Whistleblower Policy and Procedure

Whistleblower Program Overview and Objective

A whistleblower is a person who makes a disclosure outside our existing internal reporting

procedures with respect to actual or suspected wrongdoing, including the occurrence of a Serious Incident Response Scheme (SIRS) reportable incident, serious misconduct such as corruption, fraud or other illegal or undesirable activity, or any breach of the provisions of the Aged Care Act.

We recognise that people who have a work, service or customer relationship with KOPWA are often best placed to identify illegal or other undesirable activity. Without a whistleblower program, people who see or suspect serious wrongdoing may remain silent for various reasons, including that:

there is not a clear mechanism for them to speak up
they are concerned that they may not have sufficient evidence to support their disclosure
they believe that action will not be taken
they believe that they may suffer detriment if they report the matter.

Statement of Commitment

KOPWA is committed to developing a culture of compliance and ethical behaviour and has developed this Program to deter wrongdoing and to encourage reporting of actual or suspected wrongdoing through appropriate channels. We are committed to protecting and respecting whistleblowers. This includes our commitments to protecting whistleblowers’ identities to the extent that it is practical and permitted by law, and to prohibiting reprisals, discrimination, harassment or victimisation against any suspected whistleblower, their colleagues or relatives.

Whistleblower Program Objectives

This Whistleblower Program documents the internal governance mechanisms that the organisation must implement and maintain to ensure that whistleblowers are made aware of their rights and feel comfortable that they can make a whistleblower disclosure without fear of recrimination or reprisal.

The objectives of our Whistleblower Program are to:

encourage and enable individuals to disclose actual or suspected wrongdoing knowing that their concerns will be taken seriously and investigated
give effect to whistleblower laws that prohibit regulated entities from taking adverse action against a whistleblower
provide clearly articulated guidance on how to disclose actual or suspected wrongdoing
provide a safe and confidential environment where individuals can raise reasonable concerns without fear of reprisal, even if their suspicions are not confirmed on investigation
enable the organisation to deal effectively with whistleblower disclosures in a transparent and timely way that protects the identity of the whistleblower, provides fair treatment to persons named in whistleblower disclosures, facilitates appropriate investigation of whistleblower disclosures and provides for the secure storage of the information provided and gathered
establish policies and procedures for protecting whistleblowers from retaliation, harassment or victimisation
provide for the appropriate governance infrastructure to allow the organisation to effectively implement and maintain our whistleblower procedures.

Our Governance Framework

It is important to recognise that our Whistleblower Program does not stand alone but rather is an integral part of our overall governance framework. The organisation has established the following internal reporting procedures designed to allow key stakeholders to raise concerns in the normal course of business:

Incident Management – designed to manage and prevent incidents and meet the requirements of the SIRS

Internal Grievance Procedures – designed to capture personal work-related grievances of staff

Feedback and Complaints Handling Procedures – designed to capture feedback and complaints from third parties

Work Health and Safety Notifications – our WHS Program is designed to capture information with respect to workplace hazards and incidents

Privacy Incidents and Breaches – our Privacy Program is designed to capture information with respect to privacy incidents and concerns.

Training of Staff

KOPWA is committed to training its Board members, volunteers and staff on the importance of reporting actual and suspected wrongdoing, as well as emphasising the undesirability of false or vexatious reporting.

To this end, the organisation has developed an internal Whistleblower Learning Course that is provided to all Board members, volunteers and staff as part of our induction program and on an ongoing basis as required.

Allocation of Resources

To support the effective implementation and maintenance of our Whistleblower Program, the organisation has allocated the following resources:

appointment of senior staff members – the CEO, Head of People & Culture and KOPWA Chairperson

Source of Obligation

There are two separate but overlapping sources of whistleblower laws: the Aged Care Act 2024 (Cth) (Aged Care Act) and the Corporations Act 2001 (Cth) (Corporations Act).

Every aged care home must comply with the requirements set out in the Aged Care Act. Many aged care homes must also comply with some or all of the whistleblower requirements set out in the Corporations Act. The rules for determining if the requirements in the Corporations Act apply are complex, and those requirements can apply even to incorporated associations and not-for-profit charities.

This Whistleblower Program follows a best practice approach that is designed to meet the requirements set by both the Aged Care Act and the Corporations Act.

Different Rules May Apply if a Whistleblower Disclosure is Made to an External Agency

We take a best practice approach that treats a disclosure as a whistleblower disclosure if it meets the criteria set by either the Aged Care Act or the Corporations Act.

