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About Us
Whistleblower Policy
Cerulea Clinical Trials is committed to the highest standards of conduct and ethical behaviour, research integrity and good corporate governance. We support whistleblowers to make reports of reportable conduct based on reasonable grounds involving Cerulea’s activities.
In accordance with legislative amendments made by the Australian Government to protect certain protected disclosures made after 1 July 2018, Cerulea Clinical Trials has implemented a Whistleblower Policy which aims to encourage the reporting of protected disclosures and support all whistleblowers to make reports of reportable conduct based on reasonable grounds involving Cerulea’s activities including but not limited to its scientific research.
Cerulea’s Whistleblower Policy sets out the procedures of how Cerulea receives, investigates and processes a protected disclosure as well as the protections available to a whistleblower.
Whistleblowers who make protected disclosures will be protected from any civil, criminal or administrative liability (including disciplinary action) which may otherwise arise in relation to the disclosure. Most importantly, whistleblowers are protected from any forms of ‘victimising conduct’ as a result of making a disclosure. Anonymity of the whistleblower will also be ensured if they do not wish for their identity to be disclosed.
If you would like to report a protected disclosure you can make a report via Whispli – an external platform providing secure two-way communication that can be anonymous, providing protection for whistleblowers.
Background
Cerulea is committed to the highest standards of conduct and ethical behaviour, research integrity and good corporate governance. One aspect of ensuring that Cerulea continues to operate legally in accordance with applicable legislation and regulations as well as ethically, in accordance with recognised ethical principles, is to encourage the reporting of protected disclosures and support all Whistleblowers to make reports of reportable conduct based on reasonable grounds involving Cerulea’s activities including but not limited to its clinical trials.
Cerulea is a wholly owned subsidiary of the Centre for Eye Research Australia (CERA). To facilitate Cerulea’s operational needs, CERA provides service functions to Cerulea as part of a shared services arrangement under a services agreement executed between CERA and Cerulea. Any reference to a position in this policy that does not exist within Cerulea will be a reference to the position held by the CERA appointed person in that position as a service provided to Cerulea under the services agreement.
Cerulea is committed to the highest standards of conduct and ethical behaviour, research integrity and good corporate governance. One aspect of ensuring that Cerulea continues to operate legally in accordance with applicable legislation and regulations as well as ethically, in accordance with recognised ethical principles, is to encourage the reporting of protected disclosures and support all Whistleblowers to make reports of reportable conduct based on reasonable grounds involving Cerulea’s activities including but not limited to its clinical trials.
Cerulea is a wholly owned subsidiary of the Centre for Eye Research Australia (CERA). To facilitate Cerulea’s operational needs, CERA provides service functions to Cerulea as part of a shared services arrangement under a services agreement executed between CERA and Cerulea. Any reference to a position in this policy that does not exist within Cerulea will be a reference to the position held by the CERA appointed person in that position as a service provided to Cerulea under the services agreement.
Purpose and scope
This policy applies to all Cerulea Staff, Whistleblowers and the Cerulea Board of Directors. The purpose of this policy is to:
(a) encourage the reporting of matters that may cause harm to individuals, or financial or non-financial loss to Cerulea, or damage to Cerulea’s reputation; and
(b) provide support and ensure that any Whistleblower who makes a report of reportable conduct based on reasonable grounds involving Cerulea’s activities can do so anonymously if they wish, without fear of intimidation, disadvantage or reprisal and without fear of being penalised in any way.
This policy defines who can make a protected disclosure (“Whistleblowers“), defines matters about which a protected disclosure can be made (“Reportable Conduct“), identifies who can receive a protected disclosure (“Eligible Recipients“) and establishes a process for Whistleblowers to make a protected disclosure and a corresponding process for Cerulea to address reports from Whistleblowers.
This policy applies to all Cerulea Staff, Whistleblowers and the Cerulea Board of Directors. The purpose of this policy is to:
(a) encourage the reporting of matters that may cause harm to individuals, or financial or non-financial loss to Cerulea, or damage to Cerulea’s reputation; and
(b) provide support and ensure that any Whistleblower who makes a report of reportable conduct based on reasonable grounds involving Cerulea’s activities can do so anonymously if they wish, without fear of intimidation, disadvantage or reprisal and without fear of being penalised in any way.
