Policies

The Company is committed to complying with its continuous disclosure obligations pursuant to the Corporations Act and Listing Rules set by the Australian Stock Exchange. Specifically, the Company’s policy is to ensure compliance with Listing Rules 3.1, 3.1A and 3.1B.

Anagenics has established procedures to ensure that the share market in which the Company’s shares are traded is properly informed of matters that may have a material impact on the price at which the Company’s securities are traded.

The Board of Directors and CEO are responsible for the ongoing review of information which may be material, making disclosures to the ASX and issuing media releases on behalf of the Company.

To ensure clear, consistent and appropriate information, the Chairman and the CEO are the only Officers authorised to speak to the media.

Communications with shareholders

The Board of Directors aims to ensure that the shareholders are informed of all major developments affecting the Company’s state of affairs. Information is communicated to shareholders through:

• The Annual Report
• The Interim Report
• Disclosures made to the Australian Stock Exchange
• Notices and explanatory memoranda of Annual General Meetings
• Annual General Meeting
• Occasional newsletters from the Company to specifically inform shareholders of key matters of interest
• This website

Anagenics’ Policy on Public Disclosure of Information

All material price sensitive information in relation to the company’s business will be made public through the ASX’s announcements system in accordance with and subject to ASX Listing Rule 3.1. As soon as practicable, all announcements are subsequently published on the company’s website, www.anagenics.com, under the “Investors” section.

The company may issue newsletters or other shareholder updates from time to time. These can also be found on the company’s website. Information and updates may also be provided at general meetings of the company.

Subject to the ASX Listing Rules:

• • the company will not generally comment on rumours or market speculation; and
  • trading halts or suspension from trading in the company’s shares or other securities on ASX may be necessary from time to time to facilitate an orderly, fair and informed market for the company’s shares or other securities.

Disclosure of sensitive information to third parties may be required from time to time in the ordinary course of the company’s business or for the purpose of particular transactions being considered, negotiated or entered into by the company. Where necessary, disclosure to the third parties will take place under formal confidentiality arrangements. To the extent not already bound by express or implied obligations of confidentiality, the requirement for a confidentiality or non disclosure agreement may be extended to bankers, brokers and professional consultants and advisers.

Authority to disclose information and make public statements

The CEO (Scott Greasley), or in his absence a board designee, is the only authorised person to make disclosures to ASX. That would normally be done after consultation with the Board or Chairman of the Board unless circumstances warranted immediate announcement.

The CEO (Scott Greasley), or in his absence a board designee, is also the only authorised person to make public statements or discuss company matters with individuals or groups not subject to formal confidentiality agreements with the company. Whilst the CEO is authorised to discuss publicly available information, he is not able to discuss with or disclose to individual shareholders/investors matters that are not released to the capital markets via the ASX. Furthermore, he is only able to discuss or disclose details of commercial or capital strategies to the extent that these have already been made public via the ASX announcements system.

For this reason it is a policy of Anagenics not to publically discuss company matters outside of formally organised general meetings of the company and investor, shareholder, industry and media briefings.

General Meetings may be attended in accordance with and subject to the terms of the company’s constitution and general law.

Investors/shareholders may register their interest in attending investor or shareholder briefings by contacting the company with their full name, address and contact details. Attendance at outside industry briefings (including briefings for analysts and brokers) is a matter for the organisers. Information presented during the course of briefings that is required to be disclosed or likely to be of interest to capital markets will be released to the market prior to the commencement of the briefing. Attendance at company organised briefings is by invitation and at the discretion of the company. Invitations may be made subject to conditions. Proof of identity may be required before entry is permitted.

Media inquiries should be directed to the CEO (Scott Greasley).

Information on shares and other securities

If you have any questions regarding:

• • your rights or obligations as a holder, buyer or seller of company shares or other securities;
  • the suitability or otherwise of the company as an investment; or
  • the financial, taxation, social security or other implications of holding, selling or buying company shares or other securities

you should consult a professional adviser.

