Presentation by Leah Ambler at the OECD Whistleblower Protection Seminar on 17th June 2014. More information available at www.oecd.org/gov/ethics/whistleblower-protection-seminar-june-2014.htm

1. Effective Private Sector
Whistleblower Protection
Mechanisms
Leah Ambler
Anti-Corruption Division, OECD
leah.ambler@oecd.org

2. Overview
- Sources of Private Sector Whistleblower
Protection
- Main Features of Protection Mechanisms
- Challenges to Effective Protection

3. Whistleblower Protection
‘Member countries should ensure that : (iii) appropriate
measures are in place to protect from discriminatory or
disciplinary action public and private sector employees who
report in good faith and on reasonable grounds to the
competent authorities suspected acts of bribery of foreign
public officials in international business transactions”
(OECD 2009 Recommendation on further combating
foreign bribery)
•Not to be confused with witness protection, prohibition of
unfair dismissal or prohibition of workplace harrassment

4. Guidance to the Private Sector
‘internal and where possible confidential reporting by, and
protection of, directors, officers, employees, and, where
appropriate, business partners, not willing to violate
professional standards or ethics under instructions or
pressure from hierarchical superiors, as well as for
directors, officers, employees, and, where appropriate,
business partners, willing to report breaches of the law or
professional standards or ethics occurring within the
company, in good faith and on reasonable grounds’
(OECD Good Practice Guidance on Internal Controls,
Ethics and Compliance)

5. Sources of Private Sector
Whistleblower Protection
• Sectoral laws, e.g. anti-corruption laws, competition
laws, environmental protection laws.
• Specific dedicated laws, e.g. comprehensive
whistleblower protection laws, public interest disclosure
laws.
• International instruments, e.g. 2014 Council of Europe
Recommendation; 1998 OECD Recommendation; 2009
OECD Anti-Bribery Recommendation.
• Corporate self-regulation, e.g. in response to UK Bribery
Act, ‘adequate procedures’ or US sanctioning guidelines.
• Issue of conflicting laws, e.g. false accusation, secrecy,
defamation.

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

7. Features of Private Sector
Whistleblower Protection Mechanisms
Reporting
Procedures:
–Prescribed
channels for
reporting
–Hotlines
–Incentives

8. Features of Private Sector
Whistleblower Protection Mechanisms
Enforcement
Mechanisms:
– Oversight and
Enforcement Authorities
– Availability of Judicial
Review
– Remedies and Sanctions
for Retaliation
– Feedback to the
whistleblower

9. Features of Private Sector
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. Promoting whistleblowing
• Education
• Awareness-raising of rules
and procedures
• Ensuring effective protection
is provided
• Creating an organisational
culture of transparency
which supports
whistleblowing