whistleblower policy · 2020-07-20 · which everyone who is employed by, or contracted to perform...
TRANSCRIPT
Date prepared:
Date revised:
November 2019
July 2020
Authorised by: Chief Operating Officer
Applies to: All Australian and New Zealand KOOKAÏ directors, employees, contractors, consultants, service providers
This policy covers the following key areas:
1. Policy Statement ............................................................................................................. 1
2. Who does this policy apply to? ......................................................................................... 2
3. Matters that should be reported ....................................................................................... 3
4. Who can receive a report of Disclosable Conduct? ............................................................ 6
5. How to raise a concern and report Disclosable Conduct .................................................... 7
6. Protections and Support for Whistleblowers ...................................................................... 8
7. Investigating a report .................................................................................................... 11
8. Individuals mentioned in a disclosure ............................................................................ 13
9. Availability of the Policy ................................................................................................ 14
10. Support and Training ................................................................................................. 14
11. Review ...................................................................................................................... 14
12. Related Policies and information ................................................................................ 14
1. Policy Statement1.1
At KOOKAÏ, we hold ourselves to very high standards of integrity and professional conduct. We are committed to fostering a culture of good corporate governance and ethical behaviour.
We believe that the best way of maintaining this culture is through a working environment in which everyone who is employed by, or contracted to perform work for KOOKAÏ, including all employees, directors, officers, contractors, consultants, suppliers and service providers, has a responsibility to help detect, prevent and report instances of illegal, unethical, or otherwise improper or unacceptable conduct without fear of victimisation or reprisal.
KOOKAÏ is committed to the protection of individuals who report instances or allegations of illegal or unethical behaviour occurring within KOOKAÏ.
Whistleblower Policy
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The purpose of this Policy is to:
(a) encourage the reporting of Disclosable Conduct;
(b) provide a mechanism whereby KOOKAÏ employees and others can report their concerns freely and without fear of reprisal or intimidation;
(c) set out the protections available to Whistleblowers; and
(d) establish a procedure for the investigation of Disclosable Conduct.
The Policy should be read in conjunction with the KOOKAÏ Code of Conduct and reflects the following legislative requirements –
In Australia –
• Corporations Act (Cth) 2001; and
• Treasury Laws Amendment (Enhancing Whistleblower Protections) Act 2019.
In New Zealand –
• Protected Disclosures Act 2000 (see Annexure B).
2. Who does this policy apply to? 1
KOOKAÏ
2.1 This Policy applies to Magi Enterprises Pty Ltd (ABN 491 544 236 13) and Beba New Zealand Pty Ltd (NZBN 9429034027912) both trading as KOOKAÏ (KOOKAÏ), and all of their related bodies corporate, including those operating outside Australia.
Eligible Whistleblowers
2.2 For the purpose of this Policy, an Eligible Whistleblower includes anyone who is, or has been:
(a) an employee, officer, director, contractor or consultant (whether full time, part-time, casual, fixed-term or temporary) of KOOKAÏ;
(b) a supplier of goods or services to KOOKAÏ, or an employee (whether paid or unpaid) of such a person;
(c) an associate of KOOKAÏ, such as a person with whom KOOKAÏ acts in concert;
(d) a relative, dependent or spouse of an individual who otherwise constitutes an Eligible Whistleblower under this section; and
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(e) any other person who is an eligible whistleblower in accordance with the applicable legislation, including the Corporations Act 2001 (Cth) (Act) from time to time.1
Who qualifies for protection?
2.3 A person qualifies for protection under this Policy if:
(a) they are an Eligible Whistleblower; and
(b) in accordance with this Policy, they have made a report of Disclosable Conduct (see section 3.3) directly to:
(i) an Eligible Recipient, Whistleblower Protection Officer or the External Hotline (as each of these are listed in the Schedule); or
(ii) the Australian Securities and Investments Commission (ASIC), the Australian Prudential Regulation Authority (APRA) or another Commonwealth body prescribed by regulation; or
(iii) a legal practitioner for the purposes of obtaining legal advice or legal representation about the operation of the whistleblower protections in the Act; or
(iv) a parliamentarian or journalist in accordance with the emergency and public interest disclosure provisions (set out at section 5.8-5.10 of this Policy).
