Whistleblower policy

The purpose of this Policy is to promote a culture of corporate compliance, honesty, and ethical behaviour and to provide an environment where any potential, perceived or actual Reportable Conduct within the Australian Psychological Society (APS) or by the APS, its members or staff can be raised by Whistleblowers freely, safely, and without fear of reprisal or retribution.

For personal work related grievances and other concerns or complaints which are not Reportable Conduct, please refer to the APS Complaints and Grievances Policy.

This Policy aims to:

• Minimise the risk of illegal, corrupt, or other improper conduct within the APS;
• Create an environment of transparency;
• Provide details about how the APS will protect and support Whistleblowers who make reports of Reportable Conduct; and

Provide a reporting and investigation process.

This Policy applies to the APS and its related bodies corporate.

This Policy applies to Whistleblowers who make a report about Reportable Conduct, being past and present:

• APS employees and volunteers;
• APS Company Officers, including Directors; and
• Contractors, suppliers, and service providers engaged by and associates of the APS; or
• A relative, dependent, or spouse of any of the above persons.

Only Whistleblowers will qualify for protection under whistleblower laws (Whistleblower Laws) and this Policy.  Any person not listed above should raise any concerns in accordance with the policies listed in Section 10 (Referring Documents).

The APS upholds high standards of legal and ethical behaviour.  We are guided by our values to develop a culture of accountability, respectful dealings with others, and sound judgement.

The APS’s policy is to encourage Whistleblowers who becomes aware of serious misconduct to report that misconduct. The APS will not tolerate any retaliatory action or threats of retaliatory action against a Whistleblower reporting such misconduct or any person involved in carrying out an investigation of Reportable Conduct.

Procedures have been developed to ensure concerns about misconduct can be raised through a safe reporting and investigation process. It is essential that the Whistleblower should be able to make a report without fear of retribution, harassment, victimisation or discrimination.

The purposes of these procedures are to:

• Encourage the reporting of wrongdoing;
• Protect and support Whistleblowers;
• Set out a safe reporting mechanism;
• Outline how the APS will investigate and resolve protected disclosures made in accordance with this Policy; and
• Fulfill the obligations of the APS under Whistleblower Laws in the Corporations Act 2001 (Cth) (Corporations Act).

This Policy is part of a broader framework of policies in place to support people wishing to raise concerns.  It should be read in conjunction with other relevant policies as set out in Section 10 (Referring Documents).

To the extent that a report relates to Reportable Conduct, this Policy applies in priority to other APS policies. Where a disclosure includes Reportable Conduct as well as other matters, the APS will adapt the procedures set out in this Policy to ensure compliance with its statutory obligations (while also avoiding duplication or time-wasting).

A Whistleblower may make a report under this Policy if they have reasonable ground to suspect that information indicates there has been Reportable Conduct.

Reportable Conduct means misconduct or an improper state-of-affairs or circumstances engaged in by the APS or an APS officer or employee that:

• Is an offence against, or contravention of the Corporations Act, Australian Securities and Investments Commission Act 2001 (Cth), Banking Act 1959 (Cth), Financial Accountability Regime Act 2023 (Cth), Financial Sector (Collection of Data) Act 2001 (Cth), Insurance Act 1973 (Cth), Life Insurance Act 1995 (Cth), National Consumer Credit Protection Act 2009 (Cth) or Superannuation Industry (Supervision) Act 1993 (Cth) (or regulations made under those laws) (noting that many of these have limited relevance to the APS), or any other Commonwealth law that is punishable by imprisonment for a period of 12 months or more;
• An offence against any other law of the Commonwealth, a State or Territory or a local government, such as laws creating crimes punishable by imprisonment;
• Represents a danger to the public or the financial system, such as:
  • Fraud;
  • A deliberate deception to secure personal gain;
  • A deliberate deception to cause disadvantage to the APS;
  • Theft;
  • Bribery;
  • Facilitation of payments.
• Corruption:
  • Improper use of influence or position;
  • Improper use of information by commission or omission.
• Unauthorised use of APS property, equipment, or materials;
• Criminal offences by APS people or third parties;
• Breaches of health and safety;
• Undeclared conflicts of interest;
• Is otherwise prescribed by the Whistleblower Laws; and/or
• Unethical or other serious improper conduct, including conduct that is in breach of the APS’s policies and procedures.

