Governance > Board Policies > Whistleblower Policy & Procedure
Authorised by Board of Management
Issue Date: 27 February 2020
Policy
Kyeema Support Services is committed to fostering a culture of legal, ethical and moral behaviour and supports the reporting of improper conduct.
This Whistleblower Policy and Procedure has been developed so that people can raise concerns regarding situations where they believe that Kyeema or anybody connected with Kyeema has acted in a way that constitutes serious wrongdoing, including unethical, illegal, corrupt or other inappropriate conduct, as set out below.
The Policy aims to:
a) encourage a person to report improper conduct in good faith if they know or have reasonable grounds to suspect such conduct
b) provide a mechanism to report misconduct or dishonest or illegal activity that has occurred or is suspected within the organisation
c) enable Kyeema 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
d) ensure that any Reportable Conduct is identified and dealt with appropriately
e) ensure that individuals who disclose wrongdoing can do so safely, securely and with confidence that they will be protected and supported, and
f) help to ensure that Kyeema maintains the highest standards of ethical behaviour and integrity.
Scope
This policy applies to Employees, Directors, Officers, Contractors (including employees of contractors), Volunteers, Suppliers and Consultants. Within this policy all of these people are represented by the term “Workers”.
Although they are under no obligation to do so, any associate, family member or dependant of any person in the above groups of people may also speak up. If they do choose to speak up in line with this Policy, we will extend to them the relevant rights and protections under this Policy.
Principles
Higher standard – This Policy is designed to comply with Kyeema’s legal obligations. If anything in this Policy is inconsistent with any law imposed on Kyeema, that legal obligation or the “higher standard” will prevail over this Policy.
Speak up and report it! – We encourage workers at Kyeema to report any concerns in line with our policies and procedures.
Our expectations of Workers – Kyeema expects Workers to act honestly and ethically, and to make any report on reasonable grounds.
Our responsibility to Whistleblowers – Our obligations to Workers are spelled out in this policy, but in particular in section 6 ‘Protection’.
Confidentiality and consent - Kyeema will maintain confidentiality of all reports and protect the identity of reporters to the fullest extent possible. While Kyeema encourages Whistleblowers to identify yourself to a manager, you may opt to report your concerns anonymously.
Reportable Conduct
Who can make a report?
A Whistleblower is a person who, whether anonymously or not, attempts to report misconduct or dishonest or illegal activity that has occurred in connection with Kyeema , and wishes to avail themselves of protection against reprisal for having made the report.
A Whistleblower may be a current or former Worker with Kyeema .
What is Reportable Conduct?
Reportable Conduct is any past, present or likely future activity, behaviour or state of affairs considered to be:
a) dishonest;
b) corrupt (including soliciting, accepting or offering a bribe, or facilitating payments or other such benefits);
c) fraudulent;
d) illegal (including theft, drug sale or use, violence or threatened violence, or property damage);
e) in breach of regulation, internal policy or code (such as our Code of Conduct);
f) improper conduct relating to accounting, internal controls, compliance, actuarial, audit or other matters of concern to the whistleblower;
g) a serious impropriety or an improper state of affairs or circumstances;
h) endangering health or safety;
i) damaging or substantially risking damage to the environment;
j) a serious mismanagement of Kyeema ’s resources;
k) detrimental to Kyeema ’s financial position or reputation;
l) maladministration (an act or omission of a serious nature that is negligent, unjust, oppressive, discriminatory or is based on improper motives);
m) 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 funder, customer/client, supplier or service provider.
What is not Reportable Conduct?
While everybody is encouraged to speak up and report any concerns to Kyeema, not all types of conduct are intended to be covered by this Policy or by the protections under the Corporations Act 2001 (Cth). This Policy does not apply to personal work-related grievances (see 5.3.2, 5.3.3 and 5.3.4), unless the grievance includes victimisation due to whistleblowing.
What information do I need to make a report?
To make a protected report you must know of or have reasonable grounds to suspect the Reportable Conduct.