3. Matters that should be reported FF
3.1 We encourage all KOOKAÏ employees to promptly report any improper, unacceptable, or Disclosable Conduct, as soon as you become aware of it; however, there are specific processes for reporting depending on the type of conduct being reported.
3.2 This policy relates to Whistleblowing (as defined in the legislation) which is not the same as making a complaint or raising a personal or work related grievance, because the objective of ‘blowing the whistle’ (under the legislation), is to correct a wrongdoing or malpractice that affects the public interest.
Disclosable Conduct
3.3 Disclosable Conduct means information that the Eligible Whistleblower has reasonable grounds to suspect concerns misconduct, or an improper state of affairs or circumstances in relation to KOOKAÏ. This includes conduct which: (a) is fraud, negligence, default, a breach of trust or breach of duty; (b) represents a danger to the public or financial system; (c) constitutes an offence against, or contravention of, a provision of any of the
following:
1 A person may also be an Eligible Whistleblower and eligible for protection under this policy in accordance with the provisions of the Taxation Administration Act 1953 (Cth)
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(i) the Act;
(ii) the Australian Securities and Investments Commission Act 2001
(iii) the Banking Act 1959
(iv) the Financial Sector (Collection of Data) Act 2001
(v) the Insurance Act 1973
(vi) the Life Insurance Act 1995
(vii) the National Consumer Credit Protection Act 2009;
(viii) the Superannuation Industry (Supervision) Act 1993; or
(ix) an instrument made under an Act referred to at 3.1(c)(i)-(viii) above;
(d) constitutes an offence against any other law of the Commonwealth, State or Territory;
(e) is prescribed by regulation;
(f) is illegal, dishonest, fraudulent, corrupt or negligent;
(g) is unethical or improper;
(h) constitutes a breach of any Commonwealth or State legislation or regulations or demonstrates a failure by the organisation, its officers or employees to comply with any legal obligations;
(i) constitutes a breach of any applicable industry practices;
(j) demonstrates damage to or abuse of the organisation’s assets or resources;
(k) constitutes gross mismanagement;
(l) demonstrates a serious waste of resources or a breach of environmental practice;
(m) is causing an unsafe workplace or demonstrates an unsafe work-practice;
(n) is in breach of any international trade sanction, standard or convention;
(o) may cause financial or non-financial loss to KOOKAÏ or be otherwise detrimental to the interest of KOOKAÏ;
(p) is materially or potentially damaging to KOOKAÏ’s financial performance or reputation;
(q) constitutes concealment of wrongdoing;
(r) is a breach of KOOKAÏ’s Code of Conduct or other governance policies;
(s) is adverse to basic human rights; or
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(t) is detrimental conduct or threats against someone who has made a report under this Policy.
3.4 An Eligible Whistleblower can still qualify for protection under this Policy even if their report of Disclosable Conduct turns out to be incorrect.
3.5 In addition to the above, under New Zealand Law, “employees” have the statutory protections provided under the Protected Disclosures Act 2000 in relation to “serious wrongdoings”, and this policy is intended to give effect to those protections. Annexure B sets out the definitions of “employees” and “serious wrongdoings” in the Protected Disclosures Act, and the protections afforded under the Act.
Matters that are not covered by this Policy
3.6 A disclosure that is not about Disclosable Conduct will not qualify for protection under this Policy or the Act. 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.
3.7 Personal work-related grievances concern 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 broader significant implications for KOOKAÏ (or another entity), or relate to any Disclosable Conduct. Therefore, these matters are not generally considered to be covered by this Policy.
