Protect FS Masterclass Making Whistleblowing Work: Best practice and effective frameworks 2018 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass Overview Overview of Protect, formerly Public Concern at Work Whistleblowing – back to basics Myth busting – the real experience of whistleblowing Effective frameworks for whistleblowing arrangements Governance Engagement Operations Audit and review 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass Protect (formerly Public Concern at Work) is an independent charity, founded in 1993. We provide: free confidential advice to who are unsure whether or how to raise their concern; Support, train and review organisations on best practice in whistleblowing; campaign on public policy; and promote public interest whistleblowing laws. 020 3117 2520

Protect FS Masterclass Advice line We have advised over 40,000 individuals to date. Top sectors: health, care, education, local government and financial services. Top concerns: financial malpractice, ethical and patient safety. Source: Protect 020 3117 2520

Protect FS Masterclass Benefits of whistleblowing? Enables the early detection and ultimately deterrence, of wrongdoing Saves lives, livelihoods, money, reputation and time Avoids crisis and claims Ensures the right kind of attrition Builds trust and confidence Creates an open and accountable workplace 020 3117 2520

Protect FS Masterclass ACFE Report to the Nations 020 3117 2520

Protect FS Masterclass What is whistleblowing? A worker raising a concern about wrongdoing, risk or malpractice with someone in authority either internally and/or externally (e.g. regulators, media, MPs) Source: Protect 020 3117 2520

Protect FS Masterclass Grievances and concerns HR issues/Grievances Concerns - risk is to self - risk is to others - need to prove case - tip off or witness - rigid process - pragmatic approach - legal determination - accountability - private redress - public interest 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass Identifying whistleblowing 1. A member of staff tells you they are being constantly criticised by one particular manager. The manager seems to pick on their work and does so in front of others. Grievance 2. You work in the finance team and a member of staff tells you they have seen an invoice from a company that they have not previously heard of. They think they recognise the company address to be the finance director’s home. Whistleblowing 3. A member of staff tells you they have seen a doctor ask a nurse to sign out controlled drugs for a patient that they do not believe is in need of such strong medication. Whistleblowing 4. A member of staff tells you they have been asked to do some additional work but they are worried as they are struggling to manage their workload. It depends 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass The whistleblower’s dilemma Keep quiet? Go Outside? Raise internally? A whistleblowing concern 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass Whistleblowing assumptions 1. Whistleblowers are persistent in raising concerns. False 2. Most whistleblowers will raise a concern externally. False 3. Whistleblowers are very likely to be dismissed. False 4. Most whistleblowers are new members of staff. True 5. Raising a whistleblowing concern is rare. False 11/30/2018 ©Protect 2018 020 3117 2520

Whistleblowing statistics Protect FS Masterclass Whistleblowing statistics 93% of organisations in a PCaW survey conducted by E&Y said they have formal whistleblowing arrangements in place … BUT only 43% of UK workers were aware of a whistleblowing policy at work 1 in 3 think their whistleblowing arrangements are ineffective Source: EY Survey 11/30/2018 ©Protect 2018 020 3117 2520

44% confuse personal complaints (grievances) with whistleblowing 54% said they do not train designated key members of staff to receive concerns 44% confuse personal complaints (grievances) with whistleblowing 1 in 10 say their arrangements are not clearly endorsed by senior management Source: E&Y Survey ©PCaW 2018

Protect FS Masterclass Key challenges: Liaising with staff and other functions Culture – awareness, experience/history, confidence Investigations Recording Confidentiality and anonymity Resolution Feedback ©Protect 2018 020 3117 2520

Relevant law, regulations and guidance Protect FS Masterclass Relevant law, regulations and guidance Legal challenges, privilege GRPR/DPA PIDA and statutory bars to disclosure Regulatory guidance – FCA – effective whistlebowing arrangements ©Protect 2018 020 3117 2520

Relevant law, regulations and guidance Protect FS Masterclass Relevant law, regulations and guidance FRC Corporate Code Principle E: The board should ensure that workforce policies and practices are consistent with the company’s values and support its long-term sustainable success. The workforce should be able to raise any matters of concern. There should be a means for the workforce to raise concerns in confidence and – if they wish – anonymously. The board should routinely review this and the reports arising from its operation. It should ensure that arrangements are in place for the proportionate and independent investigation of such matters and for follow-up action. ©Protect 2018 020 3117 2520

Protect FS Masterclass Audit & Review: Benchmarking 11/30/2018 ©Protect 2018 020 3117 2520

Recording & Investigations Trust & Confidence Training Communication Support & Protection Recording & Investigations Resolution Feedback Leadership Policy and procedure Audit & Reporting Effective Governance Effective Engagement Effective Operations 11/30/2018 ©Protect 2018

Protect FS Masterclass Effective Governance Leadership Responsible person Independence Trust Resources Policy and procedure Clear and easy to understand Easily accessible Types of malpractice and channels Assurances and explanations Audit, review and reporting Internal and external reviews Public reporting 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass Effective Engagement Trust and confidence Awareness Confidence Communication Encouraging whistleblowing Positive outcomes Training Staff Managers Board 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass Effective Operations Support and protection Encouraging reporting Proactive support and protection programmes Confidentiality Recording and investigations Guidance for managers Records Investigation guidelines and principles Resolution Addressing concerns and sharing outcomes Closing the case Feedback Providing AND seeking feedback 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass Audit and Review Key evidence: 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 (e.g. consumer complaints, publicity or wrongdoing identified by third parties); Any relevant litigation; and Staff awareness, trust and confidence in arrangements. 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass Recording and escalation Considerations: Assessment/grading – degree of harm – nature of issue Financial cost/loss Involvement of other staff/third parties How long did it take someone to raise a concern Length of investigation Actions recommended Actions completed Regulatory involvement Reputational risk Ensure confidential record keeping ©Protect 2018 020 3117 2520

Protect FS Masterclass Q&A Francesca West Chief Executive Francesca@protect-advice.org.uk 020 3117 2520 Further information at www.protect-advice.org.uk 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass 11/30/2018 ©Protect 2018 020 3117 2520

Protect FS Masterclass The Scope of PIDA Applies to almost every worker Wide definition of wrongdoing Application overseas Full compensation Impacts on gagging clauses and secrecy offences 11/30/2018 ©Protect 2018 020 3117 2520