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Whistleblower Policy

Purpose

The purpose of this Policy is to:

a) protect and support those who make disclosures of misconduct in relation to Roundabout Canberra;
b) provide a reporting and investigation process for such disclosures; and
c) help deter potential misconduct.

The guiding principle underpinning this Policy is that Roundabout Canberra takes improper conduct very seriously. It is important that staff and volunteers feel that they can safely report any such misconduct without fear of repercussions.

Overview

Roundabout Canberra is committed to the highest standards of legal, ethical, and moral behaviour. Roundabout Canberra is guided by a Code of Conduct which aims to develop a culture of respect, integrity, care, and diligence.

A key part of supporting ethical standards is enabling people to speak up about unethical or unlawful conduct. Roundabout Canberra will not tolerate any retaliatory action or threats of retaliatory action against a person reporting such misconduct (referred to as a whistleblower) or any person involved in the investigation process.

Disciplinary action, up to and including termination of employment or engagement, may be imposed on anyone shown to have caused detriment to a person because they want to, or have, reported misconduct.

Scope

This Policy applies to everyone who works for Roundabout Canberra, including:

a) all current and former employees;
b) any person who works or has worked for Roundabout Canberra under a contract, including a consultant, contractor, subcontractor, employee of a
contractor or subcontractor or employee of a labour hire company who has been assigned to work at Roundabout Canberra;
c) all current and former apprentices, trainees, students gaining work experience and volunteers; and
d) any relative, dependent, or spouse of an individual identified in (a) to (c) above, each of the above being an “Eligible Whistleblower” under this policy.

Policy

Roundabout Canberra (hereby Roundabout) requires directors, officers and employees to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. As employees and representatives of the Roundabout Canberra, it is expected that we practice honesty and integrity in fulfilling our responsibilities and comply with all applicable laws and regulations. Roundabout Canberra is committed to
supporting and respecting anyone who acts as a whistle-blower to draw attention to suspected inappropriate, corrupt or illegal conduct or behaviour.

Reporting Responsibility

This Whistleblower Policy is intended to encourage and enable employees and others to raise serious concerns internally so that Roundabout Canberra can address and correct inappropriate conduct and actions. It is the responsibility of all board members, officers, employees and volunteers to report concerns about violations of Roundabout Canberra’s Code of Conduct or suspected violations of law or regulations that govern Roundabout Canberra’s operations.

Reportable Concerns

Corporations Act

A whistleblower is entitled to protection under the Corporations Act if they make a qualifying disclosure to an eligible recipient.

A qualifying disclosure involves reporting conduct by Roundabout Canberra or an officer or employee of Roundabout Canberra that represents misconduct, an improper state of affairs or circumstances at Roundabout Canberra (Reportable Conduct). This can include conduct that:

  • contravenes the Corporations Act or the ASIC Act;
  • constitutes an offence against another Commonwealth law that is punishable by
    imprisonment for 12 months or more
  • represents a danger to the public or the financial system, or
  • is prescribed by the Regulations.

If a whistleblower makes a disclosure to a legal practitioner for the purposes of obtaining legal advice or legal representation, their disclosure will also be protected even if it does not relate to a “disclosable matter”.

To qualify for protection, the whistleblower must have reasonable grounds to suspect that the information they will disclose indicates misconduct.

This policy

Roundabout Canberra encourages any Eligible Whistleblower to report misconduct and/or reasonable suspicions of misconduct.

Disclosable matters specified in this policy which do not amount to a “disclosable matter” under the Corporations Act will not be protected under that Act but will be protected in accordance with this policy.

An Eligible Whistleblower may report that any of the following have taken place, are taking place, an intent exists to carry any of the following out in the future, or that any of the following qualified disclosures have been concealed:

  • fraud, that is, a deliberate deception in order to secure personal gain or cause disadvantage;
  • corruption, that is, the improper use of influence or position and/or improper use of information by commission or omission;
  • violation of Roundabout Canberra’s Code of Conduct Roundabout Canberra staff or volunteers;
  • criminal offences by Roundabout Canberra staff or third parties;
  • conduct endangering health and safety or causing damage to the environment;
  • undeclared conflicts of interest, including those relating to outside business interests, relationships, improper payments and donations;
  • sexual exploitation, victimisation, harassment or abuse; or
  • unethical or other serious improper conduct, including such conduct that is in breach of Roundabout Canberra’s policies and procedures.


To qualify for protection, the Eligible Whistleblower must have reasonable grounds to suspect that the information they will disclose indicates misconduct.

Eligible Recipients

To qualify for protection, an Eligible Whistleblower must also make their disclosure to an eligible recipient:

  • the Australian Securities and Investment Commission (ASIC);
  • the Australian Prudential Regulatory Authority (APRA);
  • a Commonwealth body nominated for this purpose in the Corporations Regulations 2001 (Cth) (not the ACNC);
  • a legal practitioner, if someone is seeking legal advice about whether the protections will apply to them;
  • the CEO or a Board Member of Roundabout Canberra;
  • an auditor or member of the audit team for Roundabout Canberra; or
  • a person that Roundabout Canberra has authorised to receive a disclosure (‘nominated person’).