3.8 Personal work-related grievances include matters such as interpersonal conflicts with other employees; decisions relating to engagement, transfers or promotions; decisions about the terms and conditions of employment; or suspension, termination or disciplinary decisions in relation to an employee.
3.9 Personal work-related grievances should be raised with an employee’s manager at first instance, or with that person’s manager if the grievance relates to the employee’s manager. Employees who wish to raise a personal work-related grievance should follow the process outlined in the process map available on the KookaiWeb.
3.10 A disclosure involving a personal work-related grievance may still qualify for protection under this policy if:
(a) the disclosure also includes information about misconduct or an improper state of affairs described at section 3.3 of this Policy;
(b) the Eligible Whistleblower suffers from or is threatened with detriment for making the report; or
(c) the Eligible Whistleblower seeks legal advice or legal representation about the operation of the whistleblower protections under the Act (even if the legal practitioner concludes that the disclosure does not involve Disclosable Conduct).
When should I raise a concern?
3.11 You should raise a concern under this Policy where you have reasonable grounds to suspect that Disclosable Conduct has occurred. Raising concerns about ethics or legal compliance is not always easy but it is the right thing to do.
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3.12 This Policy is designed to complement KOOKAÏ's normal internal communication channels and is not intended to restrict KOOKAÏ employees from raising issues and discussing concerns with appropriate supervisors or with directors and senior managers.
4. Who can receive a report of Disclosable Conduct?
Whistleblower Protection Officers
4.1 KOOKAÏ has designated specific people to receive Whistleblower complaints. These people are known as the Whistleblower Protection Officers. An Eligible Whistleblower may report Disclosable Conduct to the Whistleblower Protection Officers.
4.2 The Whistleblower Protection Officers have received training in dealing with disclosures under this Policy and their role is to protect and safeguard the rights and interests of Eligible Whistleblowers and ensure the integrity of reporting mechanisms under this Policy.
4.3 An individual may contact the Whistleblower Protection Officers to seek accurate and confidential information and advice in relation to this Policy including information about how to make a report of Disclosable Conduct
4.4 The details of the Whistleblower Protection Officers are set out in Annexure A of this Policy.
Eligible Recipients
4.5 In addition to the Whistleblower Protection Officers, the following people are Eligible Recipients who can receive reports of Disclosable Conduct that qualify for protection: (a) a senior manager of KOOKAÏ or global executive of KOOKAÏ based in Australia
(as listed in the Schedule); (b) an officer of KOOKAÏ (director or company secretary); and (c) an internal or external auditor or actuary of KOOKAÏ. The details of the above people are listed in Annexure A.
External Hotline
4.6 If you would prefer not to speak to anyone internally about the Disclosable Conduct, KOOKAÏ has engaged an independent third party, ProAct Link to operate an independent hotline to receive reports of Disclosable Conduct. This External Hotline is secure and confidential, and details are listed in the Schedule. Posters with these reporting options are displayed in all KOOKAÏ workplaces (in Australia & New Zealand).
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Regulatory bodies
4.7 Reports may also be made to government agencies – the Australian Securities & Investments Commission (ASIC), the Australian Prudential Regulation Authority (APRA), or to a prescribed Commonwealth authority in accordance with the Act and the relevant procedures.
Journalists or parliamentarians
4.8 A public interest disclosure or an emergency disclosure can also be made to a journalist (as defined by the Act) or a Member of Parliament of the Commonwealth, the Parliament of a State or the Legislature of a Territory (parliamentarian) in certain circumstances, as described at paragraphs 5.8-5.10 below.
Legal practitioners
4.9 If any person is concerned as to whether any disclosure they may seek to make in respect of Disclosable 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 Disclosable Conduct).
5. How to raise a concern and report Disclosable Conduct
Matters to consider before reporting
5.1 An Eligible Whistleblower who makes a report under this Policy must do so in good faith and only if they have reasonable grounds to suspect that Disclosable Conduct has occurred. All Eligible Whistleblowers will be protected from reprisal for making the disclosure, as outlined in section 6 of this Policy.
