Overview

• legally compliant with all relevant legislation and regulation
• completed in an ethical manner that poses no danger to the public or financial system.

• ensure transparency and accountability in its administrative and management practices
• ensure workers operate in an ethical, legally compliant and proper manner
• ensure the whistleblower is protected from retaliation against a report
• ensure the principle of natural justice is upheld for whoever is the subject of the report
• not tolerate conduct that breaches this policy
• not tolerate retaliation against a whistleblower.

• when reporting non-compliant or improper conduct
• to all workers and management

• ASIC Corporations (Whistleblower policies) Instrument 2019/1146
• Corporations Act 2001 (Cth)

Policy

• Administrative action that is reasonable for the purpose of protecting a discloser from detriment.
• Managing a discloser's unsatisfactory work performance, if the action is in line with HWH performance management framework.

• Support services (including counselling or other professional or legal services) that are available to whistleblowers.
• Should the whistleblower feel it necessary, HWH will reassign the whistleblower to another location, to a role of the same level.
• HWH can modify the whistleblower's workplace or how they perform their work duties.
• HWH can reassign or relocate other workers involved in the disclosable matter.
• Management will be reminded of their responsibilities when managing the performance or taking other action relating to a whistleblower.
• Should the whistleblower feel that they have suffered a detriment, they may complain to the responsible person, which the investigating officer will then investigate. Interventions will be implemented upon the detriment being proven true.

• They provide you with consent to disclose their information
• The information is disclosed, when: 
  • The information does not include the discloser's identity 
  • the organisation has taken all reasonable steps to reduce the risk that the discloser will be identified from the information and 
  • it is reasonably necessary to investigate the issues raised in the disclosure 
• their identity is disclosed to: 
  • the Australian Securities and Investments Commission (ASIC) 
  • a member of the Australian Federal Police 
  • a legal practitioner, to obtain legal advice or legal representation in relation to whistleblowing laws, or 
  • anyone else prescribed by the regulations.

• All personal information or references to the whistleblower witnessing an event will be redacted.
• The whistleblower will be referred to in a gender-neutral context.
• Where possible, the discloser will be contacted to help identify certain aspects of their disclosure that could inadvertently identify them.
• Disclosures will be handled and investigated by qualified workers.

• All paper and electronic documents and other materials relating to disclosures will be stored securely.
• Access to all information relating to disclosure will be limited to those directly involved in managing and investigating the disclosure.
• Only a restricted number of people directly involved in handling and investigating a disclosure will be made aware of a discloser’s identity (subject to the discloser’s consent) or information likely to lead to the identification of the discloser.
• Communications and documents relating to the disclosure investigation will not be sent to an email address or a printer that other workers can access.
• Each person involved in handling and investigating a disclosure will be reminded about the confidentiality requirements, including that unauthorised disclosure of a discloser’s identity may be a criminal offence.

• they suffer loss, damage or injury because of disclosure and
• the entity failed to take reasonable precautions and exercise due diligence to prevent detrimental conduct.

• civil liability (e.g. any legal action taken as a result of whistleblowing)
• criminal liability  (e.g. attempted prosecution for unlawfully releasing information)
• administrative liability (e.g. disciplinary action for making the disclosure).

Should a whistleblower feel that any of their protections have been breached, they can submit a complaint to the responsible person or to ASIC. It is also advised that they seek independent legal advice.

Penalties for breach of whistleblower protection
Severe civil and criminal penalties will apply to those who breach the protections provided to whistleblowers under the Act. Courts are empowered to make orders for relief against a company if they fail to protect a whistleblower from detriment. Applicable penalties under the Act are as follows:

• Reports made by a whistleblower must be based on reasonable grounds and be a disclosable matter. The report should (where possible) be in writing and contain details of:
  • the nature of the disclosable matter
  • the person responsible for the disclosable matter
  • the facts on why the whistleblower believes the disclosable matter has occurred
  • (if known) the nature and whereabouts of any further evidence that supports the report.
• All disclosable matters must be treated as confidential and (without the whistleblower's, consent) must not be disclosed to anyone not connected with the investigation. Unless the responsible person is obliged to do so by law. 
• If the whistleblower wishes to make their report anonymously, their wish is honoured unless overridden by due process of law. However, it may be difficult to keep them updated with relevant information due to remaining anonymous.
• Workers need to be aware that only disclosable matters are covered by this policy. Disclosures, such as personal work-related grievances, do not qualify for protection under the Act.