Reporting Procedure

Roundabout Canberra has an open door policy and suggests that team members share their questions, concerns, suggestions or complaints with their Manager or the CEO in the first instance. If you are not comfortable speaking with your Manager or the CEO or you are not satisfied with their response, you are encouraged to speak with Roundabout Canberra’s nominated person, Emma Reilly (Board Chair). All Roundabout Canberra Managers are required to report complaints or concerns about suspected ethical and legal violations in writing to the Roundabout Canberra’s nominated person, who has the responsibility to investigate all reported complaints. Employees with concerns or complaints may also submit their concerns in writing directly to their Manager or the CEO.

Handling of Reported Violations

Roundabout Canberra’s nominated person will notify the person who submitted a complaint and acknowledge receipt of the reported violation or suspected violation. While making a report under this Policy does not guarantee that it will be formally investigated, all reports made under this Policy will be initially assessed and considered and a decision made by Roundabout Canberra as to whether it should be investigated further.

The aim of any investigation is to determine whether there is enough evidence to substantiate the conduct reported. All reports that are investigated will be done so promptly, and appropriate corrective action will be taken if warranted by the investigation. The timeframe for an investigation will vary depending on the nature of the allegations, the number of individuals to be interviewed, and any other relevant matters.

Where possible and appropriate (taking into account confidentiality considerations, legal obligations and other relevant factors), the whistleblower and any subject to the whistleblower report will be informed by the outcome of the investigation. If informed of the outcome, they will be required to maintain confidentiality. If a disclosure is made anonymously, it may not be possible to contact the disclosure to provide information about the progress or outcome of an investigation.

Confidentiality

Roundabout Canberra respects the right of a whistleblower to make an anonymous report and will take all reasonable steps to ensure that the identity of the whistleblower is protected from disclosure unless the consent is given by the whistleblower or disclosure if authorised by law. If a whistleblower does not provide consent to the disclosure of their identity or information that is likely to lead to their identification, it may not be possible for Roundabout Canberra to adequately investigate and respond (if at all) to the disclosure.

Roundabout Canberra will ensure that any records relating to investigations are stored securely and confidentially and are only able to be accessed by personnel who are authorised to access the information.

No Retaliation

It is contrary to the values of Roundabout Canberra for anyone to retaliate against any board member, officer, employee or volunteer who in good faith reports an ethics violation, or a suspected violation of law, such as a complaint of discrimination, or suspected fraud, or suspected violation of any regulation governing the operations of Roundabout Canberra. An employee who retaliates against someone who has reported a violation in good faith is subject to discipline up to and including termination of employment.

Acting in Good Faith

Anyone filing a written complaint concerning a violation or suspected violation must be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation. Any allegations that prove not to be substantiated and which prove to have been made maliciously or knowingly to be false will be viewed as a serious disciplinary offense.

Nominated Person

Roundabout Canberra’s nominated person is responsible for ensuring that all complaints about unethical or illegal conduct are investigated and resolved. The
nominated person will advise the CEO and the Board of Directors of all complaints and their resolution and will report at least annually to the Board on compliance activities relating to accounting or alleged financial improprieties.

Note: The nominated person may be a board member, the Executive Director, or a third party designated by the organization to receive, investigate and respond to complaints.

Personal work-related grievances

Disclosures that relate solely to personal work-related grievances, and do not relate to detriment or threat of detriment to the person reporting misconduct, are not covered by this Policy. Personal work-related grievances should be reported in accordance with the Grievance Handling Policy (RPXXX).

Examples of personal work-related grievances include:

  • a conflict between you and another employee;
  • a decision relating to your promotion or transfer;
  • a decision about the terms and conditions of your employment;
  • a decision relating to the suspension or termination of your employment.


These types of concerns (including bullying, discrimination and harassment) do not generally qualify for protections under the Whistleblower laws, but may be protected under other legislation, including under the Fair Work Act 2009 (Cth) and applicable anti-discrimination laws.

However, a personal work-related grievance may qualify for protection and should be reported in accordance with this Policy if:

  • the grievance has significant implications for Roundabout and is otherwise a reportable concern; or
  • your concerns about any personal work-related grievance (including bullying, discrimination or harassment) relate to actual or threatened detriment in
    connection with your actual, potential or perceived involvement in a whistleblower matter.


Where this is determined to be the case, the personal work-related grievance will be treated as a reportable concern.

Relationship to the Complaints Policy and Grievance Handling Policy

Complaints about Roundabout Canberra that do not fall within the scope of this Whistleblower Policy will be managed in accordance with Roundabout Canberra’s Complaints Policy (RP010). That policy outlines the process for raising and resolving issues about Roundabout Canberra’s services, decisions, or actions that are not related to Reportable Conduct or personal work-related grievances. Personal work-related grievances will be managed in accordance with the Grievance Handling Policy (RPXXX).

Legislative Framework

Additional information can be found in the Corporations Act 2001 (Cth) (Corporations Act) and the Taxation Administration Act 1953 (Cth), both of which contain protections for whistleblowers.