5.2 While KOOKAÏ acknowledges that Eligible Whistleblowers may not have absolute proof or evidence of Disclosable Conduct, a report should, where possible, include the reasons for their concerns, and make full disclosure of the relevant details of the conduct and supporting documentation.
False disclosures
5.3 A person who makes a false report knowingly, maliciously, with an ulterior motive, for personal gain or with reckless disregard as to the truth or falsity of the contents of the report will not be able to access the protections under this Policy. Where KOOKAÏ employees make a report without reasonable grounds to suspect the information was true, this will be considered a breach of this Policy. KOOKAÏ reserves the right to take appropriate action against persons who make such reports, including any disciplinary action.
Raising a concern internally
5.4 An Eligible Whistleblower can raise a concern internally by reporting the Disclosable Conduct directly to the Whistleblower Protection Officers or an Eligible Recipient as set out in section 4 of this Policy, whose contact details are listed in the Schedule.
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5.5 A disclosure can be made verbally or in writing (including email or electronic message).
Raising a concern externally
5.6 If an Eligible Whistleblower would prefer to raise the concern externally then the Disclosable Conduct can be reported to the ProAct Link Hotline (External Hotline) as set out in section 4 of this Policy, contact details are listed in the Schedule.
5.7 A disclosure to the External Hotline may be made anonymously or on the basis that the identity is only disclosed to ProAct Link, the operator, and kept confidential from KOOKAÏ. All disclosures to the External Hotline will be notified to KOOKAÏ, but details of the Eligible Whistleblower’s identity will not be disclosed to KOOKAÏ without the Eligible Whistleblower’s consent.
Emergency or Public Interest disclosure
5.8 In certain limited circumstances an Eligible Whistleblower may make an emergency or public interest disclosure to a journalist or parliamentarian and be protected under legislation and this Policy. Further information regarding such disclosures can be obtained from the Whistleblower Protection Officer or there is publicly availably information on ASIC’s Website. Eligible Whistleblowers should be aware that an emergency or public interest disclosure only applies where a matter has previously been reported to ASIC, APRA or a prescribed Commonwealth body in accordance with the Act or regulations.
5.9 If, after having obtained further information, the Eligible Whistleblower is unsure as to whether any of the relevant provisions apply to any disclosure they have made (or intend to make), they are encouraged to raise the matter with either the Whistleblower Protection Officer, the External Hotline, or to obtain their own legal advice.
5.10 Eligible Whistleblowers who make disclosures to parliamentarians or journalists that do not meet the conditions of an emergency or public interest disclosure do not qualify for the protections set out in this Policy in respect of those disclosures.
Anonymity
5.11 An Eligible Whistleblower may elect to make a report anonymously and still be protected under the Act. The Eligible Whistleblower can choose to remain anonymous while making a disclosure, over the course of the investigation, and after the investigation is finalised.
5.12 KOOKAÏ will protect anonymity of Eligible Whistleblowers by: (a) allowing for anonymous disclosures to be made to the External Hotline; (b) allowing Eligible Whistleblowers to use anonymised email addresses; and (c) allowing Eligible Whistleblowers to adopt a pseudonym for the purpose of their
disclosure (for example, where the Eligible Whistleblower's identity is known by the recipient of the report, but the Eligible Whistleblower does not wish to disclose their identity to others).
6. Protections and Support for Whistleblowers
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Protection Generally
6.1 KOOKAÏ is committed to the protection of Eligible Whistleblowers who make a report under this Policy where they have reasonable grounds to suspect that Disclosable Conduct may have occurred.
Confidentiality
6.2 If any Eligible Whistleblower makes a disclosure in accordance with this Policy, their identity will not be disclosed to any other person or party without their consent subject to the exceptions outlined in applicable legislation. Every effort will be made to keep their identity confidential.
6.3 It should be recognised that should the Eligible Whistleblower wish to keep their identity anonymous; this may limit the effectiveness of the investigation.
