Here’s What You Need in Your Whistleblower Policy (and Why)

Encouraging employees to speak up when they witness misconduct benefits them and your organization. Employees feel safe and supported, and you learn about issues early. For best results, it’s important that your whistleblowing policy is thorough and compliant with your local whistleblower protection laws. Use this whistleblower policy sample during your policy development process.

Purpose and Scope

Like every workplace policy, start by stating the purpose, or why you’ve put this policy in place. What objectives do you hope to achieve with your whistleblowing policy? Be as specific as possible while also acknowledging the overarching goal: committing to an ethical workplace.

Example:

The purpose of this whistleblower policy is to protect the integrity of [Company Name] and its employees. This policy is designed to inform employees of the ways they can report concerns and suspicions of wrongdoing. Please read this policy in conjunction with [Company Name]’s other internal documents, including:

• code of conduct
• fraud policy
• harassment policy

Without a clear purpose, employees might look at this policy as just more rules. Let them know that it’s in place for their safety, and that it’s in their best interest to follow the reporting procedures you outline.

Next, define the scope of your whistleblower policy, or who it applies to. Policies and procedures often differ in who they apply to and when in the business relationship they apply, so make this part clear. For instance, some policies might only apply to full-time employees, while others cover everyone from contractors and business partners to tenured employees.

Example:

This whistleblower policy should be applied by and to the actions of every employee, intern, contractor, consultant and other stakeholder. This document is reviewed annually by a committee of employees, but is subject to change more often if an incident occurs or procedures have been updated.

Without a clear scope, your whistleblower hotline might not be used to its potential. Employees might not report on someone because they don’t think the person is covered by the policy (e.g. contractors, consultants or interns). As a result, an issue could escalate from a one-time problem (like petty theft or an inappropriate comment) to a big disaster (like a major fraud scheme or sexual assault).

What to Report

Provide detailed examples of the types of behavior employees should “blow the whistle” on. This section is like the scope, but instead of who the policy applies to, it’s the what.

Example:

Reportable offenses under this policy include:

• Harassment and discrimination: discrimination in hiring/promoting decisions, bullying, sexual/physical/psychological harassment as defined in [Company Name]’s harassment policy
• Fraudulent activity: theft, benefits fraud, bribery, misuse of funds, misrepresentation of funds, other fraud as defined in [Company Name]’s fraud policy
• Ethics concerns: nepotism, conflict of interest, corruption, retaliation or retribution against parties who report concerns, abuse of power
• Compliance lapses: breaches of relevant laws, regulations and reporting requirements [Company Name] is subject to
• Other misconduct: endangering other parties’ health and safety, violation of [Company Name]’s policies, concealment of violation of this or another policy on behalf of another party

All reports received through the aforementioned channels will be treated as serious concerns. [Company Name] trusts that reporters submit their concerns in good faith. Reports that are found in violation of this assumption could result in disciplinary action up to and including termination of employment or dissolution of the business relationship (for contractors and partners).

If employees don’t know what types of behavior they should report, your whistleblower program won’t do much good. Unaddressed issues could put employees in danger and cost your organization money (e.g. legal fees, non-compliance penalties), time and stress later. Plus, getting insight into the common issues in your organization help you focus your preventive efforts.

RELATED: Should You Allow Anonymous Reporting on Your Whistleblower Hotline?

How to Report

This is the most important section of your whistleblowing policy. Employees need to know how and where they can submit allegations of wrongdoing. Describe how to use all your channels in detail so whistleblowers know their options.

Example:

Whistleblower Hotline

[Company Name]’s whistleblower hotline is accessible [list hours and days here]. To access this service, call XXX-XXX-XXXX. [If you are a worldwide company, include the hotline numbers and hours for each country, if applicable]

Online Complaint Form

To submit a report online, visit our web-based hotline at [URL]. Fill in the nature of your complaint, details and your contact information, or select the “submit anonymously” box to make an anonymous report. This channel is open 24 hours a day, 7 days a week and monitored actively during regular business hours.

[Company Name] Ombudsman

Should you wish to submit a report in person, please visit the [Company Name] ombudsman’s office. [Include name(s) of staff and office location/numbers] There you can make a complaint in person or by completing a reporting form. This office is open [list hours here].

Reporting mechanisms that are hard to find or use put your company and employees in danger. Employees might try to report and get frustrated, or not even attempt to report if the systems are too complicated. Having to submit personal information with the report or talk to someone directly could also deter some reporters.

Hidden or hard-to-use channels can also make it seem like you don’t want whistleblowers to report. Show you’re committed to an ethical workplace by offering multiple reporting options with good user experience. This also ensures you’re made aware of current and potential issues that need attention.

Anti-Retaliation Commitment

Finally, emphasize your company’s promise to never retaliate against a whistleblower.

Example:

Retaliation of any kind against a reporter is strictly prohibited. If any party is found to harass, discriminate against or otherwise retaliate against a person who has submitted a complaint, they will be subject to disciplinary action up to and including termination of employment or dissolution of the business relationship, and/or legal action.

With this statement, you’re telling employees that an ethical work environment is your organization’s top priority. Employees will see that you care about them and that you won’t put profit or your company’s reputation ahead of their well-being. In turn, they’ll probably be more willing to report wrongdoing, which will help you nip problems in the bud and boost your prevention efforts.

A no-tolerance retaliation policy not only sets an ethical standard, but can also help your organization if questioned in a lawsuit. The Pennsylvania State Police was recently sued by an officer who claims she was passed over for a promotion in retaliation for her husband’s whistleblowing.

The suit claims that the officer’s “career stalled because her husband, also a Pennsylvania State Police trooper, served as a whistleblower when he reported allegations that a supervisor’s political beliefs impacted a criminal investigation.” If you find your organization in a similar situation, be sure you can point to a policy and show skill-related reasons behind all hiring/promotion decisions.

RELATED: A Practical Guide to Whistleblower Protections

After whistleblower policy implementation in your workplace, you should see incidents and issues decrease. Employees are invaluable sources of information for detecting problems early and identifying hot spots you can focus on for prevention.

How Case IQ Can Help

Case IQ’s all-in-one case management platform helps you manage incidents from intake through investigation and into post-resolution reporting and analysis.

With the option for anonymous reporting, multiple intake options and a secure platform, your employees can feel safe speaking up and you can resolve issues more effectively and efficiently.

To learn more about Case IQ’s modern case management software, schedule your demo today.

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Important: This post is for informational and educational purposes only. This post should not be taken as legal advice or used as a substitute for such. You should always speak to your own lawyer.