WHO Whistleblowing and protection against retaliation Policy and procedures 2015 Office of Compliance, Risk Management and Ethics WHO Whistleblowing and protection against retaliation Announcement Type POLICY Announcement Title WHO Protection against retaliation Initiator ( Department) CRE – Compliance, Risk Management and Ethics Initiator (Unit) CRE Document Name Information Note Subject Standards of Conduct - Whistleblower Protection Policy Effective Date Applicability All staff Addressed to All WHO Offices Revision / Not applicable Amendment / Replaces Related Documents HR e-guide, III.1.1 Policy and Procedures WHO Whistleblowing and protection against retaliation Table of Contents 1. Introduction.................................................................................................................................................... 4 2. Definitions and principles ................................................................................................................................ 5 2.1. Definitions .............................................................................................................................................. 5 2.1.1 Reporting of suspected wrongdoing that implies a significant risk to WHO ...................................... 5 2.1.2 Retaliation...................................................................................................................................... 6 2.1.3 Malicious reporting ........................................................................................................................ 7 2.2. Principles ................................................................................................................................................ 7 2.2.1 Obligation to report suspected wrongdoing .................................................................................... 7 2.2.2 Evidence of retaliation .................................................................................................................... 7 2.2.3 Confidentiality ................................................................................................................................ 8 2.2.4 Anonymity...................................................................................................................................... 8 2.2.5 Protection measures/relief ............................................................................................................. 8 2.2.6 Performance appraisal, vacancy selections, post reclassifications, reassignment and mobility ......... 9 2.2.7 Remedies ....................................................................................................................................... 9 2.2.8 Disciplinary measures ..................................................................................................................... 9 2.2.9 Reprieve ....................................................................................................................................... 10 3. Reporting wrongdoing that implies significant corporate risk (i.e. “whistleblowing”) ..................................... 10 3.1 Reporting mechanisms ......................................................................................................................... 10 3.2.1 Ethics advice ................................................................................................................................ 10 3.2.2 Investigations ............................................................................................................................... 11 3.2 Measures to prevent retaliation ............................................................................................................ 11 4. Reporting retaliation ..................................................................................................................................... 11 4.1. Roles and responsibilities ...................................................................................................................... 11 4.1.1 Reporting mechanism................................................................................................................... 11 4.1.2 Preliminary review ....................................................................................................................... 12 4.1.3 Interim protection of the whistleblower ....................................................................................... 12 4.1.4 Investigation of reports of retaliation ........................................................................................... 13 4.1.5 Conflicts of interest ...................................................................................................................... 13 4.2. Feedback .............................................................................................................................................. 13 4.3. Reporting through external mechanisms ............................................................................................... 13 5. Annual report ............................................................................................................................................... 14 3 WHO Whistleblowing and protection against retaliation Whistleblowing and protection against retaliation 1. Introduction 1. This policy, which supersedes the previous “WHO Whistleblower Protection Policy and Procedures” of November 2006, continues to foster progress towards the open, transparent and fair functioning of WHO. The aim is to encourage the reporting of suspected wrongdoing when the wrongdoing implies significant corporate risk (i.e., harmful to the interests, reputation, operations, or governance of WHO) without fear of retaliatory action in order to enable WHO to take early action. It focusses on the protection against retaliation accorded to whistleblowers who report suspected wrongdoing. 2. To this end, the objective of this policy is threefold: • Define “whistleblowing” by differentiating between wrongdoing that constitutes risk of corporate significance and individual grievances that are administered through other established mechanisms1; • Enhance the protection accorded to whistleblowers that fall within this definition; and • Clarify the responsibility of the administration2. 3. Consequently, this policy clarifies what constitutes whistleblowing and retaliation. It also lays out the essential principles of WHO’s approach, starting with the underlying position that retaliation against whistleblowers is not tolerated in WHO and constitutes misconduct. Acts of retaliation violate the fundamental obligation of all staff members to uphold the highest standards of integrity and to discharge their functions and regulate their conduct with the interest of the Organization only in view. 4. This policy covers the reporting of (i) suspected wrongdoing that implies corporate risk, and (ii) actual or threatened retaliation. It describes the mechanisms in place to address suspected wrongdoing and how WHO protects whistleblowers from retaliation. This approach enables the establishment of a robust mechanism to prevent retaliation from occurring in the first place. 5. The policy delineates the respective roles and responsibilities of the principal offices supporting its implementation, i.e. the Office of Compliance, Risk Management and Ethics (CRE) and the Office of Internal Oversight Services (IOS). 1 eManual Section III.12 on Appeals and Grievances http://emanual.who.int/p03/s12/Pages/default.aspx 2 The term “administration” is understood as line management and the human resources department Policy and Procedures 6. This policy applies to WHO staff members who report, in good faith, suspected wrongdoing of corporate significance at WHO and may be subjected to retaliation as a consequence. 7. This policy in its spirit and principles also applies to non-staff members who report suspected wrongdoing at WHO. This includes in particular individuals who have a contractual relationship with WHO, such as temporary advisers, Special Service Agreement (SSA) holders, Agreement for Performance of Work (APW) holders, consultants and interns, as well as third parties such as vendors, contractors or technical partners who may suspect wrongdoing within or affecting WHO. This policy will serve as a guide to devise effective measures on a case by case basis to address the specific circumstances of non-staff members and their particular vulnerability to retaliatory action. 8. This policy will be disseminated across the Organization and will be published on WHO’s Internet Website for information. Related internal policies and procedures will be amended to reflect established protection mechanisms. 2. Definitions and principles 2.1. Definitions 2.1.1 Reporting of suspected wrongdoing that implies a significant risk to WHO 9. This policy defines “whistleblowers” as individuals who report suspected wrongdoing that implies a significant risk to WHO, i.e. harmful to its interests, reputation, operations or governance. Therefore, this policy applies to but is not limited to reporting any of the following: • Fraud, i.e. deliberate and deceptive acts with the intention of obtaining an unauthorized benefit, such as money, property or services, by deception or other unethical means3; • Corruption; • Waste of resources; • Sabotage; • Substantial and specific danger to public health or safety; • Sexual exploitation and abuse. 3 WHO eManual Section