1. © PCaW www.pcaw.co.uk Making whistleblowing work Guy Dehn Director, PCaW, UK IPRCCBPF, Brussels

2. © PCaW www.pcaw.co.uk Why whistleblowing matters

3. © PCaW www.pcaw.co.uk The human dilemma

4. © PCaW www.pcaw.co.uk Whistleblowing: some of the key issues Public Concern at Work

5. © PCaW www.pcaw.co.uk  Who do you want to blow the whistle? When?  What’s the main driver - regulation or good business?  How can you separate public concerns from private complaints?  What safeguards against abuse?  How do you judge success? Starters

6. © PCaW www.pcaw.co.uk Do you want your people to raise a concern  openly,  confidentially (so, if requested, the person’s identity is not freely disclosed), or  anonymously (the person does not identify himself)? It’s your call…

7. © PCaW www.pcaw.co.uk Do you want people to raise a concern…  with the alleged wrongdoer?  with their manager?  with senior management?  with the regulatory authorities? Whom to tell?

8. © PCaW www.pcaw.co.uk  Should it be a duty to blow the whistle?  If not, should good faith be a requirement?  Hotlines and helplines  Where does responsibility lie internally?  EU Data Protection and SOX conflicts Other issues

9. © PCaW www.pcaw.co.uk Whistleblowing & Data Protection Whistleblowing http://www.pcaw.co.uk/policy_pub/data_protection.html

10. © PCaW www.pcaw.co.uk How the UK approach meets US & EU rules and helps sound business The UK approach

11. © PCaW www.pcaw.co.uk  signals a change in the culture,  is not prescriptive, and  provides strong civil sanctions against reprisal. The UK approach UK’s Public Interest Disclosure Act 1998 (PIDA), praised by Lord Nolan for ‘ so skilfully achieving the essential but delicate balance between the public interest and the interest of employers ’

12. © PCaW www.pcaw.co.uk This approach  promotes & protects public interest whistleblowing,  focuses on wrongdoing that threatens the public interest,  encourages open rather than anonymous whistleblowing, and  has a stepped disclosure regime that emphasises internal accountability, strengthens regulatory oversight and recognises public accountability The UK approach

13. © PCaW www.pcaw.co.uk The stepped disclosure regime Public disclosure protected The actual disclosure is reasonable Regulatory disclosure protected Valid cause to go wider Internal disclosure protected Substance to the concern Genuine suspicion Internal disclosure Regulatory disclosure Public disclosure

14. © PCaW www.pcaw.co.uk As to purpose and effect, the UK approach  reassures workers there is a safe alternative to silence,  sees the whistleblower as a witness not a complainant,  encourages all half decent organisations to solicit and address concerns,  helps target regulatory activity better,  promotes the public interest, and  seems to work in practice. Practical benefits

15. © PCaW www.pcaw.co.uk Effective whistleblowing arrangements Policy & Practice

16. © PCaW www.pcaw.co.uk The purpose The essence of whistleblowing arrangements are that staff should be able to a) by-pass the direct management line, because that may well be the area about which their concerns arise, and b) go outside the organisation if they feel the overall management is engaged in an improper course.

17. © PCaW www.pcaw.co.uk Key issues  leadership  policy is written to give assurance to the ‘silent majority’  default is that staff should raise concerns openly  distinguish whistleblowing concerns from grievances & bullying  provide internal and external disclosure options  promotion

18. © PCaW www.pcaw.co.uk Whistleblowing Best Practice: Whistleblowing www.pcaw.co.uk/services/Best_Practice.htm

19. © PCaW www.pcaw.co.uk Whistleblowing - a. Bringing an activity to a sharp conclusion as if by the blast of a whistle (OED) b. Raising concerns about misconduct within an organisation or within an independent structure associated with it (Nolan Committee) c. Giving information (usually to the authorities) about illegal or underhand practices (Chambers) d. Exposing to the press a malpractice or cover-up in a business or government office (US, Brewers) e. Providing a safe alternative to silence ( Public Concern at Work ) f. (origins) Police constable summoning public help to apprehend a criminal; signal to stop work in the industrial age; referee stopping play after a foul in football. Whistleblowing