Governance

1. PURPOSE

RFDS SA/NT is committed to promoting a culture of integrity and ethical behaviour where our decisions, actions and conduct reflect and reinforce our workplace values. 

We want to encourage all eligible whistleblowers, to tell us, as soon as possible, about any concern they have about possible non-compliance, misconduct or an improper state of affairs at RFDS SA/NT. 

This might include concerns about breaches of the law. 

This Policy outlines: 
(a) what a whistleblowing disclosure is; 

(b) who can make a whistleblowing disclosure;

(c) how to make a whistleblowing disclosure in respect of RFDS SA/NT;

(d) how RFDS SA/NT will deal with your whistleblowing disclosure; and

(e) what support and protections we offer eligible whistleblowers where a protected disclosure is made.

2. SCOPE

This Policy Applies to all employees and officers of RFDS SA/NT and any eligible whistleblowers who wish to make a whistleblowing disclosure in relation to RFDS SA/NT. 

This Policy is available to RFDS SA/NT's employees on Pulse. eligible whistleblowers who are not employees can access this policy via RFDS SA/NT's website from the General Policy and Compliance page. 

This Policy is not (and is not intended to be) contractual in nature, but sets out useful information and explains procedures. You might need to comply with those procedures so that you can access the protections that RFDS SA/NT may make available to you. 

RFDS SA/NT may vary this Policy from time to time. It may be appropriate for RFDS SA/NT to depart from this Policy in serious circumstances (such as if there is a risk to a person's life or safety). 

Note: This policy does not derogate from any responsibility for reporting under the Health Practitioner Regulation National Law Act 2009, the Health Practitioner Regulation National Law (South Australia) Act 2010, and the Health Practitioner Regulation (National Uniform Legislation) Act 2010 (HPRNL Acts). Mandatory notifications made under the HPRNL Acts are excluded from the provisions of this Policy and internal processes must be followed to raise a concern relating to alleged clinical misconduct by a health practitioner.

3. DEFINITIONS 

Associate: Associate has the same meaning as provided in the Corporations Act 2001 (Cth) (Corporations Act).

Dependent: A dependent of a person is a spouse or child of that person, any other person that person is in an interdependent relationship with or a person who is substantially financially dependent on that person.

Relative: Relative means the spouse, parent or remoter lineal ancestor, child or remoter issue, or brother or sister of a person.

Staff: Staff refers to employees, contractors, volunteers and officers.

4. PRINICIPLES

4.1 Who is an eligible whistleblower?

• Current and former Staff
• Suppliers of goods and services to RFDS SA/NT (including their Staff) 
• Associates of RFDS SA/NT
• The Relatives and Dependants of these people and Dependents of spouses of these people 
  - May all be eligible whistleblowers.

Once an eligible whistleblower makes a whistleblowing disclosure, that person is legally protected under relevant legislation.

4.2 What is a whistleblowing disclosure?

A whistleblowing disclosure is a disclosure:

(a) made by an eligible whistleblower

(b) of information that is protected under the Corporations Act or the Taxation Administration Act 1953 (Tax Act); and

(c) to an eligible recipient (see parts 5.1, 5.2, and 5.3).

You might be able to make a whistleblowing disclosure under the Corporations Act if you have reasonable grounds to suspect that you have information that concerns misconduct or an improper state of affairs or circumstances in relation to RFDS SA/NT or a related company. This includes information that indicates that RFDS SA/NT (or any of its employees) has engaged in conduct that:

(a) is an offence under, or contravenes, any of the following laws:

• Australian Securities and Investments Commission Act 2001
• Banking Act 1959
• Corporations Act 2001
• Financial Sector (Collection of Data) Act 2001
• Life Insurance Act 1995
• Insurance Act 1995
• National Consumer Credit Protection Act 2009
• Superannuation Industry (Supervision Act) 1993

(b) is an offence under any other Commonwealth law punishable by at least 12 months' imprisonment; and/or 

(c) represents a danger to the public or the financial system. 

