Whistleblower Protection Policy

Tonkin Consulting Pty Ltd ACN 606 247 876 (Tonkin) is committed to ensuring the protection of Whistleblowers who report in good faith legitimate concerns about Misconduct or an Improper State of Affairs or Circumstances. 

This Whistleblower Policy (Policy) details Tonkin's framework for receiving, investigating and addressing allegations of Misconduct or an Improper State of Affairs or Circumstances, which may relate to Tonkin itself, its current and former directors, officers, agents and employees or contractors (both past and present). 

In addition, where Tonkin relies on an external organisation to manage aspects of the Whistleblower process on Tonkin's behalf, Tonkin will use its best endeavours to ensure that the external organisation complies with the requirements of this Policy and the governing legislation. 

This Policy (and protections under the Corporations Act 2001 (Cth)) do not apply to reports of Personal Work-related Grievances. 
In the event of any inconsistency, the legislative requirements will override the provisions of this Policy. 

Purpose of the Policy 
Part 9.4AAA of the Corporations Act 2001 requires Tonkin to have a compliant whistleblower policy. Tonkin is committed to fostering a culture of ethical behaviour and good corporate governance. Accordingly, Tonkin has a reporting mechanism whereby employees and other persons can report their concerns freely and without fear of reprisal or intimidation. 

Tonkin has this Policy in place to: 

  • Encourage a culture that supports disclosure of wrongdoing 
  • Help deter wrongdoing, in accordance with Tonkin’s risk management and governance framework, including the Code of Conduct 
  • Ensure everyone who discloses suspected wrongdoing can do so with confidence and anonymity, so that their identity will be protected and so they will not experience any disadvantage 
  • Ensure that disclosures are dealt with appropriately and in a timely manner 
  • Provide transparency around the framework for receiving, handling and investigating disclosures 
  • Support Tonkin’s values, Code of Conduct and long-term sustainability and reputation as a business 
  • Meet Tonkin’s legal and regulatory obligations 

Who is an eligible Whistleblower? 
A disclosure can be made by a current or former employee, officer, contractor or supplier (including their employees) of Tonkin. It can also be made by their spouse, relative or dependant person. 

What is a disclosable matter? 
A disclosable matter is information that the discloser (whistleblower) has reasonable grounds to suspect concerns misconduct or an improper state of affairs or circumstances in relation to Tonkin and its operations. 
This includes reporting any of the following instances of suspected wrongdoing: 

  • fraud or fraudulent activity or corrupt, unlawful or illegal behaviour 
  • misleading or deceptive conduct, including conduct or representations which amount to improper or misleading accounting or financial reporting practices 
  • anti-competitive behaviour 
  • insider trading 
  • serious and mismanaged conflicts of interest 
  • unethical breach of the Code of Conduct 
  • endangering the health and safety of any person, which has been reported to management but not acted upon
  • creating a significant danger to the environment.

Tonkin will provide protections and measures so that a person making a disclosure may do so confidentially, without fear of intimidation, disadvantage or reprisal. 

Disclosures made anonymously are protected under Australian whistleblower laws. 

A discloser can still qualify for protection under this Policy if their disclosure turns out to be incorrect. 

Disclosures that may not be protected under the whistleblower laws include: 

  • Personal work-related grievances, which are matters that concerns the person’s current or former employment with Tonkin and have personal implications for that individual (and should be reported to HR or the Legal function). Some personal work-related grievances may be covered by the whistleblower protections; for example, a disclosure about a serious breach of employment or other laws where there is criminal conduct, or a disclosure that the person has been threatened with retaliation if they make a disclosure. 
  • Unsubstantiated allegations which are found to have been made maliciously, or knowingly to be false. These will be viewed seriously and may be subject to disciplinary action. 

A discloser, or whistleblower, should provide as much information as possible about the matter to enable an appropriate investigation of the suspected wrongdoing (for example, people involved, dates, locations and any other material which may be relevant). It may not be possible to conduct any investigation if there is insufficient information about the matter. 

Who can I make a report to? 
Disclosures that qualify for protection can be made anonymously through the external reporting service provider Grapevine via either a/an: 

  • Online report through https//tonkin.grapevineonline.com.au/
  • Telephone report through the Grapevine Hotline: 1300 933 977
  • Written report to the Grapevine Secure Mail Box at: PO Box 119, Carlton South Victoria 3053. 

Disclosures are captured in the Grapevine Portal and then a briefing report is uploaded by Grapevine to the Tonkin Client Portal where nominated Tonkin investigation officers are notified. 

Alternatively, Disclosures that qualify for protection can also be made internally (with Tonkin) through one of the following persons: 

  • Whistleblower Protection Officer 
  • A member of Tonkin’s Senior Leadership Team (SLT). 
  • Tonkin’s Legal team – you can raise concerns with a member of the Tonkin Legal team via email, phone or face to face. 

How to make a disclosure 
We encourage any disclosures to be reported in the first instance using one of the above external or internal options. 

Any person wishing to seek additional information prior to formally making a disclosure can also use the above options. 

Additional disclosure options include: 

  • A Director or Company Secretary of Tonkin 
  • Legal practitioners (even if the legal practitioner advises that the matter is not a protected disclosure) 
  • Regulatory bodies and other external parties such as the Australian Securities and Investments Commission (ASIC), the Australian Prudential Regulation Authority (APRA), the Australian Consumer and Competition Commission (ACCC) or the Australian Taxation Office (AT))
  • Journalists and members of the Commonwealth, state or territory parliaments, under certain circumstances in relation to a public interest or emergency disclosure 

Note: a disclosure to a journalist or parliamentarian must first be made to ASIC, APRA or a prescribed body and written notice provided to the body to which the disclosure is made. In the case of a public interest disclosure, at least 90 days must have passed since the previous disclosure. 

