This policy (the “Policy”) has been approved by the Thai Foundation Board and is dated in 2024.
1. Overview and Purpose
The Asia Pacific Transgender Network Foundation (the “Foundation”) has established this Policy for whistleblowing to encourage and enable employees, directors, independent contractors, temporary workers, other members or staff of the Foundation, and any other third parties to report in good faith any suspected or actual misconduct, fraud, corruption or other illegal activities or violations of any director’s duty or the Foundation’s policies, standards or codes of conduct, without fear of retaliation, discrimination, or adverse consequences.
2. Scope of Policy and Definitions
This Policy applies to any suspected or actual Misconduct (as defined below) that may be perpetrated by employees, directors, independent contractors, temporary workers, and other members or staff of the Foundation, regardless of their position, location, or function.
Definitions
| “Executive Director” | means | the individual who holds the title of “Executive Director” of the Foundation from time to time. |
| “Foundation” | means | The Asia Pacific Transgender Network Foundation. |
| “Misconduct” | means | (A) any fraud, corruption (including someone within the Foundation or a third party providing services on the Foundation’s behalf directly or indirectly making, promising, offering, requesting, or receiving a bribe), crime, financial irregularity, or actions that are dangerous for the health and safety of the people, or the deliberate concealment of information about any of these matters;(B) any conduct that violates, or does not comply with, any laws and regulations;(C) any conduct that breaches the Foundation’s policies, standards or codes of conduct; and(D) any other serious risk, wrongdoing or unlawful conduct that may harm the public or the Foundation’s clients, employees and reputation. |
| “Thai Foundation Board” | means | the board that oversees the finances and assets of the Foundation and establishes sub-committees as needed; the board ensures that activity reports, financial reports, balance sheets, and income and expenditure accounts are submitted to the Ministry of Interior as required by law and ensures that the hiring processes of the Foundation are in line with the applicable labor laws in Thailand. |
| “Whistleblower” | means | a person who reports any suspected or actual Misconduct in good faith under this Policy (whether or not they are affected or damaged by such Misconduct) and any person who supports or assists that person in the Whistleblowing. |
| “Whistleblower Committee” | means | the committee set up by the Foundation to address any Whistleblowing matters, as more particularly described in Article 4 (Roles and Responsibilities) of this Policy. |
| “Whistleblowing” | means | the act of reporting or providing information or complaints related to suspected or actual Misconduct, or actions that may lead to Misconduct. |
3. Channels for Whistleblowing
Any person who has a genuine belief or suspicion that any Misconduct, any actions that may lead to a Misconduct, or violations of the Foundation’s policies, standards, or codes of conduct, have occurred or are occurring, or are likely to occur due to such actions or activities, should report the matter as soon as possible to any of the following channels (whether or not they are affected or damaged by such circumstance):
A. 1. If the Whistleblower is an employee of the Foundation – the Whistleblower’s immediate supervisor, manager, or the person in the next higher level of management.
A. 2. If the Whistleblower is a contractor working for the Foundation – the Whistleblower’s principal contact person within the Foundation.
B. If the Whistleblower does not feel comfortable making the Whistleblowing report to their immediate supervisor or principal contact person in (a) above, they may contact any member of the Whistleblower Committee listed below:
(please contact speakup@weareaptn.org)
IMPORTANT NOTE: Members of the Whistleblower Committee may change from time to time. Please refer to the most recent version of this Policy posted on the website for the most up-to-date information on the Whistleblower Committee.
4. Roles and Responsibilities
The Foundation has assigned the following roles and responsibilities to the following parties involved in the Whistleblowing process:
A. The Whistleblower’s immediate supervisor, manager or the person in the next higher level of management, or the principal contact person within the Foundation (if the Whistleblower is a contractor), is responsible for receiving and acknowledging the report from the Whistleblower and for forwarding the report and any relevant information to any member of the Whistleblower Committee immediately upon receiving such Whistleblowing report or information.