You might also be able to make a whistleblowing disclosure under the Tax Act if:

(a) you have reasonable grounds to suspect that you have: 

   (i) information which indicates misconduct in relation to RFDS SA/NT's tax affairs; or 

   (ii) information which indicates an improper state of affairs in relation to RFDS SA/NT's tax affairs; and

   (iii) you consider that the information may assist the recipient to perform functions/duties in relation to RFDS SA/NT's tax affairs. 

Personal work-related grievances (see part 4.3 below) are generally NOT whistleblowing disclosures.

4.3 Personal Work-Related Grievances

A personal work-related grievance is any complaint, concern or dispute to do with your employment (or previous employment) with RFDS SA/NT which has implications for you personally. For example, a personal work-related grievance might include: 

(a) a conflict between you and another member of Staff;

(b) if you think you have been discriminated against, bullied or harassed; and/or

(c) any dissatisfaction about a decision relating to your employment (such as a decision about transfer or promotion, the terms of your employment, discipline or termination).

As noted above, personal work-related grievances are generally not whistleblowing disclosures. However, a personal work-related grievance might ALSO be a whistleblowing disclosure, if it: 

(a) has significant implications for RFDS SA/NT that don't relate to you; and/or 

(b) is about various types of unlawful conduct or conduct that is a danger to the public or the financial system that may be the subject of a whistleblowing disclosure under the Corporations Act or the Tax Act.

If your personal work-related grievance is a whistleblowing disclosure, then it will attract whistleblower protection. Otherwise, your personal work-related grievance will be dealt with under RFDS SA/NT’s Grievance Management Policy.

5. PROCEDURE FOR WHISTLEBLOWING DISCLOSURES

5.1 Who to contact

You can make a whistleblowing disclosure under the Corporations Act or the Tax Act by contacting Stopline (RFDS SA/NT’s external independent whistleblower reporting service) or directly to one of RFDS SA/NT’s Contact Officers. 

In order to address any issues as soon as possible, RFDS SA/NT encourages disclosures to be made via the Stopline service in the first instance.

The Stopline reporting service can be accessed as follows:

• Telephone: 1300 30 45 50 (Australia Only) 
• Email: makeareport@stopline.com.au 
• On-line: https://flyingdoctorsant.stopl... 
• Mail: Royal Flying Doctor Service of Australia SA/NT, c/o Stopline Pty Ltd, PO Box 403, Diamond Creek, VIC 3089 

Alternatively, RFDS SA/NT’s Contact Officers are: 

Name: Carissa Prescott, Executive General Manager Legal & Risk, General Counsel 
Email: carissa.prescott@flyingdoctor.net 

Name: Laura Sarich, Executive General Manager People, Culture & Environment 
Email: laura.sarich@flyingdoctor.net 

Or 

RFDS SA/NT's auditor: 
Name: Paul Cenko, Partner, KPMG 
Email: pcenko@kpmg.com.au

5.2 How to make a disclosure

You can make a whistleblowing disclosure to Stopline or any contact officer using their contact details set out in part 5.1. You should ensure that any email or correspondence that you send is marked Strictly Confidential.

If you intend to make a whistleblowing disclosure, we ask that you please include in your statement or email/letter: I am seeking to make a whistleblowing disclosure.

While it might seem obvious, this will help RFDS SA/NT to:

(a) identify your concern as a whistleblowing disclosure; 

(b) act on your disclosure promptly; and 

(c) trigger the protections that are available for a whistleblowing disclosure.

You should keep a file note of any correspondence or discussions (including the date and time) for future reference.

You should not make a whistleblowing disclosure to a contact officer who has been involved in the conduct or allegations you are reporting. In that case, contact Stopline or a different contact officer.

5.3 External disclosures

Disclosures to regulators 

If you do not want to contact RFDS SA/NT, its auditor or actuary, or Stopline, you can contact the Australian Securities and Investment Commission (ASIC) or, in certain circumstances, the Australian Prudential Regulation Authority (APRA) to make a whistleblowing disclosure under the Corporations Act, and you should refer to their policy about how the disclosure might be handled.

