Whistleblower protection

Whistleblower protection at the EBRD

The EBRD recognises whistleblowing as one important way to ensure good governance. The EBRD operates a working environment that supports and ultimately protects employees who, in good faith, report instances of suspected misconduct. The EBRD has a viable whistleblowing protection mechanism that is designed to balance the interests of the Bank and the subject of the complaint of misconduct, without jeopardising the protection owed to those employees who ‘blow the whistle’.

• It is the duty of EBRD staff members to report instances of suspected misconduct to the Chief Compliance Officer (CCO).
• It is the EBRD’s duty to protect from reprisal action staff members who, in good faith, comply with their duty to report their suspicions of misconduct.

Who is a whistleblower?

A whistleblower is any employee who, in good faith, promptly reports instances of suspected misconduct to the CCO.

What kind of misconduct should be reported?

Misconduct is defined as an “intentional or negligent failure” by an employee to observe the rules of conduct or standards of behaviour prescribed by the EBRD. This is a deliberately broad definition that covers a wide range of potentially incriminating information.

How is a whistleblower protected?

An employee who complies in good faith with his duty to report suspected misconduct and who discloses information to the CCO will be protected by the EBRD from “pressure, retaliation or reprisal” in connection with his co-operation. Protection extends throughout the disciplinary and appeal process, including guarding the reputation of the whistleblower.

What if a Whistleblower suffers reprisals?

The CCO will investigate any complaints by whistleblowers that they have been retaliated against for disclosing information or for engaging in the appeals process. If the complaint is established, the Vice President Human Resources & Administration (VPHRA) can impose disciplinary sanctions against the retaliating employee, which could include termination of appointment. A whistleblower who is the subject of retaliatory action could also seek redress under the Grievance and Appeal Procedures, which could include a compensatory award.

Can whistleblowers remain anonymous?

The EBRD is obliged to protect the identity of a whistleblower and as far as possible maintain his or her anonymity. The preservation of a whistleblower's anonymity is an investigative priority. But the Bank’s whistleblower protection mechanism must also safeguard the human and due process rights of the subject of the whistleblower’s complaint. In certain circumstances, a guarantee of anonymity may not be provided -- for example where anonymity would jeopardise the success of any investigation and, more significantly, where it might impede the subject employee’s ability to properly answer the allegations raised against him or her.

What if an employee reports groundless cases of misconduct?

An employee who acts maliciously, by disclosing information to the CCO that he knows or reasonably believes to be false, is not a whistleblower and will not be protected under the whistleblowing mechanism.

Can a whistleblower report to external authorities?

An employee who unilaterally discloses allegations of misconduct to authorities outside of the EBRD will not be protected by the EBRD’s whistleblower protection mechanism. There are several reasons for this, including the fact that the staff of the EBRD are employees of an international organisation, which in order to maintain its essential independence has been accorded by treaty certain privileges and immunities that prevents the institution from being held hostage to the laws of any one member state.

What is the EBRD’s whistleblowing protection mechanism?

The EBRD’s whistleblowing protection mechanism is part of the EBRD’s disciplinary system. There are three possible steps:

• The Chief Compliance Officer conducts a preliminary assessment of any reported allegation of suspected misconduct to determine if the allegation warrants further investigation. If so, there will be a fact finding inquiry. The CCO then recommends to the Vice President, Human Resources/Administration whether or not there should be a formal accusation of misconduct raised against the subject of the allegation.
• If the Vice President adopts the CCO’s recommendation and decides to raise a formal accusation of misconduct, the VP must then determine the culpability of the employee. The VP will in effect try the accusation or, alternatively, appoint a committee to do so. The due process rights of the accused employee are recognised and protected. If the employee is found to have committed an act of misconduct, the VP will impose a disciplinary penalty that could range from a written censure to the termination of the employee’s contract.
• An employee may appeal against such decision to impose a disciplinary sanction to the Administrative Tribunal under the Appeals Procedures, without first going through the normal administrative channels, mediation or an Administrative Review as provided for under the Grievance Procedures.

The protection of whistleblowers is linked to the overall protection and accountability of the organisation. A viable, published and well understood whistleblowing protection mechanism is designed to encourage employees to disclose information that may not otherwise be discovered. This serves to combat the disruptive effects that misconduct inevitably has on the structure and coherence of the organisation.

The EBRD’s whistleblowing protection mechanism will be adapted over time in order to ensure that it continues to meet the needs of all concerned parties.