However, other agencies do not take the same approach. External agencies such as the aged care and corporate regulators would apply the legislation that is relevant to them. Whistleblowers who wish to disclose directly to the Aged Care Quality and Safety Commissioner (Quality and Safety Commissioner) or the Australian Securities and Investments Commission (ASIC) should familiarise themselves with the requirements that are relevant to those agencies and, if unsure, seek legal advice.

Obligations Under the Aged Care Act

KOPWA is required by law to comply with the whistleblower protections requirements set out in Chapter 7, Part 5 of the Aged Care Act.

This Whistleblower Program provides guidance on the types of disclosures that are considered “Disclosures qualifying for protection” under the Aged Care Act and explains the protections that are provided under that Act. “Disclosure qualifying for protection” is the term used in the Aged Care Act and it means effectively the same thing as “whistleblower disclosure”. In this Program, when we say “whistleblower disclosure” we also mean “Disclosure qualifying for protection”.

Obligations Under the Corporations Act

KOPWA is subject to Part 9.4AAA of the Corporations Act..

ASIC, which is tasked with regulating compliance with the whistleblower protection provisions in the Corporations Act, has published Regulatory Guide 270 Whistleblower Policies explaining how ASIC interprets the law and provides practical guidance to assist entities to comply with their legal obligations under the Corporations Act.

ASIC also provides good practice guidance. For example, ASIC recommends that companies do not only make their whistleblower policies available to their officers and employees. If a company publishes its whistleblower policy on its website, the company’s external stakeholders will have access to information about how to make a disclosure and how they will be supported and protected. Our best practice approach means that we publish our whistleblower policy on our website.

This Whistleblower Program provides guidance on the types of whistleblower disclosures that are eligible for protection under the Corporations Act as well as the nature of the protections that are provided under the Act.

Part IVD of the Taxation Administration Act 1953 (Cth) (Taxation Act) corresponds to Part 9.4AAA of the Corporations Act. It provides protections to eligible whistleblowers for disclosures that relate to an entity’s tax affairs. Information about tax whistleblowers is published on the Australian Taxation Office website. References throughout this Program to the Corporations Act whistleblower protections are also a reference to the whistleblower protections under the Taxation Act.

Checkpoint: Is Whistleblowing the Best Option?

Blowing the whistle is different from making an everyday complaint or reporting a minor incident. A whistleblower disclosure is a special form of disclosure that must meet certain criteria, is recognised by the law and entitles the whistleblower to special protections.

Not every disclosure will qualify as a whistleblower disclosure. Also, even if the disclosure does qualify, the discloser may want to report via some other channel. For these reasons, it is important for potential whistleblowers and staff to understand:

when a disclosure will qualify as a whistleblower disclosure and entitle the person to special protections
what other reporting options are available.

These are complex issues that must be determined on a case-by-case basis. The information below is only a general guide.

Under the Aged Care Act, a Disclosure May Qualify as a Whistleblower Disclosure and entitle the Person to Protections if:

the disclosure is made to a relevant person under the Act, such as an aged care worker, a registered provider, a responsible person of the provider, police officer or a regulator;
the individual making the disclosure has reasonable grounds to suspect that an entity* may have contravened a section of the Aged Care Act; and
the disclosure meets the eligibility requirements *An “entity” means an individual, body corporate, body politic, partnership or any other unincorporated association that has a governing body.

Generally, a Disclosure May Not Qualify as a Whistleblower Disclosure if:

the matter is not serious or does not involve any contravention of the Aged Care Act;
the person making the disclosure does not have reasonable grounds to suspect that any wrongdoing occurred; or

the disclosure does not meet the eligibility requirements Other Reporting Options

Aside from whistleblowing, there are many procedures you can use to make a report. These include:

Incident Management Policies and Procedures

Internal Grievance Policies and Procedures

Feedback and Complaints Handling Procedures

Work Health and Safety Policies and Procedures

Privacy Policies

What is a Whistleblower Disclosure?

Blowing the whistle is different from making an everyday complaint or reporting a minor incident. A whistleblower report (also called a “whistleblower disclosure”) is a special kind of disclosure that meets three sets of criteria:

the disclosure must be made to an eligible recipient
the disclosure must be made orally or in writing
the disclosure must be about wrongdoing with respect to KOPWA and must meet the additional criteria below (eligible content).

Note: with regard to these criteria there are some differences between the requirements in the Aged Care Act and the requirements in the Corporations Act. These differences are noted in the relevant sections below.