This policy defines who can make a protected disclosure (“Whistleblowers“), defines matters about which a protected disclosure can be made (“Reportable Conduct“), identifies who can receive a protected disclosure (“Eligible Recipients“) and establishes a process for Whistleblowers to make a protected disclosure and a corresponding process for Cerulea to address reports from Whistleblowers.
Policy statements
Cerulea encourages the reporting of any matter which may cause harm to individuals and/or loss or damage to Cerulea. This policy addresses in particular the reporting of a Reportable Conduct in accordance with the processes set out in section 4 of this policy, which constitutes a protected disclosure under Australian legislation. In making a protected disclosure:
- a Whistleblower is not required to disclose their identity to receive Whistleblower protections under this policy but is required make a report of Reportable Conduct in accordance with section 4 of this policy
- is subject to certain legal requirements, the identity of a Whistleblower, including information that is likely to lead to identification of the Whistleblower, will not occur without the consent of the Whistleblower
- where anonymity has been requested, the Whistleblower is also required to maintain confidentiality regarding the issue on their own account and to refrain from discussing the matter with any unauthorised persons.
- Cerulea will ensure that if a Reportable Conduct is made to an Eligible Recipient in accordance with Section 4 of this policy, all reasonable steps will be taken to ensure that the Whistleblower does not suffer any detriment (including dismissal, demotion, harassment, discrimination, disciplinary action, bias, threats or other unfavourable treatment) on account of having made a protected disclosure, providing the report made:
(a) is based on reasonable grounds;
(b) conforms to the designated procedures outlined in Section 4 of this policy.
Although Cerulea will take all reasonable steps to ensure that the Whistleblower is not disadvantaged on account of reporting a Reportable Conduct, Whistleblowers will not necessarily be absolved from the consequences of their involvement in any misconduct which is the subject of the Reportable Conduct.
Cerulea encourages the reporting of any matter which may cause harm to individuals and/or loss or damage to Cerulea. This policy addresses in particular the reporting of a Reportable Conduct in accordance with the processes set out in section 4 of this policy, which constitutes a protected disclosure under Australian legislation. In making a protected disclosure:
- a Whistleblower is not required to disclose their identity to receive Whistleblower protections under this policy but is required make a report of Reportable Conduct in accordance with section 4 of this policy
- is subject to certain legal requirements, the identity of a Whistleblower, including information that is likely to lead to identification of the Whistleblower, will not occur without the consent of the Whistleblower
- where anonymity has been requested, the Whistleblower is also required to maintain confidentiality regarding the issue on their own account and to refrain from discussing the matter with any unauthorised persons.
- Cerulea will ensure that if a Reportable Conduct is made to an Eligible Recipient in accordance with Section 4 of this policy, all reasonable steps will be taken to ensure that the Whistleblower does not suffer any detriment (including dismissal, demotion, harassment, discrimination, disciplinary action, bias, threats or other unfavourable treatment) on account of having made a protected disclosure, providing the report made:
(a) is based on reasonable grounds;
(b) conforms to the designated procedures outlined in Section 4 of this policy.
Although Cerulea will take all reasonable steps to ensure that the Whistleblower is not disadvantaged on account of reporting a Reportable Conduct, Whistleblowers will not necessarily be absolved from the consequences of their involvement in any misconduct which is the subject of the Reportable Conduct.
Procedures
4.1 Reporting A Reportable Conduct
If you become aware, based on reasonable grounds of any issue or behaviour that amounts to Reportable Conduct and you wish to report your concerns, then you must report that concern to an Eligible Recipient. A report of Reportable Conduct may also be made via email to disclosures@cera.org.au, which will be viewed by the Whistleblower Protection Officer and the Head of Commercialisation and Legal.
Reporting of any matters which do not constitute a Reportable Conduct, or which is not reported to an Eligible Recipient in accordance with this policy, will not constitute a protected disclosure and will not be afforded protection under this policy.