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:
a) date;
b) time;
c) location;
d) name of person(s) involved;
e) possible witnesses to the events; and
f) 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.
Responsibilities
The Whistleblower Program Team (WP Team), comprised of the CEO, Chair of the Board and Whistleblower Protection Officer, is responsible for:
a) Assisting the Whistleblower Protection Officer (WPO) in the assessment and oversight of whistleblower reports
b) Providing advice and support to reporters
c) Maintaining a secure and restricted record of all reports made under this Policy and Procedure
d) Arranging role-specific training as and when required.
The Whistleblowing Protection Officer is responsible for:
a) Receiving whistleblower reports and protecting the interests of reporters
b) Determining whether the report falls within the scope of the Policy
c) Determining whether and how a report should be investigated
d) Appointing a Whistleblowing Investigator where an investigation is deemed appropriate
e) Ensuring investigations are conducted in accordance with this Policy
f) Ensuring any reports involving a Board Director or the Chief Executive Officer are reported to the Chair of the Board
g) Updating reporters on progress and details of outcomes to the fullest extent possible
h) Maintaining to the fullest extent possible confidentiality of the identity of and reports received by reporters
i) Immediately reporting concerns in relation to any detrimental conduct to the CEO or Chair of the Board (provided that the concerns do not relate to them)
j) Determining the appropriate courses of action to remediate or act on the investigation
k) Reporting matters to relevant authorities
l) Making recommendations to prevent future instances of reportable misconduct
m) Completing any training mandated by the Whistleblower Program Team
n) Seeking to ensure the integrity of the Whistleblower Program is maintained.
Whistleblower Investigators are responsible for:
a) Investigating reports in accordance with this Policy and Procedure
b) Maintaining to the fullest extent possible confidentiality of the identity of and reports received by reporters
c) Gathering evidence and taking steps to protect or preserve evidence
d) Making findings based on a fair and objective assessment of the evidence gathered during the investigation, and formalising this in a report
e) Keeping comprehensive records about the investigation
f) 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
g) Reporting back to the Whistleblower Protection Officer on the progress of their investigation 7 days after the report and every 14 days thereafter
h) 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.
Workers are responsible for reporting misconduct or dishonest or illegal activity that has occurred or is suspected within Kyeema as quickly as possible, whether anonymously or otherwise.
Procedure
How do I make a report?
Whistleblowing protections will only apply to reports of Reportable Conduct made in accordance with this Policy and Procedure.
Where you have reasonable grounds to suspect that an individual has engaged in Reportable Conduct, you should report the matter to any person authorised by Kyeema to receive Whistleblower disclosures. Authorised people are:
a) CEO
b) Supports Manager
c) Board Chair
If you are not comfortable or able to report Reportable Conduct internally, you may report it to ASIC.
How are reports investigated?
After receiving your report Kyeema will:
a) assess the report of Reportable Conduct;
b) consider whether there are any conflicts of interest prior to investigating;
c) determine whether external authorities need to be notified;
d) determine whether and how to investigate; and
e) appoint a Whistleblowing Investigator if appropriate.
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.
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.
A member of Kyeema’s management team may need to speak with a Whistleblower as part of an investigation. If the identity of the Whistleblower is known, Kyeema’s representative will endeavour to keep them informed about the status of an investigation.
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.
Outcome of an investigation
At the conclusion of the investigation, a report will be prepared outlining:
a) a finding of all relevant facts;
b) a determination as to whether the allegation(s) have been substantiated or otherwise;
c) 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 Kyeema’s privacy and confidentiality obligations, the Whistleblower will be informed of the outcome of any investigation into their concerns.
References:
•Corporations Act 2001 (Cth)
•Fair Work Act 2009 (Cth)
•Fair Work Regulations 2009 (Cth)
•Insurance Act 1973
•Life Insurance Act 1995
•Public Interest Disclosure Act 2013
•Superannuation Industry (Supervision) Act 1993
•Taxation Administration Act 1953
•Treasury Laws Amendment (Enhancing Whistleblower Protections) Act 2019