Documente Academic
Documente Profesional
Documente Cultură
Ruggero Scaturro
Research Fellow
IACA
IACA
RESEARCH PAPER SERIES NO. 05
May 2018
IACAR E S E AR CH
& S C IE N CE
INTERNATIONAL ANTI -CORRUPTION ACADEMY
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PUBLISHER
Laxenburg 2018
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tend to avoid internal reporting channels and scandals involving fraud, bribery, abuse of
might look for external ones. office, and other forms of corruption
identified and exposed by whistleblowers.
Setting aside the last paragraph which Huge amounts of money involved in these
reviews a specific approach to cases caused the regional and international
whistleblowing, based on the analysis above, anti-corruption communities to include in
it is possible to conclude not only that most their instruments provisions aimed at not
scholars tend to more or less agree with the only preventing the occurrence of such
definition provided by Near and Miceli but corrupt acts but also guaranteeing protection
also that, as usefully summarised by the U4 to the individuals putting themselves at risk
Anti-Corruption Resource Centre (2009), it is by blowing the whistle.
possible to identify the four key
characteristics of whistleblowing among the This section provides an overview of how the
various definitions provided: regional and international anti-corruption
communities have progressively been dealing
- It typically refers to wrongdoings with – and their understanding of –
connected to the workplace. whistleblowing over the last decades.
- It can involve a breach of the law, The focus on anti-corruption instruments
unethical practices, corruption, does not negate the importance and need of
health/safety violations, and in some reporting on environmental, health, and
cases, maladministration. human rights violations. Rather, the
whistleblowing related debate has been – and
- Wrongdoings are usually reported
currently is – quite active in the anti-
internally or externally.
corruption community. This has caused a
- As opposed to personal grievance, number of international organizations to
there is often a public interest include whistleblower protection in a number
dimension. of conventions, recommendations and
guidelines which came into being during the
last 20 years and were meant to assist states
in establishing and implementing
2. International and whistleblower protection mechanisms.
regional efforts After discussing the general principles
enshrined in the international instruments,
The last century has seen a number of the analysis will be structured along the
whistleblowing related scandals in a variety following three questions:
of settings (health, environment, nuclear
- Who is entitled1 to disclose?
weapons, etc.). Some of the high-profile ones
- What kind of information may be
related to corruption. The 1970s “Watergate
disclosed?
scandal” involving the abuse of power by
- What are the rules for disclosure?
members of the Nixon administration, the
systemic corruption in the New York Police The Inter-American Convention against
Department reported by Frank Serpico, and Corruption
the 1988 case of the misuse of pension funds
by the Mirror Group reported by Harry
Templeton are just some of a long list of 1
In other words, who is going to receive protection in
case of disclosure?
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The Organization of American States (OAS) for Further Combating Bribery of Foreign
Inter-American Convention against Public Officials in International Business
Corruption entered into force in 1997 and to Transactions (OECD, 2009), and the
date counts 33 Member States. The earliest Recommendation of the Council for
among the international anti-corruption Development Co-operation Actors on
instruments, the Convention was also the Managing the Risk of Corruption (OECD,
first one to include a provision establishing 2016).
protection for whistleblowers. In Article III.8
“Preventive Measures”, the Convention calls In the first document, Principle 4 regulates –
upon Member States to “create, maintain and in a very embryonic manner - whistleblower
strengthen systems for protecting public protection only in the public sector: “Public
servants and private citizens who, in good servants need to know what their rights and
faith, report acts of corruption, including obligations are in terms of exposing actual or
protection of their identities, in accordance suspected wrongdoing within the public
with their Constitutions and the basic service. These should include clear rules and
principles of their domestic legal systems” procedures for officials to follow, and a
(Inter-American Convention against formal chain of responsibility. Public servants
Corruption, 1996). Regarding those who shall also need to know what protection will be
be granted protection when disclosing available to them in cases of exposing
information (i.e. the subjects of the wrongdoing” (OECD, 1998, Principle 4). In
disclosure), the Convention calls upon recommending States to improve their
Member States to shield “public servants and policies on whistleblower protection, the
private citizens” from retaliatory practices. In OECD puts the provision in the rights-
this sense, Article III.8 of the Convention obligations framework: “… Public servants
presents a wide-ranging definition of the need to know what their rights and
term “whistleblower” because it entitles not obligations are”. This means that the OCED
only public servants but also private citizens, understands whistleblowing not only as the
who believe to be in possession of relevant exercise of the public servants’ right to
information, to report and receive protection. freedom of expression, but also as a
The principle is very clear in affirming that procedure which requires the actors involved
the persons entitled to report would be to respect certain procedural rules.
protected only in case of good faith reports
Principle 4 does not provide for a detailed
on acts of corruption.
description of wrongdoings. As a
The Organisation for Economic Co- consequence, this might put States in the
operation and Development position to either extensively or restrictively
interpret the scope of the recommendation.