You can make a protected disclosure under the Tax Act to the Australian Commissioner of Taxation, in which case you should refer to their policy about how disclosures might be handled.

‘Public interest’ and ‘emergency’ disclosure
In some circumstances, you can make public interest or emergency disclosures under the Corporations Act (for example to a Member of Parliament or journalist). However, these disclosures may not be protected unless made in the specific circumstances set out in the legislation. For example, before making a public interest disclosure, you must first make a report to ASIC, APRA or another prescribed body, and you must wait at least 90 days before making the public interest disclosure. You should ensure you carefully follow the correct process, or you might lose your protections under the law. 

RFDS SA/NT encourages you to speak to an independent legal practitioner at any time if you would like legal advice or representation in relation to a whistleblowing disclosure.

5.4 Anonymous disclosures

You can choose to make a whistleblowing disclosure anonymously or through a pseudonym. However, if you do choose to be anonymous, this can sometimes make it more difficult for RFDS SA/NT or an external authority to: 

(a) make an assessment of and investigate the disclosure; and/or

(b) provide you with relevant protections. 

If you choose, instead, to identify yourself when you make the disclosure, please note that the person you contact is legally required to keep your identity strictly confidential. If RFDS SA/NT is aware of your identity, we will aim to work with you to protect your identity.

5.5 Information to include in a whistleblowing disclosure

If you make a whistleblowing disclosure, you should consider providing as many of the following details as possible, to assist RFDS SA/NT or an authority to determine the best course of action: 

(a) the specific nature of the conduct or state of affairs that concerns you; 

(b) the details of the person/s you think engaged or is engaging in any relevant conduct; 

(c) when and where relevant events occurred (e.g. dates and times);

(d) details of anyone else aware of or involved in the conduct or events;

(e) details of anyone else who might be able to verify your disclosure; 

(f) if you have done anything in response to the conduct or events; 

(g) if you have any concerns about possibly being victimised, and if so by whom; and 

(h) any supporting information (e.g. documents, file notes, emails, photographs). 

Please state expressly whether you give the contact officer permission to disclose your identity to the investigator, so the investigator can contact you to obtain further information if required.

5.6 Initial assessment of the whistleblowing disclosure

If you make an eligible disclosure to RFDS SA/NT (either directly or via Stopline), then the recipient will conduct a preliminary assessment, to determine whether your disclosure requires further investigation. 

A disclosure will only warrant further investigation if there is some objective evidence of the events, conduct or situation disclosed, or a reasonable suspicion that such evidence exists and may be obtained through further investigation. 

If you have identified yourself to Stopline or a contact officer, they may contact you to obtain further information. 

The preliminary assessment may take approximately two weeks, but this will depend on the circumstances and nature of your disclosure. 

If satisfied that an investigation is warranted, the contact officer will report the matter to the Chief Executive or if the Chief Executive is implicated in the matter, the contact officer will refer the matter instead to the Chair of the RFDS SA/NT Board. 

The Chief Executive (or Chair of the RFDS SA/NT Board) will initiate an investigation.

5.7 Investigation of the whistleblowing disclosure

If RFDS SA/NT decides that a formal investigation is warranted, the law protects your identity in relation to that investigation as set out in item 6.2 below. 

RFDS SA/NT also aims to maintain confidentiality about the investigation generally, as far as practicable. 

A formal investigation might involve third parties such as lawyers, accountants, HR consultants or specialist forensic investigators, who may: 

(a) interview relevant witnesses; 

(b) collect relevant documentary evidence; 

(c) make a determination based on the evidence; and 

(d) document the findings. 

The investigator determines whether the information in the whistleblowing disclosure is proven on the balance of probabilities. The 'balance of probabilities' test requires consideration of whether it is more likely than not that the alleged conduct has occurred. 

