The purpose of this policy is to outline ATEC's commitment to providing an environment which supports staff, volunteers, board members, partners, contractors and other parties highlighted under the Scope of this policy to raise issues of misconduct without concern of retribution, knowing that ATEC has appropriate mechanisms in place to both respond to allegations and protect the Whistleblower. ATEC recognizes the vital role whistleblowers play in upholding its ethical standards and ensuring compliance with laws and regulations. This policy is intended to foster a culture of transparency and accountability across all of ATEC’s global operations.
The policy demonstrates ATEC's commitment to the highest legal, moral and ethical behaviour.
When an individual reports misconduct, ATEC will ensure:
This policy refers to current and former ATEC employees, volunteers, board members and officers, contractors, consultants, partners and suppliers (whether they are full time, part-time or casual), and any relative, spouse, or dependent of any of these individuals.
This policy applies to all ATEC entities, subsidiaries, branches, and representative or virtual offices in any country of operation. It is intended to provide a consistent framework for whistleblower protection while complying with local laws and regulations.
ATEC is committed to creating and maintaining an open working environment where concerns regarding actual or suspected unethical, unlawful or undesirable conduct can be raised and addressed.
The ATEC Board and management team recognise that any genuine commitment to detecting and preventing illegal and other undesirable conduct must include a mechanism whereby employees and others can report their concerns freely and without fear of reprisal or intimidation. This policy outlines such mechanisms.
ATEC will take all reasonable steps to protect whistleblowers from retaliation, discrimination, retribution, reprisal, harassment, victimisation or any other form of adverse action as a result of reporting misconduct. ATEC will also ensure that reports of misconduct are investigated thoroughly and impartially, and that appropriate corrective action is taken when warranted.
It is important to distinguish a complaint from a matter which requires the utilization of the Whistleblower process.
The ATEC Complaints Handling Policy and Procedures addresses dissatisfaction with ATEC products, services or staff, whilst the Whistleblower policy addresses disclosures of conduct which has breached ATEC policies or Code of Conduct or the Australian Council for International Development's (ACFID) Code of Conduct, or conduct which is illegal or meets the misconduct behaviour defined within this policy.
Whistleblower - An individual within the scope of this policy who, whether anonymously or not, reports misconduct in accordance with this Whistleblower policy.
Whistleblowing - The disclosure by a Whistleblower of actual or suspected activities or behaviours in an organisation which are considered to be misconduct or an improper state of affairs or circumstances of ATEC.
Whistleblowing Recipient - A person who is eligible to receive a report from a Whistleblower that qualifies for protection under this policy and applicable legislation. The CEO of ATEC has been appointed as the main recipient for receiving reports under the Corporations Act 2001. The CEO can be contacted at secretary@atecglobal.io.
If you feel uncomfortable reporting a matter to the CEO, reports can be made to:
Chief of Staff: mmazingi@atecglobal.io
Chair of the ATEC Board: quentin@wavemaker.vc
Misconduct - Includes behaviour that reveals:
All actual or suspected incidents of misconduct, regardless of inclusion on the above list or not, should be reported.
Personal Work-Related Grievance - A matter which only concerns a grievance about a matter in relation to an individual's employment, or former employment, which has implications for the discloser personally, but does not constitute a matter of Misconduct as defined in this policy.
All people within the scope of this policy have a responsibility to report any actual or suspected misconduct. All reports of actual or suspected misconduct are treated with the utmost seriousness, escalated to senior management and will be investigated appropriately.
All Whistleblowers who report actual or suspected misconduct in accordance with this policy will receive the protections for Whistleblowers in accordance with this policy and Australian legislation or legislation in countries where ATEC operates even if the information reported turns out to be incorrect, provided the Whistleblower had reasonable grounds to suspect the information reported. Deliberate false reports will not qualify for the protections in this policy or applicable legislation.
Reports of a Personal Work-Related Grievance (for example, a complaint of an interpersonal conflict with ATEC Australia) do not qualify for the protections in this policy, unless the report also includes information which alleges Misconduct, such as a detriment or a threat made to the Whistleblower.
There are two avenues through which to raise actual or suspected misconduct:
If it is not appropriate, or you do not feel comfortable raising the misconduct with your manager,
We encourage reports to be made to ATEC in the first instance so that we can investigate and manage the report. However, if you do not feel comfortable reporting, whether anonymously or not, through either of the above options, you may make a report to an appropriate regulator, including Australian Securities and Investments Commission (ASIC) or APRA (Australian Prudential Regulation Authority) or equivalent regulatory bodies in the jurisdiction of the reported misconduct, and still be eligible for protections under the whistleblower legislation.
A Whistleblower may seek additional information about the operation of this policy and applicable legislation before making a disclosure by contacting a Whistleblowing Recipient or speaking to an independent legal advisor. Reports made to a legal practitioner for the purpose of seeking legal advice or representation in relation to the operation of the whistleblower legislation qualify for protection, even if the report is not about misconduct as defined in this policy.
