| I will provide further advises on this issue. I am | | | | at all costs, but ultimately may be necessary as the |
| available for any requested individual needs. | | | | only option; and |
| This would cover the need to establish, within your | | | | An expectation that it must happen - that |
| organization, various mechanisms which will foster | | | | everyone has the responsibility to blow the whistle - |
| ethical behavior and allow individuals to seek advice | | | | that it is a public duty. The organization needs to |
| on dilemmas, get support for difficult decisions etc. | | | | emphasize and assert where it stands on this and |
| This might include: | | | | what it expects of its managers and leaders. |
| Ethics Contact Officers | | | | Managers should ask themselves |
| The establishment of a structure and process for | | | | Does my organization have clearly documented |
| advice giving, which is outside the normal hierarchical | | | | procedures for receiving and investigating a public |
| relationships between people. This must provide a | | | | interest disclosure from internal or external sources ? |
| focal point (or points) for enquiries / advice and | | | | Does my organization have appropriate safeguards to |
| uphold absolute confidentiality. It's continued depends | | | | preserve confidentiality ? |
| upon a track record of trust. | | | | Does my organization have trained investigators who |
| Responsibilities may include: | | | | can impartially perform investigations ? |
| Global accountability for developing and directing | | | | Does my organization have a process for proper |
| an organization's ethics, compliance, and business | | | | recording of public interest disclosures and the action |
| conduct function for the total corporation or | | | | taken on them? |
| organization, | | | | Does my organization have documented procedures |
| Providing leadership, oversight, and expert advice | | | | to protect staff who may be the subject of a |
| to ensure appropriate development, interpretation, | | | | reprisal because of a public interest disclosure ? |
| and implementation of ethics and compliance | | | | Do my staff have a clear understanding of their |
| strategies, policies and programs, | | | | ethical obligation to report fraud, corruption and |
| Accountability for all program activities relating to | | | | maladministration of which they become aware ? |
| standards of conduct including ethical relationships | | | | Do my staff have a clear understanding of what |
| with employees, customers, contractors, suppliers, | | | | a public interest disclosure is, how to make a public |
| shareholders, and other stakeholders, | | | | interest disclosure, and what they should do if they |
| Providing leadership in the development of a | | | | receive a public interestdisclosure in their role as a |
| compliance risk management program to assess, | | | | supervisor 7 |
| prioritize, and effectively manage legal and regulatory | | | | The various types of whistleblowing: |
| compliance, | | | | Internal Whistle blowing |
| Accountability for the organization-wide | | | | Disclosure to someone within the organization |
| confidential reporting program (such as a | | | | itself. |
| Hotline)allowing employees, customers, suppliers, and | | | | Is this ethical if it is "required" of employees ? |
| other stakeholders to report violations of the | | | | Which loyalty takes precedence - that to the |
| organization's ethical standards, violations of law or | | | | organization or to the cause at hand ? |
| corporate policy, without fear ofretaliation, | | | | Governmental Whistleblowing |
| Setting the strategy for and administering the | | | | Unauthorised disclosure of actions and/or |
| organization's annual or periodic ethics and compliance | | | | information relating to the activities of a government |
| training, and regular communications around ethics, | | | | or its employees. Personal Whistleblowing |
| compliance and conduct | | | | Reporting the actions of another which we |
| Issues, | | | | regard as injurious to us personally |
| Conducting investigations into alleged violations of | | | | Impersonal Whistleblowing |
| organisational ethics, compliance or conduct practices | | | | Reporting the actions of another which we |
| and making recommendations for resolution of | | | | regard as injurious to others (not us personally). |
| misconduct - including disciplinary action, | | | | When is whistleblowing morally defensible. An |
| Measuring and assessing organisational | | | | hierarchy of conditions upon which whistIeblowing |
| performance in compliance and ethics arenas, and, | | | | may be, or become, morally defensible: |
| providing comprehensive reports to the CEO and any | | | | If the actions/practices contemplated for |
| committees, the Board of Directors etc. | | | | disclosure are very likely to do "serious and |
| Ethics Committees | | | | considerable" harm to individuals. |
| Roles can include a spectrum from advisory (no | | | | If the actions/practices have been reported to |
| hands-on) to very hands-on involvements, as follows. | | | | the person or group immediately in authority (eg: the |
| This will depend upon the organizational culture, | | | | disclosing employee's supervisor). |
| nature of the business, tolerance for control of | | | | If the person, or group in authority, does nothing |
| compliance outside traditional hierarchical structures | | | | about the allegations and if the employeehas |
| etc: | | | | exhausted all reasonable channels. |
| Develop and regularly review standards and | | | | If there is clear evidence which is accessible, can |
| procedures | | | | be documented, and which would be sufficient to |
| Resolve conflicts between competing ethical | | | | prove a case to any reasonable empirical observer. |
| requirements | | | | If the employee believes that the disclosure may |
| Suggest behaviors' that reinforce the | | | | change how the situation is being handled |
| organization's ethics guidelines | | | | (eg: operating procedures), ie: there is a reasonable |
| Assume responsibility for overall compliance | | | | chance of a successful outcome. |
| Act as a court of last resort re: interpretations | | | | The Whistleblower's Checklist! |
| of standards and procedures | | | | Ensure the situation really warrants it (eg: is the |
| Define how the organization balances the rights | | | | potential harm of disclosure warranted, above the |
| of individual employees against the organization's | | | | potential harm of non-disclosure) |
| needs | | | | Examine your motives. What is your real reason |
| Solicit stakeholder input regarding how standards | | | | for considering blowing the whistle ? |
| and procedures are defined and enforced | | | | Gather evidence, verify it and document your |
| Develop and disseminate the organization's | | | | information. Determine exactly the behavior you are |
| standards, policies and guidelines on ethical decision | | | | reporting and to whom it will be reported. |
| making | | | | State allegations appropriately, specifying exactly |
| Oversight an Ethics "Hot Line" as a mechanism | | | | the type behavior being reported, who is being |
| for seeking guidance and reporting suspected | | | | adversely affected, and how. |
| wrongdoing and to protect employees' privacy | | | | Just the Facts. Avoid slander, and immoderate |
| Serve as the primary agent for enforcement and | | | | language. (This helps to avoid retaliation eg: litigation) |
| discipline | | | | Decide whether the whistleblowing will be open |
| Ensure that offences are not repeated, through | | | | or anonymous. |
| direct action | | | | Decide whether you can disclose this information |
| Provide a forum to foster communication among | | | | while still a member of the organizationor whether |
| ethics committees at large | | | | you should leave first. |
| Monitor and audit overall compliance | | | | Protection of Whistleblowers |
| Undertake or commission research projects on | | | | Can Whistleblowers EVER really be protected? |
| ethics issues relevant to the organization | | | | Is it ethical if there is no such requirement? |
| Whistleblower procedures and protection | | | | Which loyalty takes precedence (to the |
| Three Polarized Views of Whistle blowing | | | | organization or to the fellow employee) ? |
| The worst possible disloyalty an employee can | | | | External Whistleblowing |
| perpetrate - "ratting' on others, or on the | | | | Disclosure to someone outside the organization |
| organization; | | | | itself. |
| An unfortunate but necessary evil, to be avoided | | | | |