Whistleblower Protection Policy

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1 Whistleblower Protection Policy

2 Contents Definitions Background Purpose of this Policy Policy commitment To whom does this Policy apply? Laws, regulations and industry standards relevant to this Policy Objectives Process Map The reporting system How CAF will respond Investigation Whistleblower protection Roles and responsibilities of key stakeholders Rights and responsibilities of Whistleblowers Training in the Policy Non-compliance with this Policy For more information Review SUMMARY OF ATTACHMENTS ANNEXURE A ANNEXURE B ANNEXURE C ANNEXURE D ANNEXURE E SCHEDULE Version Approved Date Effective Date Policy Owner /11/ /11/2011 National Manager Compliance & Policy /05/ /05/2013 Corporate Manager - Legal /08/ /08/2014 Operations Manager Professional Standards /10/2015 (Board) 11/12/2015 Compliance and Advice Risk Manager 2 P a g e

3 Definitions Term The Board Definition The Centrepoint Alliance Limited Board of directors CAF Centrepoint Alliance Limited (ACN ) CAF Group Corruption Fraud Group Audit, Risk and Compliance Committee (GARCC) Protected Disclosure External Incident Manager (EIM) Improper Conduct CAF Group means CAF and all subsidiary companies. Dishonest activities in which a director, officer, employee, authorised representative or contractor of any CAF Group member acts contrary to the interests of the CAF Group and abuses his/her position of trust in order to achieve some personal gain or advantage for himself, herself, or for another person or entity. May be broadly defined as dishonestly obtaining a benefit by deception or other means. However, for a more specific definition, see AS The GARCC is a committee of the Board established in accordance with the constitution of CAF. Accordingly, the GARCC is authorised by the Board to assist it in fulfilling its statutory and regulatory responsibilities. Instances of actual or suspected breaches of the Act, where the Whistleblower satisfies the requirements of s1317aa of the Corporations Act 2001 (Cth), (the Act), and thus qualifies for the protection afforded by the Act. For further details see clause 11.3 below. The EIM (Head of Legal) is responsible for: collating reports of Improper Conduct generated externally (i.e. outside of the CAF Group); and in appropriate cases, convening a committee to investigate the reported matter. (See below for details of Whistleblower Investigation Committee). Includes, but is not limited to, conduct by a person or persons connected with the CAF Group, which in the view of a Whistleblower acting in good faith, is: dishonest, fraudulent, corrupt, illegal (including theft, drug sale/use, violence or threatened violence and criminal damage against property); or either in breach of Commonwealth or State legislation, or local by-laws; or unethical (either representing a breach of the CAF Code of Conduct /Code of Ethics and/or other relevant Codes such as the Financial Planning Association of Australia s (FPA s) Code of Professional Practice and the Association of Financial Advisers Ltd s (AFA s) Code of Conduct); or an unsafe work practice; or the making of any deliberately false or malicious allegations by a member of the CAF Group; or evidence of any legitimate Whistleblower being disadvantaged in any way for speaking out; or any other conduct which may cause financial or non-financial loss of CAF or be otherwise detrimental to the interests of CAF. (See AS for further details). 3 P a g e

4 Internal Incident Manager (IIM) Management Team Whistleblower Whistleblower Protection Officer (WPO) Whistleblower Investigation Committee (WIC) The IIM (the Chief Financial Officer and Human Resources Manager), is responsible for: collating reports of Improper Conduct (generated internally within the CAF Group); and participating as a member of the WIC, as and when required. See below for definition of WIC. A team of senior executives within CAF, as nominated from time to time. Any person who, whether anonymously or not, makes, or wishes to make a report of actual or suspected Improper Conduct on the part of a CAF Group director, officer, employee, authorised representative or contractor and where the Whistleblower wishes to avail themselves of protection against reprisal for having made the report. A Whistleblower may or may not wish to remain anonymous. The Head of Legal is responsible for ensuring so far as possible, that Whistleblowers are afforded protection within the meaning of AS A committee of three or more members selected from the Management Team and set up to investigate a report of Improper Conduct. The WIC is charged with the responsibility of undertaking the necessary investigation and delivering a report of their findings to the Board, via the GARCC. 4 P a g e

