistleblower Investigation Officer (WIO) where an investigation is deemed appropriate
    • Ensuring investigations are conducted in accordance with this Policy
    • Ensuring any reports involving a Director or the CEO are reported to the Chair.
    • Updating reporters on progress and details of outcomes to the fullest extent possible
    • Maintaining to the fullest extent possible confidentiality of the identity of and reports received by reporters
    • Immediately reporting concerns in relation to any detrimental conduct to the CEO or Chair (provided that the concerns do not relate to them)
    • Determining the appropriate courses of action to remediate or act on the investigation
    • Reporting matters to relevant authorities
    • Making recommendations to prevent future instances of reportable misconduct
    • Completing any training mandated by the Whistleblower Program Team
    • Seeking to ensure the integrity of the Whistleblower Program is maintained.
  • Whistleblower Investigators are responsible for:
    • Investigating reports in accordance with this Policy and Procedure
    • Maintaining to the fullest extent possible confidentiality of the identity of and reports received by reporters
    • Gathering evidence and taking steps to protect or preserve evidence
    • Making findings based on a fair and objective assessment of the evidence gathered during the investigation, and formalising this in a report
    • Keeping comprehensive records about the investigation
    • Making recommendations to the Whistleblowing Protection Officer about how to implement the strategy in relation to how reported misconduct can be stopped, prevented and/or mitigated in future
    • Reporting back to the Whistleblower Protection Officer on the progress of their investigation 7 days after the report and every 14 days thereafter
    • Complying with the directions of the Whistleblower Protection Officer in relation to any further follow up, and reporting action and requirements, including the implementation of any recommendations.
  • The COO is responsible for ensuring that staff are made aware of their rights and responsibilities in relation to whistleblowing at induction and are regularly encouraged to speak up about concerns of Reportable Conduct.
  • All staff (employees, directors, contractors, secondees, students) are responsible for reporting misconduct or dishonest or illegal activity that has occurred or is suspected within SPW CRC as quickly as possible, whether anonymously or otherwise.

We acknowledge the traditional custodians across all the lands on which we live and work, and we pay our respects to Elders past, present and emerging. We recognise that these lands and waters have always been places of teaching, research and learning.