©PCaW 2014 - 00 44 20 7404 6609
OECD
17 June 2014
Charity calls results of NAO assessment 'troubling' after
Cabinet Office, which sets whistleblowing policy, comes
bottom
1...
©PCaW 2014 - 00 44 20 7404 6609
©PCaW 2014 - 00 44 20 7404 6609
83% of workers blow the whistle up to two times,
usually internally.
• Small window of op...
©PCaW 2014 - 00 44 20 7404 6609
60% of whistleblowers do not suffer reprisal. Of
the remaining, 15% are dismissed.
• Disp...
EY Survey headlines
 93% of respondents said they have formal
whistleblowing arrangements in place
 But 1 in 3 think the...
YouGov Survey headlines
 1 in 10 workers said they had a concern about possible corruption,
danger or serious malpractice...
©PCaW 2014 - 00 44 20 7404 6609
Lord Nolan’s praise for ‘so skilfully achieving the essential but delicate balance between...
©PCaW 2014 - 00 44 20 7404 6609
The following changes came into force on 25 June 2013
Public interest test to replace good...
©PCaW 2014 - 00 44 20 7404 6609
• Accountability and role of regulators – note widening scope for
complaints ombudsmen
• R...
©PCaW 2014 - 00 44 20 7404 6609
©PCaW 2014 - 00 44 20 7404 6609
• The Secretary of State to adopt the Commission’s Code of Practice.
• This Code of Practi...
©PCaW 2014 - 00 44 20 7404 6609
Consultation employers, staff and representatives
Create whistleblowing arrangements that ...
©PCaW 2014 - 00 44 20 7404 6609
Identify types of concerns, giving relevant examples
Include a list of persons and bodies ...
©PCaW 2014- 00 44 20 7404 6609
Require that a worker raising a concern is:
•Told how and by whom the concern will be handl...
©PCaW 2014 - 00 44 20 7404 6609
Employers should:
•Sanction those who victimise whistleblowers
•Identify how and when conc...
©PCaW 2014 - 00 44 20 7404 6609
Conduct periodic audits of effectiveness of whistleblowing
arrangements:
•The number and t...
Cathy James
cj@pcaw.org.uk
0203 117 2520
Further information at www.pcaw.org.uk
©PCaW 2014 - 00 44 20 7404 660
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Making Whistleblowing Work by Cathy James, Public Concern at Work

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Presentation by Cathy James at the OECD Whistleblower Protection Seminar on 17th June 2014. More information available at www.oecd.org/gov/ethics/whistleblower-protection-seminar-june-2014.htm

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Making Whistleblowing Work by Cathy James, Public Concern at Work