If the whistleblowing disclosures are proven, the investigator will report the outcome of the investigation to the appropriate decision-maker for further action (subject to any concerns about revealing your identity). 

If the whistleblowing disclosures are not proven, but there is evidence of other inappropriate conduct, the matter might be referred to People, Culture & Environment. For example, there may be evidence of a breach of RFDS SA/NT's Code of Conduct. 

If the whistleblowing disclosures are not proven, and there is no evidence of other inappropriate conduct, no further action will be taken. 

Whatever the outcome, if the eligible whistleblower can be contacted, the decision maker will advise the eligible whistleblower of the outcome of the investigation.

6. PROTECTIONS FOR WHISTLEBLOWERS AND OTHERS

6.1 General

RFDS SA/NT wants to ensure that: 

(a) eligible whistleblowers who make whistleblowing disclosure based on reasonable grounds do not suffer any detriment or disadvantage in retaliation or as a result; and 

(b) other Staff members mentioned or involved in complaints and disclosures are treated fairly. 

The protections set out below aim to achieve this. These protections may also be available to you if you make a disclosure to a legal practitioner to obtain legal advice or representation. 

A whistleblowing disclosure made on reasonable grounds that turns out to be incorrect may also qualify for protection. However, protection is not available to a person who deliberately makes a false report – and RFDS SA/NT may take disciplinary action against that person (see item 6.6 below).

6.2 Protection of identity and confidentiality

As noted above, you can make a whistleblowing disclosure anonymously. It is your decision but doing so might make it more difficult for RFDS SA/NT or a relevant authority to assess and investigate your disclosure or provide you with relevant protections. 

If you have chosen to reveal your identity when making a whistleblowing disclosure, RFDS SA/NT may ask you to consent to RFDS SA/NT disclosing: 

(a) your identity; and/or 

(b) information that might lead to your identification, 

For example, if we consider that it would assist an investigation. 

If you choose not to give consent: 

(a) the person who knows your identity is permitted to disclose your identity only:

   (i) to ASIC, APRA, the Australian Federal Police or (under the Tax Act) to the Commissioner of Taxation; 

   (ii) to a legal practitioner to obtain advice; or 

   (iii) in limited circumstances required by law, for example, where ordered by a court in legal proceedings; 

(b) RFDS SA/NT will take reasonable steps to make all Contact Officers aware that: 

   (i) they cannot disclose your identity, even to another Contact Officer; and 

   (ii) they need to keep any notes, records or information about your whistleblowing disclosure secure, in accordance with item 6.3 below; and 

(c) RFDS SA/NT may disclose any information (other than your identity) that aids its investigation, so long as it: 

   (i) considers that the information in question aids its investigation but does not reveal your identity; and

   (ii) takes all steps it deems reasonable or helpful to reduce the risk that you will be identified as a result of disclosing that information.

6.3 Protection of files and records

RFDS SA/NT maintains record-keeping and information sharing procedures with the aim of ensuring that all records are stored and handled securely. 

All files and records created from an investigation should be retained under strict security, generally in a file only accessible by the investigator and others deemed appropriate by RFDS SA/NT, in the course of the investigation, and following the investigation.

6.4 No victimisation

Victimisation is what happens if a person is subjected to any detrimental treatment as a result of:

(a) making a whistleblowing disclosure; or

(b) someone else's belief that the person has made or will make a whistleblowing disclosure.

Victimisation can include, for example, bullying and harassment, termination of employment, physical violence or threats of physical violence, or damage to reputation.

Victimisation does not, however, include:

(a) administrative action that is reasonable to protect an eligible whistleblower from detriment; or

(b) reasonable management action, such as setting high performance standards, constructive feedback and legitimate advice and/or peer review.

Victimisation is strictly prohibited. You should immediately inform a Contact Officer if you are subjected to victimisation following a whistleblowing disclosure, or any threat of victimisation, so that RFDS SA/NT can take action.