• An HWH Principal will need to assess each disclosure made to determine:
• whether whistleblower protections will apply (if unsure, proceed as if they do apply), and
• if a formal, in-depth investigation is required.
• The responsible person and investigating officer must focus on the substance of the disclosure, not possible motives for the whistleblower to have made the disclosure. Whistleblowers are not required to act in good faith to be protected.
• If necessary, the responsible person will arrange for an investigating officer to determine the allegations' legitimacy. The investigation is to be conducted thoroughly and conclude as early as possible.
• The whistleblower, subject to privacy and confidentiality considerations, will be kept informed of the investigation process and (where appropriate) its outcome. 
• They must maintain full confidentiality of any information they receive.
• The person subject to disclosure also needs to be informed about the investigation. However, this can be at any time so long as it is before making any adverse findings against them. 
• This is in the event there may be concerns that the individual will destroy the information or the disclosure needs to be referred to ASIC or the Federal Police. 
• A worker subject to the disclosure may contact the organisation’s support services (e.g. counselling).
• When conducting an investigation, the investigating officer must:
  • address all relevant questions
  • investigate strict confidence
  • observe the rules of natural justice
  • Meet with the person upon whom the allegations are against, allowing them the opportunity to comment beforehand (according to the rules of natural justice)
  • compile all the information into an investigation report for further review.
• The investigation report will include:
  • the allegations
  • comments by the person the allegations are against, with considerations by the investigating officer
  • a statement of all relevant findings, with the evidence provided
  • the conclusions reached (including the damage caused and the impact on the organisation and other affected parties) and the reasoning behind it
  • recommendations based on those conclusions.
• At the end of the investigation, the responsible person will be provided with a copy of the investigation report and be consulted in regards to a decision on the matter. 
• If the police are to be involved, this is to be done at the earliest possible opportunity. 
• Should the whistleblower not be content with the outcome of the investigation, they can request the investigation be reopened. 
• The organisation is not obligated to reopen an investigation if it feels it is unnecessary and that the prior investigation was conducted properly. 
• A further complaint can still be made to ASIC should the whistleblower still feel dissatisfied.
• Note: It may not be possible to investigate if not enough information was provided and the disclosure was made anonymously and it is not possible to contact the whistleblower.

• Workers should take care not to make deliberately false or malicious disclosures. 
• Workers found (by the investigator) to have made such disclosure will be subject to disciplinary action, including possible termination of employment. 

• The whistleblower's protection still covers workers if they wish to report their concerns to ASIC, even if they have not raised their concerns internally first. 
• A report can be lodged through ASIC's online misconduct reporting form or by writing to ASIC. 
• Concerns can be made to ASIC anonymously; however, ASIC will not be able to follow up for further information or advise what steps can be taken based on the information provided. However, anonymous reports still qualify for whistleblower protections.
• Other people who can receive a disclosure include:
  • legal practitioners
  • regulatory bodies (e.g. ASIC) and other external parties (if authorised by the organisation), and
  • (under certain circumstances) journalists and members of Commonwealth, state or territory parliaments.

• be familiar with and regularly review this policy and related processes
• report any disclosable matters
• ensure reports of disclosable matters are private and confidential.

• remain unbiased throughout the investigation
• ensure the scale of the investigation is in proportion to the seriousness of the wrongdoing
• ensure the investigation is completed in a fast and efficient manner
• examine relevant documents and evidence
• maintain strict confidentiality throughout the investigation
• conduct interviews with relevant witnesses
• keep accurate and clear records.

• regularly review and memorise this policy and related processes
• appoint an investigator
• ensure sufficient resources are allocated to the investigator
• ensure all reports by whistleblowers are investigated to the necessary degree.