Whistleblower Policy

A report may be made under this Policy if there are reasonable grounds to suspect that a Richmind WA director, officer, employee, contractor or supplier who has dealings with Richmind WA has engaged in conduct that is considered reportable under the Corporations Act.

The misconduct or improper state of affairs (“Reportable “Conduct”) may refer to behaviour that:

1.  is dishonest, fraudulent, corrupt or negligent;
2. is a breach of trust or a breach of duty;
3. constitutes an offence against, or contravention of, a provision of the following:
   1. the Corporations Act 2001;
   2. the Australian Securities and Investments Commission Act 2001;
   3. the Banking Act 1959;
   4. the Financial Sector (Collection of Data) Act 2001;
   5. the Insurance Act 1973;
   6. the Life Insurance Act 1995;
   7. the National Consumer Credit Protection Act 2009;
   8. the Superannuation Industry (Supervision) Act 1993; or
   9. an instrument made under an Act referred to above;
4.  constitutes an offence against any other law of the Commonwealth, State or Territory;
5. is prescribed by regulation;
6. is illegal activity (such as theft, violence, harassment or intimidation, criminal damage to property or other breaches of state or federal law);
7. is unethical or in breach of Richmind WA policies (such as dishonestly altering company records or data, adopting questionable accounting practices or wilfully breaching Richmind WA’s Code of Conduct or other policies or procedures);
8. is potentially damaging to Richmind WA, an employee or a third party, such as unsafe work practices, environmental damage, health risks or abuse of Richmind WA property or resources;
9. constitutes an abuse of authority;
10. may cause financial loss to Richmind WA, damage its reputation or be otherwise detrimental to Richmind WA interests;
11. involves harassment, discrimination, victimisation or bullying, other than personal work-related grievances as defined in the Corporations Act; or
12. involves any other kind of misconduct or an improper activity or circumstances.

A disclosure that is not about Reportable Conduct will not qualify for protection under this Policy or the Corporations Act (or the Taxation Administration Act, where relevant).

Disclosures that relate solely to personal work-related grievances, and that do not relate to detriment or threat of detriment to the discloser do not qualify for protection.

“Personal work-related grievances” concerning a grievance about any matter in relation to the person’s employment, or former employment which may have implications for the discloser personally, but which does not have significant implications for Richmind WA or relates to Reportable Conduct

Personal work-related grievances include:

• interpersonal conflicts with other employees.
• decisions related to engagement, transfer or promotion of the Eligible Whistleblower.
• decisions about the terms and conditions of employment of the Eligible Whistleblower; or
• suspension, termination or disciplinary decisions in relation to the Eligible Whistleblower.

Employees or officers who believe that they have a personal work-related grievance should raise the matter with the Richmind WA People and Capability Manager.

A disclosure involving a personal work-related grievance can still qualify for protection if:

• it includes information about misconduct, or information about misconduct includes or is accompanied by a personal work-related grievance (mixed report).
• Richmind WA has breached employment or laws punishable by imprisonment for a period of 12 months or more, engaged in conduct that represents a danger to the public, or the disclosure relates to information that suggests misconduct beyond the Eligible Whistleblower’s personal circumstances.
• the Eligible Whistleblower suffers from or is threatened with detriment for making the report; or
• the Eligible Whistleblower seeks legal advice or legal representation about the operation of the whistleblower protections under the Corporations Act (even if the legal practitioner concludes that the disclosure does not involve Reportable Conduct).

Richmind WA has several channels for making a report regarding conduct or behaviour considered to be Reportable Conduct.

While it is preferred that reports are raised with the designated Protection Officer, they may also be raised with other officers or senior managers of Richmind WA.
Officers are defined as a director or a senior manager of Richmind WA or a person who participates in making decisions that affect the whole or a substantial part of the business or who has the capacity to significantly affect the Company’s financial standing.

A report may be made in writing to the following officers (“Eligible Officers”):

• Whistleblower Protection Officer: Chief People Culture and Brand Officer shelley.micale@rw.org.au
• People and Capability: whistleblower@rw.org.au
• Chief Executive Officer: Adrian Munro adrian.munro@rw.org.au
• Board Chairperson

An Eligible Whistleblower may also contact one of the above officers listed above to obtain additional information before making a disclosure.

Reports may be made to the Australian Investment Securities Commission (“ASIC”), the Australian Prudential Regulation Authority (“APRA”) or another Commonwealth body prescribed by regulation in accordance with the Corporations Act. Journalists or parliamentarians In accordance with the principles of natural justice, the organisation encourages Eligible Whistleblowers to raise concerns about reportable matters internally or to the Board Chair in the first instance, however in limited circumstances the law allows an Eligible Whistleblower to make an emergency disclosure to a parliamentarian or a journalist (“Emergency Disclosure”) where:

• the matter has previously been reported to ASIC, APRA or a prescribed Commonwealth body in accordance with the Corporations Act or regulation.
• the Eligible Whistleblower has reasonable grounds to believe that the information concerns a substantial and imminent danger to the health or safety of one or more persons or to the natural environment.
• the Eligible Whistleblower provides written notice to the person or body to whom the initial disclosure was made under this Policy, that includes sufficient information to identify the previous disclosure and states that the Eligible Whistleblower intends to make an emergency disclosure; and
• the extent of the information disclosed in the emergency disclosure is no greater than is necessary to inform the journalist or parliamentarian of the substantial and imminent danger.

