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Blowing the whistle on it!



   by Toronto Training and HR

           May 2012
3-4     Introduction to Toronto Training and HR
           5-6     Definition
Contents   7-8
           9-10
                   Individual antecedents of whistleblowing
                   Situational antecedents of whistleblowing
           11-16   Recent case
           17-20   Minimizing the chance of legal action
           21-24   What should a whistleblowing policy
                   contain?
           25-26   Managers notified of a concern
           27-28   Tactics of cover up
           29-30   Typical examples of wrongdoing
           31-32   Giving people the necessary skills
           33-35   Phases that whistleblowers go through
           36-38   Notable Canadian whistleblowers
           39-48   Case studies
           49-50   Conclusion and questions




                   Page 2
Introduction




     Page 3
Introduction to Toronto Training
            and HR
• Toronto Training and HR is a specialist training and human
  resources consultancy headed by Timothy Holden
• 10 years in banking
• 10 years in training and human resources
• Freelance practitioner since 2006
• The core services provided by Toronto Training and HR are:
              - Training event design
              - Training event delivery
              - Reducing costs
              - Saving time
              - Improving employee engagement & morale
              - Services for job seekers

                            Page 4
Definition




   Page 5
Definition
What is whistleblowing?




                      Page 6
Individual antecedents of
     whistleblowing




           Page 7
Individual antecedents of
              whistleblowing
Consistent factors
Inconsistent factors




                       Page 8
Situational antecedents of
     whistleblowing




            Page 9
Situational antecedents of
             whistleblowing
Characteristics of the job/organization
Characteristics of the wrongdoing




                        Page 10
Recent case




    Page 9
Recent case 1 of 5
Chopra et al. v Treasury Board (Department of
Health)




                      Page 12
Recent case 2 of 5
WHAT SHOULD EMPLOYERS DO NOW?
Because the ability to publicly criticize the
employer under the public interest exceptions
depends on exhaustion of internal remedies,
employers should carefully follow up on all internal
complaints or allegations. Employers should gather
documentation of the information available to the
employee at the time the statement is made, since
this is the relevant factual context for the
allegations

                        Page 13
Recent case 3 of 5
WHAT SHOULD EMPLOYERS DO NOW?
If an issue is already highly publicized, or if
demonstrably effective measures are already being
taken to deal with an issue, employees cannot
claim to be whistleblowers, since their criticism
brings nothing new to the public sphere




                      Page 14
Recent case 4 of 5
WHAT SHOULD EMPLOYERS DO NOW?
Employers should assess the expert or confidential
knowledge of employees who publicly criticize their
company-this expertise (or lack thereof) may
inform the arbitrator's decision the extent to which
an employee can justifiably comment on a
controversy, scientific or otherwise




                        Page 15
Recent case 5 of 5
WHAT SHOULD EMPLOYERS DO NOW?
The visible presence of employees at an event can
be criticism if their presence would be interpreted
by the public as adding legitimacy to critical
statements made by others
Employers should deal promptly with public
criticism to avoid being accused of condoning the
employee's behaviour, and should document any
delay in the response and the reason for it


                        Page 16
Minimizing the chance of
      legal action




          Page 17
Minimizing the chance of legal
             action 1 of 3
Adopt a written code of conduct stating that
violations of the law by employees are prohibited
and should be reported to the company-outline
reporting procedures for employees, and tell them
that the company will not tolerate retaliation
against whistleblowers
Review existing employment policies to be sure
they are clear about protection for workers who
report misconduct

                       Page 18
Minimizing the chance of legal
              action 2 of 3
Have written procedures for receiving and
processing complaints of fraud, including specific
descriptions of the company’s use of reporting
hotlines-train supervisors and nonsupervisory
employees on their use
Resolve any claim in a responsible manner,
especially those regarding fraud, waste, or abuse




                        Page 19
Minimizing the chance of legal
              action 3 of 3
Review and document any disciplinary action that
follows an investigation to be sure it is consistent
with past practices and unrelated to any protected
whistleblower complaint by an employee
Consider involving legal counsel early in an
investigation if the organization is facing a possible
whistleblower retaliation claim-try to convince
employees that management will take complaints
seriously and respond appropriately

                         Page 20
What should a
whistleblowing policy
      contain?