During the last twenty years, the In this sense, the spectrum of interpretations
Organisation for Economic Co-operation and would range from only the issues related to
Development (OECD) has been studying the ethical conduct in the public service to all
practices and developing guidelines on those misconducts falling outside the
whistleblower protection which resulted in category of corruption in the public sector.
four documents: the Recommendation on
Improving Ethical Conduct in the Public No specific mentioning of good faith in
Service (OECD, 1998), the Recommendation reporting is made in Principle 4. However, in
of the Council on Public Integrity (OECD, January 2017, the OECD Council adopted the
2017), the Recommendation of the Council Recommendation of the Council on Public
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term “whistleblower” tends to resemble the within the Recommendation CM/Rec (2014)7
OECD’s one. That is, perhaps, because in this “Protection of Whistleblowers”. In the
provision, the CoE refers both to the appendix to CM/Rec (2014)7 under point II.4,
existence of a work-based relationship it is recommended that “the national
between the “reporter” and the “reported”, framework should also include individuals
and the need to report in good faith. whose work-based relationship has ended
and, possibly, where it is yet to begin in
Before analysing the second document, we cases where information concerning a threat
need to mention that during the last two- or harm to the public interest has been
three decades, the CoE’s perspective on a acquired during the recruitment process or
broad variety of issues – including corruption other pre-contractual negotiation stage” (CoE,
- has been significantly influenced by human 2014, p. 7).
rights principles, especially by the work done
within the 1950/53 European Convention for As we see, from the Civil Law Convention on
the Protection of Human Rights and Corruption to the abovementioned
Fundamental Freedoms (ECHR). Recommendation, the CoE’s view on
whistleblowing is evolving through the
The matter of whistleblower protection is broadening of the categories of individuals
broadly reflected in Article 10 of the ECHR, entitled to report. At the same time, the 2014
“Freedom of expression.” The article states Recommendation is yet to be implemented by
that “everyone has the right to freedom of CoE Member States.
expression” and that “this right shall include
freedom to hold opinions and to receive and The United Nations Convention against
impart information and ideas without Corruption
interference” (ECHR, 1950). By relying on
Article 10, the European Court of Human The United Nations Convention against
Rights (ECtHR), in Guja v. Moldova, one of the Corruption (UNCAC) entered into force in
most significant whistleblower protection 2005 and to date counts 181 Parties
cases, decided that “severely sanctioning a (UNODC, 2017). Having been ratified by the
civil servant for his public disclosure to the majority of countries around the world, the
press of internal documents revealing UNCAC represents what U4 has described as
possible governmental corruption constitutes “a global response to a global problem” (U4
a violation of freedom of expression under Anti-Corruption Resource Centre, 2013). The
Article 10 of the European Convention of UNCAC is the outcome of a process in which
Human Rights” (Right2info, 2017). the international community, by
acknowledging the need to take a firm
While, on the one hand, the ECtHR has shown position against corruption at the global
due interest in protecting whistleblowers by level, created a unique treaty not only due to
upholding every person’s right to freedom of its geographical coverage, but also because
expression, on the other hand, there is no of the extent of its provisions. The
specific reference – neither in the ECHR nor in comprehensive nature of the UNCAC is
the Court decisions – to extending the reflected throughout its text, including the
coverage of the term “whistleblower” to provision dedicated to whistleblower
individuals outside the sphere of work-based protection systems. To the latter, the UNCAC
relationships. Perhaps for this reason, in dedicates Article 33 “Protection of reporting
2014, the CoE provided a more persons.” The article provides that “each State
comprehensive definition of whistleblower Party shall consider incorporating into its
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Concerning whistleblowing, rather than which range from bribery of foreign public
referring to “reporting persons”, the officials to various other acts of corruption
Convention regulates the protection of listed in the conventions. The requirement of
several categories of individuals without reporting in good faith has been introduced
differentiating them. Informers, witnesses, in some of these international instruments,
experts, and victims as well as their relatives and “on reasonable grounds” appears to be a
and those “closely connected to them” are the requirement only in the OECD documents and
categories of individuals who – under Article the UNCAC.