However, this Policy does not apply to personal work related grievances that do not concern alleged or threatened Detrimental Treatment (see Section 7.2).  Personal work related grievance has the meaning given to it in the Corporations Act and are grievances that relate to one’s own employment (or former employment), and which:

1. may have implications for the discloser personally; but
2. do not have any other significant implications for the APS; and
3. do not relate to any conduct, or alleged conduct, about Reportable Conduct.

Reports regarding personal work related grievances are not covered by this Policy and will not qualify for protection under Whistleblower Laws.

6.1 Authorised Recipients

Reportable Conduct (Section 5) may be disclosed to one of the following authorised recipients:

• An APS Company Officer:
  • The President
  • The Chair of the Governance & Risk Committee
  • A Board Director
  • The Chief Executive Officer
  • The Chief Operating Officer
  • An APS Company Secretary
• An auditor or member of a team conducting an audit of the APS;
• A regulatory agency such as the Australian Securities and Investments Commission (ASIC), the Australian Prudential Regulation Authority (APRA), the Australian Taxation Office (ATO), or law enforcement agency; or
• The Whistleblower’s lawyer, for the purposes of obtaining legal advice or legal representation in relation to the operation of this Policy or Whistleblower laws in general.
• In some limited circumstances, the Whistleblower may be permitted to make a public interest or emergency disclosure to a Member of Parliament or a journalist.  For more information on these disclosures, please see the ASIC fact sheet available here.

6.2 Whistleblower Protection Officer (WPO)

The APS has appointed the below person to act as Whistleblower Protection Officer (WPO). The WPO’s role is independent from investigations regarding Disclosable Matters, to better protect the integrity of the reporting mechanisms set out in this Policy.

In circumstances where the report gives rise to a perceived, potential or actual conflict of interest involving the WPO, the report will instead be referred to the Chair of the APS Governance & Risk Committee, who shall assume all responsibilities and functions of the WPO in relation to that disclosure.

The APS has authorised the WPO to:

• receive reports of alleged Reportable Conduct and coordinate any necessary action by the APS, including procurement of legal advice;
• keep the Whistleblower updated on developments; and
• safeguard the interests of Whistleblowers making reports under this Policy.

If an APS Company Officer receives a disclosure of Reportable Conduct, they must promptly forward the report to the WPO.

6.3 Making the report

Reports and disclosures can be made at any time, either verbally or in writing.  The APS encourages written reports.  All reports will be subject to the confidentiality provisions set out in this Policy.

When making a report, the Whistleblower should clearly outline:

• The issue or concern;
• The alleged misconduct;
• The individual(s) involved;
• The reason(s) for believing that the misconduct has occurred, including when and how it occurred; and
• Any further evidence to substantiate the allegation.

The Whistleblower should ensure that their report is:

• Factually accurate, noting the suspected misconduct and their own actions;
• Objectively based on reasonable grounds; and
• Contains all relevant information.

The report should include as much information and evidence as is possible.  This ensures that the APS has sufficient information to take appropriate action without delay.

All Whistleblowers who disclose Reportable Conduct under this Policy will be protected (Section 7).

6.4 Anonymous reports

The APS will accept anonymous reports. The APS will treat any anonymous report in the same way and with the same protections that are provided to Whistleblowers who identify themselves.

The APS acknowledges that anonymous reports may limit the extent to which reported conduct can be investigated and restrict the APS’s ability to extend the protections detailed in Section 7.

For this reason, a Whistleblower who wishes to remain anonymous should therefore maintain ongoing two-way anonymous communication with the APS, so the APS (or its representatives) can ask follow-up questions or provide feedback.

7.1 Whistleblower protections

In this clause, Perpetrator means a person who engages in Detrimental Treatment.

The APS will not tolerate any conduct, or threatened conduct, causing detriment to a person (or any other person) where:

• The Perpetrator believes or suspects the first person has made, may have made, proposes to make, or could make a report under this Policy; and
• The belief or suspicion is the reason, or part of the reason, for the conduct.

Detrimental Treatment

Detriment is defined in the Corporations Act and includes (but is not limited to):

• Dismissal or alteration of an employee’s position or duties to their disadvantage;
• Harm, injury (including psychological harm), or damage to a person or a person’s property, reputation, business, or financial position;
• Discrimination; or
• Harassment or intimidation.

