Whistleblowing in the Australian Public Sector
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Whistleblowing in the Australian Public Sector
Enhancing the theory and practice of internal witness management in public sector organisations
Table of Contents
Foreword
Acknowledgments
Authors and contributors
Glossary
Summary
1. Introduction
The Whistling While They Work project
What is ‘whistleblowing’?
What is ‘wrongdoing’?
Methods and limitations
Continuing analysis: towards best practice
Part 1: A new picture of public sector whistleblowing
Chapter 2: The incidence and significance of whistleblowing
Chapter 3: Who blows the whistle, who doesn’t and why?
Chapter 4: How do officials report? Internal and external whistleblowing
Chapter 5: The good, the bad and the ugly—whistleblowing outcomes
Chapter 6: Whistleblower mistreatment—identifying the risks
Part 2: Managing whistleblowing—organisational systems and responses
Chapter 7: Support for whistleblowing among managers—exploring job satisfaction and awareness of obligations
Chapter 8: Investigations—improving practice and building capacity
Chapter 9: Internal witness support—the unmet challenge
Chapter 10: Evaluating agency responses—the comprehensiveness and effectiveness of agency procedures
Chapter 11: Best-practice whistleblowing legislation for the public sector—key principles
Chapter 12: Project findings—an agenda for action
1. Introduction
Whistleblowing: shifting the focus
The Whistling While They Work project
What is ‘whistleblowing’?
What is ‘wrongdoing’?
Methods and further limitations
Continuing analysis: towards best practice
Part 1. A new picture of public sector whistleblowing
2. The incidence and significance of whistleblowing
Introduction
How much whistleblowing goes on in the Australian public sector?
‘Whistleblowing’ as opposed to ‘reporting’
Role reporting versus non-role reporting
Whistleblowing as opposed to personnel or workplace grievances
How important is whistleblowing?
High and low rates of reporting
Discussion and conclusions
3. Who blows the whistle, who doesn’t and why?
Introduction
Notes on the analyses
Employee characteristics
Socio-demographic variables
Attitude scales
Summary
Characteristics of the wrongdoing
Wrongdoing type
Seriousness, frequency and organisational context
Degree of personal involvement
Reasons for reporting or not reporting wrongdoing
Why employees report
Why employees do not report
Discussion and conclusions
Predicting reporting behaviour
Situation and context
Organisational justice
Summary
4. How do officials report? Internal and external whistleblowing
Introduction
Reporting paths
When do whistleblowers choose internal or external paths? Organisational citizenship behaviour
Hypothesis 1: OCB more strongly positively related to preference for initial internal whistleblowing than preference for initial external whistleblowing
Hypothesis 2: OCB more strongly positively related to internal reporting as real initial path than external reporting as real initial path
Hypothesis 3: OCB will be more strongly related to real reporting that remains internal only and less strongly related to reporting that includes external reporting
Hypothesis 4: For ‘non-role’ reporters, OCB might be more strongly related to real reporting that remains internal only and less strongly related to reporting that includes external reporting
Do whistleblowers’ choices vary with trust in management?
Hypothesis 5: Trust positively related to preference for initial internal whistleblowing and negatively related to preference for initial external whistleblowing
Hypothesis 6: Trust will be more strongly positively related to real reporting that remains internal only and less strongly related to real reporting that includes external reporting
Hypothesis 7: For ‘non-role’ reporters, trust might be more strongly related to real reporting that remains internal only and less strongly related to reporting that includes external reporting
Discussion and conclusions
5. The good, the bad and the ugly: whistleblowing outcomes
Introduction
A note on the data
Substantive outcomes, including organisational changes
Whistleblower satisfaction
Overall treatment of whistleblowers
Deliberate mistreatment and reprisals
General impacts on whistleblowers
Discussion and conclusions
6. Whistleblower mistreatment: identifying the risks
Introduction
Expectations of treatment and support
Risk factors for mistreatment of whistleblowers
Mistreatment by co-workers
Mistreatment by management
Against-the-odds outcomes
Positive treatment of higher-risk reporters
Negative treatment of low-risk reporters
Discussion and conclusions
Part 2. Managing whistleblowing: organisational systems and responses
7. Support for whistleblowing among managers: exploring job satisfaction and awareness of obligations
Introduction
Research focus and method
Managers, job satisfaction and support for whistleblowing
Does job satisfaction relate to whistleblowing support?
Comparing support for whistleblowing across levels of job satisfaction for managers and non-managers
Predictors of support for whistleblowing
Managers, job satisfaction and knowledge of whistleblowing procedures
Predictors of knowledge of whistleblowing reporting procedures
Managers and knowledge of whistleblowing legislation
Discussion and conclusions
8. Investigations: improving practice and building capacity
Introduction
Who conducts investigations?
Internal investigators
External investigators
Training and qualifications of investigators
Comparing investigation practices across agencies
Discussion and conclusions
9. Internal witness support: the unmet challenge
Introduction
Internal witness support programs
Agency procedures and systems
Scale and uptake of internal witness support programs
Sources and methods of internal witness support
Who does provide support?
Who do case-handlers and managers see as providing support?
What are the strategies for support?
Reprisals, risk assessment and responses
Reprisal risk assessment
Responses to reprisals
Discussion and conclusions
10. Evaluating agency responses: the comprehensiveness and impact of whistleblowing procedures
Introduction
Awareness of, and confidence in, legislation
Awareness of legislation
Confidence in legislation
Comprehensiveness of policies and procedures
Impact and effectiveness of procedures
Awareness of, and confidence in, procedures
Impact and effectiveness
Evaluating specific areas of the procedures
Discussion and conclusions
11. Best-practice whistleblowing legislation for the public sector: the key principles
Introduction
Organisational systems for encouraging and managing whistleblowing
Comprehensive definitions and application
Minimum standards for agency obligations and procedures
Central clearing house, monitoring and oversight role
Realistic compensation mechanisms
Recognising public whistleblowing
The case for reform
The nature of reform
Best-practice legislation: the key principles
Overview
Principles
Discussion and conclusions
12. Project findings: an agenda for action
A new picture of whistleblowing
Lessons and challenges
Case-handlers and integrity managers
Chief executives and senior management
Lessons for government
Key findings: an agenda for action
1. More comprehensive agency systems for recording and tracking employee reports of wrongdoing
2. Agency procedures for assessing and monitoring the risk of reprisals (or other conflict) for those who report
3. Clearer and better advice for employees on the range of avenues available for reporting wrongdoing
4. Basic training for public sector managers in how to recognise and respond to possible public interest disclosures
5. A program of training for internal investigators in basic techniques, with special attention to issues of internal witness management
6. Adoption and expansion of structured support programs for employees who report wrongdoing
7. Improved mechanisms for monitoring the welfare of employees who report wrongdoing, from the point of first report
8. More detailed and flexible agency procedures for the investigation and remediation of reprisals and breaches of duty of care
9. A dedicated oversight agency or unit for the coordination of responses to employee-reported wrongdoing
10. Legislative action to provide more effective organisational systems and realistic compensation mechanisms and to recognise public whistleblowing
Future research
Select bibliography
Appendix A. Research questions
Appendix B. Wrongdoing categories and types
Employee survey, internal witness survey and case-handler and manager surveys
Agency survey categories and examples
a. Misconduct for material gain
b. Conflict of interest
c. Improper/unprofessional behaviour
d. Defective administration
e. Waste or mismanagement of resources
f. Perverting justice or accountability
g. Poor personnel practices
Appendix C. A new framework for internal witness management systems
The dimensions of an internal witness management system