Grievance & Whistleblower Policy
Contents
1.
Purpose
2.
Grievance Policy
3.
Whistleblowing Policy
Purpose
At Optimal, we are committed to operating with integrity and transparency. The purpose of our Grievance & Whistleblower Policy is to provide a clear and accessible mechanism for any employees or other applicable stakeholders to raise concerns or lodge complaints.
Who Can Raise a Concern?
This mechanism is available to all stakeholders - including customers, suppliers, contractors, employees, community members, and the general public. If you have a concern or grievance related to our operations, business conduct, social or environmental impacts, workplace practices, or any other aspect of our company, you can submit it through this process.
What are our Grievance Process Principles?
- Confidentiality: All parties involved must maintain confidentiality. Information will only be disclosed to those necessary for the investigation and resolution process.
- Fairness and Impartiality: Grievances will be investigated objectively and without bias. Both the grievant and the respondent will be given a fair opportunity to present their case.
- Timeliness: Grievances should be raised promptly, and the process should be managed and concluded as quickly as possible.
- No Victimisation: Stakeholders who raise a genuine grievance, or assist in an investigation, will not be subjected to any form of victimisation or detriment.
- Documentation: All stages of the process, including meetings, findings, and resolutions, will be accurately documented.
Grounds for Accepting a Grievance
We accept grievances relating to, but not limited to:
- Business conduct or ethics
- Environmental or social impacts of our operations
- Workplace practices and health & safety
- Supplier or contractor conduct
- Breach of contracts or policies, including Optimal’s Code of Ethics and Business Conduct
- Discrimination and harassment
- Excessive workload
- Any operational matters affecting stakeholders
Complaints that are malicious, unfounded, or outside of our operational control will not be accepted. However, all concerns raised will be addressed and individuals will be advised of the outcome of their complaint within the timeframes indicated in this Policy (whether or not they are accepted for further investigation).
How to Raise a Grievance
You can raise a grievance by sending an email to:
- Dedicated email: concerns@optimalworkshop.com
All submissions are triaged and assigned to a designated reviewer.
If a conflict of interest is identified (including if the grievance involves the reviewer), the grievance will be reassigned to an alternative senior leader or external advisor to ensure an impartial review.
Internal staff may raise a grievance by sending an email to the dedicated email address or by completing our Anonymous Whistleblower Form which can be found in our employee handbook on Notion under our Whistleblower Policy page. Form and email submissions are delivered to the same dedicated email account for review.
Please include your name, contact details, a description of the grievance, relevant dates, and any supporting documentation. Anonymous submissions are accepted, but providing contact details enables us to investigate and respond more effectively.
Grievance Process
We handle all reports systematically, fairly, and transparently. Below is our standard procedure for managing grievances:
- Acknowledgement: We will confirm receipt of your grievance within 5 business days.
- Initial Assessment: All submissions will be assigned to a designated reviewer. The reviewer will assess the grievance to determine whether it meets the grounds for investigation, typically within 10 business days. You will be informed of the outcome of this assessment, including whether your submission will proceed to investigation, or if it does not fall within the scope of this grievance policy.
- Investigation: If accepted, the grievance will be reviewed by a member of senior management. We may gather information from involved parties and relevant documents. Investigations are conducted impartially and confidentially, usually completed within 30 business days.
- Resolution: Based on the investigation, we will determine and implement corrective or remedial actions, which may include process changes, training, or other appropriate measures. The outcome will be communicated to the stakeholder who raised the grievance.
- Appeals: If you are dissatisfied with the outcome, you may submit an appeal within 10 business days of receiving the resolution.
- Communication: Throughout the process, we will keep you informed of progress and outcomes. Wherever possible, a written response outlining findings and actions will be provided within 30 working days.
Contact & Support
If you have any questions about the grievance process, you can contact our People & Culture team at people@optimalworkshop.com
Whistleblowing
We encourage you to report any serious wrongdoing, illegal, unethical, or inappropriate behavior and practices you observe or experience. Optimal will ensure it is safe to report suspected or actual occurrences of these activities without retribution in accordance with this Policy.
Examples of behaviour or practices you can report:
- unlawful or corrupt conduct;
- fraudulent activity;
- a substantial mismanagement of organisational resources;
- conduct involving substantial risk to public health or safety;
- conduct involving substantial risk to the environment;
- conduct damaging the reputation of the organisation;
- conduct intended to injure or jeopardise the business of the organisation, whether or not that injury or harm actually eventuates;
that would, if proven, constitute:
- a criminal offence;
- conduct unbecoming of a representative or employee of the organisation;
- conduct that is reasonably likely to damage the reputation of the organisation; or
- create reasonable grounds for disciplinary action.
The whistleblowing process
Reporting the event (whistleblowing)
You can follow the process for raising a Grievance as outlined above to report the event (including reporting anonymously).
Considerations for whistleblowing
- Optimal is committed to protecting whistleblowers who raise concerns from retaliation of any kind. The measures Optimal takes to prevent and identify the risk of retaliation include maintaining anonymous reporting channels, documenting all decisions, ensuring management receives appropriate training, and maintaining confidentiality wherever possible.
- When a report is received, we will consider any potential risks to the whistleblower, including any risks to anonymity and the possibility of retaliation, and take appropriate steps to mitigate these risks throughout the handling of the matter. For example, Optimal will ensure an impartial review process, and, where not anonymously reported, keep the identity of the whistleblower restricted to only those individuals that have a “need-to-know”for the purposes of reviewing the complaint.
- Strict confidentiality requirements will be in place for all individuals reviewing the complaint.
- Any retaliation against a whistleblower who has raised a concern will be treated as a serious breach of this policy and may result in disciplinary action, including having their employment or contract terminated.
- Crimes against person or property should immediately be reported to the police.
- Optimal will promptly act to investigate and/or resolve all issues.
Outcomes of the investigation
- If the investigation of a report, that was done in good faith and investigated by internal personnel, is not to the whistleblower’s satisfaction, then they have the right to report the event to the appropriate legal or investigative agency.
- The identity of the whistleblower, if known, shall remain confidential to those persons directly involved in applying this Policy, unless the issue requires investigation by the police or other appropriate authority, in which case members of the organisation are subject to legal requirements.