• Section 1 - Purpose 
• Section 2 - Scope 
• Section 3 - Responsibilities
• Section 4 -  Policy Principles
• Whistleblower Proteciton Criteria
• Investigation of the Whistleblower Disclosure
• How Does the Diocese Protect Whistleblowers and their Information?
• Protection from Detriment
• Protection from Victimisation
• Section 5 - Consequences of Breaching this Policy
• Section 6 - Notations
• Section 7 - Document Review

Section 1 - Purpose 

(1) The purpose of this policy is to outline how the Catholic Diocese of Maitland-Newcastle (the Diocese) will promote a culture of compliance, honesty and ethical behaviour. It ensures the Diocese has systems in place to record and address allegations of fraud, corruption, maladministration and misconduct.

(2) The Diocese must comply with certain legislative requirements including those within the Corporations Act 2001 (Cth) and the Taxation Administration Act 1953 (Cth)

(3) The policy explains: 

1. The criteria to gain protection as a whistleblower.
2. How the Diocese interprets the term misconduct (and its inclusions of fraud, negligence, default, breach of trust and breach of duty) as defined in the Corporations Act 2001 (Cth) to provide further guidance to both whistleblowers and the Diocese.
3. The rights and protections granted to all workers who make a whistleblower disclosure.
4. When a whistleblower report may be lodged, and the process for lodging and managing whistleblower reports. 
5. The protections available to whistleblowers against reprisal including detriment and victimisation.

Section 2 - Scope 

(4) The policy applies to all workers of the Diocese including its agencies, and parishes if decreed by the Bishop.

(5) This policy is defined for the protection of whistleblowers and the management of whistleblower disclosures.

(6) Personal work-related grievances are generally not covered by this policy and are covered by the Grievance Resolution Policy and Procedure. Examples of grievances that may be personal work-related grievances include:

1. an interpersonal conflict between the individual and another worker;
2. a decision about engagement, transfer or promotion of the individual;
3. a decision about the terms and conditions of engagement of the individual; or
4. a decision to suspend or terminate the engagement of an individual, or to otherwise discipline the individual. 

Section 3 - Responsibilities

Section 4 -  Policy Principles

(7) All Diocesan workers should feel confident and comfortable about making whistleblower disclosures without fear of victimisation or detriment.

(8) The Diocese is committed to protecting a whistleblower who reports or attempts to make a whistleblower disclosure unless disclosure is required by law in legal proceedings, by a regulator or under other laws.

Whistleblower Proteciton Criteria

(9) Under the Corporations Act 2001 (Cth) and the Taxation Administration Act 1958 (Cth), a whistleblower is afforded protections in certain circumstances. These provisions apply within the Diocese.

(10) To receive the protections afforded to a whistleblower, you must satisfy the following criteria and take the following action when making a disclosure namely:

1. You must identify yourself when making your disclosure (this means giving your name to the person or authority you are making the disclosure to).
2. You must either be:
   1. a worker of the Diocese or immediate relation;
   2. an officer (usually means a director or secretary of a company controlled by the Diocese); or
   3. a contractor, or the employee of a contractor, who has a current contract to supply goods or services to the Diocese.
3. You must make your disclosure to
   1. an eligible recipient of the Diocese each of whom has relevant experience and/or training to deal with such matters;
   2. a person authorised by the Diocese to receive whistleblower disclosures (i.e. the authorised whistleblower disclosure service); or
   3. if you do not feel comfortable making the whistleblower disclosure to an eligible recipient, you could also raise it with the auditors or actuaries of the Diocese.
4. You must have objectively reasonable grounds to suspect that the information you are disclosing indicates that the Diocese or a worker of the Diocese may be engaged in fraud, corruption, maladministration or misconduct.
5. You must be acting in good faith. Any worker who makes a vexatious or malicious disclosure under this policy may be in breach of the Code of Conduct.

Investigation of the Whistleblower Disclosure

(11)  All whistleblower reports should be the subject of a thorough investigation to determine whether there is evidence to support the claim or not.

(12) Investigations will be conducted in accordance with the principles of procedural fairness in a manner independent of the organisational unit concerned, the whistleblower or any person involved in the alleged fraud, corruption, maladminstration or misconduct.

How Does the Diocese Protect Whistleblowers and their Information?

(13) The Diocese agrees that qualifying whistleblowers shall be protected from incurring any disciplinary or other punitive action by the Diocese for making a disclosure. The Diocese will protect whistleblowers from detriment or victimisation. For example, a worker who breaches a confidentiality clause in their employment contract to make a disclosure is protected from incurring any disciplinary or other punitive action for breaching that confidentiality clause.

(14) Reporting fraud, corruption, maladministration or misconduct that you yourself participated in does not automatically give you immunity from the consequences of having engaged in the misconduct – however it may be taken into consideration by the Diocese during any subsequent disciplinary actions.

(15) In some instances, establishing the offence may not be possible until an investigation has been carried out.

(16) Workers are encouraged to come forward with pertinent information that may support the investigation into the alleged fraud, corruption, maladminstration or misconduct.

(17) The eligible recipient will give guidance in determining whether the whistleblower meets the criteria for protection.

(18) The whistleblower disclosure service is an independent, confidential and anonymous disclosure service available to workers of the Diocese or their immediate relation.

(19) The Diocese will engage a nominated service to provide an external independent and secure process for the reporting and management of allegations (disclosures) of workplace crime, fraud, corruption, maladminstration and misconduct.

Protection from Detriment

(20) The Diocese will protect whistleblowers who make a whistleblower disclosure from incurring detriment.

(21) Whistleblowers who experience detriment as a result of making a whistleblower disclosure must report this matter to the Diocese so it can provide protection to whistleblowers who make a whistleblower disclosure.

Protection from Victimisation

(22) Retaliatory action of any kind taken by a worker of the Diocese against a whistleblower as a result of that whistleblower making a disclosure under this policy is prohibited and may result in disciplinary sanctions against the worker engaging in retaliatory action. This includes where a worker intends for a whistleblower making a disclosure to fear that a threat will be carried out or is reckless as to causing the whistleblower to fear the threat will be carried out. These sanctions range from formal warning to summary dismissal.

Section 5 - Consequences of Breaching this Policy

(23) Any worker found to be in breach of this policy may be subject to disciplinary action, including where a serious breach occurs, dismissal.

Section 6 - Notations

(24) If there is any inconsistency between a policy document in existence before the commencement of this policy, and a policy document developed after the commencement of this policy, the latter applies to the extend of the inconsistency.

Section 7 - Document Review

(25) This policy will be reviewed when there is a legislative change, organisational change, delegations change, technology change or at least every 3 years to ensure it continues to be current and effective.