For specific information in relation to your individual shareholding or holding of other securities issued by the company from time to time, please contact Automic Registry Services, the Company’s registry service provider. Inquiries of Automic may be subject to their standard fees and charges from time to time.

Contact details for Automic Registry Services:

Automic Registry Services (Automic)

 Registered Address:   Level 5, 126 Phillip Street

Sydney NSW, 2000

 Telephone:  1300 288 664 (within Australia)

+61 2 9698 5414 (outside Australia)

 Email:  hello@automic.com.au

 Investor portal:  https://investor.automic.com.au/#/home

The Board determines the Company’s ‘risk profile’ and is responsible for overseeing and approving risk management strategies and internal compliance and control in the interests of protecting and promoting shareholder value.

These include:

• establishing and monitoring the Company’s strategies, goals and objectives
• identifying and measuring risks that might impact on the achievement of those strategies, goals and objectives
• formulating risk management strategies to manage the identified risks
• monitoring and improving the effectiveness of risks and internal compliance controls.

The Board acknowledges that the development of sound risk management policies and procedures is an ongoing process that will continue as the Company grows.

The Company recognises that public confidence in Company Securities can be eroded if there is insufficient understanding about the Company’s policies governing trading by people within the Company who are likely to possess inside information.

> Read the full Share Trading Policy in PDF format

Background

Anagenics Limited (Anagenics or the Company) has the following Social Media Policy (Policy) to regulate the use of social media by people associated with Anagenics or its subsidiaries. The Policy covers the use of electronic media for engagement within and between the Company and the market by directors, contractors and employees of Anagenics Limited and the Company’s subsidiaries (Restricted Persons).

To preserve the reputation and integrity of Anagenics and its subsidiaries, this Policy will apply to the wide range of technologies commonly referred to as ‘social media’ which fundamentally are no different to other forms of communication, but do represent a risk as well as an opportunity because they can connect large numbers of people with relative ease.  The rationale for the Policy is to manage the risks associated with the use of technology platforms and tools of this nature.

Social Media Definition

Social media means online social networking or Web 2.0 technologies services and tools used for publishing, sharing and discussing information, including without limitation blogs or web logs, electronic forums or message boards, micro-blogs (eg: Twitter™), photo sharing sites (eg: Flickr®), social bookmarking sites (eg: Delicious™, Digg™, Reddit™) social networking websites (eg: MySpace™, Facebook®, LinkedIn®, Google+™, Bebo™, Friendster™) video sharing sites (eg: YouTube™), virtual worlds (eg: Second Life®) and wikis (eg: Wikipedia®) and any other electronic media that allow individual users to upload and share content regardless of format.

Scope of Policy

The Policy outlines requirements for compliance with confidentiality, governance, legal, privacy and regulatory parameters when using social media to conduct Anagenics business.

This Policy is intended to apply to both Anagenics and its subsidiaries. References to the Company or Anagenics in this Policy should be read as referring to both Anagenics and its subsidiaries, as appropriate.

This Policy aims to:

• inform appropriate use of social media tools for Anagenics
• promote useful market engagement through the use of social media
• minimise problematic communications
• manage the inherent challenges of speed and immediacy

This Policy should be read in conjunction with other relevant policies and procedures of Anagenics and is not intended to cover personal use of social media where the author publishes information in their personal capacity and not on behalf of, or in association with Anagenics and no reference is made to Anagenics, its directors, employees, policies and products, suppliers, shareholders, other stakeholders or Anagenics related issues.

Legislative and Policy Framework

The Restricted Persons are expected to demonstrate standards of conduct and behaviour that are consistent with relevant legislation, regulations and policies, including the following non-exhaustive list:

1. Corporations Act;
2. ASX Listing and Operating Rules;
3. Anagenics’ employment contracts;
4. Anagenics’ Share Trading Policy.

Policy Requirements

When using social media, Restricted Persons are expected to:

1. seek prior authorisation from the Chief Executive Officer;
2. adhere to Anagenics policies and procedures;
3. behave with caution, courtesy, honesty and respect;
4. comply with relevant laws and regulations;
5. only disclose information that has already been released to the market;
6. reinforce the integrity, reputation and values Anagenics seeks to foster.

