Whistleblower Program Best Practices: Why Closure is Important

Lack of communication in the workplace can cause stress, distrust, and even fear. This is especially true for whistleblowers. When an employee plucks up the courage to report wrongdoing, they deserve to know the outcome. That’s why one of the most underrated whistleblower program best practices is following up after you’ve addressed the concern.

Whether the reported issue was minor or an enterprise-wide problem, providing closure helps your organization build trust and credibility with employees. Here’s how whistleblower follow-up can help you build a more ethical workplace culture.

Why Follow Up with Whistleblowers?

You’ve received a report, triaged it, investigated, if necessary, and taken appropriate corrective and preventive actions. You’ve informed the accused person(s) and internal stakeholders of your conclusion but might hesitate to follow up with the reporter if they weren’t a direct victim of the incident. However, giving whistleblowers closure creates a more ethical, positive work environment.

First, closure builds trust between employer and employee. By following up, you’re demonstrating that your organization takes reports seriously, rather than brushing them off. You’ll also gain a reputation for integrity and responsiveness. Closure tells employees that you care about organizational ethics and about them as people. They’ll also know what to expect when they submit a report. Without worrying about retaliation or simply being ignored, employees will feel more comfortable reporting, helping you catch and resolve issues faster.

Organizations also have ethical and legal obligations to investigate employee concerns and sharing your conclusion is an essential step of that process. If an employee comes to you with a complaint, it’s your ethical duty as an employer to assume good faith and look into it, as it has clearly affected their workplace experience.

In some cases, there’s a legal obligation as well, such as complaints of unsafe working conditions under the Occupational Safety and Health Administration (OSHA). In the case of harassment or discrimination based on a protected class, the Equal Employment Opportunity Commission (EEOC)’s new guidance, as interpreted by the attorneys at Jackson Lewis P.C., says employers are liable for covered harassment claims if:

• “the alleged harasser is a proxy or alter ego of the employer, the employer has no defense to liability for the harasser’s conduct as the harasser’s actions are considered the actions of the employer.
• For supervisory harassers who are not proxies for the employer, . . . the harassment includes a “tangible employment action” against the victim (e.g., termination or demotion)
• For non-supervisory harassers, . . . if the employer was negligent by failing to take reasonable actions to prevent the harassment or to take reasonable corrective action once it knows or should know of the harassment.”

In both cases, keeping the reporter up to date on your investigation and conclusion will ease their mind and reduce your organization’s liability.

Strategies for Effective Whistleblower Follow-Up

So, how can you ensure your reporter follow-up is effective? First and most importantly, prioritize timely and transparent communication. If they provide their contact information in their report, keep whistleblowers informed about your investigation process every step of the way. Provide as many details as possible while protecting the privacy of other involved parties. This ensures they won’t be surprised by your investigative actions or their outcomes.

Next, make sure your investigation procedures are fair, consistent, and thorough. Regardless of who is involved, remain impartial and avoid conflicts of interest by carefully selecting the investigation team. This protects the reporter, witnesses, and the accused person while also reducing your risk of lawsuits or regulatory penalties due to mishandling an incident.

Finally, from the initial report through to follow-up, offer support and protection to the whistleblower. They may have been nervous to report in the first place, especially if they fear reprisal. Remind reporters that your organization has zero tolerance for retaliation and assure them that any negative behavior in reaction to their report, from social exclusion to unfavorable project assignments, will be reprimanded.

What Are the Benefits of Following Up with Whistleblowers?

We’ve already discussed the ethical and legal obligations of following up with whistleblowers, but did you know the practice can actually benefit your organization, too? Closure helps enhance your organizational integrity, showing employees that you address and correct unethical behavior effectively and efficiently. The simple act of whistleblower follow-up helps build a culture of honesty and accountability; when the employer exhibits these values, employees are sure to follow, which can help reduce incidents over time.

Providing a safe, ethical work environment also improves employee morale. Demonstrating a commitment to ethics boosts employees’ confidence in your organization’s ability to handle issues and protect their well-being. When employees and employer build trust in each other, everyone experiences a more positive and open work environment.

Finally, whistleblower follow-up helps your company manage legal and regulatory risks. By following a strict investigative protocol backed up by internal policies, you reduce your risk of non-compliance penalties and employee lawsuits. Be sure to document every step of your investigation (it’s easy and centralized with case management software) in case you need to prove your processes in court.

Whistleblower Closure Challenges and Solutions

While providing closure to reporters is one of the whistleblower program best practices you should never skip, that doesn’t mean it’s always easy.

One challenge you might face is internal resistance to the practice if you don’t do it often or ever. Adding a new step to your investigative process means rewriting protocols and policies and training team members on how to follow up with whistleblowers correctly. This takes up precious time, not to mention that change of any sort can be mentally tough in the workplace. Additionally, there might be concerns around privacy when sharing investigation details.

Having limited time and staff can also make closure difficult. Following up with whistleblowers takes time that could be spent working on another case, which could cause concern if you have a large caseload or backlog of incidents to manage.

So, how can you get past these challenges? First, make sure your organization’s whistleblower policy is thorough and up to date with current whistleblower program best practices, including closure. Your policy should include investigator and employee responsibilities for handling reports from submission to investigation to resolution. In the policy, include closure as an essential stage so no one can argue that it’s a waste of time.

In addition, train employees at all levels on your company’s ethical standards and reporting procedures. Emphasize that you will follow up with them after their report is resolved; this should encourage them to speak up when an issue arises.

For a quick run-down of do’s and don’t’s of handling whistleblower reports, check out the table from OSHA’s Whistleblower Protection Advisory Committee below.

Credit: OSHA Whistleblower Protection Advisory Committee

How Case IQ Can Help

Case IQ’s multi-channel reporting gives employees a comprehensive, convenient, and confidential way to report incidents and concerns. Learn how we can help you foster a speak up culture in your organization here.

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.