©pcaw 2015 - 00 44 20 7404 6609 cipfa nw audit risk and governance group 9 october 2015
TRANSCRIPT
©PCaW 2015 - 00 44 20 7404 6609
CIPFA NW Audit Risk and Governance Group
9 October 2015
A worker raising a concern about wrongdoing, risk or malpractice with someone in authority either internally and/or externally (i.e. regulators, media, MPs)
Source: PCaW
What is whistleblowing?
©PCaW 2015 - 00 44 20 7404 6609
Public Concern at Work
PCaW is an independent charity, founded in 1993. We provide:
1.free confidential advice to people concerned about wrongdoing in the workplace who are unsure whether or how to raise their concern;
2.training to organisations on policy and law of whistleblowing;
3.campaign on public policy; and public interest whistleblowing laws.
©PCaW 2015 - 00 44 20 7404 6609
Source: PCaW
Advice lineWe have advised over 18,000 whistleblowers to date.
Top sectors: health, care, education, charities, financial services.
Top concerns: financial malpractice, public safety and patient safety.
©PCaW 2015 - 00 44 20 7404 6609
• Key questions:
•Who or what is at risk?
•Who knows?
•What is stopping you from raising this?
• Legally privileged
• Practical and solution focussed
• Empowering individuals
• Working together with unions
Public Concern at Work - Advice
©PCaW 2015 - 00 44 20 7404 6609
©PCaW 2015 - 00 44 20 7404 6609
The majority of whistleblowers (44%) raise a concern only once and a further 39% go on to raise their concern a second time. Majority (83%) will only try internal options once or twice and then give up• Small window of opportunity to address wrongdoing• Importance of front line and middle management training
Very few persist - only 22 individuals from our research went on to raise their concern 4 or more times.
Worryingly, 74% say their concern was ignored
Myth 1: Whistleblowers are persistent
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83% of whistleblowers blow the whistle internally
0.5% go directly to the media Our YouGov 2013 survey : The majority of working adults in
Great Britain (83%) said if they had a concern about possible corruption, danger or serious malpractice at work they would raise it with their employers
Myth 2: Whistleblowing is always going outside
©PCaW 2015 - 00 44 20 7404 6609
Of the 40% who told us of a response, the most common action is formal action short of discipline and 15% were dismissed
Senior employees are more likely to be dismissed
60% of those who called our advice line did not report any response from management (either negative or positive)
Myth 3: Whistleblowers are always trashed
©PCaW 2015 - 00 44 20 7404 6609
1 in 10 workers said they had a concern
Two thirds of workers raised their concern
Of those that felt unable to raise their concern, most common barriers are fear:
nothing will be donereprisal
Myth 4: Whistleblowing is unusual
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E&Y Survey Headlines
93% of respondents said they have formal whistleblowing arrangements in place (… but only 43% of UK workers say they have a whistleblowing policy at work)
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 2015 - 00 44 20 7404 6609
©PCaW 2015 - 00 44 20 7404 6609
• Applies to almost every worker
• Wide definition of wrongdoing
• Application overseas
• Full compensation
• Impacts on gagging clauses and secrecy offences
The Scope of PIDA
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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
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Good faith only 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.
MPs are now prescribed persons under PIDA (i.e. same
legal tests for disclosure to a regulator)
2013 Changes to PIDA
©PCaW 2015 - 00 44 20 7404 6609
• A duty on prescribed persons to report annually about whistleblowing concerns raised with them (Small Business, Enterprise and Employment Bill 2015)
• Changes to the scope of the whistleblower protection to include student nurses and NHS job applicants
• Employers best practice guidance / Non-statutory Code of Practice
• Guidance for individuals and regulators
• Review of the Employment Tribunal regulatory referral process
• Options for celebrating employers who embrace whistleblowing
Recent Changes
©PCaW 2015 - 00 44 20 7404 6609
©PCaW 2015 - 00 44 20 3117 2520
Awareness, trust and confidence
Communications
Training
Policy and process
Audit, review and
oversight
Investigation,feedback and
resolution
Support and protection
Whistleblowing Culture
©PCaW 2015 - 00 44 20 3117 2520
©PCaW 2015 - 00 44 20 3117 2520
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
©PCaW 2015 - 00 44 20 3117 2520