B. The Whistleblower Committee shall be appointed by the Thai Foundation Board convened by the chairperson and shall consist of experts, and a select group of staff who are responsible for the Foundation’s organisation and governance. The Whistleblower Committee is responsible for overseeing and managing the Whistleblowing process and ensuring its effectiveness and integrity. It is responsible for making sure that adequate training and guidance are provided to all employees and managers within the Foundation regarding the contents of this Policy and the use of this Policy for Whistleblowing, and any potential Whistleblower may reach out to any member of the Whistleblower Committee to obtain any additional information or clarification about this Policy before making a Whistleblowing report or disclosure. It is also responsible for reviewing and evaluating the whole Whistleblowing process, including the investigation, and identifying any lessons learned, best practices, or areas for improvement, and for making any necessary changes or enhancements to this Policy or the procedures under this Policy, as appropriate. The Whistleblower Committee will conduct the Whistleblowing process by Article 5 (Whistleblowing Process, Investigation and Resolution) of this Policy.
Provided that, in each case, each party will be responsible for supporting and protecting the Whistleblower by the Whistleblower protection and confidentiality requirements set out in Article 6 (Whistleblower Protection and Confidentiality) of this Policy.
5. Whistleblowing Process, Investigation and Resolution
5.1 The Foundation will investigate all matters reported under this Policy as soon as practicable after the matter has been reported. The Whistleblower Committee will investigate the matter and where necessary, appoint an external investigator to assist in conducting the investigation. All investigations will be conducted in a fair, independent, and timely manner and all reasonable efforts will be made to preserve confidentiality during the investigation by Article 6 (Whistleblower Protection and Confidentiality) of this Policy.
5.2 The Foundation will ensure that all Whistleblowing reports and clues are received, acknowledged, investigated, and resolved in a non-punitive or least punitive manner possible, and in a manner that is non-violent, timely, impartial, and effective. To this end, the Executive Director shall take (or shall ensure that the relevant personnel of the Foundation shall take) such steps including but not limited to:
A. Acknowledging the receipt of any report or statement made by the Whistleblower;
B. Conducting a preliminary assessment of the report, and determining whether there is sufficient basis and evidence to proceed with a formal investigation, or whether the report is frivolous, vexatious, malicious, or unsubstantiated, and should be dismissed or referred to another process (e.g. the Grievance Redressal Policy);
C. Setting up an investigation committee or appointing one or more persons with relevant experience or professional expertise on the issue raised by the Whistleblower to conduct or oversee the investigation process;
D. Initiating a formal investigation by gathering and analysing the relevant information and evidence, and interviewing the Whistleblower, the persons involved, the witnesses, and any other sources, as necessary and appropriate;
E. Preparing a written report of the findings and conclusions of the investigation (the “Resolutions Report”), and recommending the appropriate actions or remedies to be taken, such as remedial action against the accused, reparation for damage, implementation of corrective or preventive measures, policy or process improvements, or referral to other authorities or processes;
F. Submitting the Resolutions Report to the appropriate person or committee within the Foundation who has the responsibility or the authority to review, approve, and/or implement the actions or remedies recommended; and
G. Following up on the implementation of the actions or remedies recommended.
H. During the formal investigation process, the investigator must give the accused person the right to be informed of the allegation(s) made against them and ensure that the accused person is not deprived of the right to defend oneself by providing proof to the contrary. If it is concluded that the accused person is innocent of any wrongdoing or any Misconduct, the Foundation may take any appropriate and fair action to remedy the impact on the accused person.
5.3 The Resolutions Report or any other report documenting the findings of any investigation will remain the property of the Foundation and will only be shared with the Whistleblower or the accused if the Foundation deems it appropriate. However, the Foundation will ensure that the outcome of the investigation and the actions taken will be communicated to the Whistleblower, the persons involved, and any other party if such person has a legitimate interest or need to know, as appropriate, within the limits of confidentiality and privacy, and to the extent permitted by applicable law.