6.4 It is illegal for a person to identify an Eligible Whistleblower, or to disclose information that is likely to lead to the identification of an Eligible Whistleblower (which they have obtained directly or indirectly because the Eligible Whistleblower made a disclosure that qualifies for protection). All information concerning a disclosure made under this Policy will be held in the strictest confidence and will not be disclosed to a person who is not connected with the investigation unless:
(a) the Eligible Whistleblower who makes the report, consents in writing to the disclosure;
(b) the disclosure is required by law;
(c) the disclosure is made to ASIC, APRA or a member of the Australian Federal Police; or
(d) the disclosure is to a professional legal practitioner for the purposes of seeking legal advice in relation to the operation of the whistleblower provisions in the Act.
6.5 The exceptions in 6.4 above do not apply where:
(a) the disclosure does not include the Eligible Whistleblower's identity;
(b) the disclosure is reasonably necessary for the purposes of investigating the issues raised by the Eligible Whistleblower; and
(c) KOOKAÏ has taken all reasonable steps to reduce the risk that the Eligible Whistleblower will be identified from the information.
6.6 To maintain confidentiality of an Eligible Whistleblower’s identity, KOOKAÏ will:
(a) ensure personal information or reference to the Eligible Whistleblower's identity is redacted in all investigation and reporting documents or will use a pseudonym rather than the person’s name;
(b) refer to the Eligible Whistleblower in a gender-neutral context;
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(c) ensure that all paper and electronic documents and materials relevant to the report of Disclosable Conduct will be stored securely, with access limited to those directly involved in managing and investigating the disclosure; and
(d) maintain secure record-keeping and information-sharing processes.
Protection from detrimental acts or omissions
6.7 A person must not engage in, or threaten to engage in, conduct which causes detriment to any Eligible Whistleblower because that person has made, or is suspected to have made, a report of Disclosable Conduct.
6.8 Where a disclosure is made under this policy, KOOKAÏ will take all reasonable steps to ensure that the discloser will not be personally disadvantaged or suffer any detriment including the following: (a) dismissal;
(b) injury;
(c) alteration of a person's position or duties to his or her disadvantage;
(d) discrimination;
(e) harassment or intimidation;
(f) harm or injury including psychological harm;
(g) damage to personal property, reputation, business or financial position;
(h) current or future bias; or
(i) any other damage.
6.9 KOOKAÏ will protect Eligible Whistleblowers from detriment arising from making a report of Disclosable Conduct by:
(a) conducting a risk assessment of the disclosure to manage the risk of detriment to the Eligible Whistleblower; and
(b) where applicable, making such reasonable adjustments as required to allow the Eligible Whistleblower to perform their duties at work without being potentially exposed to detriment (e.g. by changing reporting lines or moving the Eligible Whistleblower's desk to another location).
6.10 If an Eligible Whistleblower considers they have suffered any of the above disadvantages as a result of making a report, they should contact the person to whom the report was made, or the Whistleblower Protection Officer and provide all relevant details. Should an Eligible Whistleblower be found to have suffered detriment as a result of reporting Disclosable Conduct, KOOKAÏ will treat it seriously in accordance with its Code of Conduct and grievance reporting procedure.
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6.11 Eligible Whistleblowers are also able to access KOOKAÏ 's Employee Assistance Program (EAP) subject to the criteria for use of that program as published on the KookaiWeb. Details for the EAP are available at Appendix A of this Policy.
6.12 In addition, any Eligible Whistleblower who makes a disclosure of Disclosable Conduct in accordance with this Policy has protection under Australian or New Zealand law (as applicable) from civil, criminal, administrative and contractual liability in relation to the making of the disclosure.
Compensation and other remedies
6.13 An Eligible Whistleblower can seek compensation and other remedies through the courts if they suffer loss, damage or injury because of making a disclosure of Disclosable Conduct, and KOOKAÏ failed to take reasonable precautions and exercise due diligence to prevent the detrimental conduct.