5 1.0 Background An effective Whistleblower Policy is considered by CAF to be integral to an effective corporate culture. As noted by the Australian Securities and Investments Commission ( ASIC ): Corporate cultures of silence, which allow wrong doing to go undetected, are seen as contributing to the recent round of local and international corporate failures. A regime protecting Whistleblowers is seen as part of the answer because it encourages reporting of contraventions by employees. 1 Throughout this Policy, CAF is referred to as we, us, our or any variations. 2.0 Purpose of this Policy In keeping with our commitment to a culture of corporate compliance and ethical behaviour generally, we have developed this. The purposes of this Policy are to: establish an appropriate system designed to facilitate the reporting of Improper Conduct; make provision for the relevant matter to be investigated by a committee set up for that purpose, and the resultant recommendations to be reported to the Board; and protect those reporting Improper Conduct from being discouraged to speak out because of the fear of repercussions and/or reprisals. In particular, CAF is committed to ensuring that any person reporting Improper Conduct is not disadvantaged or penalised by being dismissed, demoted, harassed or otherwise discriminated against. 3.0 Policy commitment CAF is committed to doing its part to ensure that consumers are consistently positioned to make informed and appropriate decisions with regard to personal and general financial advice and to do so with confidence in the advice they are receiving. Our policies and procedures are designed to address the needs of the consumer, meet our regulatory requirements and position us for success in achieving our objective of being the best adviser services business in Australia. We will continue to monitor and adapt our policies and procedures as we develop and strengthen our business, for the benefit of all stakeholders, with a firm focus of providing a high quality and reliable customer experience. 4.0 To whom does this Policy apply? This Policy applies to all directors, officers, employees, authorised representatives and contractors of CAF Group members. It also applies to: organisations external to the CAF Group; and members of the public. 1 Australian Securities & Investments Commission - Whistleblowers Company officeholder obligations 5 P a g e

6 5.0 Laws, regulations and industry standards relevant to this Policy This Policy incorporates elements of the following laws, regulations and Industry Standards, which include: The Corporations Act 2001 (Cth) ( the Act ) & the Corporations Regulations AS Corporate governance good governance principles AS Whistleblower protection programs for entities. 6.0 Objectives In line with the Australian Standard on Whistleblower protection programs for entities (AS ), the objectives of this Policy are to: (a) (b) (c) (d) encourage and facilitate the reporting of matters that may cause financial or non-financial loss or reputational harm to the CAF Group; provide avenues for those who have legitimate concerns to raise those concerns freely, confidentially and without fear of reprisal; provide a system complete with the appointment of personnel (such as the External and Internal Incident Managers and the Whistleblower Protection Officer), that will allow reported matters to be reviewed and investigated (by a specific committee set up for this purpose), with the appropriate recommendations to be made to the Board and such remedial action taken as appropriate; and set up guidelines concerning the support and protection of individuals making disclosures of Improper Conduct. 7.0 Process Map Relating to an employee's current employment Forward report to Human Resources Dept EIM & IIM to resolve the matter with the Whistleblower Grievance Arises From a belief or suspicion that someone within the CAF Group is involved in improper conduct Report generated outside CAF Group Report generated inside CAF Group Forward report to the External Incident Manager (EIM) Forward report to the Internal Incident Manager (IIM) Whistleblower notified within 10 working days indicating proposed action to be taken No Is further investigation warranted? Yes Recommendation to the CAF Board via the GARCC The Whistleblower Protection Officer (WPO) convenes a Whistleblower Investigation Committee (WIC) to investigate the matter 6 P a g e