5.4 If the report is not anonymous or there is a self-disclosure of the identity or contact information of the Whistleblower, the Whistleblower Committee or external investigator will contact the Whistleblower, by their preferred method of communication, to discuss the investigation process and any other matters that are relevant to the investigation. Where a Whistleblower has chosen to remain anonymous, their identity will not be disclosed to the Whistleblower Committee, any external investigator, or any other person, and the Foundation will conduct the investigation based on the information provided to it.
5.5 The duration and timeline of the Whistleblowing process and any investigation in respect thereof are dependent upon the complexity of the matter and the adequacy of the data, evidence, and documents received from the Whistleblower, however, the Foundation (or the relevant personnel or investigator on its behalf) will aim to conclude the process and produce a Resolutions Report within 60 business days from the date of receipt of any report or statement made by the Whistleblower. Where possible, the Whistleblower Committee will provide the Whistleblower with feedback on the progress and expected timeframes of the investigation.
5.6 During the formal investigation process, the investigator must give the accused person the right to be informed of the allegation(s) made against them and ensure that the accused person is not deprived of the right to defend oneself by providing proof to the contrary. If it is concluded that the accused person is innocent of any wrongdoing or any Misconduct, the Foundation may take any appropriate and fair action to remedy the impact on the accused person.
6. Whistleblower Protection and Confidentiality
The Foundation will take all reasonable steps to protect the identity, safety, and welfare of the Whistleblower, and to prevent any form of retaliation, discrimination, or adverse consequences against them, such as:
A. Maintaining the confidentiality of the Whistleblower’s identity and the information provided, unless the Whistleblower consents to the disclosure, or the disclosure is required by law or by the investigation process (and if so only to the person who has direct responsibilities for the matter under this Policy), or the disclosure is necessary to prevent or mitigate a serious threat to the public interest or safety;
B. Allowing the Whistleblower to report the matter anonymously, if they prefer, or to use a pseudonym or a code name, as long as this does not hinder the investigation or the resolution of the matter;
C. In case that the Whistleblower is an employee or a member of staff of the Foundation, ensuring that the Whistleblower is not subject to any harassment, intimidation, discrimination, demotion, termination, suspension, coercion, blacklisting, or any other form of reprisal or detriment, by anyone within the Foundation, for reporting the matter under this Policy;
D. Taking appropriate remedial action against anyone who engages in any form of retaliation, discrimination, or adverse consequences against the Whistleblower or who attempts to obstruct, interfere with, or influence the independence and impartiality of the Whistleblowing process or the investigation; and
E. Agreeing that the Foundation will not take any legal action against the Whistleblower for reporting the matter under this Policy, whether for civil or criminal liability or any breach of contractual or employment terms, as long as the report is made in good faith and does not involve the Whistleblower’s wrongdoing or participation in the matter.
7. Misuse of the Policy
It is a very serious matter to raise a concern or make a Whistleblowing report which the Whistleblower knows to be false or which is made in bad faith, maliciously, recklessly or with a view to personal gain. If the investigation concludes that such action has occurred, corrective action may be taken and the protections set out in Article 6 (Whistleblower Protection and Confidentiality) of this Policy will not be available.
8. Penalty
Any reprisals, victimisation, threatening or detrimental treatment (e.g. denial of promotion, facilities, or training which the Whistleblower would have otherwise been offered) of anyone who has raised a Whistleblowing concern in good faith will lead to a further investigation and remedial action may be taken against the perpetrator. The Whistleblower is encouraged to inform the investigator responsible for the matter if they have been harassed or victimised in any way as a result of having raised a Whistleblowing concern.
9. Policy Review and Update
This Policy will be reviewed and amended periodically, or as required, by the Whistleblower Committee in consultation with the Executive Director and the Thai Foundation Board and any other stakeholders, as appropriate, to ensure that it remains relevant, effective, and compliant with best practices and any legal and regulatory requirements. This Policy and any changes or updates to it will be made available on the Foundation’s website.