The following content is not permitted under any circumstances:

1. content that has not been released to the market;
2. abusive, profane or language of a sexual nature;
3. content not relating to the subject matter of that blog, board, forum or site;
4. content which is false or misleading;
5. confidential information about Anagenics or third parties;
6. copyright or trade mark protected materials;
7. discriminatory material in relation to a person or group based on age, colour, creed, disability, family status, gender, nationality, marital status, parental status, political opinion or affiliation, pregnancy or potential pregnancy, race or social origin, religious beliefs or activity, responsibilities, sex or sexual orientation;
8. illegal material or materials designed to encourage law breaking;
9. materials that could compromise the safety of any employee;
10. materials which would breach applicable laws (Corporations Act and regulations, ASX Listing and Operating Rules, defamation, privacy, consumer and competition law, fair use, copyright, trade marks);
11. material that would offend contemporary standards of taste and decency;
12. material which would bring the Company into disrepute;
13. personal details of Company directors, employees or third parties;
14. spam, meaning the distribution of unsolicited bulk electronic messages; and
15. statements which may be considered to be bullying or harassment.

If you have any doubt about applying the provisions of this policy, the Anagenics Chief Executive Officer is the correct person to check with prior to using social media to communicate on behalf of the Company. Depending upon the nature of the issue and potential risk, it may also be appropriate to consider seeking legal advice prior to publication.

Prior Authorisation

Authorisation from the Chief Executive Officer must be obtained before a Restricted Person can use social media including but not limited to uploading content or speaking on behalf of Anagenics.

Media Statements

Statements or announcements cannot be made through social media channels unless authorised by the Chief Executive Officer. No Restricted Person may respond directly if approached by media for comment through social media and must refer the inquiry to the Chief Executive Officer.

Expertise

No Restricted Person may comment outside his or her area of expertise.

Confidential Information

Restricted Persons may only discuss publicly available information. Restricted Persons must not disclose confidential information, internal discussions or decisions of the board, employees, consultants or other third parties.

Accuracy

Information published should be accurate, constructive, helpful and informative. Restricted Persons must correct any errors as soon as practicable and not publish information or make statements which are known to be false or may reasonably be taken to be misleading or deceptive.

Identity

Restricted Persons must be clear about their professional identity, or any vested interests and must not use fictitious names or identities that deliberately intend to deceive, mislead or lie or participate in social media anonymously or covertly or via a third party or agency.

Personal Opinions

Restricted Persons should not express or publish a personal opinion on Anagenics generally or about Anagenics business via social media and should be mindful of market disclosure rules when discussing or commenting on Company matters. Generally, Restricted Persons should not express personal opinions on Company decisions or business nor be critical of Anagenics and its personnel. If it is not possible to separate official Anagenics positions from personal opinions, Restricted Persons should consider using a formal disclaimer to separate interests.

Privacy

Restricted Persons should be sensitive to the privacy of others. However, Anagenics is not required to seek permission from anyone who appears in any photographs, video or other footage before sharing these via any form of social media if it is the copyright owner of the relevant image or footage.

Intellectual Property

Restricted Persons will use Anagenics’ own intellectual property where possible and shall obtain prior consent where Anagenics is not the creator or copyright owner, to use or reproduce copyright material including applications, sound recordings (speeches, music), footage (cinematographic vision), graphics (graphs, charts, logos, clip-art), images, artwork, photographs, publications or musical notation. Restricted Persons will also typically seek permission before publishing or uploading the intellectual property of a third party or before linking to another site or social media application.

Defamation

Restricted Persons will not comment, contribute, create, forward, post, upload or share content that is scurrilous, malicious or defamatory. Respect Restricted Persons will endeavour to be courteous, patient and respectful of the opinions of others, including detractors and the discourteous.

Discrimination

Restricted Persons will be conscious of anti-discrimination laws and must not publish statements or information which may be discriminatory in a human rights sense.