Eligible Recipient

To qualify as a whistleblower disclosure, a disclosure must be made to one or more of these people or agencies:

the Quality and Safety Commissioner or a member of their staff
KOPWA’s Chairperson
the approved provider (i.e the organisation)
one of the organisation's responsible persons (including any person responsible for day-to-day operation of the service and any person who holds a nursing qualification and is responsible for nursing services, whether or not such persons are employed by the organisation)
an officer or senior manager of the organisation or a related body corporate
an aged care worker of the organisation
another person authorised by the organisation to receive reports of wrongdoing (e.g. the Head of People & Culture or CEO
an independent aged care advocate
if the disclosure is reported to another person in accordance with the Quality of Care Principles – that person
a police officer
an auditor, or a member of an audit team conducting an audit, of the organisation or a related body corporate (if the disclosure is made under the Corporations Act)
an actuary of the organisation or a related body corporate (if the disclosure is made under the Corporations Act)
the Australian Securities and Investments Commission (ASIC) (if the disclosure is made under the Corporations Act)
the Australian Prudential Regulation Authority (APRA) (if the disclosure is made under the Corporations Act)
a legal practitioner for the purpose of obtaining legal advice or legal representation in relation to whistleblower laws (if the disclosure is made under the Corporations Act).

Eligible Content

To qualify as a whistleblower disclosure, a disclosure must be about wrongdoing with respect to KOPWA. The person making the report must have reasonable grounds to suspect that the wrongdoing has occurred.

“Wrongdoing” means:

a contravention of a provision of the Aged Care Act 2024 (Cth)
misconduct or an improper state of affairs or circumstances in relation to KOPWA or a related body corporate.

Examples of Conduct that May Qualify as Wrongdoing

Reportable incidents (as defined under the SIRS and including elder abuse, assault, theft and neglect).
Dishonest and/or unethical conduct.
Fraud, forgery, misappropriation, misuse, misdirection, misapplication, maladministration or waste of funds.
Gross mismanagement.
Conflicts of interest that are not declared or managed appropriately, nepotism, favouritism.
Theft, embezzlement, tax evasion.
Corruption, taking or offering bribes or secret commissions.
Dishonesty involving influence such as blackmail.
Coercion, harassment or discrimination by, or affecting, any of our staff, volunteers or contractors.
Abuse of public trust.
Misleading or deceptive conduct of any kind, including conduct or representations that amount to improper or misleading accounting or financial reporting practices by or affecting the organisation.
Other criminally prosecutable offences.
Failure to report, or concealment of, an indictable offence.
Conduct that poses an unreasonable danger to the health or safety of others.
Failure to act in accordance with applicable professional and ethical standards.
A significant threat to the environment.
A significant breach of the terms of any contract that binds the organisation.
Other serious acts such as refusing to carry out lawful and/or reasonable actions under a contract.
Other serious misconduct that may materially damage the organisation’s reputation, or may otherwise be detrimental to the organisation.
Any other act that would otherwise be considered by a reasonable person to be serious improper conduct, or an improper state of affairs or circumstances.

Wrongdoing would also include a deliberate attempt to conceal any of the actions described above.

Examples of Conduct That Should Not Be Reported Under This Whistleblower Program

Mismanagement of the budget for the end of financial year celebration that does not involve misconduct such as fraud or embezzlement or nepotism.
Failure by a staff member to meet the personal expectations of a resident or their family members or carers (where the failure does not also constitute misconduct or a SIRS reportable incident, or involve a contravention of any provisions of the Aged Care Act).
A personal work-related grievance that has no serious implications for the organisation (see below).

Grievances and complaints that do not qualify for whistleblower protections should be managed under our Incident Management and Internal Reporting Policies and Procedures

Personal Work-Related Grievances

A “personal work-related grievance” is a grievance about a matter that relates to the discloser’s employment or former employment and has implications for them personally. Examples are:

an interpersonal conflict between the discloser and another employee
a decision relating to the engagement, transfer or promotion of the discloser
a decision to suspend or terminate the discloser’s engagement, or otherwise discipline the discloser.

Generally, a disclosure about a personal work-related grievance will not be considered a whistleblower disclosure.

However, where a personal work-related grievance involves a contravention of any of the provisions of the Aged Care Act or has serious implications for the organisation, it may be considered a whistleblower disclosure. Also, if the disclosure is about the victimisation of a whistleblower it may be considered a whistleblower disclosure.

Special Forms of Disclosure: Public Interest Disclosure, Emergency Disclosure and Tax-Related Disclosure

These forms of disclosure are subject to complex laws. Before making such a disclosure, a whistleblower should seek legal advice.