Any Detrimental Treatment will be treated as serious misconduct by the APS and may result in disciplinary action (including termination of employment).

However, Detrimental Treatment does not include:

• Administrative action that is reasonable for the purpose of protecting a Whistleblower from detriment (e.g.  moving a Whistleblower who has made a report about their immediate work area to another office, to prevent them from detriment); and
• Reasonably managing a Whistleblower’s unsatisfactory conduct or work performance.

Under the Corporations Act, a Whistleblower who suffers Detrimental Treatment may be entitled to compensation from the Perpetrator if they suffer loss, damage or injury as a result of the Detrimental Treatment.  In some circumstances, such as where the APS failed to take reasonable precautions and exercise due diligence to prevent the Detrimental Treatment, the APS may also be required to compensate the Whistleblower. The Corporations Act allows other remedies for Detrimental Treatment, even where the Whistleblower has not suffered loss, damage, or injury.

Whistleblowers who disclose Reportable Conduct under this policy are protected from civil, criminal, and administrative liability (including disciplinary action) in relation to the disclosure.  The APS is committed to protecting and respecting the rights of any Whistleblower who has made such a disclosure. However, this protection does not grant immunity to a discloser for any misconduct they have engaged in that is revealed by the disclosure.

Any reporting person who believes that they have been subject to Detrimental Treatment because of making a disclosure may report the details to an authorised recipient as detailed in Section 6.

7.2 Persons mentioned in a disclosure

The APS recognises that persons mentioned in a disclosure of Reportable Conduct also require support during the investigation process.  The APS will take all reasonable steps to ensure such individuals receive fair treatment by providing natural justice and procedural fairness.  Employee Assistance Program access will be provided to individuals who are the subject of a protected disclosure made under this Policy.

Once an investigation has commenced, to the extent appropriate while maintaining the protection of the Whistleblower in accordance with this Policy and the Whistleblower Laws, any individual who is the subject of the allegation(s) should:

• Be informed of the substance of the allegations;
• Be informed of the investigation underway and the process the investigation will follow;
• Be afforded a fair and reasonable opportunity to respond to the allegation(s) prior to the investigation concluding;
• Have their response fairly represented by the investigator(s); and
• Be informed of the substance of any adverse conclusions in the investigator’s findings that affects them.

When adverse conclusions are made in the investigator’s report about an individual, that individual has the right to respond to those conclusions prior to any action being taken by the APS against them.

7.3 Privacy and Confidentiality

All reports made under this Policy will be confidential.

A person cannot disclose the identity of a Whistleblower, or information that is likely to lead to the identification of the Whistleblower, which they have obtained directly or indirectly because the Whistleblower has made a report that qualifies for protection under Whistleblower Laws, unless the Whistleblower consents.

The APS may however disclose a Whistleblower’s identity if it is required or authorised by law, including to a lawyer for advice about a disclosure.

The APS may also disclose information contained in a report without the Whistleblower’s consent if authorised by the Corporations Act, including where:

• The information does not include the Whistleblower’s identity;
• The APS has taken all reasonable steps to reduce the risk that the Whistleblower will be identified from the information; and
• It is reasonably necessary to further the investigation into the issues raised in the Whistleblower’s report.

Therefore, although the APS will comply with the confidentiality requirements under the Corporations Act, Whistleblowers must be comfortable with some risk of information regarding their report being disclosed.

The APS will ensure that all files and records created during an investigation are stored securely and accessed only by those authorised to do so for the bone fide purpose of discharging their responsibilities under this Policy.  Unauthorised release of information contained in a Whistleblower’s report or connected with an investigation will be regarded as a breach of this Policy.

Whistleblowers must also ensure confidentiality is maintained and refrain from discussing the matter with anyone who is not an eligible recipient.  This includes informing commercial media and social media.  This ensures that protections can be maintained.

If a Whistleblower considers there has been a breach of confidentiality, they can choose to lodge a complaint with the APS or with a regulator, such as ASIC, or APRA, for investigation.

8.1 Process

All disclosures under this Policy will be assessed by the WPO as to whether the report qualifies for protection and requires a formal, in depth investigation.  This assessment will include consideration of:

• The gravity of the alleged conduct reported;
• The context in which the alleged conduct occurred;
• The extent of possible or actual consequences arising from the alleged conduct; and
• The potential to which the alleged conduct exposed systematic wrongdoing beyond the allegation reported.

