Purpose of this policy
Graymont is committed to improving our world by responsibly meeting society’s needs for quality lime and limestone products. This commitment is reflected through our Code of Business Conduct and Ethics (Code) which sets out the principles and behaviours that Graymont expects each of its employees, officers and directors to follow. We strive to operate with integrity and in accordance with high ethical standards and encourage reporting of any breach of the Code.
This policy is supplemental to the Code and applies to Graymont’s operations and activities in Australia. It is intended to encourage reporting of any serious wrongdoing, ethical misconduct or illegal activities relating to Graymont. This policy describes how certain individuals can report concerns, the protections available for such individuals and how Graymont will investigate any concerns reported. Throughout this policy, A.C.N. 630 698 716 Pty Ltd and its subsidiary companies and ACN 605 294 228 Pty Ltd are collectively referred to as Graymont or we.
Who can make a report?
You can make a report under this policy if you are, or have been, any of the following:
- an employee or officer1 of Graymont;
- a director, company secretary or senior manager of a related company of Graymont (including Graymont Limited and its subsidiaries);
- a supplier of any goods or services to Graymont (including any employee of that supplier);
- a director, company secretary or shareholder of Graymont or anyone who has a connection, or has been associated, with Graymont, such as a joint venture or a corporate partner; or
- a relative, dependent or spouse of an employer, officer or associate of Graymont,
(collectively referred to in this policy as you).
Persons who are not subject to this policy can report any concerns relating to Graymont in accordance with Graymont’s Code, available via www.graymont.com.
What should you report?
We encourage you to report any misconduct, anything that you believe may be improper, illegal or unethical, any safety concerns, or any breach of Graymont’s Code (collectively, ‘Concerns’).
Provided you are acting in good faith and have reasonable grounds for reporting a Concern, you will be protected as described in this policy. Examples of Concerns that you should report include:
- illegal conduct including theft, dealing in or using illicit drugs, violence or threatened violence, criminal damage against property, and breaches of Australian financial services laws including the Corporations Act 2001 (Cth) and the Taxation Administration Act 1953 (Cth);
- fraud, money laundering, bribery or corruption, misappropriation of funds or other dishonest behaviour;
- breach of Graymont's policies or procedures;
- any practice or behaviour that poses a serious risk to the health and safety of any individual, public health and safety, or to the environment;
- any misconduct in relation to Graymont’s tax affairs or a breach of applicable tax law; and
- any retaliation, either explicit or implied, against a person who has reported a Concern under this policy or who is suspected to have reported a Concern.
A personal work-related grievance (Grievance), such as a decision relating to your terms and conditions of engagement, or a decision to suspend or terminate your engagement, will not ordinarily be covered by this policy or the whistleblower protections under applicable law. A Grievance may be subject to this policy and qualify for the relevant whistleblower protections if: it includes information about misconduct, it relates to a serious breach of any laws by Graymont or conduct by Graymont that represents a danger to the public, you are threatened with or suffer any detriment for reporting the Grievance, or you seek legal advice or representation about the operation of the whistleblower protections under applicable law. Grievances are covered in Graymont’s Australian human resources policies, which are available via the myGraymont intranet.
If you report a matter that is outside the scope of this policy, it will not qualify for whistleblower protection under applicable law.
How to make a report
You can report a Concern using one of the following methods. You may choose to provide your name and contact details with your report, or you can report anonymously. We may ask you for more information depending on the nature of the Concern and the clarity of your report. If you report anonymously, please ensure that your report contains enough information so that, if necessary, we can conduct a meaningful investigation.
1. Clearview Connects
You can report a Concern at any time, either online, by phone or by mail, using Graymont’s Ethics Reporting System hosted by Clearview Connects:
- Online: www.clearviewconnects.com
Please type in ‘Graymont’ as the company name, write your report and categorise the Concern. Following this you will be provided with an anonymous report ID and password where you will be able to add further details and track how the report you have submitted is being addressed.
- By phone:
Please call 1300 849 145. You can talk to an operator or choose to leave a voicemail if you prefer not to speak to an operator.
- By mail:
Please reference ‘Graymont’ in your report and write to:
P.O. Box 11017
Toronto, Ontario, Canada M1E 1N0.
2. Internal reporting
You can report a Concern directly to any of the following people:
- Your immediate supervisor;
- Any senior manager, officer or director of Graymont;
- Any Human Resources representative;
- Internal Audit Manager; or
- Graymont’s General Counsel,
each a, Graymont Representative.
You can also report a Concern directly to a senior manager or director of any Graymont group company.
