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At 333 Capital, we value high standards of trust, empathy and ethical conduct in all of our dealings. We are committed to creating a work environment in which employees, ex-employees, suppliers, consultants, contractors and family members of these people are able to raise concerns regarding unethical, unlawful or improper conduct or activities, in confidence and without fear of reprisal. This version of the policy is modified for external parties.
This Policy extends to all Eligible Whistleblowers, which includes all current or former employees (whether paid or unpaid), contractors, consultants, suppliers or their employees, any other parties acting as representatives or agents of 333 Capital, or the relatives of any of those individuals.
Prompt action will be taken to investigate each report received to ensure Inappropriate Conduct is detected and addressed.
333 Capital’s designated Whistleblower contact is Partner - Group Practice Management.
As the designated Whistleblower Contact, the Partner - Group Practice Management will oversee the response to reports of Inappropriate Conduct.
The investigation process will vary depending on the precise nature of the conduct being investigated. Reasonable efforts will be made to ensure investigations are completed in a timely manner, but can typically be expected to take anywhere from four to twelve weeks or longer in some circumstances. 333 Capital will aim to ensure reports of Inappropriate Conduct are assessed within five business days of receipt.
Once the Partner - Group Practice Management receives a notification about Inappropriate Conduct, the process will generally include:
The Partner - Group Practice Management may include other individuals, such as members of the Risk Management or Technology teams, at any of these stages of the process as appropriate, for example to collect evidence or review control procedures.
Where possible, 333 Capital will give periodic updates to the Whistleblower as to the progress of the investigation into the Inappropriate Conduct. At a minimum, this will include acknowledgement of receipt of the report and notification at closure of the investigation. Updates provided to the Whistleblower will be subject to confidentiality considerations and will not convey the specific findings resulting from an investigation into the matter.
If you are concerned that the handling or response to a report of Inappropriate Conduct was inappropriate, insufficient or otherwise improper, such concerns can be raised with the Director - People and Culture or the Board of Management.
The Partner - Group Practice Management (or the Director - People and Culture as appropriate) will keep complete and accurate records of a report of Inappropriate Conduct and any related investigation into the matter to the extent required by relevant laws and subject to safeguards that ensure their confidentiality.
In some circumstances, 333 Capital may deem it necessary to take temporary action involving an employee named in a report of Inappropriate Conduct, such as standing aside the employee on paid leave so as to enable a complete and thorough investigation. In such circumstances, the affected employee will be provided access to the Employee Assistance Program with the option to seek updates from the Partner - Group Practice Management.
If you report Inappropriate Conduct in accordance with this policy, you will be protected under this policy from reprisal or repercussions from 333 Capital as a result of reporting Inappropriate Conduct, as long as you have reasonable grounds for believing the information disclosed indicates such conduct.
Any reports of Inappropriate Conduct which are proven to have been made maliciously or in the knowledge that they were false will not afford the Whistleblower protection and will be investigated and viewed as a serious disciplinary offence.
For specific eligibility criteria for protection under Australian law, please refer to Appendix A.
333 Capital is committed to protecting and supporting Whistleblowers against actions taken against them for reporting Inappropriate Conduct. 333 Capital does not tolerate reprisals, discrimination, harassment, intimidation or victimisation of a Whistleblower, their colleagues or family members. Such retaliatory action will be treated as serious misconduct and will be dealt with in accordance with 333 Capital’s disciplinary policies.
333 Capital will consider and adopt appropriate arrangements for protecting and supporting Whistleblowers on a case-by-case basis in accordance with the level of risk to the Whistleblower’s wellbeing and safety. For example, this could include:
333 Capital will keep the Whistleblower’s identity confidential in accordance with legal requirements. This includes reminding Eligible Recipients about their confidentiality obligations through training. Records of a report of Inappropriate Conduct and any associated investigation will be subject to safeguards that ensure their confidentiality.
If the Whistleblower is implicated in the Inappropriate Conduct being reported, and co-operates with 333 Capital’s investigation, the fact that they have reported Inappropriate Conduct in accordance with this policy will not grant immunity from appropriate disciplinary action, but may be considered as a mitigating factor when determining any such disciplinary action.
For information on the legal protections available to Whistleblowers who report Inappropriate Conduct in accordance with eligibility requirements in Appendix A
This Whistleblower Policy is made available to staff and is further published on the 333 Capital website to make it available to former employees or other external parties.
In the first instance you should raise any concerns of Inappropriate Conduct with an immediate supervisor, a relevant Partner or with the Director – People and Culture. However, if you feel that the existing avenues have failed, you perceive them as unsuitable or are unsatisfied with the response, you should use this policy as a confidential, alternative reporting avenue.
To help ensure reports are managed appropriately and consistently, it is the preference of 333 Capital that such reports are made to 333 Capital’s designated Whistleblower Contact:
Partner, Group Practice Management
By phone: +61 3 8623 3305
By email: [email protected]
By mail: Carolyn Ashby
GPO Box 2985
Melbourne VIC 3001
Marked ‘Private and Confidential’
Appendix A includes a full listing of all Eligible Recipients to whom a report of Inappropriate Conduct which qualifies for protection under Australian law can be made.
When making a report, you may choose to identify yourself or remain anonymous. However, anonymity may impede a swift or thorough investigation into the Inappropriate Conduct and communication of the outcome. If you choose to remain anonymous, you must include sufficient information in the report for the Inappropriate Conduct to be investigated.
In order for a report about Inappropriate Conduct to be eligible for protection under the Corporations Act 2001 (Cth) or Taxation Administration Act 1953 (Cth):
Reports made anonymously still qualify for protection under Australian law, you do not need to identify yourself.
Eligible Receipts, to whom reports of Inappropriate Conduct can be made which qualify for protection under Australian law, include:
Contact details for each Eligible Recipient noted above can be obtained from the Partner - Group Practice Management (or Director - People and Culture as appropriate).
Should you have any questions on the appropriate channel for reporting Inappropriate Conduct, you can contact the Partner - Group Practice Management or Director - People and Culture to ask questions or seek guidance. Any such enquiries can also be made anonymously (e.g. using an anonymous webmail account).
In addition to the Eligible Recipients noted in Appendix 1 - Section B, Whistleblowers can report Inappropriate Conduct to the following external Eligible Recipients:
In certain circumstances, reports about Inappropriate Conduct may qualify for protection under Australian law when reported as ‘Emergency’ or ‘Public Interest’ Disclosures to a journalist or a member of Commonwealth, State or Territory Parliament.
Anyone considering whether to make an ‘Emergency’ or ‘Public Interest’ Disclosure should ensure they are familiar with the criteria for protection and may wish to seek legal advice before making such a disclosure. Further information is set out below.
Per the Corporations Act 2001 (Cth), a ‘Public Interest Disclosure’ is the disclosure of information to a journalist or a parliamentarian, where:
Per the Corporations Act 2001 (Cth), an ‘Emergency Disclosure’ is the disclosure of information to a journalist or a parliamentarian, where:
Under Australian law, the following protections are available to Whistleblowers who report Inappropriate Conduct in accordance with Appendix 1 - Section A:
Legal protections available to Whistleblowers differ by jurisdiction. Where a Whistleblower resides or is employed or associated with 333 Capital in another jurisdiction (e.g. Singapore, Indonesia), the legal protections under Australian law (e.g. access to compensation or remedy from Australian courts for loss, damage or injury suffered) may not be available.
333 Capital is committed to protecting and supporting Whistleblowers who report Inappropriate Conduct. To the extent reasonable and possible, 333 Capital will afford the same policy commitments to anyone who reports Inappropriate Conduct.