Where possible, a report of Reportable Conduct should be in writing and should contain, as appropriate, details of:
(a) the nature of the alleged breach;
(b) the person or persons responsible for the breach;
(c) the facts on which the Whistleblower’s belief that a breach has occurred are based; and
(d) the nature and whereabouts of any further evidence that would substantiate the Whistleblower’s allegations, if known.
4.1.1 What Is A Reportable Conduct?
Reportable Conduct is:
(a) conduct which is dishonest, fraudulent or corrupt, including financial fraud or bribery;
(b) illegal activity including but not limited to theft, drug sale or use, violence, harassment or intimidation, criminal damage to property or other breaches of state or federal law;
(c) official misconduct or maladministration;
(d) unethical conduct or conduct in breach of Cerulea’s policies, including but not limited to dishonestly altering company records or data, adopting questionable accounting practices or willfully breaching Cerulea’s policies or procedures;
(e) conduct that could be damaging to Cerulea, Cerulea Staff or Cerulea’s Board of Directors or a third party, including but not limited to unsafe work practices, environmental damage, health risks or abuse of Cerulea property or resources;
(f) conduct which amounts to an abuse of authority;
(g) conduct which may cause financial loss to Cerulea, damage its reputation or be otherwise detrimental to Cerulea’s interests;
(h) conduct which involves harassment, discrimination, bullying or victimisation; or
(i) conduct which involves any other kind of serious impropriety, including but not limited to serious and substantial waste of public resources, practices endangering the health or safety of employees, stakeholders or the general public, practices endangering the environment and research misconduct.
Reportable Conduct does not include personal work-related grievances. Personal work-related grievances include but are not limited to interpersonal conflicts between the Whistleblower and another employee, or a decision relating to the engagement, transfer or promotion of the Whistleblower. These grievances or decisions will be made in accordance with Cerulea’s policies and procedures.
4.1.2 Who Is An Eligible Recipient?
An Eligible Recipient is:
(a) a Senior Manager of Cerulea;
(b) the designated Whistleblower Protection Officer with authority to receive protected disclosures. Details of the Whistleblower Protection Officer and contact information are published on Cerulea’s website as well as Cerulea’s intranet;
(c) the Head of Commercialisation and Legal;
(d) a member of an audit team conducting an audit of Cerulea or an actuary of Cerulea; or
(e) the Australian Securities and Investments Commission, the Australian Prudential Regulation Authority or a Commonwealth authority prescribed under the Corporations Act 2001 to enforce the law in the relevant area.
4.2 Reportable Conduct Will Be Handled As Follows.
All Reportable Conduct reported to an Eligible Recipient will be notified to the Whistleblower Protection Officer and Cerulea must investigate all such Reportable Conduct in accordance with this policy. All investigations will be conducted in an objective and fair manner, and otherwise as is reasonable and appropriate having regard to the nature of the Reportable Conduct and the circumstances.
Unless the Whistleblower chooses to remain anonymous, all Reportable Conduct matters will be referred internally to the Whistleblower Protection Officer for investigation. Cerulea may at its discretion, depending on the circumstances, choose to investigate the Reportable Conduct internally or appoint an external investigator.
Where anonymity is requested by the Whistleblower, the Reportable Conduct will be investigated by an independent external investigator appointed by Cerulea and the Whistleblower is required to maintain confidentiality regarding the issue on their own account and to refrain from discussing the matter with any unauthorised persons.
The Whistleblower Protection Officer will, with the Whistleblower’s consent, on receiving a report of a Reportable Conduct:
(a) notify Cerulea’s Chief Executive Officer;
(b) if the Chief Executive Officer is implicated in the disclosure, notify the Chair of the Board; or
(c) if the Chair of the Board is implicated in the disclosure, then the Whistleblower Protection Officer has the authority to move directly to (d) below;
(d) refer the matter internally within Cerulea for an internal investigation or appoint an independent, external expert to investigate the Reportable Conduct (the Investigator);
(e) where appropriate, provide feedback to the Whistleblower regarding the investigation’s progress and/or outcome (subject to considerations of the privacy of those against whom allegations are made).