7 8.0 The reporting system 8.1 The Whistleblowing process is a process managed by the Corporate Manager Legal who has been nominated as the WPO. 8.2 The Human Resources department of CAF has existing procedures in place designed to enable any employee to lodge a grievance relating to an employee s current employment. The is intended to cover major concerns that fall outside the scope of such procedures. Examples of the types of concerns where it may be appropriate to use the Whistleblower mechanism include: serious breaches of the CAF Code of Conduct and/or other instances of illegal or unethical conduct; evidence of fraud, dishonesty, corruption or other unlawful conduct on the part of directors, officers, employees, authorised representatives and contractors of any CAF Group member; instances of miscarriage of justice in the context of, (for example), unfair dismissal; claims of bullying; health and safety risks within the workplace; or other conduct that may cause financial or non-financial loss or otherwise cause damage to the reputation or financial viability of members of the CAF Group 8.3 Where any person genuinely believes or suspects that someone within the CAF Group is involved in: behaviour inconsistent with the Centrepoint Alliance Code of Conduct/Code of Ethics and/or other relevant Codes (such as the FPA Code of Professional Conduct and the AFA Code of Conduct), which includes acting in breach of any applicable law, regulation, standard and policy; being dishonest or involved in fraud, corruption or any other unlawful activity; evidence of serious health and safety risks within the workplace; any other conduct that may cause financial or non-financial loss to any member of the CAF Group, that person (the Whistleblower), is encouraged to report that belief or suspicion by contacting either the EIM or IIM (providing they have the appropriate evidence to support any such belief or suspicion), in accordance with the procedures set out in clause 8.4 below. 8.4 When making a report, the following procedures apply: (a) External reports of Improper Conduct (i.e. those reports generated outside of the CAF Group), should be directed to the EIM. The EIM can be contacted either by phone on or by or (b) Internal reports (i.e. those reports generated within the CAF Group) should be directed to the IIM. The IIM can be contacted either by phone on or by 8.5 Whistleblower reports can be made anonymously. However, legislative protections may not apply to reports made anonymously. See clause below for details of the pre-requisites that must be satisfied in order for the relevant disclosure to be protected within the meaning of section 1317AA of the Act. 7 P a g e

8 Anonymous Whistleblower reports will be referred to both the EIM and the IIM to decide whether or not the matter should be the subject of further investigation. 8.6 In any given case, CAF will take all reasonable steps to protect the identity of the Whistleblower, and will adhere to any statutory requirements concerning the confidentiality of reports made. CAF will also ensure that all documents and files created in relation to a report of Improper Conduct, whether paper or electronic, are kept secure. In appropriate cases, disclosure of the Whistleblower, or the allegation made by such Whistleblower, may be unavoidable, as in the case where a report in terms of this Policy culminates in court proceedings; disclosure is required by ASIC, the Federal Police, or under State or Commonwealth laws etc. 8.7 Subsequent to receipt of Whistleblower reports by the EIM and IIM, the WPO will have an obligation to examine the immediate welfare and protection needs of the relevant Whistleblower(s), if identified. 9.0 How CAF will respond 9.1 In order to protect individuals and those accused of misconduct, initial enquiries will be made by either the IEM or the IIM to decide whether an investigation is appropriate, and, if so, what form it should take. 9.2 Some concerns may be resolved after discussions between the IEM and/or the IIM (as appropriate), and the Whistleblower, without the need for further investigation. 9.3 Within ten working days of a concern being raised, the EIM or IIM (as appropriate) will provide a written response to the Whistleblower, acknowledging that the concern/issue has been received and indicating how it is proposed to deal with the matter. For a sample Whistleblower Acknowledgment Letter, see Annexure B attached Investigation 10.1 Once a report of suspected Improper Conduct has been received from an individual who provides reasonable grounds for his/her belief that Improper Conduct has occurred, the WPO may, in appropriate cases, convene a WIC to investigate the matter The composition of the WIC will vary depending on the nature of the conduct to be investigated. In each case the WIC should involve a minimum of three members of the Management Team (or in some cases their duly authorised delegates), including, but not limited to: Chief Financial Officer and Human Resources Manager; Head of Information Technology Services; Head of Legal; Compliance and Advice Risk Manager; National Communications and Marketing Manager; Head of Risk & Claims. 8 P a g e

