Whistle-Blowing Policy

HorizonOne Recruitment Pty Ltd

Purpose

This policy directly supports Horizon One’ core values, which enshrine the principle that it will conduct its business legally and ethically.

The purpose of this policy is to strengthen Horizon One core values by empowering persons who wish to report in good faith any Wrongdoing (examples of which are provided below) without fear of reprisal. This document outlines the way in which Horizon One will respond to reports of Wrongdoing.

This policy is intended to complement (not replace) Horizon One usual reporting avenues for raising issues of concern (for example, by talking to the relevant manager). This policy may be invoked where those existing avenues appear to have failed or may be inappropriate.

Policy

In keeping with the spirit of Horizon One Code of Conduct and other related policies, Horizon One encourages persons who have witnessed, or know about, any Wrongdoing to report it in accordance with this Policy.

Scope

In this policy, the term “person” refers to employees, contractors, candidates, suppliers, staff and other stakeholders or members of the public who have dealings with HorizonOne.

Legislative Context

Corporations Act 2001 – http://www.austlii.edu.au/au/legis/cth/consol_act/ca2001172/
Australian Securities & Insurance Commission (ASIC) Act 2001 – http://www.austlii.edu.au/au/legis/cth/consol_act/asaica2001529/

Responsibility

The responsibility of implementing this policy rests with the Director and the Whistle-blowing Officer (who is the Director Commercial & Operations).

Definitions

Person refers to employees, contractors, candidates, suppliers, officers and other stakeholders or members of the public who have dealings with Horizon One.

Whistle-blower refers to a person who alerts the authorities to misconduct.

Authorities refers to:

• Australian Securities & Investments Commission (ASIC)
• The company’s auditor
• A member of an auditing team appointed to conduct an audit of the company
• A director, secretary
• Senior manager of the company
• The Whistle-blowing Officer

Company Horizon One Pty Limited (Horizon One)

What Is a Wrongdoing?

For the purposes of this policy, a Wrongdoing can be anyone, or more, of the following:

• Unlawful conduct – this includes non-compliance with legislation, regulation, codes, guidelines and other regulatory instruments
• Conduct that is in breach of any Horizon One policy
• Conduct that falls below established standards or practice
• Unethical or improper conduct
• Criminal activity
• Misuse of Horizon One funds or assets, financial malpractice, impropriety or fraud
• Conduct that endangers employees or the public generally
• Conduct that jeopardises the safety of employees, or of the environment in which they are working
• Wasteful conduct
• An abuse of authority
• Breach of confidentiality obligations
• Suppression or concealment of any information relating to any of the above types of actions
• Taking or threatening to take detrimental action against anyone who reports a Wrongdoing in reprisal for reporting that Wrongdoing.

Horizon One is strongly committed to providing persons with the opportunity to use the whistle-blowing process outlined in this Policy for genuine disclosures about suspected Wrongdoing. The whistle-blowing process must not be used for vexatious matters.

Please note that specific reporting requirements apply if an alleged Wrongdoing relates to a contravention, or suspected contravention of the Corporations Act 2001 (Cth). See section 6 “Impact of the Corporations Act 2001 (Cth)” below.

How Will Horizon One Protect a Whistleblower?

Horizon One will not tolerate any form of harassment or retaliation against a person who reports a Wrongdoing in accordance with this Policy (Whistle-blower). Provided any report of Wrongdoing is made:

• In good faith, that is, reasonably believing it to be true; and
• Without malice

Horizon One will protect a Whistle-blower. Specifically, Horizon One will not allow any of the following to happen to a Whistle-blower because of the Whistle-blower’s report of Wrongdoing:

Any type of harassment or bullying.

• Any type of disciplinary action
• A decision not to promote the Whistle-blower
• A decision not to grant a salary increase to the Whistle-blower
• Rejection during probation
• A performance evaluation in which the Whistle-blower’s performance is judged as being unsatisfactory solely on account of reporting the matter
• Involuntary demotion or reassignment to a position with demonstrably less responsibility than the one held prior to the reassignment
• Unfavourable change in the general terms and conditions of employment or contract
• Involuntary resignation
• Involuntary retirement
• Termination of employment, or contract
• Failure to consider candidature of the Whistle-blower in accordance with the usual criteria and processes
• Termination or threatening to terminate supply of goods or services of the Whistle-blower
• Any other conduct that is discriminatory towards the Whistle-blower.

Threats to cause detriment (whether express, implied, conditional or unconditional) are also prohibited.

Under this Policy, it is irrelevant whether or not the person threatened actually fears that the threat will be carried out.

What If A Whistle-blower Is Implicated In The Wrongdoing?

Even though a person who reports a suspected Wrongdoing may be implicated in the Wrongdoing, that person must not be subjected to any actual or threatened detrimental action taken in reprisal for reporting that Wrongdoing.

However, reporting a Wrongdoing will not necessarily shield the Whistle-blower from the consequences, flowing from involvement in the Wrongdoing itself. A person’s liability for their own conduct is not affected by their disclosure of that conduct under this Policy (though in some circumstances, an admission of complicity in the Wrongdoing may be a mitigating factor when considering disciplinary or other action.)

What Is Not Covered By This Policy?

This Policy is primarily concerned with issues that may affect the wellbeing and best interests of Horizon One.