4.3 Findings
A report of findings will be prepared by the investigators investigating the Reportable Conduct (whether internal or external) and provided to the Whistleblower Protections Officer when the investigation is complete.
This report will include:
(a) the allegations;
(b) a statement of all relevant findings of fact and the evidence relied upon to reach conclusions on each allegation;
(c) the basis for each conclusion reached (including the damage caused, if any, and the impact on the organisation and other affected parties) and their basis; and
(d) recommendations based on those conclusions to address any wrongdoing identified and any other matters arising during the investigation.
4.4 Reporting to a Member of Parliament or Journalist
Protection will only be offered by Cerulea to any Whistleblower who informs a Member of Parliament or journalist of concerns about Reportable Conduct if:
(a) the Whistleblower has previously made a report on the Reportable Conduct to the Australian Securities and Investments Commission, the Australian Prudential Regulation Authority or a Commonwealth authority prescribed under the Corporations Act 2001 to enforce the law in the relevant area and either:
i. at least 90 days have passed since the report was made; and
ii. the Whistleblower does not have reasonable grounds to believe that action is being, or has been taken to address the report; and
iii. the Whistleblower has reasonable grounds to believe that making a further report would be in the public interest; or
iv. the Whistleblower has reasonable grounds to believe that the information concerns a substantial and imminent danger to the health and safety of a person, persons, or the environment; and
(b) the Whistleblower provides written notification to Cerulea that:
i. includes sufficient information to identify the previously made report;
ii. clearly states that the Whistleblower intends to make a public interest disclosure per or an emergency disclosure pursuant to this section of the policy; and
iii. the information disclosed is no greater than necessary to inform the MP or journalist of the misconduct or the otherwise improper state of affairs.
4.1 Reporting A Reportable Conduct
If you become aware, based on reasonable grounds of any issue or behaviour that amounts to Reportable Conduct and you wish to report your concerns, then you must report that concern to an Eligible Recipient. A report of Reportable Conduct may also be made via email to disclosures@cera.org.au, which will be viewed by the Whistleblower Protection Officer and the Head of Commercialisation and Legal.
Reporting of any matters which do not constitute a Reportable Conduct, or which is not reported to an Eligible Recipient in accordance with this policy, will not constitute a protected disclosure and will not be afforded protection under this policy.
Where possible, a report of Reportable Conduct should be in writing and should contain, as appropriate, details of:
(a) the nature of the alleged breach;
(b) the person or persons responsible for the breach;
(c) the facts on which the Whistleblower’s belief that a breach has occurred are based; and
(d) the nature and whereabouts of any further evidence that would substantiate the Whistleblower’s allegations, if known.
4.1.1 What Is A Reportable Conduct?
Reportable Conduct is:
(a) conduct which is dishonest, fraudulent or corrupt, including financial fraud or bribery;
(b) illegal activity including but not limited to theft, drug sale or use, violence, harassment or intimidation, criminal damage to property or other breaches of state or federal law;
(c) official misconduct or maladministration;
(d) unethical conduct or conduct in breach of Cerulea’s policies, including but not limited to dishonestly altering company records or data, adopting questionable accounting practices or willfully breaching Cerulea’s policies or procedures;
(e) conduct that could be damaging to Cerulea, Cerulea Staff or Cerulea’s Board of Directors or a third party, including but not limited to unsafe work practices, environmental damage, health risks or abuse of Cerulea property or resources;
(f) conduct which amounts to an abuse of authority;
(g) conduct which may cause financial loss to Cerulea, damage its reputation or be otherwise detrimental to Cerulea’s interests;
(h) conduct which involves harassment, discrimination, bullying or victimisation; or
(i) conduct which involves any other kind of serious impropriety, including but not limited to serious and substantial waste of public resources, practices endangering the health or safety of employees, stakeholders or the general public, practices endangering the environment and research misconduct.
Reportable Conduct does not include personal work-related grievances. Personal work-related grievances include but are not limited to interpersonal conflicts between the Whistleblower and another employee, or a decision relating to the engagement, transfer or promotion of the Whistleblower. These grievances or decisions will be made in accordance with Cerulea’s policies and procedures.