Civil, criminal and administrative liability protection
6.14 Any Eligible Whistleblower who makes a report of Disclosable Conduct in accordance with this Policy has protection from: (a) civil liability (e.g. legal action against the Eligible Whistleblower for breach of a
contractual obligation or duty of confidentiality);
(b) criminal liability (e.g. attempted prosecution for releasing information); and
(c) administrative liability (e.g. disciplinary action for making the disclosure),
in relation to the making of the disclosure.
6.15 These protections do not grant the Eligible Whistleblower immunity for any misconduct the Eligible Whistleblower has engaged in that may be revealed in their report of Disclosable Conduct.
7. Investigating a report
Generally
7.1 Where a Whistleblower Protection Officer or Eligible Recipient receives a report or notification of Disclosable Conduct, he or she will provide a brief written summary of that report or notification promptly to the Whistleblower Investigation Officer.
7.2 If the matter disclosed in the report is of a serious nature, the Whistleblower Protection Officer or Eligible Recipient will also immediately notify the Group General Counsel and Managing Director, subject to the requests for confidentiality made by the Eligible Whistleblower.
7.3 Investigations into reports of Disclosable Conduct will be conducted by the Whistleblower Investigation Officer (as outlined in Annexure A). The Whistleblower Investigation Officer may choose to have the investigation conducted by an independent external body as detailed further below.
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7.4 The purpose of the investigation is to carefully, thoroughly and fairly examine each concern raised and where possible locate evidence that either substantiates or refutes the claims made in the report.
7.5 All investigations will be conducted in accordance with the principles of “natural justice”. This means that investigations will be conducted without bias and all parties will be given adequate notice of meetings to discuss the issues raised and have time to prepare. All parties will be given the opportunity to be heard and will have the right to representation.
Procedure for conducting an investigation
7.6 The Whistleblower Investigation Officer will: (a) document the report and determine whether it qualifies for protection under this
Policy (and may seek legal advice to do so); (b) determine whether a formal, in-depth investigation is required; (c) if necessary, commence an investigation into the report, as soon as practicable after
the matter has been reported; (d) review all supporting documentation and obtain further information as required,
including by interviewing individuals named in the report or relevant witnesses; (e) consider any possible remedial action that may be required; and (f) immediately notify the General Counsel and the Managing Director (or either of
them if one of them is implicated or referenced in the Disclosable Conduct) if the report relates to a serious matter, or if it becomes apparent during the investigation that there are matters of serious concern.
7.7 In the interests of objectivity and the perception of objectivity, the Whistleblower
Investigation Officer may engage external investigators in relation to an investigation, particularly where the investigation concerns allegations of serious Disclosable Conduct. The Whistleblower Investigation Officer may also seek external legal advice in the appropriate conduct of the investigation.
7.8 Where an external investigator has been engaged for the purpose of carrying out the investigation, the Whistleblower Investigation Officer will provide all necessary assistance to the external investigator, and will receive the findings from any such investigation from the external investigator.
7.9 To avoid jeopardising an investigation, an Eligible Whistleblower who has made a report under this Policy is required to keep confidential the fact that a report has been made (subject to any legal requirements). Further, in order to ensure proper process and to prevent actual or perceived unethical conduct, the offices of the Whistleblower Protection Officer and Whistleblower Investigation Officer will not be held by the same person.
7.10 It is important to note that KOOKAÏ may in certain circumstances not be able to undertake an investigation if it is unable to contact the Eligible Whistleblower (e.g. if the disclosure is made anonymously and the Eligible Whistleblower has refused to provide, or has not provided, a means of contacting them).
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Action to be taken following completion of the investigation
7.11 Once an investigation is completed, the Whistleblower Investigation Officer will report the findings of the investigation to KOOKAÏ's General Counsel. If the General Counsel is in any way referenced in, or implicated by, the Disclosable Conduct, findings will be provided directly to the Managing Director and not to the General Counsel.