Language

Restricted Persons will remain mindful of language and expression and not lapse into excessive use of colloquialisms, having regard to an international audience.

State of Mind

Restricted Persons must not use social media when irritated, upset or tired.

Personal Privacy

Restricted Persons should protect their personal privacy and guard against identity theft.

Modification and moderation

Restricted Persons should ensure that any social media sites created or contributed to can be readily edited, improved or removed and appropriately moderated.

Responsiveness

Anagenics will endeavour to specify the type of comments and feedback that will receive a response and clearly communicate a target response time. Restricted Persons are required to make it easy for audiences to reach Anagenics and/or its subsidiaries by publishing appropriate company telephone numbers, generic emails, LinkedIn, Twitter and Facebook accounts.

Monitoring

Anagenics reserves the right, for legal compliance purposes, to monitor social media usage on its systems without advance notice and consistent with any applicable state, federal or international laws. Anagenics may be legally required to produce logs, diaries and archives of social media use to judicial, law enforcement and regulatory agencies and will comply with any relevant requests. Restricted Persons and other users should govern themselves accordingly.

General Responsibilities

Restricted Persons should seek advice or authorisation from the Chief Executive Officer, on using social media or if unsure about applying the provisions of this Policy, should register social media accounts with the Chief Executive Officer, understand and comply with the provisions in this Policy and any End User License Agreements, seek training and development for using social media and maintain records of email addresses, comments, ‘friends’, followers and printed copies or electronic ‘screen grabs’ when using externally hosted sites to the extent practicable. Each Restricted Person is responsible for adhering to the Anagenics Social Media Policy.

Enforcement

All content published or communicated by or on behalf of Anagenics using social media must be recorded (including the author’s name, date, time and media site location) and kept on record. Anagenics will actively monitor social media for relevant contributions that impact on the Company or its subsidiaries, and their officers, operations or reputation.

Anagenics employees breaching this policy may be the subject of disciplinary action, performance management or review. Serious breaches may result in suspension or termination of employment or association. Anagenics reserves the right to remove, where possible, content that violates this Policy or any associated policies.

Corporations Act

The requirements imposed by this Policy are separate from, and additional to, the legal prohibitions in the Corporations Act. Directors, officers, consultants and employees should be aware that they can be charged with criminal offences under the rules and regulations associated with the prevention of market manipulation, false trading, market rigging and misleading and deceptive conduct, all of which apply at law regardless of this Policy.

Failure to comply

Failure to comply with this Policy may be considered cause for termination of employment.

This policy will be published and promoted to personnel of Anagenics and its subsidiaries through www.anagenics.com and the appropriate Policy Manuals for Anagenics and its subsidiaries.

Overview

The Company strives to ensure we are operating the business with integrity. This document outlines what individuals should do if they wish to make a disclosure in relation to corporate misconduct, and what protection is available to them.

The policy is developed and implemented having regard to the protections afforded to eligible whistleblowers under Part 9.4AAA of the Australian Corporations Act 2001 (Cth) (the Act).

For the purposes of this policy, the Company means Anagenics Limited.

Effect of this policy

This policy aims to provide guidance to officers and employees of the Company, in respect of the protections afforded under legislation for whistleblowers.   To the extent that officers and employees of the Company have obligations under this policy, they are required to comply with the policy.

The terms of this policy are not intended to impose contractual obligations on the Company or on any related body corporate. Further, the terms of this policy are not incorporated into any individual employee’s contract of employment, nor any contractor’s contract for services.  This policy may be amended, replaced or rescinded by the Company from time to time, and in its absolute discretion.

What are the whistleblower protections all about?

Where a person who is an Eligible Whistleblower, makes an Eligible Disclosure, to an Eligible Recipient, then the person making the disclosure has certain rights and protections under legislation.

Who is an “Eligible Whistleblower”?

An Eligible Whistleblower is a person who is, or was:

• an officer;
• an employee;
• a supplier of goods of services (or employee of such a supplier);
• an associate (which includes a director or secretary of the Company or a related body corporate); or
• a relative, dependent or dependent of a spouse, of any individual listed above,

to or of the Company.

