Whistleblower Policy BOARD 53

Purpose

The purpose of this policy is, in line with the requirements of the Corporations Act 2001 and ASIC RG270, to:

Provide Hunter Primary Care (HPC) a framework for effectively reporting and investigation of Reportable Conduct;
Ensure people feel confident about disclosing Reportable Conduct and that they are protected against reprisals; and
To provide avenues for Whistleblowers to disclose matters that may cause loss or reputational damage to HPC.

Scope

This policy applies to all current or former Board members, employees, suppliers, contractors, volunteers and members of HPC. It also applies to the relatives and spouses of these people.

These people are considered ‘eligible Whistleblowers’.

Policy Statement

HPC promotes a culture of corporate compliance and ethical behaviour and encourages the reporting of wrongdoing through the implementation of internal policies and procedures.

The Board and Senior Management of HPC encourage all staff and people associated with HPC to disclose Reportable Conduct. This includes, per the Corporations Act 2001, all employees and officers, contractors, suppliers, and associates of the entity (as defined in the Act), as well as spouses, dependents and relatives of any of the above.

All people should feel confident about reporting wrongdoing to HPC without fear of reprisal. The Board and Senior Management is committed to protecting and supporting Whistleblowers where they have reasonable grounds to suspect that disclosed information concerns Reportable Conduct. HPC gives an undertaking to all Whistleblowers that there is no intention to take action against a Whistleblower for reporting, and the right to anonymity of Whistleblowers is upheld.

All Whistleblower reports are kept confidential and secure by use of restricted email and protected data store.

A copy of this policy is published on the HPC website and available directly from HPC at any time, to promote the commitment of HPC to good governance, transparency, legal and ethical conduct, and to supporting and protecting those who disclose wrongdoing.

The Role of the Whistleblower Protection Officer

The role of a Whistleblower Protection Officer is to safeguard the interests of a Whistleblower in accordance with this policy, and legislation. The Whistleblower Protection Officer has, as required:

A direct means of confidential contact, that is made available to eligible Whistleblowers;
Direct, unfettered access to independent financial, legal and operational advisers; and
A direct line to the Board as required.

The Whistleblower Protection Officer is responsible for receiving and investigating the substance of reports. On the basis of sufficient evidence in support of matters raised in a report, the Whistleblower Protection Officer determines whether to refer reports for further action, or refute these where necessary. The Whistleblower Protection Officer is to ensure that the Whistleblower is kept informed of the outcomes of the investigation of his/her report, subject to the considerations of privacy of those against whom the allegations are made.

HPC has multiple appointed Whistleblower Protection Officers, to provide appropriate protection for Whistleblowers making reports in different situations, as follow:

For reports about staff, this position is held by the Chief Executive Officer.
For reports about the CEO, this position is held by the Chair of the Board,
For reports about a Director of the Board, this position is held by the Chair of the Board, and
For Reports about the Chair of the Board, an independent party, HPC’s external auditor, is appointed to this role.

HPC is committed to ensuring all eligible Whistleblowers are aware of who the Whistleblower Protection Officers are, and the various ways in which they can be contacted.

Whistleblower Protection

Any person who reports Reportable Conduct as defined by this policy must not be personally disadvantaged for having made the report by:

Dismissal,
Demotion,
Any form of harassment,
Discrimination, or
Current or future bias.

Any investigation undertaken will be conducted without bias and the person against whom the allegation is made should be given the right to respond. By this policy HPC provides this guarantee and provides this policy as a public document.

A Whistleblower who reports, or seeks to make a report, will be given a guarantee of anonymity if this is desired by the Whistleblower. This provision is subject to circumstances in which the law requires the disclosure of the identity of the Whistleblower in legal proceedings. HPC acknowledges breach of this protection could result in fines as outlined in the Corporations Act (Part 9.4AAA).

Where a Whistleblower has reasonable grounds to suspect Reportable Conduct and has not him or herself engaged in serious misconduct or illegal conduct, they will be provided with immunity from disciplinary proceedings.

Roles and Responsibilities

Role	Responsibilities
Executive and Senior management	Promote a culture of ethical conduct, and ‘no blame’ reporting Ensure eligible Whistleblowers are aware of this policy and related processes
Whistleblower Protection Officer	Receive Whistleblower reports Investigate allegations of Reportable Conduct
Company Secretary	Forward confidential correspondence to the HPC auditor without delay
Eligible Whistleblowers	Remain alert to potential Reportable Conduct Report concerns in line with this policy

Supporting Procedures

How and When Does a Whistleblower Make a Report?