9 Where an investigation involves a CAF Group director, officer or employee above the rank of a Management Team member, no appointed member of the WIC will be permitted to delegate their function/role to anyone else, i.e. the duly appointed member will be expected to personally fulfil the task which has been assigned to them A quorum of three (3) members of the WIC will be required to investigate any given matter. Failure to obtain a quorum in any given case will require that particular WIC to be disbanded and a new WIC convened WIC recommendations in any given matter must be based on a two/thirds majority vote by the appointed WIC members (or, where permitted, their duly authorised delegates) In certain cases, the WIC may decide there is a need to refer the relevant report to an appropriate external investigator. Such external investigator may include external lawyers and/or accountants or other specialist third party/ies as appropriate A matter will not be investigated by any person who is either implicated in the subject matter of the Whistleblower s report and/or who is known to have a direct influence over the person investigated; 10.7 The key functions of a WIC investigation are to: collate information relating to the allegation as quickly as possible; consider the information collected; make a recommendation based on the evidence in a manner that is fair, objective and affords natural justice to all parties involved. (The principles of natural justice, also known as procedural fairness, have developed to ensure that decision-making is fair and reasonable); make contemporaneous notes of all discussions, phone calls and tapes of all interviews with witnesses when conducting an investigation; ensure confidentiality, including, but not limited to, establishing a confidential filing system for storing all information it has received, conducting interviews in private and taking all reasonable steps to protect the identity of the Whistleblower; and warn the Whistleblower and his/her WPO where disclosure of the identity of the Whistleblower cannot be avoided due to the nature of the allegations. It is at the discretion of the WIC to allow any witness to have legal or other representation or support during an interview. If a witness has a special need for legal representation or support, permission should be granted. Costs associated with legal representation will be the responsibility of the party engaging that representation In conducting any investigations, an Investigation Plan will allow the WIC to list the issues to be substantiated by the WIC and consider the avenues available for the WIC to investigate the alleged improper conduct made against the CAF Group member. For a sample Investigation Plan, see Annexure C attached. See also Annexure D attached for a pro-forma file note for recording the formal interview of the CAF Group member under investigation for improper conduct. 9 P a g e

10 10.9 At the conclusion of the investigation by the WIC, a person nominated as chairman of the WIC will prepare a report of the WIC s findings/recommendations. These findings/ recommendations will be presented to the Board via the GARCC. See Annexure E attached for a sample WIC Final Report format Where an investigation shows that wrongdoing has occurred within the CAF Group, CAF is committed to changing its processes and taking action in relation to those CAF Group members who have behaved incorrectly Where illegal conduct may have occurred, this may involve reporting the matter to relevant authorities and, in some cases, to the police In some circumstances CAF may also be required to report instances of Improper Conduct to the relevant regulatory authorities, such as ASIC Whistleblower protection 11.1 A Whistleblower who reports matters in good faith will not be penalised, or personally disadvantaged because he/she has reported the Improper Conduct in question. In particular, CAF will not tolerate any instances of a legitimate Whistleblower being: dismissed; demoted; subjected to any form of bullying or persecution; or otherwise discriminated against If a legitimate Whistleblower subsequently reports being disadvantaged for speaking out, that report will be assessed as a new report of Improper Conduct and will be investigated on the basis set out in this Policy Protected Disclosures Corporations Act Pre-Requisites To be protected as a Whistleblower under the Corporations Act, the Whistleblower must: (a) be: an officer (i.e. a director or company secretary) of a CAF Group member; or an employee of any CAF Group member; or a person who has a contract to supply goods or services to a CAF Group member; or an employee of a person who has a current contract to supply goods or services to a CAF Group member; and (b) make the disclosure to: ASIC; or CAF s external auditors, or a member of an audit team conducting an audit of a CAF Group member(s); or a director, secretary or senior manager of a CAF Group member; or a person authorised by CAF to receive Whistleblower disclosures (i.e. either the IIM or EIM as appropriate); and 10 P a g e

11 (c) provide his/her name before making the disclosure; and (d) have reasonable grounds to suspect that the information the Whistleblower is reporting indicates that: (i) a CAF Group member has, or may have contravened a provision of the Corporations legislation; or (ii) an officer, employee, adviser or contractor of a CAF Group member has or may have contravened a provision of the Corporations legislation; and (e) makes the disclosure in good faith Disclosures that qualify for protection under the Corporations Act Whistleblowers who satisfy the pre-requisites outlined in clause above will be entitled to the following statutory protections: (a) The Whistleblower may be exempt from civil or criminal liability for making the disclosure. (For example, the Whistleblower may be protected from legal action for defamation as a result of making the relevant disclosure); and (b) No contractual or other remedy may be enforced, and no contractual or other right may be exercised against the Whistleblower on the basis of the Whistleblower s disclosure. (For example, the Whistleblower may enjoy immunity from legal action for breaching the confidentiality provisions contained in his/her employment contract) Roles and responsibilities of key stakeholders Stakeholder The Board The GARCC External Incident Manager (EIM) Role/responsibility Key responsibilities include: approving any substantial changes to the Whistleblower Protection Policy; and considering the WICs final report and making a decision in respect of that report. The GARCC is responsible, amongst other things, for: (a) approving any reviews/updates of this Policy where the changes are not significant; and (b) referring the WICs final report to the Board. Key responsibilities of the EIM include: collating reports of Improper Conduct generated externally (i.e. outside of the CAF Group); in appropriate cases, convening a committee to investigate the reported matter. (See below for details of Whistleblower Investigation Committee); acting as an initial contact point for members of the public regarding Whistleblower matters; receiving all phone calls, s and correspondence from members of the public and record verbal discussions in writing; obtaining further details from the Whistleblower and analysing the details of the information provided; 11 P a g e