The Act provides protections for Eligible Whistleblowers in certain circumstances, and the Company is committed to recognising and upholding those protections.

What is an “Eligible Disclosure”?

The disclosures protected by the Act (“Eligible Disclosures”) include disclosures where a person has reasonable grounds to suspect that the information disclosed concerns:

• misconduct or an “improper state of affairs or circumstances” regarding the Company or any of its related bodies corporate;
• the Company or any related body corporate (or any officer or employee of those entities) having engaged in conduct that:
• is an offence against, or contravention of, the Act, the ASIC Act, or a range of specified banking, insurance, life insurance and superannuation statutes;
• is conduct that relates to an offence against any law of the Commonwealth which is punishable by imprisonment for 12 months or more; or
• represents a danger to the public or the financial system.

Some examples of Eligible Disclosures include (but are not limited) to:

• fraud, money laundering, or misappropriation of funds;
• offering or accepting a bribe;
• threats to engage in detrimental conduct against a person who has made a disclosure, or is believed or suspected to have made, or planning to make, a disclosure that qualifies for protection.

A disclosure made on reasonable grounds may still qualify for protection even if the disclosure turns out to be incorrect.

A disclosure may also be an Eligible Disclosure if the disclosure is made to a legal practitioner for the purpose of obtaining legal advice or legal representation in relation to the operation of the protection for whistleblowers contained in Part 9.4AAA of the Act.

There is no requirement for a discloser to identify him or herself for a disclosure to qualify for protection.

A whistleblower may have a right to make a public interest disclosure and an emergency disclosure (which relates to disclosures to a member of parliament and to journalists), pursuant to s.1317AAD of the Act. There is specific criteria applying to such disclosures, and a person should obtain specific independent legal advice about their rights before seeking to make such a disclosure.

A person may also have a right to make a disclosure in relation to misconduct concerning the tax affairs of the Company or its related bodies corporate, as set out in the Taxation Administration Act.

What is NOT an “Eligible Disclosure”?

Importantly, a “personal workplace grievance”, being a grievance about any matter in relation to the discloser’s employment, or former employment, having (or tending to have) implications for the discloser personally, will not qualify for protection, unless it concerns a contravention or alleged contravention of the Act, relating to a detriment caused or a threat made to a discloser. Examples of a personal workplace grievance include disclosures about:

• interpersonal conflict between a discloser and another employee;
• decisions relating to promotions, transfers, demotions, terms and conditions of employment; and
• decisions about taking disciplinary action against a discloser (including decisions about suspension and termination of employment).

However, a disclosure will not be a “personal workplace grievance” (and therefore will be capable of protection under the legislation), where the disclosure:

• has significant implications for the Company (or another regulated entity) that do not relate to the discloser; or
• is otherwise an offence against federal law, or represents a danger to the public or financial system.

However, although a “personal workplace grievance” may not be reportable pursuant to the terms of this policy, the Company encourages, and in some circumstances may require, employees and officers to raise issues in accordance with the employee handbook.

Who is an “Eligible Recipient” of a disclosure that qualifies for protection under the Act?

In order to qualify for protection, protected disclosures must be made to one or more of the following Eligible Recipients:

• an officer (including a director or company secretary) of the Company or a related body corporate;
• a senior manager of the Company or a related body corporate (being a person in the Company or a related body corporate who makes, or participates in making, decisions that affect the whole, or a substantial part, of the business of the Company or a related body corporate, or who has the capacity to affect significantly the Company’s or a related body corporate’s financial standing);
• the Australian Securities and Investments Commission (ASIC);
• the Australian Prudential Regulation Authority (APRA);
• the external auditor (or a member of that audit team) of the Company or a related body corporate;
• an actuary of the Company or a related body corporate;
• a legal practitioner for the purpose of obtaining legal advice or legal representation in relation to the operation of the whistleblower protections (such disclosure will still qualify for protection even if the legal practitioner concludes that the disclosure is not an Eligible Disclosure under the Act);
• the following person authorised by the Company to receive disclosures that may qualify for protection under the Act (Whistleblower Protection Officer):
  • CEO of the Company if the disclosure relates to other than the CEO;
  • The Chairman of the Company is the disclosure relates to the CEO.