Public Interest and Emergency Disclosure

Usually a whistleblower disclosure would only be protected if it was made to one of the “eligible recipients” listed above. However, mechanisms of Public Interest Disclosure and Emergency Disclosure allow a whistleblower to receive protection for a disclosure made to a member of Parliament (of the Commonwealth or a state or territory), or a journalist working in a professional capacity.

The protections are only available if the whistleblower disclosure has already been made to ASIC, APRA or other prescribed Commonwealth authority, and several other conditions are also met. Refer to the Corporations Act Part 9.4AAA for more information.

Tax-Related Disclosure

Under the Taxation Act, whistleblower protections are available to eligible whistleblowers who make a disclosure to the Commissioner of Taxation or one of the other eligible recipients, provided the disclosure relates to taxation affairs. Refer to Part IVD of the Taxation Act.

How to Make a Whistleblower Disclosure

Determine if Whistleblowing Is the Best Option

Before making a whistleblower disclosure, consider:

does the disclosure qualify as a whistleblower disclosure? Refer to: What is a Whistlebower Disclosure
is blowing the whistle the best option or is it better to report via another channel? Refer to Checkpoint: is Whistleblowing the Best Option

Submitting a Whistleblower Disclosure

If you wish to obtain additional information before making a whistleblower disclosure, you may contact KOPWA’s Chairperson, the CEO, the Head of People & Culture or an independent legal adviser.

You can choose to make an anonymous disclosure. By providing non-identifying contact details, you will assist us to investigate your disclosure by enabling us to contact you if we need further information from you. You will also enable us to advise you of the outcome of the investigation.

If you provide your identity when you make your disclosure, this will help us to oversee your wellbeing.

Information to Provide in a Whistleblower Disclosure

For a whistleblower disclosure to be investigated it must contain enough information to form a reasonable basis for investigation. This includes any known details about the events underlying the actual or suspected wrongdoing, including:

a description of the events or activities, including locations
the names of the people involved and their roles
relevant dates and times
possible witnesses to the events
supporting documentary evidence of the events.

In your disclosure include any steps that you may have already taken to report the matter elsewhere or to resolve the concern.

Protection and Support for Whistleblowers

KOPWA is committed to providing a supportive environment for any person making a whistleblower disclosure and we will always strive to ensure that every whistleblower is protected from detriment as a result of blowing the whistle. This includes protection from dismissal or demotion, and any form of reprisal including retaliation, harassment or victimisation.

Key Roles and Responsibilities

KOPWA has identified the following roles and responsibilities relevant to the overall implementation and management of our Whistleblower Program.

It is important that the roles of the Board, Head of People & Culture, CEO and the Whistleblower Investigator are not held by the same person. These roles should operate, and be seen to operate, independently.

The Board

The Board is responsible for:

approving the organisation’s Whistleblower Program
approving the organisation’s Whistleblower Policy that is published on the organisation’s public website
approving the appointment of the Head of People & Culture
approving the appointment of the CEO

approving the appointment of Whistleblower Investigators, whether they be internal and/or external
promoting a culture within the organisation that supports transparency of and accessibility to our Whistleblower Program, as well as its effective operation
ensuring that the Executive Management Team has sufficient resources in place and that relevant staff are adequately skilled and qualified to effectively implement and manage our Whistleblower Program
ensuring that the Head of People & Culture and CEO have a direct line of communication to the Governance and Risk Committee
ensuring that it receives regular reports including on the number, nature and status of any whistleblower disclosures that have been received through our Whistleblower Program.

The Head of People & Culture

Our Head of People & Culture has a direct communication line with the CEO and the Chair of the Board to satisfy the objectives of our Whistleblower Program.

Our Head of People & Culture is responsible for:

effectively implementing our Whistleblower Program

promoting a culture within the organisation that supports transparency of and accessibility to our Whistleblower Program, as well as its effective operation
ensuring that our Whistleblower Program remains easily accessible to all Board members and staff through our PolicyConnect site
ensuring that our Whistleblower Policy is published on the organisation’s public website and is easily accessible to residents and their families, representatives and/or carers, staff, volunteers, contractors, suppliers and other key stakeholders
providing a report, or ensuring relevant Executive Management Team members provide a report, to the Board on any corrective action taken as a result of a whistleblower disclosure
the overall maintenance of our Whistleblower Program to ensure its continued currency and practical application
ensuring that all new directors, employees and contractors receive training.