14 – shall be granted protection when giving
evidence relating to the acts criminalized by
the Convention. It is interesting to note,
however, that Article 14 regulates the matter 3. Alternative approaches to
without distinguishing among these
categories, for example, between informers
understanding
and victims. As mentioned before, the aim of whistleblowing
the Convention was to further strengthen
previous anti-corruption commitments of the
Despite the existence of different
States Parties. It may be the case that those
understandings of whistleblowing, one could
countries in need of technical assistance
argue that the public interest nature of
might require more detailed guidelines at the
whistleblowing should always override
regional level. These would help define the
employees’ sense of loyalty to a given
differences between the categories of
organization. Rather than an absolute axiom,
individuals willing to report acts of
such a conviction originates from two main
corruption, their relation to the “reported”
assumptions on whistleblowing. The first one
subjects, and the rules for disclosure.
is that whistleblowing can (and does)
The nature of understanding of constitute an effective means to detect,
whistleblowing changes in response to the investigate and eventually punish corrupt
nature of the document under analysis. It is practices. The second one is that punitive
predictable that organizations such as the measures taken against whistleblowing
OECD and the United Nations deal with individuals, such as harassment, dismissal,
whistleblowing in a different manner because persecution, or even imprisonment, must be
different are their mandates, their prevented by implementing efficient
geographical coverage, and their historical mechanisms of protection.
backgrounds. However, despite the evident
As briefly mentioned in the introductory part,
differences, the legal instruments discussed
the whistleblowing related debate is being
above present the lowest common
increasingly characterized by the inclusion of
denominator, i.e., that whistleblowing is
actors typically not dealing with corruption.
understood as a means, a tool which
The following section will illustrate how three
governments are encouraged to employ and
different actors understand whistleblowing:
further foster for not only detecting, but also
the UN Special Rapporteur on the promotion
preventing the occurrence of acts of
and protection of the right to freedom of
corruption. As a minimum, the persons
opinion and expression, the OAS Special
entitled to report include “employees”. As a
Rapporteur on freedom of expression, and
maximum, they may include “all persons.”
the international NGO Whistleblowing
Depending on the nature of the document,
International Network (WIN).
the subjects are entitled to report cases
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The Special Rapporteur on the promotion and and democratic governance,” it is necessary
protection of the right to freedom of opinion to look at a whistleblower as
and expression’s mandate is defined by the
Human Rights Council (HRC) resolution 7/36 a person who exposes information that
of March 2008. The resolution states, in he or she reasonably believes, at the time
point 3.c, that the UNSR should “make of disclosure, to be true and to constitute
recommendations and provide suggestions a threat or harm to a specified public
on ways and means to better promote and interest, such as a violation of national or
protect the right to freedom of opinion and international law, abuse of authority,
expression in all its manifestations” (HRC, waste, fraud, or harm to the environment,
2008). public health or public safety.”
The 2015 UNSR Report (adopted by the UNGA Work-based relationship requirement is
Resolution A/70/361) touches upon such viewed as a limitation (para. 29)
topics as access to information, public
“Protection laws often limit whistle-blowers to
participation in political affairs, democratic
those who blow the whistle ‘in the context of
governance, and public accountability (UNGA,
their work-based relationship’”. That is
2015). Further, it dedicates its entire Chapter
presumably because employees, as insiders,
IV to the protection of whistleblowers. That
are by their very nature the ones most
is, perhaps, because whistleblowing is
informed and best positioned to identify and
understood by the UNSR as one of the
report on misconduct. However, “because of
manifestations mentioned in Resolution
the range of others who may report
7/36. Although the section addresses
wrongdoing allegations, such as consultants,
whistleblower protection in a variety of
interns, job applicants, students, patients,
settings, including in international
and others who do not enjoy a legally
organizations and in relation to national
protected relationship with an organization”,
security, this paper will focus only on the first
the Special Rapporteur affirms that “such a
part of Chapter IV, “Legal protection of
limitation is not recommended”.
whistle-blowers”.
Protection as an incentive to disclose
Entitled “The term ’whistle-blower’ should be
(para. 30)
broadly defined and focus attention on
alleged wrongdoing,” the subchapter in In paragraph 30, the Special Rapporteur
question consists of four paragraphs. In each focuses attention on the relevance of
paragraph, the Special Rapporteur outlines a encouraging disclosure irrespective of the
key principle which, in his opinion, should be nature of the wrongdoing. In other words,
taken into account when regulating regulations should “not require potential
whistleblower protection. The four principles, whistle-blowers to undertake precise analyses
to which paragraphs 28 - 31 are dedicated, of whether perceived wrongdoing merits
can be summarised as follows: penalty under existing law or policy”.