The Whistleblower Protection Officer may be contacted by email for the purposes of:

• making an Eligible Disclosure; or
• seeking contact information of other Eligible Recipients.

What information should I include in my report?

When making a disclosure under this policy, the Company requests that a person includes, in writing:

• a description of the suspected conduct;
• a description of the reasonable grounds for the suspicion that the conduct is an Eligible Disclosure; and
• anything else you wish to add that would assist the Company to make an assessment of the conduct or to otherwise investigate it.

Investigation of disclosures

Upon receipt of an Eligible Disclosure, the Company will first assess the disclosure and make a determination as to whether investigation is appropriate.  The Company may investigate such disclosures made pursuant to this policy, and will approach the resolution of an issue on the basis of what is reasonably necessary to ensure appropriate responsible governance and corporate behaviour.

The Whistleblower Protection Officer, and/or another person deemed appropriate by the Company, may be appointed to assist in the investigation of a disclosure.

In endeavouring to ensure fair treatment of persons identified in a disclosure, the investigation will be conducted independently of any person who is mentioned in, or is the subject of, the disclosure. Where appropriate, such persons may be informed of the allegations and provided with the opportunity to respond.

While the particulars of the investigation process will be determined by the nature and substance of the disclosure, if the disclosure is not anonymous, contact with the whistleblower may be made shortly after receipt of the disclosure, and further information may be sought.

Where the Company considers it appropriate to do so, the Company will provide feedback to the whistleblower regarding the progress and/or outcome of the investigation, including any timeframes for completion of any investigation (assuming the disclosure has not been made anonymously and contact can be made).

Where a report is submitted anonymously, the Company may conduct an investigation based on the information provided.

Upon completion of an investigation, the Company will take any steps it considers appropriate.  This includes but is not limited to:

• taking disciplinary action against those the subject of a disclosure;
• taking disciplinary action against a person who has knowingly made a false disclosure;
• reporting any findings of the investigation related to criminal activity, to the police and/or regulators (e.g. ASIC).

Protection for whistleblowers

An Eligible Disclosure which qualifies for protection under the Act, qualifies for protection from the time the disclosure is made, regardless of whether the discloser or recipient recognises that the disclosure qualifies for protection.

Where an Eligible Disclosure made under this policy is made which qualifies for protection under the Act, the Company will endeavour to support the Eligible Whistleblower and protect them from detriment in the following ways:

A. Protection from detrimental conduct

If an Eligible Whistleblower makes a disclosure that qualifies for protection, it is prohibited under law, for another person to subject the discloser (or threaten to subject the discloser) to detrimental conduct as a result of making a disclosure (or believes or suspects a person made, may have made, proposes to make, or could make, a qualifying disclosure).  Detrimental conduct includes (but is not limited to):

• termination of employment;
• disciplinary action;
• demotion;
• performance management;
• bullying or harassment; or
• discrimination.

Such conduct is strictly prohibited by this policy.  If it is determined that an employee or contractor engages in conduct in breach of this direction, appropriate action (including disciplinary action, or termination of a contractor’s engagement) will be taken.  Such action will be separate from any penalties or damages that may be imposed by a court upon a person for having contravened the legislation.

If an Eligible Whistleblower considers that they have been subjected to detrimental conduct within the meaning of the above paragraphs, the Eligible Whistleblower may lodge a complaint by email to the Chairman. The Company may investigate such complaints and take such action it determines to be appropriate in the circumstances. Eligible Whistleblowers may seek independent legal advice or contact regulatory bodies, such as ASIC or APRA, if they believe they have suffered detriment.