         Page 21
What should a whistleblowing
        policy contain? 1 of 3

The kinds of action targeted are unacceptable and
the employer attaches importance to identifying
and remedying malpractice
Employees should inform their line manager
immediately if they become aware that any of the
specified actions is happening (or has happened,
or is likely to happen)



                       Page 22
What should a whistleblowing
        policy contain? 2 of 3

In more serious cases (for example, if the
allegation is about the actions of their line
manager), the employee should feel able to raise
the issue with a more senior manager, bypassing
lower levels of management




                       Page 23
What should a whistleblowing
        policy contain? 3 of 3
Whistleblowers can ask for their concerns to be
treated in confidence and such wishes will be
respected
Employees will not be penalized for informing
management about any of the specified actions




                       Page 24
Managers notified of a
     concern




         Page 25
Managers notified of a concern

Have a responsibility to ensure that concerns
raised are taken seriously
Should, where appropriate, investigate properly
and make an objective assessment of the concern
Should keep the employee advised of progress
Have a responsibility to ensure that the action
necessary to resolve a concern is taken


                      Page 26
Tactics of cover-up




        Page 27
Tactics of cover-up
Gag the employees
Study it to death
Separate expertise from authority
Institutionalize conflict of interest
Keep them ignorant
Prevent the development of a written record
Rewrite the issues
Scapegoat the small fry


                       Page 28
Typical examples of
   wrongdoing




        Page 29
Typical examples of wrongdoing
Theft/embezzlement of corporate assets
Fabrication of operational or performance data
False or inflated claims from suppliers
Inventory manipulations
Intentional misclassification of expenditures
Fabrication of sales data
Overstating revenues or assets
Understating expenses or liabilities


                       Page 30
Giving people the
 necessary skills




       Page 31
Giving people the necessary skills

Start by sharing your good intentions
Get the other person’s point of view
Use tentative language
Explain the possible consequences of the action in
question
Take it up a level



                       Page 32
Phases that
whistleblowers go through




           Page 33
Phases that whistleblowers go
           through 1 of 2
Awareness
The decision of conscience
Raising concerns internally
Facing initial reprisals
The decision to commit fully
Going public and the consequences




                      Page 34
Phases that whistleblowers go
           through 2 of 2
The war of attrition
The endgame
Consequences for the rest of us
What we can do




                       Page 35
Notable Canadian
 whistleblowers




      Page 36
Notable Canadian whistleblowers
               1 of 2
Joanna Gualtieri
Sean Bruyea
Richard Colvin
Allan Cutler
Ian Bron
Bob Gale
Brian McAdam



                   Page 37
Notable Canadian whistleblowers
              2 of 2
Corporal Robert Reid
Dr Nancy Olivieri
Bob Stenhouse
Perry Dunlop
Dr John O’Connor
Linda Merk




                       Page 38
Case study A




    Page 39
Case study A




    Page 40
Case study B




    Page 41
Case study B




    Page 42
Case study C




    Page 43
Case study C




    Page 44
Case study D




    Page 45
Case study D




    Page 46
Case study E




    Page 47
Case study E




    Page 48
Conclusion and questions




          Page 49
Conclusion and questions
Summary
Videos
Questions




                Page 50

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Blowing the whistle on it! May 2012