A Whistleblower report can be made by an eligible Whistleblower, at any time, by making contact with the relevant party set out below.

HPC has in place a Conflict Resolution Procedure (HR 104), which deals with how issues and concerns are dealt with internally within the workplace. In the first instance, staff are encouraged to raise and resolve concerns using the procedures outlined in the Conflict Resolution Procedure.

HPC recognises, however, that the Conflict Resolution Procedure may not be an adequate mechanism for staff reporting wrongdoing in all circumstances. In addition, it is recognised that a Whistleblower may not be a member of staff, so the Conflict Resolution Procedure may not apply.

An eligible Whistleblower HPC can make a Whistleblower report at any time, regardless of whether or not they have previously raised the matter under the Conflict Resolution Procedure.

Whistleblower reports can be made in accordance with the following table:

Complaint Against	Email to Use	Postal Address
HPC Staff	Whistleblower@hunterprimarycare.com.au	Chief Executive Officer, Hunter Primary Care, PO Box 572, Newcastle NSW 2300
CEO	Chair@hunterprimarycare.com.au	Hunter Primary Care, PO Box 572, Newcastle NSW 2300
Chair	HPCauditor@hunterprimarycare.com.au	Confidential: HPC Auditor via Company Secretary, Hunter Primary Care, PO Box 572, Newcastle NSW 2300
Director	Chair@hunterprimarycare.com.au	Chair, Hunter Primary Care, PO Box 572, Newcastle NSW 2300

Reports can be made anonymously or confidentially. Anyone reporting this under policy must have reasonable grounds for believing that the information disclosed indicates a wrongdoing.

Reports of Reportable Conduct will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation and to the extent required/necessary to comply with the law. Correspondence received via post for the HPC auditor and marked confidential will be conveyed unopened to the external auditor.

1 Investigating Reports

All investigations will be conducted in a manner that is confidential, fair and objective and affords natural justice to all people involved. The investigation process will vary depending on the nature of the conduct being investigated and the amount of information that has been provided in the report, in line with the processes set out in HPC’s Incident Management Procedure (GEN 74).

Where practicable, an update should be provided to the person who has raised the concern. Whistleblower reports will be promptly investigated and appropriate corrective action taken if warranted by the investigation.

The investigation will be conducted by the Whistleblower Protection Officer or by direction of the Chair or other person decided by the Board, depending on the particular circumstances and allegations. The investigation will not be conducted by a person who may be the subject of the investigation or has inappropriate links or connections (actual or perceived) to the person(s) or practice(s) under investigation.

The person conducting the investigation needs to ensure that:

They fully understand the allegation;
They obtain any relevant written evidence;
They contact and interview all the relevant parties;
They record actions taken to form an audit trail;
They document critical findings and decisions made during the course of the investigation;
They prepare a report outlining their investigation, the conclusion they have reached and why they have reached this conclusion; and
Where appropriate, the report is discussed with relevant parties prior to final submission to senior management or the Board.

At the conclusion of the investigation:

The report of investigation and findings will be tabled at a meeting with the appropriate Executive Manager, CEO or Board Committee, and
The findings of the investigation will, as applicable, be communicated to the discloser.

If an allegation is substantiated, other relevant authorities will be informed as appropriate.

2 Unsubstantiated Allegations

Should a person purporting to be a Whistleblower make a false report, or if a report is unsubstantiated, made maliciously or knowingly false, such a matter will be taken seriously.

Disciplinary action may be taken as provided for in the relevant policies and procedures (Conflict Resolution Procedure HR 104, Inappropriate Behaviour HR 15, Performance and Development HR 23 and Code of Conduct HR 67).

References

Corporations Act 2001

ASIC Regulatory Guide 270: Whistleblower Policies

Definitions

Whistleblower is a person who has reasonable grounds to report Reportable Conduct through appropriate channels, and who may be at risk of reprisal for having made the report.

Eligible Whistleblower to HPC, in accordance with the Corporations Act 2001, includes all employees and officers, contractors, suppliers, and associates of HPC (current or former), as well as spouses, dependents and relatives of any of the above.

Reportable Conduct is conduct that in the view of the Whistleblower, acting on reasonable grounds, is:

Dishonest,
Fraudulent,
Corrupt,
Illegal (including theft, violence or threatened violence, drug use and criminal damage against property),
Harassment and/or bullying of any kind,
In breach of Commonwealth or State legislation or local authority by-laws,
Unethical,
Serious improper conduct (other than listed above),
An unsafe work practice, or
Any other conduct which may cause financial or non-financial loss to HPC or be otherwise detrimental to the interests of HPC.