7.12 If the General Counsel is satisfied that the Disclosable Conduct has occurred, he or she will make a recommendation to either or both of the Chief Operations Officer and the Managing Director of KOOKAÏ, as to the action which should be taken.
7.13 If the General Counsel is not satisfied that the Disclosable Conduct has occurred, the General Counsel will provide a report of the findings of the investigation to either or both of the Chief Operating Officer and Managing Director of KOOKAÏ.
Keeping the Whistleblower informed
7.14 An Eligible Whistleblower who has made a disclosure of Disclosable Conduct will, where appropriate and able to be contacted, be regularly updated within a reasonable period of making the report by the Whistleblower Investigation Officer regarding the investigation’s progress and/or outcome (subject to any applicable confidentiality, privacy and other relevant considerations regarding the Disclosable Conduct).
7.15 For the avoidance of doubt, if an Eligible Whistleblower has disclosed on an anonymous basis, KOOKAÏ may not be in a position to advise the Eligible Whistleblower of the progress or outcome of any investigation. A failure to notify the Eligible Whistleblower as a result will not of itself give rise to the basis of a public interest disclosure and KOOKAÏ will make every endeavour to contact Eligible Whistleblowers through anonymous channels where necessary.
8. Individuals mentioned in a disclosure
8.1 KOOKAÏ 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 Disclosable Conduct that qualifies for protection under the Act. Where an investigation does not result in a finding of Disclosable 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.
8.2 The person who is subject to any disclosure or who is mentioned in a disclosure has the right to: (a) be informed of any allegations made against them; (b) be given the opportunity to answer any allegations made against them prior to any
final decision being made; and (c) be given access KOOKAÏ’s Employer Assistance Program.
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9. Availability of the Policy
KOOKAÏ employees will be made aware of and have access to this Policy and the mechanisms for the reporting of Disclosable Conduct through KOOKAÏ’s induction and training programs. A copy of the Policy will also be made available of KOOKAÏ's intranet and will also be made available publicly for the reference of other stakeholders at KOOKAÏ’s website.
10. Support and Training
KOOKAÏ will periodically provide training and support to employees about this Policy and new staff inductions will include education about this Policy. KOOKAÏ will also provide training and support to Whistleblower Protection Officers and other Eligible Recipients who may receive disclosures of Disclosable Conduct and how to respond to them in accordance with this Policy.
11. Review
KOOKAÏ will review this Policy on a regular (at least annual) basis and will make any amendments which are deemed necessary for legal compliance, to protect the interests of Eligible Whistleblowers, and to improve the effectiveness of this Policy.
12. Related Policies and information
• Code of Conduct
• Grievance process map
• Whistleblower Risk Management - Reporting & Investigation Process
• ASIC Information Sheet 238, "Whistleblower rights and protections", available at: https://asic.gov.au/about-asic/asic-investigations-and-enforcement/whistleblowing/whistleblower-rights-and-protections/
• ASIC Information Sheet 239, "How ASIC handles whistleblower reports", available at: https://asic.gov.au/about-asic/asic-investigations-and-enforcement/whistleblowing/how-asic-handles-whistleblower-reports/
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ANNEXURE A
Role Designated Person Contact details
Whistleblower Protection Officer
Penny Iredale National Retail Manager
Ph: +61 3 8290 0553
Eligible Recipients Robert Cromb Sole Director and Company Secretary
Ph: +61 3 8290 0501
Viktor Vagner-Cromb Chief Operations Officer
Ph: +61 3 8290 0571
Lisa Egan Group General Counsel
Ph: +61 3 8290 0524
Maria Di Dio Head of People and Development
Ph: +61 3 8290 0518
Bianca Vagner-Cromb Global Branding Officer
Ph: +61 3 8290 0533
Josh Hooper Global Strategic Projects Officer
Ph: +61 3 9829 00581
Sarah Welk Global Buying Officer
Ph: +61 3 8290 0505
External Hotline ProAct Link – AU Ph: AU – 1800 888 340
www.proactlink.com.au
ProAct Link – NZ Ph: NZ – 1800 888 330
www.proactlink.co.nz
External Auditor Naomi Ryan Partner | PwC PrinceWaterhouseCoopers
Ph: +61 409 358 319
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Whistleblower Investigation Officer
Maria Di Dio Head of People and Development
Ph: +61 382900518
NZ Protected Disclosures Act 2000
What is the Protected Disclosures Act?
