1. March 25, 2011 SHRM Poll: Organizational Whistle-blowing—Reporting Unethical and Illegal Behavior in the Workplace
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3. How does your organization generally inform employees about how to report unethical and/or illegal behavior in your organization? Note: n = 356. Percentages do not total 100% due to multiple response options. Excludes responses of “N/A, my organization does not currently have a formal communication method regarding this type of reporting." ”During employee training" and “in policies in addition to employee handbook documentation" were recoded from write-in responses for "other."
4. How does your organization generally inform employees about how to report unethical and/or illegal behavior in your organization? Comparison by Selected Organizational Demographics Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Organization’s Operations Location Differences Based on Union Status Differences Based on Organization Staff Size Differences Based on Organization Sector In the employee handbook or on company intranet Nonunion 87%) > union (70%) During new-employee orientation Multinational operations (77%) > U.S.-based operations only (66%) 2,500 to 24,999 employees (82%) > 1 to 99 employees (53%) Through posters or brochures displayed in staff areas Multinational operations (42%) > U.S.-based operations only (26%) Union (42%) > nonunion (28%) 2,500 to 24,999 employees (48%) > 1 to 99 employees (12%), 100 to 499 employees (17%) 25,000 or more employees (74%) > 1 to 99 employees (12%) , 100 to 499 employees (17%), 500 to 2,499 employees (31%) Publicly owned for-profit (56%) > privately owned for-profit (23%), nonprofit (24%), government (25%) In communications (e.g., written, e-mail, verbal) from the organization’s CEO, president or owner Multinational operations (33%) > U.S.-based operations only (17%) Union (34%) > nonunion (21%) 2,500 to 24,999 employees (32%) > 100 to 499 employees (13%) 25,000 or more employees (56%) > 1 to 99 employees (14%), 100 to 499 employees (13%), 500 to 2,499 employees (21%)
5. How does your organization generally inform employees about how to report unethical and/or illegal behavior in your organization? Comparison by Selected Organizational Demographics (continued) Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Organization’s Operations Location Differences Based on Union Status Differences Based on Organization Staff Size Differences Based on Organization Sector In communications (e.g., written, e-mail, verbal) from the organization’s ethics officer, compliance officer, audit function or organizational ombudsman Multinational operations (32%) > U.S.-based operations only (15%) Union (38%) > nonunion (17%) 2,500 to 24,999 employees (43%) > 1 to 99 employees (8%), 100 to 499 employees (12%), 500 to 2,499 employees (17%) 25,000 or more employees (37%) > 1 to 99 employees (8%), 100 to 499 employees (12%) In communications (e.g., written, e-mail, verbal) from direct supervisors 25,000 or more employees (37%) > 1 to 99 employees (9%), 500 to 2,499 employees (12%) In communications (e.g., written, e-mail, verbal) from the organization’s legal counsel Multinational operations (16%) > U.S.-based operations only (1%) Union (12%) > nonunion (5%) 2,500 to 24,999 employees (12%) > 100 to 499 employees (1%) 25,000 or more employees (22%) > 1 to 99 employees (2%), 100 to 499 employees (1%)
6. What methods does your organization encourage employees to use when reporting unethical and/or illegal behavior in your organization? Note: n = 361. Percentages do not total 100% due to multiple response options. Excludes responses of “N/A, there are no specific methods that employees are encouraged to use to report unethical or illegal behavior.”
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9. What methods does your organization encourage employees to use when reporting unethical and/or illegal behavior in your organization? Comparison by Selected Organizational Demographics Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Organization’s Operations Location Differences Based on Union Status Differences Based on Organization Sector Using the organization’s ethics hotline Multinational operations (65%) > U.S.-based operations only (31%) Contacting the organization’s ethics officer, compliance officer, audit function or organizational ombudsman Union (50%) > nonunion (28%) Contacting the organization’s legal counsel Multinational operations (25%) > U.S.-based operations only (9%) Publicly owned for-profit (26%) > nonprofit (7%)
10. Generally, how does or would your organization respond to reports of unethical and/or illegal behavior in your organization? Note: n = 358 . Excludes responses of “not sure/don’t know.”
11. Generally, how does or would your organization respond to reports of unethical and/or illegal behavior in your organization? Comparison by Selected Organizational Demographics Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Union Status Differences Based on Organization Staff Size All reported allegations are investigated (formally or informally), regardless of type of infraction, credibility of allegation, availability of resources, etc. Nonunion (90%) > union (80%) 2,500 to 24,999 employees (95%) > 100 to 499 employees (74%) Reported allegations are investigated (formally or informally) on a case-by-case basis, depending on the nature of the allegation (e.g., type of infraction, seriousness of allegation, credibility of allegation, etc.) Union (20%)> nonunion (10%) 100 to 499 employees (26%) > 2,500 to 24,999 employees (5%)
12. Generally, who investigates (or would investigate) reports of unethical and/or illegal behavior in your organization? Note: Percentages do not total 100% due to multiple response options.