3. External reporting
You can report a Concern directly to the Australian Securities and Investments Commission (ASIC), the Australian Prudential Regulation Authority (APRA), your lawyer, Graymont’s external auditors, or any other person in accordance with applicable law. Concerns relating to tax can be reported to the Commissioner of Taxation. You can also report a Concern to a journalist or parliamentarian if it is in the public interest or is an emergency. There are prescribed criteria that must be met before you can make a public interest or emergency disclosure, and we recommend you seek independent legal advice before making such reports.
We recognize that reporting a Concern can be stressful. Provided you are acting in good faith and have reasonable grounds for reporting a Concern, we will protect you in the following ways:
1. Confidentiality and anonymity
We will not identify you or disclose information that would likely lead to your identification without your consent, or unless such disclosure is required or permitted by law. All files relating to your report will be kept secure and the information that you provide will be held in confidence. The persons who may be advised of a Concern and/or receive a report on the findings of an investigation are described below. We will only disclose information to persons not connected to the investigation if you have provided your consent, or if the disclosure is required or permitted by law.
You can submit your report anonymously, however this may impact our ability to investigate your report and to communicate with you about it.
2. No retaliation
We will not tolerate any retaliation, or threat of retaliation, against you for reporting a Concern under this policy. Retaliation includes discrimination, intimidation, harassment and reprisals. Retaliation against anyone who, in good faith, has reported a Concern is a serious disciplinary offence and should be reported in accordance with this policy.
3. Other protections
You may also be entitled to additional protections and remedies under applicable Australian law if you report a Concern, including:
- Protection from civil, criminal and administrative legal liability relating to your report (though this does not include immunity for any misconduct you have engaged in that is revealed in your report); and
- If you are subject to any retaliation for reporting a Concern, you may be entitled to compensation or some other remedy.
4. Additional support
If you are a current Graymont employee, you can access confidential counselling through Graymont’s Employee and Family Assistance Program (EAP), for additional assistance and support. Information on how to access the EAP is available on myGraymont. You may also seek independent legal advice. Any disclosures that you make to your lawyer for the purpose of obtaining legal advice or representation relating to the operation of the whistleblower laws will be protected under applicable law.
5. Retention of reports
All reports submitted under this policy, along with documents evidencing any subsequent investigation and resolution, will be retained in compliance with applicable law.
Graymont takes all reports of Concerns seriously and will promptly investigate any reports received that fall within this policy. The scope of the investigation process will vary depending on the nature of the relevant Concern and the information provided.
Unless you leave an anonymous voicemail with, or send an anonymous letter to, ClearView Connects, you will receive an acknowledgement of receipt of your report within five business days and an initial indication of how we propose to deal with the matter. We cannot speculate on the outcome of an investigation while it is ongoing but, if you request or elect to receive updates when you file your report, a Graymont Representative will keep you informed of the progress and outcome of your report, subject to privacy and confidentiality obligations owed to other parties involved in the investigation. You can also review the status of your report online at www.clearviewconnects.com by entering the Report ID and password that were assigned to you when you made your report.
Due to the varied nature of Concerns, it is not possible to specify the exact timelines for the investigative process. However, we will try to undertake the investigation as quickly as possible, without adversely impacting the quality of the review. Graymont’s General Counsel ordinarily oversees all matters relating to a report and investigation, however other Graymont Representatives may assume this responsibility, depending on the nature of the Concern.
Where practicable, Graymont will take appropriate steps to rectify any wrongdoing verified by the investigation.
Who will receive details of a report?
All Concerns reported under this policy are initially considered by Graymont’s General Counsel. Depending on the nature of the Concern, members of Graymont’s Audit Committee and/or the Board of Directors may also be advised of a Concern and/or receive a report on the findings of an investigation.
In addition, we may engage external legal counsel and/or financial, technical or other professional advisors to assist with the conduct of an investigation. Any external advisors engaged by Graymont will be subject to confidentiality obligations.
Each calendar quarter, Graymont’s General Counsel provides a report to Graymont’s Audit Committee that summarises Concerns raised during the preceding period. The summary may also be provided to Graymont’s external auditors but is prepared on an anonymous basis and does not name any individuals.
We are committed to treating everyone involved in a Concern fairly. All investigations will be thorough and will be conducted on an independent and impartial basis.
You must act in good faith and have reasonable grounds for reporting a Concern. It is a serious disciplinary offence to submit a false report.
A copy of this policy is available on www.graymont.com, and is also available to Graymont employees thought the company intranet, myGraymont. You can also request a copy from your Human Resources representative.
Any questions regarding this policy should be directed to Graymont’s Vice President of Human Resources for the Asia Pacific Region. This policy will be reviewed annually.
1 As defined in section 9 of the Corporations Act 2001.