CEO

The CEO is responsible for:

assessing disclosures received to determine whether they qualify as whistleblower disclosures under the Aged Care Act or the Corporations Act and the nature and extent of the investigation that may be required, including timeframes
providing protection and support to the whistleblower in accordance with our Whistleblower Program
respecting and protecting the whistleblower’s anonymity (if the whistleblower wants to be anonymous)
assigning a Whistleblower Investigator to a whistleblower disclosure in the event the disclosure relates to the Chairperson
ensuring that each disclosure received is appropriately investigated by a Whistleblower Investigator
where appropriate, providing assistance to the Whistleblower Investigator in carrying out the investigation
storing all information and documents relevant to the investigation securely
ensuring fair treatment of individuals mentioned in a disclosure.

Whistleblower Investigators

Whistleblower Investigators are appointed by the Chairperson and are assigned to whistleblower disclosures on a case-by-case basis depending on the particular circumstances of the whistleblower disclosure. If a disclosure related to the Chairperson, the CEO will assign a whistleblower investigator.

Whistleblower Investigators can be internal or external, however they must have appropriate qualifications and experience to conduct the investigation.

Refer to Receiving a Disclosure and Conducting an Investigation for more information on the roles and responsibilities of Whistleblower Investigators.

General Staff

Receiving a Whistleblower Disclosure

Any staff member who receives a whistleblower disclosure should promptly inform the Chairperson, Head of People & Culture or CEO of the disclosure. If the discloser wishes to remain anonymous, the staff member must take reasonable steps to protect the discloser’s anonymity. This may include withholding the discloser’s identity from the Chairperson, Head of People & Culture or CEO and other staff.

Protecting and Supporting Whistleblowers

All staff have a responsibility to contribute to a culture that supports and protects whistleblowers.

All staff have a responsibility to respect the confidentiality of a whistleblower disclosure and not share any information about the disclosure, or the discloser, except as authorised by this Program.

Staff must not engage in any behaviour that causes detriment to a person because that person blew the whistle. Such detrimental behaviours include reprisals, retaliation, harassment and victimisation. Staff who witness such detrimental behaviours must promptly report them to The Chairperson, Head of People & Culture or CEO or other appropriate staff member.

For more information, refer to Protection and Support for Whistleblowers.

Whistleblowers’ Responsibilities

Our Whistleblower Program is designed to deal with matters that are of a serious nature that cannot be reasonably handled through existing internal reporting and incident management procedures.

A person making a whistleblower disclosure is expected to:

have reasonable grounds for suspecting that wrongdoing has occurred, or will occur
not use the whistleblower service to report matters that they know to be false.

The inappropriate use of our whistleblower service will be viewed as misconduct and may lead to disciplinary action.

Receiving a Disclosure and Conducting an Investigation

Initial Assessment

When a disclosure of wrongdoing is received, a determination will be made as to whether it qualifies as a whistleblower disclosure and the nature and extent of the investigation that may be required, including timeframes that will allow the investigation to be conducted both thoroughly and with expediency.

Assigning a Whistleblower Investigator

A Whistleblower Investigator is assigned on a case-by-case basis depending on the particular circumstances of the whistleblower disclosure and, in the interests of both perceived and actual objectivity, consideration will be given to engaging external, independent investigators, particularly where the disclosure is serious.

The Head of People & Culture and CEO will act independently of the Whistleblower Investigator and focus on the protection of the whistleblower during the investigation.

Conducting the Investigation

The assigned Whistleblower Investigator is responsible for conducting investigations with respect to the whistleblower disclosure with the purpose of locating objective evidence relating to the claims made in the whistleblower disclosure.

The Whistleblower Investigator will be provided reasonable access to independent specialist advice if required and all Board members, staff members, volunteers and contractors at KOPWA will be required to assist the Whistleblower Investigator in carrying out their investigations to the maximum possible extent.

The Whistleblower Investigator will, as far as reasonably possible, follow best practice in investigations ensuring that:

all reports of suspected wrongdoing that are determined to require investigation are investigated in a way that adheres to the principles of objectivity, procedural fairness, confidentiality and natural justice. This includes providing fair treatment to people who have been mentioned in a report of wrongdoing by informing them of the substance of statements that have been made about them and giving them a reasonable opportunity to respond.
the system used to manage investigations is flexible. Communication is clear and unambiguous, and a multi-disciplinary approach is advisable where relevant to the issue in question. Successful resolution may be compromised if certain procedural steps are not followed during an investigation.
investigations are structured to reflect the reality of available resources and so project management techniques may need to be applied over a number of phases, each having clear statements of their objectives in terms of quality, time and cost
the investigation process is open to internal review, at the discretion of the Board. An audit trail will be maintained of investigation activities, and critical decisions made during the investigation will be documented.
any person who may be affected by the investigation is made aware of the allegations and evidence against them and is given the opportunity to respond. Their responses will be documented as part of the investigation’s findings.
investigations are carried out as fast as reasonably practical and with a degree of confidentiality consistent with the seriousness of the allegations raised
professional management techniques are applied to the investigation.