  1. 1. ©PCaW 2014 - 00 44 20 7404 6609 OECD 17 June 2014
  2. 2. Charity calls results of NAO assessment 'troubling' after Cabinet Office, which sets whistleblowing policy, comes bottom 16 January 2014 The Guardian Headlines Cabinet Office and Treasury trail in government whistleblowing report ©PCaW 2014 - 00 44 20 7404 6609 Edward Snowden: a whistleblower, not a spy He has published US government information. And it is for this – not espionage – that he will have to answer to the law. 2 July 2013 The Guardian
  3. 3. ©PCaW 2014 - 00 44 20 7404 6609
  4. 4. ©PCaW 2014 - 00 44 20 7404 6609 83% of workers blow the whistle up to two times, usually internally. • Small window of opportunity to address wrongdoing • Importance of front line and middle management training 3 out of 4 whistleblowers say nothing is done about the concern raised • No response, is a response • May lead to a silent or wilfully blind workforce The Inside Story: research headlines
  5. 5. ©PCaW 2014 - 00 44 20 7404 6609 60% of whistleblowers do not suffer reprisal. Of the remaining, 15% are dismissed. • Disproportionate fear of dismissal • Zero tolerance of the victimisation of whistleblowers Newer employees are most likely to blow the whistle (39% have less than two years' service). The Inside Story: research headlines
  6. 6. EY Survey headlines  93% of respondents said they have formal whistleblowing arrangements in place  But 1 in 3 think their whistleblowing arrangements are ineffective  54% said they do not train key members of staff designated to receive concerns  44% confuse personal complaints with whistleblowing  1 in 10 say their arrangements are not clearly endorsed by senior management ©PCaW 2014 - 00 44 20 7404 6609
  7. 7. YouGov Survey headlines  1 in 10 workers said they had a concern about possible corruption, danger or serious malpractice at work that threatens them, their employer, colleagues or members of the public  Two thirds of workers raised their concern  83% of workers said if they had a concern about possible corruption, danger or serious malpractice at work they would raise it with their employers  42% of workers said their employers have a whistleblowing policy  72% of workers view the term whistleblower as positive or neutral ©PCaW 2014 - 00 44 20 7404 6609
  8. 8. ©PCaW 2014 - 00 44 20 7404 6609 Lord Nolan’s praise for ‘so skilfully achieving the essential but delicate balance between the public interest and the interest of the employers’. The Public Interest Disclosure Act 1998
  9. 9. ©PCaW 2014 - 00 44 20 7404 6609 The following changes came into force on 25 June 2013 Public interest test to replace good faith test for a disclosure to be “protected” under PIDA Good faith will only be relevant to compensation when a claim is won (the tribunal may deduct up to 25% of the compensation if found the claimant made the disclosure in bad faith) Liability for co-workers who victimise whistleblowers.  Employers can be held vicariously liable for these employees.  Reasonable steps defence for employers. Changes to PIDA
  10. 10. ©PCaW 2014 - 00 44 20 7404 6609 • Accountability and role of regulators – note widening scope for complaints ombudsmen • Review mechanisms – virtually non existent, except for after full Employment Tribunal hearing • Gagging – need better provisions and guidance – area with much confusion and despite 15 years of PIDA no legal testing • Changes to scope of those covered (akin to equality laws) – recent case in Supreme Court affecting partnerships • Simplification of provisions focussing on the public interest • Code of Practice – organisations and regulators Failures or areas for reform
  11. 11. ©PCaW 2014 - 00 44 20 7404 6609
  12. 12. ©PCaW 2014 - 00 44 20 7404 6609 • The Secretary of State to adopt the Commission’s Code of Practice. • This Code of Practice to be taken into account by courts and tribunals when whistleblowing issues arise. • Regulators to require or encourage the adoption of this Code of Practice by those they regulate. • Regulators to be more transparent about their own whistleblowing arrangements. • Specific provisions against the blacklisting of whistleblowers • Strengthening anti-gagging provisions in the law • Specialist training for tribunal members to handle whistleblowing claims effectively • Strengthening and clarifying the legal protection for whistleblowers Whistleblowing Commission: Key Recommendations
  13. 13. ©PCaW 2014 - 00 44 20 7404 6609 Consultation employers, staff and representatives Create whistleblowing arrangements that are: • Clear • Accessible • Well-publicised Whistleblowing Commission Code of Practice
  14. 14. ©PCaW 2014 - 00 44 20 7404 6609 Identify types of concerns, giving relevant examples Include a list of persons and bodies with whom concerns can be raised with: •line managers •senior managers •identified senior executive/ board members •relevant regulators Assurance that: •Victimisation will not be tolerated •Confidentiality maintained where requested Code of Practice Written Procedures
  15. 15. ©PCaW 2014- 00 44 20 7404 6609 Require that a worker raising a concern is: •Told how and by whom the concern will be handled •Given an estimate of how long investigation will take •Told, where appropriate, the outcome of investigation •Told how to report complaints of victimisation •Entitled to independent advice Code of Practice Written Procedures
  16. 16. ©PCaW 2014 - 00 44 20 7404 6609 Employers should: •Sanction those who victimise whistleblowers •Identify how and when concerns should be raised •Identify who has overall responsibility for the effective implementation of the whistleblowing arrangements •Independent oversight and review of the whistleblowing arrangements by the Board, the Audit or Risk Committee or equivalent body •Include information about whistleblowing in annual reports Code of Practice Putting it into practice
  17. 17. ©PCaW 2014 - 00 44 20 7404 6609 Conduct periodic audits of effectiveness of whistleblowing arrangements: •The number and types of concerns raised and outcomes of investigations •Feedback from individuals who have used the arrangements •Complaints of victimisation •Complaints of failure to maintain confidentiality •Other existing reporting mechanisms •Adverse incidents that could have been identified by staff (eg consumer complaints, publicity or wrongdoing identified by third parties) •Any relevant litigation •Staff awareness, trust and confidence in arrangements Code of Practice Audit and Oversight
  18. 18. Cathy James cj@pcaw.org.uk 0203 117 2520 Further information at www.pcaw.org.uk ©PCaW 2014 - 00 44 20 7404 660 Contact us

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