On receipt of a report, the APS will determine whether an investigation is appropriate. The APS may determine to not investigate a report if it is considered that:

• The matter is not Reportable Conduct as defined in this Policy (Section 5);
• The allegation was made without reasonable grounds to suspect wrongdoing;
• There is insufficient information to undertake an investigation; or
• The matter has been addressed satisfactorily or resolved prior through another grievance or reporting procedure.

8.2 Conduct

Where an investigation is warranted, an investigator must be appointed.

The investigation process will be informed by the nature of the allegation.

The appointed investigator must be independent of the matter reported.  The APS may appoint an external investigator to conduct the investigation.  Terms of reference may be developed for appointed external investigators for guidance and reference.  Investigators will:

• Take all reasonable steps to ensure that the investigation is fair, timely and the rules of procedural fairness are applied;
• Provide regular and timely feedback on the status of an investigation and the outcome of the investigation to the APS Board (where the Board is not conflicted);
• Maintain appropriate records and documentation for each step in the investigation process; and
• Report the findings of the investigation to the authorised recipient and WPO.

Any Reportable Conduct of a criminal nature will be referred directly to the relevant law enforcement agency and the APS’s lawyers.

8.3 Reporting

Where preliminary inquiries determine that a Reportable Conduct allegation is unfounded or that no investigation is warranted, the Whistleblower will be notified of this outcome.

Upon completion of an investigation, the investigator will provide a written report of findings to the authorised recipient who initiated the investigation.  The authorised recipient will, as appropriate, provide a copy of the report to the Company Secretary, Chief Executive Officer, Chair of the Governance & Risk Committee or the President, and any person who is the subject of the disclosure.  Where appropriate, the report may be communicated, in whole or part, to the Whistleblower and any other person concerned or mentioned in the report.

The report will detail the conduct of the investigation, conclusion or findings reached and include recommendations for further action by the APS.

If wrongdoing has been found, the authorised recipient will take appropriate action, either on an internal basis or refer the matter to an appropriate regulator or law enforcement agency.

The APS will take reasonable steps to review and amend policies, processes, and practices to prevent the Reportable Conduct from continuing or occurring in the process.

Where appropriate and applicable, the authorised recipient of the report may provide feedback to the Whistleblower regarding the progress of the investigation and/or the outcome.

The APS does not wish to discourage reporting of genuine, serious concerns under this Policy.  Anyone making a report under this Policy must ensure that their report complies with this Policy.  Under the Whistleblower Laws, a Whistleblower must have reasonable grounds to suspect that the concerns being raised fall within the definition of a disclosable matter.

False or vexatious disclosures undermine the effectiveness of this Policy.  A false report, including where the report has been made vexatiously or without basis, may constitute misconduct.  The APS may take disciplinary action against a person who makes a vexatious or knowingly false report.

10.1 Legislation

The APS is principally governed the Corporations Act, the Australian Charities and Not-for-profits Commission Act 2012 (Cth), and the Australian Charities and Not-for-profits Commission Regulations 2022.  Additionally, the APS is subject to a range of legal requirements imposed by local, state, and federal government agencies.

The APS’s regulators include:

• ASIC – principally responsible for the enforcement of the Corporations Act and the oversight of the ASIC Act;
• Australian Charities and Not-For-Profits Commission (ACNC) – the independent national regulator of charities (the APS is a registered charity and must meet certain ACNC obligations to maintain that status);
• ATO – administers tax legislation;
• State government fundraising regulators – administers fundraising regulation;
• State government revenue offices – state taxes, stamp duty and compliance;
• Office of the Australian Information Commissioner (OAIC) – is responsible for privacy functions conferred by the Privacy Act and other laws.

10.2 APS Policies

• Appeals Policy
• Complaints and Grievances Policy
• Conflict of Interest Policy
• Constitution
• Delegations of Authority Policy
• Equal Employment Opportunity Policy
• Fraud Control and Corruption Prevention Policy
• Anti-Harassment Policy
• Privacy Policy
• Risk Policy
• Work Health and Safety Policy
• Anti-Bullying Policy

8.1 Access to published Policy

This Policy will be available on the APS Website.

8.2 Approval/Revision Record