Protection and Support for Whistleblowers

If the whistleblower’s identity is known or they can be contacted through anonymous channels, the Chairperson, CEO or Head of People & Culture will:

always seek to protect a whistleblower from being compromised in the investigation and will seek to exclude the whistleblower from the investigation at the whistleblower’s request, or if it is considered in the best interests of the whistleblower
provide feedback to the whistleblower during the course of the investigation in a way that does not compromise the confidentiality of their identity. The frequency and timeframes for providing feedback will probably vary according to the nature of the disclosure and the investigations.
ensure that the whistleblower will be informed of the outcome of an investigation where appropriate. In particular:

if the whistleblower’s concern was substantiated, the action that has been taken or will be taken to address the issues
if the whistleblower’s concern was not substantiated, that no further action will be taken unless further information becomes available.

There may be circumstances where it is not appropriate to provide details of the outcome to the whistleblower.

Management of a Person Named in a Whistleblower Disclosure

KOPWA recognises that individuals who are named in a whistleblower disclosure must also be supported during the preliminary assessment of the whistleblower disclosure and during any subsequent investigation.

All reports of actual or suspected wrongdoing will be investigated in a way that adheres to the principles of objectivity, procedural fairness, confidentiality and natural justice. This includes ensuring that any persons who are implicated in the whistleblower disclosure:

are informed of the substance of the allegations against them at an appropriate time, and in an appropriate manner
are given a reasonable opportunity to respond
are informed about the substance of any adverse findings prior to the finalisation of the Whistleblower Investigator’s report
have their response to any allegations set out fairly in the Whistleblower Investigator’s report.

Procedures Where the Disclosure Does Not Qualify as a Whistleblower Disclosure

Where the disclosure does not qualify as a whistleblower disclosure, it will be at the discretion of the Whistleblower Investigator and the Chairperson to determine if and when the person implicated should be informed. This will often be determined by KOPWA's existing internal reporting procedures and investigation processes. The decision will take into account the desire to maintain the integrity of the person named, the maintenance of workplace harmony, the need to protect the person who made the disclosure, and the risk posed to any ongoing investigation.

Anonymity and Confidentiality

KOPWA will, as far as reasonably possible, provide to whistleblowers the ability to make a report anonymously and will take all reasonable steps to reduce the risk that the whistleblower will be identified as a result of the investigation of their disclosure.

A whistleblower can choose to remain anonymous while making a disclosure, over the course of the investigation and after the investigation is finalised. Where non-identifying contact is maintained between the whistleblower and the investigator during a subsequent investigation of the disclosure, a whistleblower may choose not to answer any further questions posed if they are concerned that it will lead to their identity being revealed. However, this may compromise the thoroughness of the investigation.

Procedures Where a Whistleblower Chooses to Disclose Their Identity

If a whistleblower provides their identity or non-identifying contact details to the investigator, this can assist in any subsequent investigation, and also allows the investigator to follow up to seek any clarification and provide feedback.

If a whistleblower’s identity is disclosed they will at the first opportunity discuss with the whistleblower the issue of confidentiality and the degree of risk that their identity may become known during an investigation and the risk that they may suffer detriment. In practice, people may be able to guess the whistleblower’s identity if they have previously mentioned to other people that they are considering making a disclosure, they are one of a small number of people with access to the relevant information, or the disclosure contains information that they have previously been told privately and in confidence.

If a whistleblower’s identity becomes known to the Head of People & Culture or CEO and/or Whistleblower Investigator, they will keep the identity of the whistleblower to themselves, where possible, in accordance with this Program

The whistleblower’s identity will be held in the strictest confidence and will only be disclosed if:

the whistleblower has been consulted and consents in writing to the disclosure; or
the organisation is authorised or compelled by law to do so.

Information that is likely to lead to the identification of the whistleblower may be disclosed where it is reasonably necessary for investigating a whistleblower disclosure and all reasonable steps are taken to reduce the risk that the whistleblower will be identified.