The contact officer may need to work with others in order to manage the risk of victimisation, including relevant managers, the People, Culture & Environment Team, or the Board. The contact officer is expected to take action in a timely manner to:
(a) protect you in the interim, which might include temporarily relocating you or the victimiser, or changing your reporting line;
(b) conduct a preliminary assessment of any alleged victimisation;
(c) if necessary and if you consent, refer the matter to senior management for further investigation; and
(d) if the allegation of victimisation is substantiated, and if you consent, refer the matter to a decision maker for further action.

Other Staff members mentioned or involved in complaints and disclosures also need to be treated fairly. This is partly achieved by their involvement being kept reasonably confidential in accordance with the protections set out above. It also means that no decisions should be made that cause them detriment without proper investigation.

If you raise a concern about someone victimising you and that person is not an employee, RFDS SA/NT will assess, on a case by case basis, the appropriate reasonable steps it may need to take.

6.5 Other whistleblower protections

Eligible whistleblowers who make whistleblowing disclosures on reasonable grounds have additional protections under legislation, including:

(a) Eligible whistleblowers are not subject to any civil, criminal or administrative liability (including disciplinary action) for making the disclosure;
(b) no contractual or other remedy can be enforced, and no contractual or other right can be exercised against an eligible whistleblower on the basis of the whistleblowing disclosure;
(c) if the Whistleblowing disclosure is made to ASIC, APRA or the Commissioner of Taxation, or is a public interest/emergency disclosure, then the information is not admissible in criminal proceedings or for the imposition of a penalty against an eligible whistleblower; and
(d) eligible whistleblowers may also seek compensation through the courts if they suffer loss, damage or injury because of a whistleblowing disclosure. Other remedies may be available depending on the type of detriment suffered. For example, a court may grant an injunction to stop victimisation, require an apology to be given, or to re-instate an eligible whistleblower who has been victimised by termination of employment.

6.6 Involvement in wrongdoing

RFDS SA/NT may discipline anyone found to have:
(a) unlawfully discriminated against, harassed, vilified or bullied another, or otherwise acted inappropriately;
(b) victimised an eligible whistleblower;
(c) disclosed information in breach of this Policy; or
(d) lied about a whistleblowing disclosure or made a whistleblowing disclosure maliciously, or otherwise in bad faith.
Disciplinary action can involve termination of employment or contractor arrangements.

Some of the protections under this Policy might also not be available to you if you are found to have been involved in wrongdoing that is the subject of a whistleblowing disclosure.

If you have any questions about this policy, please contact your People & Culture Business Partner.

7. RESPONSIBILITIES

7.1 All persons covered under this Policy

• Report any misconduct or wrongdoing covered by this Policy.
• Comply with this policy when making a whistleblowing disclosure.
• When reporting a concern under this Policy, the person must not knowingly give false information or make allegations for malicious reasons or that have no basis.
• If needed to assist in an investigation of a concern raised under this policy, we expect all participants to comply with the confidentiality obligations.
• Keep up to date with any changes to this Policy and the supporting documentation from time to time.

7.2 Contact Officers and the Chief Executive

• Comply with this Policy when receiving a whistleblowing disclosure.
• Conduct initial review of disclosures to determine whether the Policy applies and assess the risk of victimisation.
• Know the procedures for the escalation of concerns.
• Treat all concerns seriously, confidentially and use the appropriate procedures for investigating reports.
• Ensure victimisation does not occur.
• Communicate/correspond with the eligible whistleblower on receipt of a whistleblowing disclosure, during any investigation and in relation to any investigation finding.

7.3 People & Culture

• Distribute and regularly promote this Policy to all existing and new employees.
• Assist with the investigations externally and internally when required.
• Ensure that this Policy and supporting documentation complies with the legal requirements outlined in the Corporations Act 2001 (Cth).
• Review this Policy and supporting documentation regularly in line with legislation changes and updates.

7.4 RFDS SA/NT Board

• Ensure this Policy is regularly reviewed for best practice and compliance.
• Nominate the RFDS SA/NT Contact Officers for the purposes of this Policy.
• Approve changes to the Policy.