Whistleblower Protection Policy in Australia: Requirements and Key Aspects

Whistleblower protection in Australia is offered for certain disclosures under a patchwork of laws at both federal and state level. Not all disclosures are protected by law in Australia. Eligibility for protection depends on the requirements of the applicable law and the subject matter of the disclosure.

Legislative Framework for Whistleblower Protection

Australia has made significant strides in the area of whistleblower protection for the private sector, with new legislation to amend the Corporations Act. The Treasury Laws Amendment (Enhancing Whistleblower Protections) Act 2019 passed in December 2018. From 1 July 2019, the whistleblower protections in the Corporations Act have been expanded to provide greater protections for whistleblowers.

The Public Interest Disclosure Act 2013 (PID Act) introduced a new comprehensive framework for protecting Commonwealth public sector whistleblowers. The PID Act is the legislation underpinning the Commonwealth Government's Public Interest Disclosure (PID) Scheme to encourage public officials to report suspected wrongdoing in the Australian public sector. The PID Act arose in response to the report on Whistleblower Protection: a comprehensive scheme for the Commonwealth public sector by the House of Representatives Standing Committee on Legal and Constitutional Affairs. During the Committee's Inquiry it was recognised that whistleblowers play an important role in ensuring accountability. The PID Act offers protection to 'whistleblowers' from reprisal action.

The Commonwealth Ombudsman has a significant role supporting and monitoring the administration of the whistleblower scheme established under the PID Act. Victoria has apparently enacted some whistleblower protections that go beyond the public sector.

Key Components of a Whistleblowing Policy

Australian employers face expanded whistleblowing protection requirements and increased penalties for noncompliance, under a new law (Treasury Laws Amendment (Enhancing Whistleblower Protections) Bill 2018). Public companies, large proprietary companies and corporate trustees of registrable superannuation entities must have a whistleblowing policy by 1 Jan 2020, and the new law will apply to protected disclosures made from the act’s effective date of July 2019.

Protected whistleblower disclosures can be made by employees and former employees; contractors, suppliers and their employees; an individual who is an associate of the entity (as defined by the Corporations Act) and spouses or family relatives of any of the above categories. The law expands the range of conduct that can be reported and what will be protected. Persons eligible to receive protected disclosures include the company’s officers, senior managers, the company’s actuary or auditor, or any other person nominated by the employer to receive disclosures.

Whistleblowers can report matters of public interest directly to a regulatory authority - for example, the Australian Securities and Investment Commission (ASIC) or the Australian Prudential Regulation Authority. If after 90 days the whistleblower believes no action has been taken to address the matter, he or she can disclose it to a member of parliament or a journalist, subject to fulfilling certain criteria.

Increased penalties will apply to employers for violations, which include disclosure of a whistleblower’s identity and acts of retaliation. Violators can be fined as much as AUD $10.5 million, or three times the value of the benefit gained from the conduct or 10% of the company’s annual turnover up to a maximum of AUD $525 million.

Core Commitments of Organizations

Leidos Australia is committed to the highest standards of conduct and ethical behaviour in all of our business activities. Leidos Australia has several channels for reporting an issue or behaviour which may constitute reportable conduct. Eligible Disclosers may also make disclosures directly to ASIC or the ATO. An Eligible Discloser may make a Public Interest or Emergency Disclosure in certain circumstances where the matter had previously been disclosed to ASIC or another Commonwealth body prescribed by regulation.

A Discloser may choose to remain anonymous whilst making a disclosure, over the course of the investigation and after the investigation is finalised. Leidos Australia is committed to ensuring confidentiality in respect of all matters raised under this policy. Leidos Australia will not disclose the identity of the Discloser or any information that is likely to lead to the identification of the Discloser.

Leidos Australia is committed to ensuring that Disclosers are treated fairly and do not suffer Detrimental Treatment. When receiving a Reportable Disclosure the Disclosure Coordinator will assess the risk of detriment to the Discloser or affected persons arising from the disclosure. Reasonable management and administrative action conducted in a reasonable manner by Leidos Australia is not detrimental conduct.

A Discloser (or any other employee or person) may seek compensation and other remedies if they suffer loss, damage or injury due to the Disclosure or where Leidos Australia has failed to take reasonable precautions and exercised due diligence to prevent Detrimental Conduct. Under Australian Whistleblower laws, a Discloser is protected from any civil, criminal or administrative liability in relation to making the disclosure. The Disclosure Coordinator will be informed as soon as practicable after a person identified in paragraph 3.4 receives a Disclosure.

Leidos Australia will ensure the fair treatment of employees mentioned in a Protected Disclosure. This policy will be made available internally on our intranet. Leidos Australia officers and employees will receive periodic training in relation to their obligations. This Policy may be updated periodically.

Western Asset (the Firm) is committed to operating an ethically sound business. The Firm acts as a fiduciary, and as such, we are entrusted to act in the best interests of our clients. Policies and procedures have been adopted to ensure that employees uphold their obligations and place the interests of the clients before their own or the Firm’s. Each employee is expected to uphold the Firm’s values in every aspect of his or her role and should the employee feel that these values are being disrespected such instances should be reported timely.

This policy applies to directors, employees, volunteers, contractors and consultants. An officer/senior managers of the Firm, Internal/External Auditors, Actuaries, Local regulators (i.e. Non-Disclosable Matters: Disclosures that are not about Disclosable Matters (eg. Personal Work-Related Grievance: Issues that may arise in the course of employment that are not Disclosable Matters under legislation.

The Firm recognises that some disclosers may wish to seek additional information before making a formal disclosure. The company will and is obligated to undertake a timely preliminary assessment of the facts or evidence and will conduct an internal review of the reported incident. The Firm is committed to operating an ethically sound business and will provide assistance and practical protection in line with the Whistleblowers Protections Bill 2018. In practice the Firm will determine the potential risk of detrimental acts or omissions to the discloser. This assessment may take into account the current business environment (i.e. bodies such as ASIC, APRA or the ATO.

The discloser will be provided with regular updates, if they can be contacted (note these can also be through anonymous channels). Before making the public interest disclosure, the discloser has given written notice to the Firm (to which the initial disclosure was made). Should a discloser feel that they have suffered loss, damage or injury as a result of disclosure it is encouraged that they seek independent legal advice or contact regulatory bodies such as ASIC, APRA or the ATO.

All new employees are provided with introductory training and annually thereafter. Specialist training will be provided to staff members who have specific responsibilities and those that are determined to be eligible recipients. This policy is accessible to all staff via the Employee Handbook, received at the time of hire and accessible at all times via Compass.

Table of Key Aspects

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