“Reasonable steps” that KOPWA will take to reduce the risk of a whistleblower being identified include, where possible:

ensuring that any meetings with the whistleblower are held in a private setting
ensuring that all communications, files and records that relate to the whistleblower are kept securely
informing any personnel who are aware of the whistleblower’s identity that they have an obligation to keep that identity confidential.

Reporting A Breach of Confidentiality

A whistleblower may complain to their Manager, the Head of People & Culture or, CEO, the Chairperson or the investigator about a breach of confidentiality. A whistleblower who has made a disclosure under the Corporations Act may also complain to ASIC. For more information, see ASIC’s Information Sheet 239, How ASIC handles whistleblower reports.

Supportive Environment

KOPWA is committed to providing a supportive environment for any person making a whistleblower disclosure. In particular, a whistleblower can expect that:

any request for anonymity is respected and if their identity is revealed it will, as far as possible, remain confidential and only be disclosed on an "as needed basis", or as required by law
the details of their whistleblower disclosure will remain confidential to the extent that is practical in the circumstances and will only be released on an “as needed basis”, or as required by law
they will be protected from retaliation, harassment or victimisation
should retaliation, harassment or victimisation occur, it will be treated as serious misconduct and the perpetrator of the retaliation will be subject to disciplinary action.

Where a whistleblower has provided their identity, it is the role of the person who received the report to ensure that the whistleblower is supported throughout the investigation process. A whistleblower who has disclosed their identity can expect that KOPWA will:

provide information about professional support services, such as confidential professional counselling services, that may be available to them
discuss with them strategies for minimising and managing stress and other challenges resulting from their disclosure and/or its investigation
discuss with them actions that may be necessary to protect them from the risk of their identity becoming known or from the risk of detriment, such as changing their work location or providing leave of absence.

KOPWA acknowledges that there may be a substantial personal cost to a person who makes a whistleblower disclosure.

Protection from Retaliation, Harassment or Victimisation

It is against the law to cause detriment to a person, or threaten to cause detriment to a person, because they made a whistleblower disclosure.

“Detriment” includes:

dismissal of an employee
injury of an employee in their employment
alteration of an employee’s position or duties to their disadvantage
discrimination between an employee and other employees of the same employer
harassment or intimidation of a person
harm or injury to a person, including psychological harm
damage to a person’s property
damage to a person’s reputation
damage to a person’s business or financial position
any other damage to a person.

A threat to cause detriment includes threats that are express or implied, conditional or unconditional. It is not necessary that the person who has been threatened actually fears that the threat will be carried out.

Detrimental conduct does not include taking reasonable administrative action to protect a whistleblower from detriment. For example, where a whistleblower’s disclosure has been about their immediate work area, we may move them to another work area to protect them from detriment. In these circumstances, the Head of People & Culture or CEO will explain the reasons for taking this action.

Our Policy

We do not tolerate reprisals or adverse action being taken against whistleblowers for reporting actual or suspected wrongdoing, including when suspicions are not substantiated following a thorough investigation.

We take steps to promote awareness to all staff of their responsibilities to treat their colleagues and stakeholders with respect and never to engage in behaviour that is discriminatory or that characterises bullying or harassment. These responsibilities encompass acknowledging that reporting actual or suspected wrongdoing is integral to an ethical culture and nobody who reports actual or reasonably suspected wrongdoing should experience detriment as a result.

Steps we take to promote awareness and protect whistleblowers include, where possible:

sharing this Program with staff and other stakeholders
staff training
facilitating a clear, easy process for whistleblowers to make reports and to do so anonymously if they wish
where a whistleblower’s identity is known, assigning the Head of People & Culture or CEO to the case to monitor the workplace for signs of retaliation, harassment or victimisation and intervene when necessary
facilitating a clear, easy process for reporting retaliation, harassment or victimisation
taking disciplinary action against anyone who retaliates against, harasses or victimises a whistleblower.

Reporting Retaliation, Harassment or Victimisation

A whistleblower who experiences actual or threats of retaliation, harassment or victimisation should immediately report it to the Chairperson, their Manager, Head of People & Culture, or CEO. Any such conduct will be treated as serious misconduct and the perpetrator of the retaliation will be subject to disciplinary action.

Whistleblowers can also report externally to police (if the disclosure is made under the Aged Care Act) or a lawyer (if the disclosure is made under the Corporations Act). A whistleblower whose disclosure relates to a Serious Incident Response Scheme (SIRS) reportable incident may also report to the Quality and Safety Commissioner. A person whose disclosure qualifies as a whistleblower disclosure under the Corporations Act may also contact the Australian Securities and Investments Commission (ASIC). For more information, refer to ASIC’s Information Sheet 239, How ASIC handles whistleblower reports.

