Whistleblower Standard
PURPOSE
This Standard documents how Evolution Mining Limited (the Company) upholds a commitment to a work environment free of unethical, unlawful or undesirable conduct or practices as detailed in the Company’s Whistleblower Policy (Policy). Individuals covered under this Policy (Individuals) are protected and encouraged to raise concerns regarding such conduct via the processes detailed within this Standard.
Reporting unacceptable conduct
Internally
The Company has a range of internal processes for the reporting and management of complaints of unacceptable conduct, via their direct reporting line manager or site People & Culture (P&C) Representative. At all times, such discussions will remain confidential.
Externally
For issues of such sensitivity that an Individual does not feel able to use these internal processes (or that they feel their concerns have not been adequately addressed), an external service FairCall is available to report and/or discuss these matters. FairCall is an external, independently monitored and dedicated service available 24/7 and can be contacted via the following channels:
FairCall phone
1800 500 965 (Australia) 1800 236 5725 (Canada)
FairCall email
FairCall web
https://www.kpmgfaircall.kpmg.com.au/Evolutionmining
FairCall post
The FairCall Manager, KPMG Forensic, PO Box H67, Australia Square, Sydney, NSW 1213
FairCall fax
+61 2 9335 7466
Individuals raising a matter may do so anonymously. All matters raised with FairCall are recorded and detailed in a report that is provided to the Whistleblower Protection Officer (WPO).
Whistleblower Protection Officer (WPO)
The role of the Whistleblower Protection Officer (WPO) is to:
- Act in accordance with this Standard and to safeguard the interests of the Individual raising the issue
- Ensure that any Individual who is the subject to an allegation has the opportunity to respond
Maintain a direct line of reporting to the Executive Chairman;
- Upon completion of the investigation, report the findings to the Executive Chairman who will determine the appropriate response in consultation with the WPO
- Provide a report of the whistleblower activity and outcomes to the Board
The WPO will not conduct any investigation which relates to allegations made regarding themselves, their department or any circumstances in which their independence may be questioned, or it would be unreasonable to do so. In this instance, the WPO will appoint a delegate investigator and advise the Executive Chairman of the decision.
In a case where the Executive Chairman has been accused of misconduct, or where the Executive Chairman has a close relationship with the accused, the WPO must have direct access to a Board Representative. In the event that the Executive Chairman is subject to any allegation, the Lead Independent Director and the WPO will determine the appropriate response.
The role of the WPO is nominated by the Executive Chairman, endorsed by the Board and is currently the Vice President – People and Culture.
Investigation Process
Upon receiving a complaint covered under this Standard, the WPO will ensure the matter is appropriately addressed and that any investigation will be conducted confidentially and without bias.
Confidentiality and Privacy PRotection
Disclosure of Identity
If an Individual makes a report of unacceptable conduct under this Standard, the Company will endeavour to ensure that their identity is protected from disclosure. The Individual’s identity will not be disclosed unless disclosure is:
- Consented to by the Individual raising the complaint
- Required by law
- Necessary to prevent or lessen a serious threat to an Individual’s health and safety, or
- Necessary to protect or enforce the Company’s legal rights or interested, or to defend itself against any claims
All records relating to such matters will be stored securely and only accessible to authorised employees.
Unauthorised Disclosure
Unauthorised disclosures will be deemed unacceptable conduct under this Standard and will be dealt with in accordance with the Company’s disciplinary procedures. The Company will not tolerate any reprisals, discrimination, harassment, intimidation or victimisation against any Individual suspected of making a report of unacceptable conduct, or against that Individual’s colleagues, employer (if a contractor or supplier) or relatives. Any such retaliatory action will be treated as serious misconduct and be dealt with in accordance with the Company’s disciplinary procedures.
Disclosure Protected by the Corporations Act
Under the Australian Corporations Act, the disclosure of information relating to unacceptable conduct qualifies for certain protection where the:
- Disclosure is made by a person to any of the Australian Securities and Investments Commission (ASIC), the Group’s external auditor or a member of the external audit team, a director, company secretary or the Group senior manager of the FairCall service
- Person making the disclosure provides his or her name prior to disclosing the information
- Person has reasonable grounds to suspect that the unacceptable conduct relates to a breach of the Corporations Act in Australia
- Disclosure is made in good faith
Where the Australian Corporations Act applies, and information is disclosed by an Individual in accordance with these criteria, the Individual receiving the information may not tell anyone other than ASIC, the Australian Prudential Regulation Authority or the Australian Federal Police any of:
- The information disclosed
- The identity of the Individual making the disclosure
- Any information which will enable the identification of the Individual making the disclosure, unless the Individual consents to that disclosure
Reporting
FairCall will provide reports containing a general summary of the number and type of matters raised to it together with a description of the nature and results of any investigation conducted pursuant to the complaint raised. In the compilation of these reports, the identity of the Whistle-blower under this Standard will not be disclosed.
All such reports will be provided to the WPO, and Executive Chairman.