It does not apply to grievances from employees or employment contract issues. Any complaints of injustice in the assessment of an employee’s performance, or discrimination, harassment, or bullying, will be dealt with by the Director of Horizon One under the appropriate Horizon One policy.

If employees need clarification about whether a complaint should be addressed under this Policy or not, they should contact the Whistle-blowing Officer.

Reporting and Investigations

How to Report a Wrongdoing?
Horizon One will investigate any reported Wrongdoing. However, it is difficult to investigate reports which consist of anonymous ‘tip-offs’. Therefore, Whistle-blowers are encouraged to identify themselves and to provide all known details of any alleged Wrongdoing to the Whistle-blowing Officer.

If a report is made to the Whistle-blowing Officer that person will report to the Director of Horizon One, providing only such information as the Whistle-blower has authorised him/her to provide.

What Happens on Receipt of a Report of Wrongdoing?
The Whistle-blowing Officer will:

Make a detailed record of the report without revealing the identity of the Whistle-blower (in
cases where the Whistle-blower is known to the Whistle-blowing Officer), unless the Whistle-blower consents to his/her identity being revealed.

• Liaise with the Director of Horizon One on all matters relating to the investigation of the report
• Conduct an investigation, or appoint an investigator (who might be another employee of Horizon One, or an external party) to conduct an investigation. Where another employee is appointed as investigator, he or she should not be an employee who works closely with the person being investigated in relation to the Wrongdoing
• Ensure that an investigation is commenced promptly and discretely
• Prepare a full report on the findings and recommendations of the investigation, without revealing the identity of the Whistle-blower (in cases where the Whistle-blower is known to the Whistle-blowing Officer)
• Keep the identity of the Whistle-blower confidential, unless it becomes necessary to disclose that person’s identity because of pending litigation, or there is some other overriding reason for disclosure; disclosure will be made only after the Whistle-blower has been informed of the need
  for it
• Where appropriate, notify the Whistle-blower in general terms of the progress of the investigation, subject to considerations of the privacy of those against whom the allegations have been made
• Ensure that the person accused of committing the Wrongdoing is given details of the allegation and afforded an opportunity to respond to the allegation before the investigation is concluded
• Provide a copy of the report of any investigation to the person accused of committing the Wrongdoing.

How Will the Investigation be Conducted?
All reports will be investigated discretely, and only those persons who need to know the fact, and the details, of a report, will be informed of it. Where necessary, Horizon One might employ external resources to assist with an investigation.

Possible Outcomes of the Investigation
An investigation can result in one of three outcomes:

• The Wrongdoing is proven
• The Wrongdoing cannot be proven, but there is enough suspicion to warrant further ongoing
  surveillance or investigation
• The Wrongdoing is unproven.

Both the Whistle-blower (in cases where the Whistle-blower is known to the Whistle-blowing Officer) and the person accused of committing the Wrongdoing shall be informed independently of the result.

Horizon One Employment and Code of Conduct policies (available on Horizon One internal network) will govern what further action Horizon One will take in respect of employees who have been proved to have committed a Wrongdoing; in other cases, the relevant contract shall govern. Please note that where the Wrongdoing involves a possible criminal offence, police involvement will be necessary.

Horizon One will give its full support to employees who are the subject of an investigation where the allegations contained in a report of Wrongdoing are clearly wrong or unsubstantiated. Where an investigation does not substantiate the report, the fact that the investigation has been carried out, the results of the investigation and the identity of the person who is the subject of the investigation must be handled confidentially. In such circumstances, no record of the report or the investigation is to be kept in any human resources or employment related record of the person who was investigated in relation to the alleged Wrongdoing.

Wrongdoings that are Dealt with Under the Corporations Act 2001 (Cth)

The Commonwealth Government has made a number of changes to the Corporations Act (Cth) 2001 (Act) that impact on how Horizon One must address any reports of Wrongdoing that could involve a contravention, or suspected contravention of the Act.

How to Report a Wrongdoing Under the Corporations Act
A Whistleblower wishing to report a Wrongdoing that could involve a contravention, or suspected contravention of the Act should report their name first to the Whistle-blowing Officer and then provide the substance of the report.

This is important, because the protections guaranteed to Whistle-blowers by the Act will not apply otherwise.

To qualify for protection under the Act, the Whistle-blower must also have reasonable grounds to suspect that Horizon One (or an officer or employee of Horizon One), has, or may have, contravened the Corporations legislation (which includes both the Corporations Act and the ASIC Act.) The disclosure must also be made in good faith.

Actions Following Receipt of Report of Wrongdoing under the Corporations Act
Provided the Whistle-blower has first given the Whistle-blowing Officer their name, the Whistle-blowing Officer may where relevant:

• Make a detailed record of the report; and
• Provide the report to ASIC, APRA or the Australian Federal Police

Reports to the above can occur without asking for the whistle-blower’s permission. However, the identity of the whistle-blower may not be disclosed to another person, unless permission is given by the whistle-blower.

Malicious Reports

If, at the conclusion of an investigation (either internally, or by the appropriate authorities), it is concluded that the Whistle-blower did not act in good faith, that is, reasonably believing the contents of the report to be true, Horizon One may respond in accordance with Horizon One’ employment policies in the case of employees. In other cases, the relevant contract shall govern.

Report a Wrongdoing

All communication and reports should be directed in writing to:

The Whistleblowing Officer
Horizon One Pty Ltd

29 Torrens Street
Braddon ACT 2612