The purpose of the Protected Disclosures Act (the Act) is to encourage people to report serious wrongdoing in their workplace by providing protection for employees who want to ‘blow the whistle’. This applies to public and private sector workplaces.
What is ‘serious wrongdoing’?
Serious wrongdoing includes:
• unlawful, corrupt or irregular use of public money or resources• conduct that poses a serious risk to public health, safety, the environment or the
maintenance of the law• any criminal offence• gross negligence or mismanagement by public officials.
When is a disclosure protected?
To make a protected disclosure, you must be an 'employee' of the organisation you are making the disclosure about.
Under the Act, ‘employee’ includes:
• former employees• homeworkers• contractors• people seconded to organisations• volunteers.
Your disclosure will be protected if:
• the information is about serious wrongdoing in or by your workplace• you reasonably believe the information is true or likely to be true, and• you want the serious wrongdoing to be investigated.
Your disclosure won’t be protected if:
• you know the allegations are false• you act in bad faith• the information you’re disclosing is protected by legal professional privilege.
How do you make a protected disclosure?
Generally speaking, protected disclosures must be made in accordance with your organisation’s internal procedures for dealing with information about serious wrongdoing. Public sector organisations are required to have these internal procedures.
Protected disclosures can be made to the head of your organisation if:
• Your organisation doesn’t have any internal procedures
ANNEXURE B
• You reasonably believe that the person you’re supposed to make disclosures to is involved in the serious wrongdoing, or is associated with someone who is.
Protected disclosures can be made to an appropriate authority if you reasonably believe:
• The head of the organisation is involved in the serious wrongdoing • It is justified because of urgent or exceptional circumstances • You’ve made the disclosure in accordance with your organisation’s internal
procedures, but there’s been no action or recommended action within 20 working days.
If you’ve followed these procedures, there is scope for your protected disclosure to be escalated to an Ombudsman or Minister of the Crown in certain circumstances.
What are appropriate authorities?
Appropriate authorities include:
• The Ombudsman • The Commissioner of Police • The Controller and Auditor-General • The Director of the Serious Fraud Office • The Inspector-General of Intelligence and Security • The Parliamentary Commissioner for the Environment • The Independent Police Conduct Authority • The Solicitor-General • The State Services Commissioner • The Health and Disability Commissioner • The head of every public sector agency • The heads of certain private sector professional bodies with the power to discipline
their members
What are the protections?
The Act provides that no civil, criminal, or disciplinary proceedings can be taken against a person for making a protected disclosure, or for referring one to an appropriate authority.
The Act also provides that an employee who suffers retaliatory action by their employer for making a protected disclosure can take personal grievance proceedings under the Employment Relations Act.
It is also unlawful under the Human Rights Act to treat whistle-blowers or potential whistle-blowers less favorably than others in the same or similar circumstances. If a whistle-blower is victimised in this way the legal remedies under the Human Rights Act may be available to them.
Confidentiality
If you make a protected disclosure, information which identifies you will be kept confidential, unless one of the exceptions in the Act applies.
The exceptions are if you consent to the disclosure, or if disclosure is essential:
• to the effective investigation of the allegations • to prevent serious risk to public health or safety, or the environment • to comply with the principles of natural justice.
What does the Ombudsman do?
The Ombudsman provides information and guidance to people who have made, or want to make, a protected disclosure.
The Ombudsman is also one of the authorities listed in the Act to whom protected disclosures can be made. However, the proper processes need to followed first (see how do you make a protected disclosure).