12 Internal Incident Manager (IIM) impartially assessing disclosures from the public regarding Whistleblower matters; providing a written response to the Whistleblower within 10 days of a concern being raised, acknowledging that the concern has been received and indicating how CAF proposes to deal with the matter (provided the identity of the Whistleblower is known); ensuring confidentiality, including establishing a confidential filing system for storing disclosures from the public regarding Whistleblower matters; taking all necessary steps to ensure the identity of the Whistleblower and the person who is the subject of the disclosure is kept confidential; preparing a Whistleblower Report, disclosures and supporting evidence from the public about Whistleblower matters to the WIC; and liaising with the WIC and the Board, where necessary. Key responsibilities include: collating reports of Improper Conduct (generated internally within the CAF Group); participating as a member of the WIC, as and when required; acting as an initial contact point for directors, officers, employees, authorised representatives and/or contractors of any CAF Group member about Whistleblower matters; receiving all phone calls, s and correspondence from directors, officers, employees, authorised representatives and/or contractors of any CAF Group member and recording verbal discussions in writing; obtaining further details from the Whistleblower and analysing details of the information provided; providing a written response to the Whistleblower within 10 days of a concern being raised, acknowledging that the concern has been received and indicating how CAF proposes to deal with the matter (provided identity of the Whistleblower is known); making arrangements for disclosures to be made privately and away from the workplace, if necessary; impartially assessing disclosures from directors, officers, employees, authorised representatives and/or contractors of any CAF Group member regarding Whistleblower matters; ensuring confidentiality, including establishing a confidential filing system for storing disclosures from the CAF Group s directors, officers, employees, authorised representatives and/or contractors about Whistleblower matters; taking all necessary steps to ensure the identity of the Whistleblower and the person who is the subject of the disclosure is kept confidential; preparing a Whistleblower Report enclosing all disclosures and supporting evidence; forwarding the Whistleblower Report to the WPO for the purpose of examining the immediate welfare and protection needs of the relevant Whistleblower if identified; forwarding the Whistleblower Report, disclosures and supporting evidence from the CAF Group s directors, officers, employees, authorised representatives and/or contractors about Whistleblower matters to the WIC; and 12 P a g e

13 liaising with the WIC and the Board, where necessary. Whistleblower Whistleblower Investigation Committee (WIC) Whistleblower Protection Officer (WPO) For details of rights and responsibilities of Whistleblowers please see clause 13.0 below for details. The WIC is charged with the responsibility of undertaking the necessary investigation and delivering a report of their findings to the Board, via the GARCC. The WPO is responsible for : ensuring so far as possible, that Whistleblowers are afforded protection within the meaning of AS ; examining the Whistleblower s immediate welfare and protection needs and where that person is an employee, fostering a supportive work environment; liaising with the IIM and/or EIM regarding any steps taken to protect the immediate welfare and protection of the Whistleblower; documenting any steps taken to protect the immediate welfare and protection of the Whistleblower s expectations of the process and ensuring outcomes are realistic; receiving and responding to any disclosures of detrimental action against the Whistleblower in reprisal for making the disclosure (e.g. harassment, intimidation or victimisation); making arrangements for any disclosures of detrimental action against the Whistleblower in reprisal for making the disclosure to be made privately and away from the workplace if necessary; and reporting any disclosures of detrimental action against the Whistleblower in reprisal for making the disclosure to the WIC and/or the Board Rights and responsibilities of Whistleblowers 13.1 Whistleblowers must in all cases: act in good faith when making a complaint and not make a false disclosure knowing it to be false or being reckless about whether it is false; and assist with the investigation of the complaint to the extent required The intentional filing of a false report is itself considered Improper Conduct which CAF has the right to act on. The making of any deliberately false or malicious allegations by a CAF Group is a serious offence which may result in a disciplinary action up to and including dismissal. The current CAF employment agreement contains the following ground, (amongst others) for summary dismissal: If the employee is guilty of any serious misconduct in the course of their employment, which in the reasonable opinion of CAF may tend to injure the reputation or the business of CAF Whistleblowers should not attempt to obtain evidence they have no right to access. Such improper access may itself be considered Improper Conduct. Whistleblowers are essentially reporting parties and for this reason should not attempt to conduct investigative activities in their own right Whistleblowers making a report of alleged Improper Conduct should be prepared to set out all known information regarding any reported allegations and provide evidence in support of any such allegations. See Annexure A attached for details of the information required when lodging an Improper Conduct Incident Notification Form. In this case Whistleblowers may be entitled to 13 P a g e

