1. Protect FS Masterclass
Making Whistleblowing Work:
Best practice and effective frameworks
2018
11/30/2018
©Protect 2018

2. 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

3. Protect FS Masterclass
Protect (formerly Public Concern at Work) is an independent charity, founded in 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.

4. 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

5. 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

6. Protect FS Masterclass
ACFE Report to the Nations

7. 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

8. 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
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©Protect 2018

9. 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
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©Protect 2018

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

11. Protect FS Masterclass
11/30/2018
©Protect 2018

12. 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

13. 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

14. 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

15. 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

16. 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

17. 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

18. Protect FS Masterclass
Audit & Review: Benchmarking
11/30/2018
©Protect 2018

19. 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

20. 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

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

22. 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
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©Protect 2018

23. 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.
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©Protect 2018

24. 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

25. Protect FS Masterclass
Q&A
Francesca West Chief Executive Further information at
11/30/2018
©Protect 2018

26. Protect FS Masterclass
11/30/2018
©Protect 2018

27. 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