  • 1. Blowing the whistle on it! by Toronto Training and HR May 2012
  • 2. 3-4 Introduction to Toronto Training and HR 5-6 Definition Contents 7-8 9-10 Individual antecedents of whistleblowing Situational antecedents of whistleblowing 11-16 Recent case 17-20 Minimizing the chance of legal action 21-24 What should a whistleblowing policy contain? 25-26 Managers notified of a concern 27-28 Tactics of cover up 29-30 Typical examples of wrongdoing 31-32 Giving people the necessary skills 33-35 Phases that whistleblowers go through 36-38 Notable Canadian whistleblowers 39-48 Case studies 49-50 Conclusion and questions Page 2
  • 3. Introduction Page 3
  • 4. Introduction to Toronto Training and HR • Toronto Training and HR is a specialist training and human resources consultancy headed by Timothy Holden • 10 years in banking • 10 years in training and human resources • Freelance practitioner since 2006 • The core services provided by Toronto Training and HR are: - Training event design - Training event delivery - Reducing costs - Saving time - Improving employee engagement & morale - Services for job seekers Page 4
  • 5. Definition Page 5
  • 7. Individual antecedents of whistleblowing Page 7
  • 8. Individual antecedents of whistleblowing Consistent factors Inconsistent factors Page 8
  • 9. Situational antecedents of whistleblowing Page 9
  • 10. Situational antecedents of whistleblowing Characteristics of the job/organization Characteristics of the wrongdoing Page 10
  • 11. Recent case Page 9
  • 12. Recent case 1 of 5 Chopra et al. v Treasury Board (Department of Health) Page 12
  • 13. Recent case 2 of 5 WHAT SHOULD EMPLOYERS DO NOW? Because the ability to publicly criticize the employer under the public interest exceptions depends on exhaustion of internal remedies, employers should carefully follow up on all internal complaints or allegations. Employers should gather documentation of the information available to the employee at the time the statement is made, since this is the relevant factual context for the allegations Page 13
  • 14. Recent case 3 of 5 WHAT SHOULD EMPLOYERS DO NOW? If an issue is already highly publicized, or if demonstrably effective measures are already being taken to deal with an issue, employees cannot claim to be whistleblowers, since their criticism brings nothing new to the public sphere Page 14
  • 15. Recent case 4 of 5 WHAT SHOULD EMPLOYERS DO NOW? Employers should assess the expert or confidential knowledge of employees who publicly criticize their company-this expertise (or lack thereof) may inform the arbitrator's decision the extent to which an employee can justifiably comment on a controversy, scientific or otherwise Page 15
  • 16. Recent case 5 of 5 WHAT SHOULD EMPLOYERS DO NOW? The visible presence of employees at an event can be criticism if their presence would be interpreted by the public as adding legitimacy to critical statements made by others Employers should deal promptly with public criticism to avoid being accused of condoning the employee's behaviour, and should document any delay in the response and the reason for it Page 16
  • 17. Minimizing the chance of legal action Page 17
  • 18. Minimizing the chance of legal action 1 of 3 Adopt a written code of conduct stating that violations of the law by employees are prohibited and should be reported to the company-outline reporting procedures for employees, and tell them that the company will not tolerate retaliation against whistleblowers Review existing employment policies to be sure they are clear about protection for workers who report misconduct Page 18
  • 19. Minimizing the chance of legal action 2 of 3 Have written procedures for receiving and processing complaints of fraud, including specific descriptions of the company’s use of reporting hotlines-train supervisors and nonsupervisory employees on their use Resolve any claim in a responsible manner, especially those regarding fraud, waste, or abuse Page 19
  • 20. Minimizing the chance of legal action 3 of 3 Review and document any disciplinary action that follows an investigation to be sure it is consistent with past practices and unrelated to any protected whistleblower complaint by an employee Consider involving legal counsel early in an investigation if the organization is facing a possible whistleblower retaliation claim-try to convince employees that management will take complaints seriously and respond appropriately Page 20
  • 21. What should a whistleblowing policy contain? Page 21
  • 22. What should a whistleblowing policy contain? 1 of 3 The kinds of action targeted are unacceptable and the employer attaches importance to identifying and remedying malpractice Employees should inform their line manager immediately if they become aware that any of the specified actions is happening (or has happened, or is likely to happen) Page 22
  • 23. What should a whistleblowing policy contain? 2 of 3 In more serious cases (for example, if the allegation is about the actions of their line manager), the employee should feel able to raise the issue with a more senior manager, bypassing lower levels of management Page 23
  • 24. What should a whistleblowing policy contain? 3 of 3 Whistleblowers can ask for their concerns to be treated in confidence and such wishes will be respected Employees will not be penalized for informing management about any of the specified actions Page 24
  • 25. Managers notified of a concern Page 25
  • 26. Managers notified of a concern Have a responsibility to ensure that concerns raised are taken seriously Should, where appropriate, investigate properly and make an objective assessment of the concern Should keep the employee advised of progress Have a responsibility to ensure that the action necessary to resolve a concern is taken Page 26
  • 28. Tactics of cover-up Gag the employees Study it to death Separate expertise from authority Institutionalize conflict of interest Keep them ignorant Prevent the development of a written record Rewrite the issues Scapegoat the small fry Page 28
  • 29. Typical examples of wrongdoing Page 29
  • 30. Typical examples of wrongdoing Theft/embezzlement of corporate assets Fabrication of operational or performance data False or inflated claims from suppliers Inventory manipulations Intentional misclassification of expenditures Fabrication of sales data Overstating revenues or assets Understating expenses or liabilities Page 30
  • 31. Giving people the necessary skills Page 31
  • 32. Giving people the necessary skills Start by sharing your good intentions Get the other person’s point of view Use tentative language Explain the possible consequences of the action in question Take it up a level Page 32
  • 33. Phases that whistleblowers go through Page 33
  • 34. Phases that whistleblowers go through 1 of 2 Awareness The decision of conscience Raising concerns internally Facing initial reprisals The decision to commit fully Going public and the consequences Page 34
  • 35. Phases that whistleblowers go through 2 of 2 The war of attrition The endgame Consequences for the rest of us What we can do Page 35
  • 37. Notable Canadian whistleblowers 1 of 2 Joanna Gualtieri Sean Bruyea Richard Colvin Allan Cutler Ian Bron Bob Gale Brian McAdam Page 37
  • 38. Notable Canadian whistleblowers 2 of 2 Corporal Robert Reid Dr Nancy Olivieri Bob Stenhouse Perry Dunlop Dr John O’Connor Linda Merk Page 38
  • 39. Case study A Page 39
  • 40. Case study A Page 40
  • 41. Case study B Page 41
  • 42. Case study B Page 42
  • 43. Case study C Page 43
  • 44. Case study C Page 44
  • 45. Case study D Page 45
  • 46. Case study D Page 46
  • 47. Case study E Page 47
  • 48. Case study E Page 48