14 request positive action by CAF to protect them during an investigation where it will not be possible to maintain the anonymity of the Whistleblower Anonymous Whistleblowers must provide sufficient corroborating evidence to justify the commencement of an investigation. As anonymous Whistleblowers are unable to be interviewed, it may be more difficult to evaluate the credibility of the allegations and therefore, less likely to cause an investigation to be initiated Where possible, and assuming the identity of the Whistleblower is known, the Whistleblower will be kept informed of the outcome of the investigation of his/her report, subject to privacy and confidentiality considerations Protection of a Whistleblower s identity will be maintained to the extent possible within the legitimate needs of the law The Corporations Act allows CAF to pass on the identity and information provided by a Whistleblower to ASIC, the Australian Prudential Regulation Authority and the Australian Federal Police without asking for permission from the Whistleblower The Corporations Act does not allow further disclosure of a Whistleblower s identity to be made without their consent Training in the Policy Specific training for employees and authorised representatives of the CAF Group members, concerning the importance of reporting improper conduct practices and whistleblower protection have been incorporated in the induction process. Ongoing training will also be provided where applicable Non-compliance with this Policy Non-compliance with this Policy may result in disciplinary and/or legal action, and could include dismissal, or termination of a relationship with CAF, if the breach is considered serious. It is each person s responsibility to understand how this Policy applies to them as a CAF Group director, officer, employee, authorised representative and/or contractor appointed by any member of the CAF Group. If you have any questions in relation to this Policy, please contact the WPO on (07) For more information If you would like more information on this Policy please contact the Professional Standards team by ing or by calling Professional Standards on P a g e

15 17.0 Review This Policy will be reviewed at least annually or as changing circumstances warrant. 15 P a g e

16 SUMMARY OF ATTACHMENTS Annexure A Improper Conduct Incident Notification Form Annexure B - Whistleblower Acknowledgment Letter Annexure C - Investigation Plan for Whistleblower Investigation Committee Annexure D Pro-forma File Note (Formal Interview with CAF Group Member under investigation for Improper Conduct) Annexure E Whistleblower Investigation Committee Final Report Schedule 1 Legal Sign-Off Sheet 16 P a g e

17 ANNEXURE A IMPROPER CONDUCT- INCIDENT NOTIFICATION FORM Date of report Details of the person making the report: Name Position/Title Phone Number Address Date of incident or Date incident was identified Type of incident Location of incident Description of incident (i.e. details of facts and circumstances surrounding the alleged Improper Conduct) 17 P a g e

18 18 P a g e

19 Identity of persons involved in incident Any other information that may be used to show reasonable grounds for the concerns outlined above Attach copies of any documents as supporting evidence, (if available) The concerns you raised will be treated in confidence to the maximum extent possible. We will not disclose your identity without consent unless it is absolutely necessary in order to investigate serious allegations (or is required by law). Importantly, any information provided to us must not be released to any person who is not involved in the investigation or resolution of this matter. Furthermore, your identity or any information provided that may lead to your identification will not be released to any person who is not involved in the investigation or resolution of this matter. A breach of this Policy will be regarded by CAF as a serious disciplinary matter and dealt with accordingly. I acknowledge that the information I have provided is: (a) A true and accurate representation of the events which occurred that has led to notifying CAF of the improper conduct of its representative(s) and does not contain any misleading statements or omissions. (b) I consent / I do not consent to the disclosure of my name. (c) I consent / I do not consent to this information being used by any person who is involved in the investigation or resolution of this matter. Signed: Name: Date: 19 P a g e