In some circumstances, a report of misconduct can be made to a journalist or a parliamentarian as a Public Interest Disclosure or Emergency Disclosure. A Whistleblower should ensure that they understand the strict requirements of these two types of disclosures.
More information can be found on ASIC's website or by seeking independent legal advice.
ATEC treats all reports seriously and will investigate reports in accordance with the Complaints Handling Procedure.
ATEC will commence investigations of matters under this policy within ten (10) business days of receiving the report. The process of investigation will be determined by the CEO and/or the ILT in consultation with the Chair of the Board.
If required, the complaint will be escalated for investigation. The Whistleblower may be kept up to date on the progress by the identified manager, if the Whistleblower is able to be contacted. This procedure may vary based on the nature and complexity of the information reported, and whether the Whistleblower is able to be contacted.
Once a report has been received, the person contacted will determine and direct the report to the appropriate manager who will be responsible for following up the report. The manager will be required to document the resolution process and provide the CEO updates on its progress.
The manager leading the resolution of the report is responsible for ensuring the confidentiality of the identity of the Whistleblower and protecting the Whistleblower from detrimental action. ATEC will ensure that a person implicated in a report is not involved in any way with the handling of that report. Any concerns or questions regarding this can be raised to the manager or CEO.
ATEC will make every reasonable effort to investigate all the relevant circumstances and information surrounding a report. The level of investigation will be commensurate with the information and evidence provided, and the seriousness and the frequency of the conduct of the subject of the report.
Once a report is received, ATEC will undertake an initial assessment of the severity and urgency of the report and determine whether investigation is required. If the Whistleblower disputes an assessment that a report should not be investigated, the member of staff handling the report will refer it to a more senior colleague for review, either the CEO or the Chair of the Board. If such a dispute is unresolvable the Whistleblower may report to an external regulator such as ASIC or APRA or the relevant local authority.
All information relating to this policy will be stored in line with ATEC's Records Management Policy.
Throughout the process of reporting and investigation of a claim, all information will be handled and stored confidentially. Information will be collected and stored in a restricted online folder. Information will be destroyed after 7 years or as directed by the Board.
The reporting register is confidential and can only be accessed by Recipients and the Whistleblowing Investigation Officer responsible for conducting an investigation. The information is used to determine the appropriate response to disclosures made and to inform any investigation that has commenced.
All information, documents, records and reports relating to the investigation of reported conduct will be confidentially stored and retained in an appropriate and secure manner.
Unauthorised release of information to someone not involved in the investigation without your consent as a Whistleblower will be a breach of this policy.
If the Whistleblower wishes to make their report anonymously, this shall be honoured except insofar as it may be overridden by due process of the law. The Whistleblower should, however, be informed that the maintenance of such anonymity may make it less likely that the alleged breach can be substantiated in any subsequent investigation.
Where anonymity has been requested, the individual is required to maintain confidentiality regarding the issue on their own account and to refrain from discussing the matter with any unauthorised persons.
In all circumstances, ATEC will work to ensure the confidentiality of a Whistleblower's identity. ATEC will protect a Whistleblower's identity by storing all documents securely, limiting access to materials to authorised individuals and referring to the Whistleblower in a gender-neutral manner.
Whistleblowing Recipients and any person involved in the investigation or management of a report cannot reveal information about the identity of a Whistleblower or information that is likely to lead to their identification, except in certain circumstances and as required by law. Retaliation against a Whistleblower, including harassment, demotion, or termination, is strictly prohibited and will result in disciplinary action.
ATEC will work to support Whistleblowers and protect them from detrimental actions as a result of making a report.
ATEC offers support to Whistleblowers through a number of ways. Examples of how ATEC will protect Whistleblowers from retaliation include:
Even though a Whistleblower may be implicated in the wrongdoing they must not be subjected to any actual or threatened retaliatory action or victimisation in reprisal for making a report under this policy. A Whistleblower is also protected from civil, criminal, and administrative (including disciplinary) liability as retaliation for making a report.
It is important to note that making a report may not protect the Whistleblower from the consequences flowing from involvement in the wrongdoing itself. A person’s liability for their own conduct is not affected by their reporting of that conduct under this policy. However active cooperation in the investigation, an admission and remorse may be taken into account when considering disciplinary or other action.
A Whistleblower may seek compensation and other remedies through the courts if they suffer loss, damage, injury, or other detriment because of the fact that they had made or may have made a report.
All information relating to this policy will be stored in line with ATEC's Records Management Policy.
Complaints or concerns from ATEC employees or other stakeholders about this policy shall be reviewed by ATEC in accordance with the ATEC Complaints Handling Policy and Procedure.