Protections Available to Whistleblowers 
Tonkin will take all reasonable steps to ensure that adequate and appropriate protection is being provided to those who make or propose to make a disclosure. The protection applies if the matter is proven or not and regardless of whether it is reported to an external authority. If an eligible whistleblower believes that they have suffered any victimisation as a result of raising a concern, they should inform the Whistleblower Protection Officer and may also seek independent advice or contact ASIC or APRA. 

The protections offered will vary depending upon the nature of the misconduct reported and the people involved. Protections may include, but are not limited to: 

  • Monitoring and managing the behaviour of other employees 
  • Offering a leave of absence or flexible workplace arrangements while a matter is investigated 
  • Access to and support from the Whistleblower Protection Officer.

Other protections available to disclosers who qualify for protection as a whistleblower, including protections under the Corporations Act are: 

  • Identity protection (confidentiality) 
  • Protection from detrimental acts or omissions (such as dismissal of an employee, injury of an employee, harassment, intimidation, discrimination, damage to a person’s property, reputation, business or financial position).

Additional protections that may also be available in certain circumstances include: 
•    Protection from legal action for reporting a concern 
•    Information provided may be inadmissible as evidence in legal proceedings against the discloser (unless they have provided false information) 
•    The discloser may be entitled to compensation or another remedy in certain circumstances. 

Whistleblower Support 
The Whistleblower Protection Officer will support the whistleblower and act as a liaison between the nominated Tonkin whistleblower investigation officer and the whistleblower. 

The Whistleblower Protection Officer will monitor the welfare of persons involved in or referred to in the whistleblowers report. The Whistleblower Protection Officer assists in protecting whistleblowers from any detrimental treatment. 

Tonkin also supports its employees who are whistleblowers by providing access to a confidential support and counselling service, the Employee Assistance Program (EAP) through TELUS Health: https://one.telushealth.com or Ph: 1800 835 871 or download the TELUS Health One mobile app for iOS or Android. 

Handling and Investigating a Disclosure 
All disclosures will be handled and investigated through Tonkin’s Whistleblower Protection Officer, who will ensure the discloser’s confidentiality is protected. Tonkin also ensures the fair treatment of employees who are mentioned in a disclosure that qualifies for protection, including those who are subject of the disclosure. 

Employees will also have the opportunity to be informed about allegations made against them during an investigation and respond. 
The following outlines the steps relating to the handling and investigation of a disclosure. 

Tonkin will ensure that the disclosure is investigated by a nominated Tonkin whistleblower investigation officer and managed by the Whistleblower Protection Officer. 

The Whistleblower Protection Officer may undertake an investigation themselves, through Tonkin’s legal team, or engage appropriately qualified and independent investigators to do so. It is at the Whistleblower Protection Officer's discretion to determine whether the report is investigated and whether that investigation is conducted internally or externally. 

All Whistleblower disclosures will be treated seriously and sensitively and assessed and considered by Tonkin in determining whether the report should be investigated. The investigation process will vary depending on the nature of the report. 

Any investigations commenced will be conducted in a timely manner. All employees and contractors of Tonkin must cooperate with any investigations. 

The Whistleblower Protection Officer will: 

  • provide assistance to the eligible whistleblower in relation to the process and this Policy
  • consider whether the conduct raised constitutes a Whistleblower disclosure and where it does not, notify the discloser (if their identity is known) of any other processes outside of the whistleblower process that can be taken to address the allegations
  • enable the investigation into the misconduct or an improper state of affairs or circumstances in a timely manner, and will use reasonable endeavours to finalise this process within 2 months, noting that the timeframes for investigation will vary depending on the nature of a Whistleblower disclosure and the timeframes for delivery of advice by external advisers (if any) 
  • ensure appropriate records and documentation are produced and maintained during the investigation process
  • maintain the eligible whistleblower's confidentiality, privacy anonymity (as required). 

If appropriate, the eligible whistleblower will be informed of the progress, and / or the outcome in a timely manner. If this occurs, the eligible whistleblower must maintain the confidentiality of such information and not disclose any information provided to them to any person. 

At the conclusion of the investigation, the person investigating the Whistleblower disclosure will report their findings to Tonkin's Chief Executive Officer (or Tonkin's Board if the Whistleblower disclosure relates to the Tonkin's Chief Executive Officer) who will determine the appropriate response in accordance with this Policy, any other applicable Tonkin's policies and procedures (if any), and any applicable legislation. The findings of the investigation should be documented. 

Tonkin will take appropriate disciplinary action against an employee, up to and including termination of their engagement or employment, if they engage in substantiated misconduct or an improper state of affairs or circumstances, if they victimise a person or if they unreasonably fail to comply with this Policy. The response will aim to rectify any misconduct or an improper state of affairs or circumstances and take the action necessary to prevent any future occurrences of the same or similar conduct. 

Where issues of discipline arise, the response by Tonkin will be made in accordance with any relevant legislation. 

Ensuring Fair Treatment of Employees Referred to in reports Tonkin will ensure that the investigation process will be thorough, objective, fair and independent of anyone who is the subject of the Whistleblower disclosure. 

The identity of accused individuals will only be disclosed on a strict need to know basis and information containing the identity of the accused individual will only be available to individuals who are directly involved in an investigation, or those involved due to their role within Tonkin. 

Any investigations will only be initiated if there are reasonable grounds to suspect wrongdoing provided by the eligible whistleblower. If there are reasonable grounds and an investigation ensues, the presumption of innocence applies to the accused.

Governance and Policy Review 
This Policy has been created in response to the Treasury Laws Amendment (Enhancing Whistleblower Protections) Act 2019 (Cth).