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The OAS Special Rapporteur for Freedom Under the motto “Protecting those who act to
of Expression protect us”, the Whistleblowing International
Network (WIN) is an international platform at
While Article III.8 of the Inter-American the disposal of NGOs and civil society
Convention against Corruption represents organizations dealing with whistleblower
what OAS Members have agreed upon, seven protection to which it offers counsel, tools
years later, a representative of the and expertise. WIN understands
Organization, namely the OAS Special whistleblowing as an act of “public interest”
Rapporteur for Freedom of Expression, which might be threatened in various
expressed his opinion on whistleblowing. In circumstances, such as corruption, waste,
2004, he stated that “whistleblowers fraud, abuse, and human rights violations.
releasing information on violations of the The NGO advocates for understanding
law, on wrongdoing by public bodies, on a whistleblowing as the right to communicate
serious threat to health, safety or the information about risk or wrongdoing of any
environment, or on a breach of human rights kind as a part of the freedom of speech
or humanitarian law should be protected which ensures that citizens are able to freely
against legal, administrative or employment- express their ideas, opinions and views (WIN,
related sanctions if they act in good faith 2018). Consequently, according to WIN, the
(OAS Special Rapporteur, 2004). Evidently, relevance of the information should always
the OAS Special Rapporteur looks at prevail over the category of individuals
whistleblowing as an act not strictly related willing to report (employees, officials,
to corruption. It rather consists of a citizens, etc.). Such a perspective challenges
deliberate exercise of everyone’s right to the need for the existence of one of the most
freedom of expression and “reporting” on common requirements for disclosure,
unlawful conduct. particularly contained in anti-corruption
instruments: good faith. In other words,
When comparing the two understandings of according to WIN, the attention of
whistleblowing, it is necessary to be aware investigators and the public at large should
not only of the nature of the two documents be focused on the potential that the
under analysis, but also the periods in which information shared by a whistleblower has
they were developed. While the Convention and not on his/her credibility. Not taking into
constitutes the outcome of a negotiation account good faith, in WIN’s opinion, would
process between states, the Special help solving the dilemmas of investigating
Rapporteur works independently, and his/her and intervening in cases raised by such
mandate requires him/her to deal with a subjects as prisoners, prostitutes, mentally-
given issue merely from a “freedom of challenged individuals, and so on.
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Table 1
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From an analytical perspective, when a topic Professor Michael Johnston, one of the
attracts the attention of organizations with pioneers in the anti-corruption field, has
different backgrounds and mandates, such recently stated that “the anti-corruption
as, for example, the OECD and the UNSR, it is community is in danger of becoming an echo
also interesting to see not only the different chamber with too much consensus and not
understandings, but also the goals and the enough debate” (Johnston, 2017). That might
ways such organizations advocate for the be true not only in general terms but also
implementation of their recommendations. At with regards to a variety of specific topics
the legislative level, advocating for the such as the nexus between corruption and
adoption of new or changes to the existing human rights or, pertinently to the scope of
regional or international agreements is an this paper, the understanding of
arduous task. At the same time, within the whistleblowing. This paper attempted to
last two decades, the organizations analysed provide an overview of different
in this paper have been producing new understandings on the matter. Intentionally,
guidelines and new recommendations aimed no preference for a particular definition of
at refining their views towards whistleblowing whistleblowing has been indicated. That is
which, although non-binding, help national because the purpose of this paper was not to
governments in implementing cutting-edge seek a common definition and consensus
regulations. among the actors. Rather, it aimed at
illustrating how, alongside anti-corruption
instruments, an increasing number of actors
Conclusion is dealing with whistleblowing from
unconventional approaches as well as
highlighting the issue for further studies.
This paper has attempted to illustrate the
variety of existing understandings of the
term “whistleblowing”. In academic literature,
the debate seemed to be quite active,
especially in the 1970s and 1980s, and
whistleblowing was approached from many
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Joint Declaration by the UN Special Good Law & Practice, 2018. Guja v. Moldova.
Rapporteur on Freedom of Opinion and (online) Available at:
Expression, the OSCE Representative on http://www.right2info.org/cases/r2i-guja-v.-
Freedom of the Media and the OAS Special moldova (Accessed 11 November 2017).
Rapporteur on Freedom of Expression, 6
International Anti-Corruption Academy
December 2004.
(IACA), 2017. Time for Fresh Thinking on
OECD Recommendation of the Council on Anti-Corruption. (online) Available at:
Improving Ethical Conduct in the Public https://www.iaca.int/958-time-for-fresh-
Service Including Principles for Managing thinking-on-anti-corruption.html (Accessed
Ethics in the Public Service, 23 April 1998. 10 December 2017).
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