20 ANNEXURE B WHISTLEBLOWER ACKNOWLEDGMENT LETTER [Insert CAF Letterhead] In Confidence Date: Name: Address: Dear [Insert Whistleblower s name] I refer to our telephone conversation dated xx/xx/201x [insert your facsimile / correspondence dated xx/xx/201x] regarding the alleged improper conduct [insert specific details of the alleged improper conduct of the relevant CAF Representative including dates] by [insert name of the CAF Representative]. The alleged improper conduct by [insert name of CAF Representative] has been taken seriously by CAF and thoroughly investigated in line with the CAF. We will notify you of the outcome of our investigation in due course. In the meantime, we would greatly appreciate if you could provide us with the following additional information: 1. [list all additional information you require]; The concerns you raised will be treated in confidence to the maximum extent possible. We will not disclose your identity without consent unless it is absolutely necessary in order to investigate serious allegations (or is required by law). Importantly, any information provided to us must not be released to any person who is not involved in the investigation or resolution of this matter. Furthermore, your identity or any information provided that may lead to your identification will not be released to any person who is not involved in the investigation or resolution of this matter. A breach of this Policy will be regarded by CAF as a serious disciplinary matter and dealt with accordingly. Please do not hesitate to contact me on [insert contact details] should you have any questions regarding the progress of the investigation or any additional information we have requested. Kind regards [Insert Name of External Incident Manager / Internal Incident Manager] 20 P a g e

21 ANNEXURE C INVESTIGATION PLAN FOR WHISTLEBLOWER INVESTIGATION COMMITTEE ( WIC ) HIGHLY CONFIDENTIAL Name of the CAF Representative being investigated: Role/Position of the CAF Representative: Location of the CAF Representative: Type of alleged Reportable Conduct: Name of Whistleblower: Does the Whistleblower wish to remain anonymous? Have you received the Whistleblower Report by the EIM or IIM? Date Whistleblower reported Improper Conduct: Date the Improper Conduct was referred to the WIC: Date investigation commenced: Estimated Date by which investigation to be concluded Yes / No Yes / No xx/xx/201x xx/xx/201x xx/xx/201x xx/xx/201x Members of the WIC include: The possible findings or offences are: Any relevant legislation applying to the alleged improper conduct by the CAF Representative: The facts in issue are: 21 P a g e

22 Any matters that need to be clarified by the Whistleblower: Any additional material required to be supplied by the Whistleblower: Recommended Actions / Details: Names of persons to be interviewed and dates of interviews: Date WIC notified the CAF representative that he or she was under investigation: Date WIC will interview the CAF representative who is under investigation: Status [Opened / Closed]: (If closed, detail how matter resolved) Signed by: Name of WIC Member 1.. Signature: Name of WIC Member 2: Signature: Name of WIC Member 3: Signature: 22 P a g e

23 ANNEXURE D PRO-FORMA FILE NOTE FORMAL INTERVIEW WITH the CAF REPRESENTATIVE (REPRESENTATIVE) UNDER INVESTIGATION FOR IMPROPER CONDUCT Subject: File Note of Formal Interview with the CAF Representative under investigation for improper conduct Also present at the meeting: [Note, the Representative is entitled to a support person to be present at this meeting] Introduction and background If applicable: At previous discussions dated xx/xx/201x, the following issues relating to improper conduct were raised: Explanation of the issue The details of improper conduct and supporting evidence that were discussed today: (Refer to specific allegations of improper conduct made by the Whistleblower and the CAF Code of Conduct, CAF and relevant statutory provisions if applicable) [Insert employer s name] was clearly advised that the alleged improper conduct is not acceptable and cannot continue. Discussion of the issue with the person [Insert CAF Representative s name] was invited to put forward their thoughts and explanations to his or her defence and these were: Exploring the outcomes with the person [Insert CAF Representative s name] was advised of the following outcomes of the alleged improper conduct if proven against him or her: 23 P a g e