For the avoidance of doubt, protecting a discloser from detriment does not prevent the Company from managing a discloser’s unsatisfactory performance, or from taking action to protect a discloser from detriment (for example, when the disclosure relates to wrongdoing in the discloser’s immediate work area).

A discloser (or any other employee or person) can seek compensation and other remedies through the courts if: they suffer loss, damage or injury because of a disclosure; and the entity failed to take reasonable precautions and exercise due diligence to prevent a person from causing the detriment. Disclosers are encouraged to seek independent legal advice in these circumstances.

The Company will protect disclosers from detriment in the following ways:

• assess the potential risk to a discloser upon the receipt of a disclosure;
• take steps to investigate any complaint relating to detriment of the kind outlined above;
• take appropriate disciplinary action where a complaint relating to detriment has been substantiated;
• implement steps (to the extent that they are reasonable and practicable) to avoid or minimise risks of detriment to a discloser (for instance, a change in the work environment)

B. Protection of the identity of the whistleblower

Disclosures can be made anonymously and still qualify for protection under the Act.  A person making a disclosure may choose to remain anonymous at the time of making a disclosure, during the course of any investigation into a disclosure, and at the completion of any investigation.

Except in the circumstances below, where an Eligible Disclosure is made that qualifies for protection under the Act, the Company will not disclose the identify of the discloser, or any information that is likely to lead to the identification of the discloser, unless:

• the discloser consents;
• it is disclosed to ASIC, APRA, or a member of the Australian Federal Police;
• it is disclosed to a lawyer to obtain legal advice or legal representation in relation to the operation of the whistleblowing provisions; and/or
• it results in information being disclosed where it is reasonably necessary to do so for the purposes of the Company investigating a matter to which the qualifying disclosure relates (in which case the Company will ensure the disclosure does not identify the whistleblower and will take all reasonable steps to reduce the risk the discloser will be identified).

It is illegal, and therefore specifically prohibited by the Company, for any person to disclose a person’s identity or information likely to identify a discloser, unless any of the above exceptions apply.

The Company will also implement the following further measures to protect a person’s identity from being disclosed, including:

• ensuring the safekeeping of any files and documentation concerning the disclosure;
• permitting a discloser to adopt a pseudonym which will then be used by the Company, and otherwise redacting a discloser’s name and using gender neutral identifiers, where practicable;
• where a disclosure has not been made anonymously, by contacting a discloser to ascertain what parts of their disclosure could inadvertently identify them;
• making those persons who investigate a disclosure, aware of the terms of this policy; and
• any other reasonable measures suggested by a discloser, such as communication through an anonymised email address.

C. Further protections

The protections given by the Act when an Eligible Disclosure qualifying for protection under the Act is made, are:

• the whistleblower is immune from any civil, criminal or administrative liability (including disciplinary action) for making the disclosure;
• no contractual or other remedies may be enforced, and no contractual or other right may be exercised against the whistleblower, on the basis of the disclosure;
• in some circumstances, the reported information is not admissible in evidence against the whistleblower in criminal proceedings or in proceedings for the imposition of a penalty, except where the proceedings are concerned with whether the information is false;
• a whistleblower’s identity cannot be disclosed to a court or tribunal except where considered necessary; and
• unless the whistleblower has acted unreasonably or vexatiously, a whistleblower cannot be ordered to pay costs in any legal proceedings in which the whistleblower is seeking compensation for loss, damage or injury suffered as a result of the detrimental conduct.

D. Protection of files and records

To the extent that the Company deems it appropriate to do so, the Company will create records and maintain documents in the course of any investigation. All protected disclosures and any files and records created from an investigation of a protected disclosure will be securely retained.

A release of information in breach of this policy will be regarded as a serious matter and may have consequences for employment (or for contractors, their contract for services).

E. Additional support

The Company recognises that making a disclosure as a whistleblower can be stressful. If a person who makes a disclosure is an employee of the Company, they may request additional support.

The Company will look at ways to provide support to the extent reasonably practicable.

Availability of policy

This policy will be published in the employee handbook.

Review date: 12 May 2020

Last updated date: 15 June 2020