13. Generally, who investigates (or would investigate) reports of unethical behavior in your organization? Unethical Behavior: Comparison by Selected Organizational Demographics Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Organization’s Operations Location Differences Based on Union Status Differences Based on Organization Staff Size Differences Based on Organization Sector Senior management U.S.-based operations only (57%) > multinational operations (41%) The organization’s legal counsel Multinational operations (41%) > U.S.-based operations only (29%) The organization’s ethics officer Multinational operations (28%) > U.S.-based operations only (8%) Union (27%) > nonunion (12%) 500 to 2,499 employees (13%) > 1 to 99 employees (1%) 2,500 to 24,999 employees (26%) > 1 to 99 employees (1%), 100 to 499 employees (8%) 25,000 or more employees (37%) > 1 to 99 employees (1%), 100 to 499 employees (8%) Publicly owned for-profit (29%) > privately owned for profit (9%) The organization’s compliance officer 2,500 to 24,999 employees (32%) > 1 to 99 employees (8%) 25,000 or more employees (37%) > 1 to 99 employees (8%) The organizational ombudsman Multinational operations (6%) > U.S.-based operations only (1%) Publicly owned for-profit (7%) > privately owned for profit (1%)
14. Generally, who investigates (or would investigate) reports of unethical behavior in your organization? Unethical Behavior: Comparison by Selected Organizational Demographics (continued) Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Organization’s Operations Location Differences Based on Union Status Differences Based on Organization Staff Size Differences Based on Organization Sector The organization’s audit function Union (18%) > nonunion (9%) Law enforcement Publicly owned for-profit (7%) > privately owned for profit (1%)
15. Generally, who investigates (or would investigate) reports of illegal behavior in your organization? Illegal Behavior: Comparison by Selected Organizational Demographics Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Organization’s Operations Location Differences Based on Union Status Differences Based on Organization Staff Size Differences Based on Organization Sector Senior management U.S.-based operations only (60%) > multinational operations (46%) 1 to 99 employees (73%) > 500 to 2,499 employees (47%), 2,500 to 24,999 employees (39%) The organization’s legal counsel Multinational operations (63%) > U.S.-based operations only (42%) 2,500 to 24,999 employees (64%) > 1 to 99 employees (30%) 25,000 or more employees (63%) > 1 to 99 employees (30%) The organization’s ethics officer Multinational operations (26%) > U.S.-based operations only (8%) Union (28%) > nonunion (10%) 2,500 to 24,999 employees (21%) > 1 to 99 employees (3%) 25,000 or more employees (33%) > 1 to 99 employees (3%), 100 to 499 employees (9%), 500 to 2,499 employees (9%) Publicly owned for-profit (24%) > privately owned for profit (9%) The organization’s compliance officer 2,500 to 24,999 employees (30%) > 1 to 99 employees (9%) 25,000 or more employees (41%) > 1 to 99 employees (9%) The organizational ombudsman Multinational operations (5%) > U.S.-based operations only (1%) Publicly owned for-profit (21%), government (23%) > privately owned for profit (8%)
16. Generally, who investigates (or would investigate) reports of illegal behavior in your organization? Illegal Behavior: Comparison by Selected Organizational Demographics (continued) Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Organization’s Operations Location Differences Based on Union Status Differences Based on Organization Staff Size Differences Based on Organization Sector Law enforcement Union (42%) > nonunion (27%) 500 to 2,499 employees (13%) > 100 to 499 employees (1%) 25,000 or more employees (19%) > 100 to 499 employees (1%) Government (51%) > privately owned for profit (24%)
17. Does (or would) your organization award financial incentives (e.g., spot awards, bonuses) to employees who report unethical and/or illegal behavior in your organization? Note: n = 336. Excludes responses of “not sure.”
18. During the past 12 months, have you personally observed misconduct that you thought violated your organization’s ethics standards, company policy or the law? Note: n = 372. Excludes responses of “not sure.”
19. Has your organization implemented policy and procedural changes related to whistle-blowing on unethical and/or illegal behavior in the past 12 months or is it planning to in the next 12 months? Note: n = 321. Excludes responses of “not sure.” Percentages do not total 100% due to rounding.
20. Has your organization implemented policy and procedural changes related to whistle-blowing on unethical and/or illegal behavior in the past 12 months or is it planning to in the next 12 months? Comparison by Selected Organizational Demographics Note: Blank cells indicate that there were no significant differences in this category. Differences Based on Organization’s Operations Location Differences Based on Organization Staff Size Yes, we have already implemented policy and procedural changes Multinational operations (49%) > U.S.-based operations only (35%) 2,500 to 24,999 employees (52%) > 100 to 499 employees (27%) 25,000 or more employees (65%) > 1 to 99 employees (29%), 100 to 499 employees (27%) No, we have no plans to implement policy and procedural changes 100 to 499 employees (67%) > 500 to 2,499 employees (44%)
21. Demographics: Organization Industry Note: n = 374. Percentages do not total 100% due to rounding. Industry Manufacturing—other 14% Health care, social assistance (e.g., nursing homes, EAP providers) 12% Services—professional, scientific, technical, legal, engineering 10% Financial services (e.g., banking) 8% Educational services/education 7% Government/public administration—federal, state/local, tribal 6% Retail/wholesale trade 6% Other services (e.g., nonprofit, church/religious organizations) 4% Transportation, warehousing (e.g., distribution) 4%
22. Demographics: Organization Industry (continued) Note: n = 374. Percentages do not total 100% due to rounding. Industry Insurance 3% High-tech 3% Construction, mining, oil and gas 2% Consulting 2% Publishing, broadcasting, other media 2% Manufacturing—auto/auto-related 2% Real estate, rental, leasing 2% Services—accommodation, food and drinking places 2% Utilities 2% Arts, entertainment, recreation 1% Association—professional/trade 1% Biotech 1% Telecommunications 1% Pharmaceutical 1% Other 5%
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