In addition to Emergency Disclosures, an Eligible Whistleblower may also make a public interest disclosure to a Commonwealth, State or Territory member of Parliament or a journalist (“Public Interest Disclosure”) where:

• at least 90 days have passed since the Eligible Whistleblower made the disclosure to ASIC, APRA or another Commonwealth body in accordance with the Corporations Act or regulation.
• the Eligible Whistleblower does not have reasonable grounds to believe that action is being, or has been taken, in relation to their disclosure.
• the Eligible Whistleblower has reasonable grounds to believe that making a further disclosure of the information is in the public interest.
• before making the Public Interest Disclosure, the Eligible Whistleblower has given written notice to Richmind WA that includes sufficient information to identify the previous discourse and states that the Eligible Whistleblower intends to make a Public Interest Disclosure; and
• the extent of the information disclosed in the public interest disclosure is no greater than is necessary to inform the recipient of the Reportable Conduct.

Eligible Whistleblowers who make disclosures to parliamentarians or journalists that do not meet the conditions of an Emergency Disclosure or Public Interest Disclosure do not qualify for the protections set out in this Policy in respect of those disclosures.

If any person is concerned as to whether any disclosure, they may seek to make in respect of Reportable Conduct is covered by this Policy, that person may seek legal advice. Disclosing the information to a lawyer for the purpose of obtaining that legal advice or legal representation will not change the application of this Policy or the protection provided to any Eligible Whistleblower under it (even in the event that the legal practitioner concludes that the disclosure does not relate to Reportable Conduct).

Subject to compliance with legal requirements, upon receiving a report under this Policy, Richmind WA will only share the person’s identity as a whistleblower or information likely to reveal their identity if:

1. the Eligible Whistleblower consents in writing to the disclosure; or
2. the concern is reported to the ASIC, APRA, the Tax Commissioner, or the Australian Federal Police (“AFP”); or
3. the concern is raised with a lawyer for the purpose of obtaining legal advice or representation; or
4. the concern is required to be reported to a person or body prescribed by the Corporations Regulations.

If Richmind WA needs to investigate a report, it may disclose information that could lead to whistleblower identification provided that it takes all reasonable steps to reduce this risk. Any disclosures of whistleblower identity or information likely to reveal their identity will be made on a strictly confidential basis and will be made by qualified staff.

It is illegal for a person to identify an Eligible Whistleblower or disclose information that is likely to lead to the identification of the Eligible Whistleblower outside the exceptions specifically noted above.

All files and records created from an investigation will be retained securely. Unauthorised release of information to someone not involved in the investigation (other than senior managers or directors who need to know to take appropriate action, or for corporate governance purposes) without the consent of the Eligible Whistleblower will be a breach of this Policy.

Release of information in breach of this Policy will be regarded as a serious matter and will be dealt with under Richmind WA’s disciplinary procedures.

If the Eligible Whistleblower considers that information was disclosed in breach of this Policy, the Eligible Whistleblower may lodge a complaint with ASIC, APRA or the Australian Taxation Office (“ATO”) or such other regulator for investigation.

An Eligible Whistleblower can seek compensation and other remedies through the courts if they suffer loss, damage or injury because of the disclosure and Richmind WA failed to take reasonable precautions and exercise due diligence to prevent the detrimental conduct.

Any Eligible Whistleblower who makes a report of Reportable Conduct in accordance with this Policy has protection under the Corporations Act from:

• civil liability (eg legal action against the Eligible Whistleblower for breach of a contractual obligation or duty of confidentiality);
• criminal liability (eg attempted prosecution for releasing information); and
• administrative liability (eg disciplinary action for making the disclosure),

A report will be prepared for the Board when the investigation is complete. Whilst retaining the need for confidentiality, this report will include:

1. The allegations.
2. A statement of all relevant findings of fact and the evidence relied upon in reaching any conclusions.
3. the conclusions reached (including the damage caused, if any, and the impact on the organisation and other affected parties) and their basis; and
4. Recommendations based on those conclusions to address any wrongdoing identified and any other matters arising during the investigation.
5. Details as to what information should be provided back to the Eligible Whistleblower. Note that whilst the intention is to provide the Eligible Whistleblower with a synopsis of the conclusions reached as a result of the investigation, there may be times that confidentiality provisions mean that it may not be appropriate to provide details of the investigation outcomes to the Eligible Whistleblower; and
6. The outcomes of the investigation completed, and all actions taken as a result of those investigations including disciplinary action or termination of employee/s.

Richmind WA will make every effort to ensure that natural justice and procedural fairness is afforded to a person mentioned in, or who is the subject of a report of Reportable Conduct that qualifies for protection under the Corporations Act. Where an investigation does not result in a finding of Reportable Conduct being made, the fact that the investigation has been carried out, the results of the investigation and the identity of the person who is the subject of the disclosure or mentioned in the disclosure, will remain confidential.

Richmind WA will periodically provide training and support to employees about this Policy and new staff inductions will include education about this Policy.
Richmind WA will also provide training and support to Eligible Officers and other eligible recipients who may receive disclosures of Reportable Conduct and how to respond to them in accordance with this Policy.

On 1st July 2019, changes were made to the Corporations Act to increase the protection afforded to whistleblowers. Information is available via ASIC as to the detail that underpins these legislative changes. Any potential whistleblower is encouraged to review this detail to ensure they are aware of their legal entitlements as a whistleblower, and the circumstances that may either extend or narrow those legal rights.