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Whistleblower Protection
Legislation and Mechanisms




            Leah Ambler
      Anti-Corruption Division
              OECD
      Leah.Ambler@oecd.org
Overview
- Defining Whistleblower Protection
- Benefits to Combating Corruption
- Legal Sources
- Main Features of Protection
  Mechanisms
- Private Sector Protection
- Challenges to Overcome
Whistleblower Protection
• “Protection from discriminatory or
  disciplinary action public and private
  sector employees who report in good faith
  and on reasonable grounds suspicions of
  corruption to competent authorities”

• Not to be confused with:
  – Witness Protection
Use in combating corruption
• Encourages reporting of misconduct, fraud
  and corruption;
• Decreases corruption risks;
• Increases detection of corruption;
• Creates a more accountable workplace;
• Helps authorities monitor compliance with
  anti-corruption laws.
Legal Sources
• Sectoral laws, e.g. anti-corruption laws, labour law,
  employment law, companies and securities laws,
  environmental protection laws.
• Specific dedicated laws, e.g. comprehensive
  whistleblower protection laws, public interest
  disclosure laws.
• International anti-corruption instruments, e.g.
  UNCAC, Council of Europe Civil and Criminal Law
  Conventions on Corruption, OECD Anti-Bribery
  Convention.
Features of Whistleblower Protection
Mechanisms

Mechanisms for
Protection:
  – Protection against
    retaliation
  – Protection against
    civil and criminal
    liability
  – Anonymity and
    Confidentiality
  – Burden of Proof
Features of Whistleblower Protection
Mechanisms

 Reporting
 Procedures:
   – Prescribed
     channels for
     reporting
   – Hotlines
   – Incentives
Features of Whistleblower Protection
Mechanisms

Enforcement
Mechanisms:
  – Oversight and
    Enforcement Authorities
  – Availability of Judicial
    Review
  – Remedies and Sanctions
    for Retaliation
Features of Whistleblower Protection
Mechanisms

Awareness-raising and Evaluation
Mechanisms:
• Promotion within places of employment;
• Legal requirements for employers to keep employees
  informed of whistleblower mechanisms;
• Periodic evaluation of effectiveness of whistleblower
  protection system;
• Surveys
Private Sector Protection Mechanisms

• Domestic laws with
  comprehensive coverage of
  protected persons, e.g.
  Japan, Korea, United
  Kingdom, United States.
• Voluntary measures taken
  by private sector
• Impact of introduction of
  comprehensive anti-bribery
  laws, e.g. UK Bribery Act.
Challenges
• Insufficient knowledge of
  law
• Fear of reprisals
• Lack of meaningful
  implementation of the
  law
• Confidentiality / loyalty
  provisions
• Cultural, historical
  barriers
Overcoming Challenges
• Education
• Awareness-raising of rules
  and procedures
• Ensuring effective protection
  is provided
• Creating an organisational
  culture of transparency
  which supports
  whistleblowing

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Whistleblower protection legislation and mechanisms

  • 1. Whistleblower Protection Legislation and Mechanisms Leah Ambler Anti-Corruption Division OECD Leah.Ambler@oecd.org
  • 2. Overview - Defining Whistleblower Protection - Benefits to Combating Corruption - Legal Sources - Main Features of Protection Mechanisms - Private Sector Protection - Challenges to Overcome
  • 3. Whistleblower Protection • “Protection from discriminatory or disciplinary action public and private sector employees who report in good faith and on reasonable grounds suspicions of corruption to competent authorities” • Not to be confused with: – Witness Protection
  • 4. Use in combating corruption • Encourages reporting of misconduct, fraud and corruption; • Decreases corruption risks; • Increases detection of corruption; • Creates a more accountable workplace; • Helps authorities monitor compliance with anti-corruption laws.
  • 5. Legal Sources • Sectoral laws, e.g. anti-corruption laws, labour law, employment law, companies and securities laws, environmental protection laws. • Specific dedicated laws, e.g. comprehensive whistleblower protection laws, public interest disclosure laws. • International anti-corruption instruments, e.g. UNCAC, Council of Europe Civil and Criminal Law Conventions on Corruption, OECD Anti-Bribery Convention.
  • 6. Features of Whistleblower Protection Mechanisms Mechanisms for Protection: – Protection against retaliation – Protection against civil and criminal liability – Anonymity and Confidentiality – Burden of Proof
  • 7. Features of Whistleblower Protection Mechanisms Reporting Procedures: – Prescribed channels for reporting – Hotlines – Incentives
  • 8. Features of Whistleblower Protection Mechanisms Enforcement Mechanisms: – Oversight and Enforcement Authorities – Availability of Judicial Review – Remedies and Sanctions for Retaliation
  • 9. Features of Whistleblower Protection Mechanisms Awareness-raising and Evaluation Mechanisms: • Promotion within places of employment; • Legal requirements for employers to keep employees informed of whistleblower mechanisms; • Periodic evaluation of effectiveness of whistleblower protection system; • Surveys
  • 10. Private Sector Protection Mechanisms • Domestic laws with comprehensive coverage of protected persons, e.g. Japan, Korea, United Kingdom, United States. • Voluntary measures taken by private sector • Impact of introduction of comprehensive anti-bribery laws, e.g. UK Bribery Act.
  • 11. Challenges • Insufficient knowledge of law • Fear of reprisals • Lack of meaningful implementation of the law • Confidentiality / loyalty provisions • Cultural, historical barriers
  • 12. Overcoming Challenges • Education • Awareness-raising of rules and procedures • Ensuring effective protection is provided • Creating an organisational culture of transparency which supports whistleblowing