Protection from Liability and Internal Disciplinary Action

The Aged Care Act and Corporations Act both say that a whistleblower is not subject to liability for making their disclosure. This means the whistleblower cannot be sued, criminally prosecuted or subjected to internal disciplinary action because they blew the whistle.

Note that the whistleblower is not liable for making the disclosure, but they may be held liable for other acts that came to light because of the disclosure. For instance, if the whistleblower’s disclosure leads to an investigation and the investigation reveals that the whistleblower committed a crime, they could be held liable for that crime. Also, if the whistleblower’s disclosure is false, they could be held criminally liable for making a false disclosure.

If a disclosure under the Corporations Act is made to ASIC, APRA or a prescribed Commonwealth authority, the information in the disclosure cannot be used against the whistleblower in a criminal trial, unless the whistleblower is being prosecuted for making a false disclosure.

Our Policy: No Liability for Whistleblower Disclosures

In accordance with the law, we will not take legal or disciplinary action against a person for making a whistleblower disclosure.

Our Policy: Wrongdoing Committed by A Whistleblower

We recognise that individuals may be reluctant to make reports with regard to serious misconduct as they may fear reprisals such as retaliation, harassment or victimisation.

To promote a culture that encourages whistleblower disclosures it is our policy that where a whistleblower has been involved in the wrongdoing but has not engaged in serious misconduct or illegal activity, the whistleblower may not, at the discretion of the Board, be subject to internal disciplinary proceedings that may have otherwise arisen from the matters that are the subject of the whistleblower disclosure.

Consequences of a Breach of Whistleblower Protections

A breach of whistleblower protections can harm the health and wellbeing of the whistleblower and other staff and damage the reputation of the organisation.

Breach of the protections also has legal consequences, which may include the imposition of a civil penalty or, where a whistleblower suffers damage as a result of retaliation, harassment or victimisation, payment of compensation.

KOPWA could also be subject to a range of orders, including orders to:

stop conduct that is causing detriment to the whistleblower
apologise to the whistleblower
reinstate a whistleblower who is an employee that has been dismissed

· pay exemplary damages (these are damages assessed in order to punish the defendant for outrageous conduct, reform the defendant and deter the defendant and others from engaging in similar conduct in the future).

· Internal Reporting and Corrective Action

Maintenance and Review

The Head of People & Culture is responsible for ensuring that our Whistleblower Program and Whistleblower Policy is reviewed and updated on a regular basis to ensure its currency and effectiveness.

The key objective of our maintenance and review process is to ensure that:

the structure of this Program and the Policy continues to meet our legal and regulatory obligations, as well as industry best practice
all Board members, volunteers and staff are trained as to the key elements of this Program
the Program remains highly visible with directions on how to make a whistleblower disclosure prominently displayed at all times
that there has been appropriate reporting with respect to the operation of our Whistleblower Program.

Whistleblower Program Accessibility

It is important that we make information about our Whistleblower Program, and how to access it, available to all Board members, staff, residents and their families, representatives and/or carers, volunteers, contractors, suppliers and other key stakeholders.

Our commitment to ensuring the highest standards of ethical conduct within the organisation includes creating and maintaining a 'speak-up culture', where all staff are encouraged to identify issues in the workplace and participate in resolving them. This includes 'speaking up' through our existing internal reporting procedures, including our Incident Management Program, Internal Grievance Policy and Feedback Policy and Complaints Handling Program.

Accessibility for Board Members, Volunteers and Staff

We take the following steps to make our Whistleblower Program accessible to all Board members and staff:

our Whistleblower Program is easily accessible through our PolicyConnect site
all Board members, volunteers and staff are required to complete our online Whistleblower Training Course
a ‘Blow the Whistle’ icon appears prominently on our PolicyConnect site that provides a link that details how to submit a whistleblower disclosure
we have developed a Whistleblower Policy, available on our public website, which replicates the key elements of our Whistleblower Program
our Whistleblower Program allows Board members, volunteers and staff to make reports through multiple mediums including online reports, telephone, email and mail
regular reminders with respect to the availability of our Whistleblower Program are forwarded in staff and Board communications.

Accessibility for Residents and their Representatives and/or Carers, Volunteers and Contractors, Suppliers and Other Key Stakeholders

We take the following steps to make our Whistleblower Program accessible to residents and their representatives and/or carers, volunteers and contractors:

Whistleblower Policy and Procedure

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