Whistle Blower Policy

Roy Hill commits that its business operations will always be ethical and legal. To achieve that, everyone must feel safe reporting conduct that falls below that standard.

Roy Hill provides several ways you can report unacceptable behaviour. You can discuss what reporting options are available with your Leader, MoR, HRBP, or one the Roy Hill Ethics Officers. Usually, speaking with one or more of those people will be the best way to resolve your concerns.

Sometimes, people might only be comfortable reporting something confidentially or anonymously, or they may be worried about what will happen to them if they speak up. In those cases, it may be more appropriate to go through the whistle-blower program.

Am I eligible to be a whistle-blower?

You are eligible to be a whistle-blower at Roy Hill if you are:

• a current or previous employee;
• an employee of a current or previous contractor or supplier; or
• a relative or dependant of either of the above.

What can I report?

Under the Corporations Act 2001 (Cth), you can report something as a whistle-blower if you have reasonable grounds to suspect that:

• “the information concerns misconduct, or an improper state of affairs or circumstances” in relation to Roy Hill. That might include a breach of one of our policies or procedures;
• someone at Roy Hill has breached certain financial Acts specified in the Corporations Act;
• someone at Roy Hill has “engaged in conduct that constitutes an offence against any other law of the Commonwealth that is punishable by imprisonment for a period of 12 months or more” or
• someone at Roy Hill has “engaged in conduct that represents a danger to the public or financial system”.

Even if what you want to report doesn’t fall under one of these statutory categories, you can still talk confidentially with one of the Whistle-blower Protection Officers or YourCall (the independent hotline) for advice.

Personal work-related grievances

In general, personal work-related grievances aren’t covered by the whistle-blower program unless they involve some form of misconduct. Otherwise, you should try to resolve these with the help of your Leader or HRBP. You can still talk confidentially with one of the Whistle-blower Protection Officers or YourCall (the independent hotline) for advice if you’re not sure.

Who can I report to and how?

To benefit from the legal protections available to whistle-blowers, you need to make your report to an ‘eligible recipient’.

Internal reporting options

Roy Hill has two dedicated Whistle-blower Protection Officers you can contact:

Both Whistle-blower Protection Officers are eligible recipients under the legislation.

External and independent reporting options

If you prefer, you can also report to an external and independent service provider called YourCall. YourCall offer whistle-blower reporting services as their core-business and are completely independent. They will not provide any personal information to Roy Hill without your express permission. YourCall is an eligible recipient under the legislation.

You can make a report to YourCall or speak with someone for advice either by telephone, email, or through their web-portal (the unique identifier code for the web-portal is ‘ROYHILL’).

Other reporting options

The legislation also provides for other eligible recipients, such as Roy Hill’s auditor, a legal practitioner (for the purposes of obtaining legal advice), and Roy Hill board members and Executive Leadership team members. You can also report to certain Regulators, such as ASIC or APRA, or to the ATO for tax matters. In some very limited circumstances, you can also report concerns about an emergency or a matter of public interest to a journalist or a parliamentarian.

To ensure the best outcome, we always encourage you to report to either a Whistle-blower Protection Officer or YourCall in the first instance.

Can I report something confidentiality or anonymously?

Yes.

This is often the reason someone might prefer to use the whistle-blower program over one of the other reporting options. It can make it more difficult to fully investigate your concerns, but we’ll work with you to try to resolve those challenges as far as possible. And if ever something isn’t right, it’s better that you talk with someone confidentially or anonymously than not at all.

What protections are available?

By law, if you are eligible for whistle-blower protection, the eligible recipient must not:

• disclose your identity (including any information that might reasonably allow someone to identify you) to anyone unless they have your express permission to share it; or
• cause or threaten any detriment to you for making the disclosure (e.g. dismissal, demotion, restricting career advancement, harassment, intimidation, or otherwise injuring you in your employment).

In some very limited circumstances, an eligible recipient may be required by law to disclose your identity to ASIC, APRA, or the Australian Federal Police – but we would discuss that with you first in the unlikely event that was the case.

You can also seek compensation through a court if you suffer any loss or damage due to a breach of whistle-blower laws.

How will my report be investigated?

Anything you report through the whistle-blower program will be assessed by the Whistle-blower Protection Officers. The Whistle-blower Protection Officers will assess whether your report can and should be investigated and will communicate this to you if they have a means to contact you.

If the Whistle-blower Protection Officers determine that an investigation should occur, they may conduct the investigation themselves or engage an independent specialist external investigator. The Whistle-blower Protection Officers will consult with you on the investigation methodology if they have a means to contact you. Access to all investigation documents will be strictly limited to the Whistle-blower Protection Officers, the investigators, and any persons who must know to take appropriate action.

Subject to any commercial, legal, confidentiality, or practical constraints, the Whistle-blower Protection Officers will share the outcome of the investigation with you (but not the investigation report itself).

What if I was involved in the wrongdoing?

Whistle-blower protections don’t extend to immunity for any misconduct you may have been involved in, even if you’re the one who reports it. The consequences of any substantiated misconduct would depend on the circumstances and the severity of the wrongdoing. Your coming forward and subsequent cooperation would certainly be taken into account however.

What if I am the one accused of wrongdoing?

Everyone is entitled to a presumption of innocence. Roy Hill must take any allegations of wrongdoing seriously, but we appreciate that being accused can be distressing and embarrassing, particularly if the allegations ultimately prove to be incorrect or aren’t substantiated. The Whistle-blower Protection Officers will ensure that any investigation is conducted as discreetly as possible and with procedural fairness. Emotional support is also available through the Chaplains or Roy Hill’s EAP provider.

If you feel you are being treated unfairly or unreasonably during a whistle-blower investigation, please raise this with one of the Whistle-blower Protection Officers, an Ethics Officer, or your HRBP.

Where can I find out more details?

If you have any questions or would like to discuss any of this procedure in more detail, you should contact one of the Whistle-blower Protection Officers or YourCall.

ASIC also has details about whistle-blower laws and protections available on its website here.