4.1.2 Who Is An Eligible Recipient?
An Eligible Recipient is:
(a) a Senior Manager of Cerulea;
(b) the designated Whistleblower Protection Officer with authority to receive protected disclosures. Details of the Whistleblower Protection Officer and contact information are published on Cerulea’s website as well as Cerulea’s intranet;
(c) the Head of Commercialisation and Legal;
(d) a member of an audit team conducting an audit of Cerulea or an actuary of Cerulea; or
(e) the Australian Securities and Investments Commission, the Australian Prudential Regulation Authority or a Commonwealth authority prescribed under the Corporations Act 2001 to enforce the law in the relevant area.
4.2 Reportable Conduct Will Be Handled As Follows.
All Reportable Conduct reported to an Eligible Recipient will be notified to the Whistleblower Protection Officer and Cerulea must investigate all such Reportable Conduct in accordance with this policy. All investigations will be conducted in an objective and fair manner, and otherwise as is reasonable and appropriate having regard to the nature of the Reportable Conduct and the circumstances.
Unless the Whistleblower chooses to remain anonymous, all Reportable Conduct matters will be referred internally to the Whistleblower Protection Officer for investigation. Cerulea may at its discretion, depending on the circumstances, choose to investigate the Reportable Conduct internally or appoint an external investigator.
Where anonymity is requested by the Whistleblower, the Reportable Conduct will be investigated by an independent external investigator appointed by Cerulea and the Whistleblower is required to maintain confidentiality regarding the issue on their own account and to refrain from discussing the matter with any unauthorised persons.
The Whistleblower Protection Officer will, with the Whistleblower’s consent, on receiving a report of a Reportable Conduct:
(a) notify Cerulea’s Chief Executive Officer;
(b) if the Chief Executive Officer is implicated in the disclosure, notify the Chair of the Board; or
(c) if the Chair of the Board is implicated in the disclosure, then the Whistleblower Protection Officer has the authority to move directly to (d) below;
(d) refer the matter internally within Cerulea for an internal investigation or appoint an independent, external expert to investigate the Reportable Conduct (the Investigator);
(e) where appropriate, provide feedback to the Whistleblower regarding the investigation’s progress and/or outcome (subject to considerations of the privacy of those against whom allegations are made).
4.3 Findings
A report of findings will be prepared by the investigators investigating the Reportable Conduct (whether internal or external) and provided to the Whistleblower Protections Officer when the investigation is complete.
This report will include:
(a) the allegations;
(b) a statement of all relevant findings of fact and the evidence relied upon to reach conclusions on each allegation;
(c) the basis for each conclusion reached (including the damage caused, if any, and the impact on the organisation and other affected parties) and their basis; and
(d) recommendations based on those conclusions to address any wrongdoing identified and any other matters arising during the investigation.
4.4 Reporting to a Member of Parliament or Journalist
Protection will only be offered by Cerulea to any Whistleblower who informs a Member of Parliament or journalist of concerns about Reportable Conduct if:
(a) the Whistleblower has previously made a report on the Reportable Conduct to the Australian Securities and Investments Commission, the Australian Prudential Regulation Authority or a Commonwealth authority prescribed under the Corporations Act 2001 to enforce the law in the relevant area and either:
i. at least 90 days have passed since the report was made; and
ii. the Whistleblower does not have reasonable grounds to believe that action is being, or has been taken to address the report; and
iii. the Whistleblower has reasonable grounds to believe that making a further report would be in the public interest; or
iv. the Whistleblower has reasonable grounds to believe that the information concerns a substantial and imminent danger to the health and safety of a person, persons, or the environment; and
(b) the Whistleblower provides written notification to Cerulea that:
i. includes sufficient information to identify the previously made report;
ii. clearly states that the Whistleblower intends to make a public interest disclosure per or an emergency disclosure pursuant to this section of the policy; and
iii. the information disclosed is no greater than necessary to inform the MP or journalist of the misconduct or the otherwise improper state of affairs.
Authority
The Chief Executive Officer is ultimately accountable for managing all Reportable Conduct within Cerulea.
The Chief Executive Officer is ultimately accountable for managing all Reportable Conduct within Cerulea.
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