24 Opportunity to provide any additional information And, [Insert CAF Representative s name] has agreed to provide by xx/xx/201x, the following additional information in his or her defence that may influence the outcome of the Investigation Report. Review Process [Insert Representative s name] was advised that the Investigation Report will be completed by xx/xx/201x and the [Insert employee s name] will be notified by xx/xx/201x of the outcome of the investigation by [insert method of notifying CAF Representative of outcome of the investigation eg letter etc]. [Insert employee s name] was invited to comment on any issues raised during the discussion and their comments were: Acknowledgment [Insert CAF Representative s name] has been given a copy of this file note and agrees that it is an accurate record of the discussion and understands the implications of the discussion. CAF Representative Signature [Insert CAF Representative s name and date] Whistleblower Investigation Committee Member Signature [Insert Whistleblower Investigation Committee Member s name and date] 24 P a g e

25 ANNEXURE E WHISTLEBLOWER INVESTIGATION COMMITTEE FINAL REPORT HIGHLY CONFIDENTIAL We refer to the [insert CAF Representative s name] improper conduct alleged by [insert name of Whistleblower] on [insert date] and this matter was thoroughly investigated by the Whistleblower Investigation Committee ( WIC ) in line with the CAF. Allegations The allegations made by [insert name of Whistleblower] on [insert date] were: Steps taken to investigate the matter The steps taken by the WIC to thoroughly investigate the matter included: [e.g. Whistleblower Acknowledgment sent on (insert date), WIC convened a meeting to discuss alleged improper conduct on (insert date), action plan was completed on (insert date), and the following persons were interviewed on (insert date) etc]. Evidence we relied on in making our decision In making our decision, we have relied on the following evidence: [E.g. list and attach to the WIC Final Report the transcript or other record of any oral evidence taken, including tape recordings, and all documents, statements or other exhibits received and accepted as evidence during the course of the investigation]. Because [insert reasons why WIC considered evidence as being reliable]. In addition, we have rejected the following evidence as being unreliable: Because [insert reasons why the WIC rejected evidence as being unreliable]. 25 P a g e

26 Our Decision On account of all information received, the decision we have reached and the basis for our decision is: Our Recommendations Given that we have found that the [insert CAF Representative s name] alleged improper conduct has occurred, our recommendations include: [e.g. notifying Whistleblower of outcome of investigation, outline the steps to be taken CAF to prevent the conduct from continuing or occurring in the future, any actions that should be taken by CAF to remedy any harm or loss arising from the conduct, disciplinary proceedings against the person responsible and/or referring the matter to a Federal or State Department for further consideration etc] In the alternative, given that we have not found that the [insert CAF Representative s name] alleged improper conduct has occurred, we have closed this matter. We also intend to notify the [insert Whistleblower s name] of the outcome of this matter and notifying [insert Whistleblower s name] of his or her rights to object to our decision. Our recommendations were approved by the following members of the WIC: [Any WIC recommendation must be based on a two/thirds majority vote by the appointed WIC members (or, where permitted, their duly authorised delegates)] The Rights of [insert CAF Representatives Name] Given that the WIC Final Report includes adverse comments against [insert CAF Representative s Name], he or she will be given an opportunity to respond and [insert CAF Representative s Name] defence will be fairly included in the WIC Final Report. [Please list any other rights the CAF Representative may have under the Corporations Act 2001 (Cth) or any other statute]. Whistleblower Investigation Committee Member 1 Signature [Insert Whistleblower Investigation Committee Member s name and date] Whistleblower Investigation Committee Member 2 Signature [Insert Whistleblower Investigation Committee Member s name and date] Whistleblower Investigation Committee Member 3 Signature [Insert Whistleblower Investigation Committee Member s name and date] 26 P a g e

27 SCHEDULE 1 LEGAL SIGN OFF SHEET Date: 2014 Policy Description: ORIGINATOR (OWNER OF POLICY): Date : Name: Signature Remarks: LEGAL: Date : Name: Signature: Remarks: GROUP AUDIT, RISK AND COMPLIANCE COMMITTEE: Date : Remarks: Names: (Please attach copy of Minutes) Date of Minutes: THE BOARD: Date : Names: (Please attach copy of Minutes) Resolution Date: Remarks: Added to Policy Management Register Scanned for Electronic Files 27 P a g e

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