The United Nations Convention against Corruption Resource Guide on Good Practices in the Protection of Reporting Persons UNITED NATIONS OFFICE ON DRUGS AND CRIME Vienna The United Nations Convention against Corruption Resource Guide on Good Practices in the Protection of Reporting Persons UNITED NATIONS New York, 2015 © United Nations, August 2015. All rights reserved, worldwide. The designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries. This publication has not been formally edited. Publishing production: English, Publishing and Library Section, United Nations Offce at Vienna. Preface Corruption is a crime with far-reaching consequences, and yet most incidents of corrup- tion go unreported and undetected. A primary reason for people’s reluctance to report is the impression that authorities will not take their report seriously and that nothing will be done. Other reasons for this reluctance include the lack of awareness of available reporting mechanisms and the fear of retaliation. As multiple surveys suggest that less than 10 per cent of corruption incidents are reported,* States parties are urgently required to address those obstacles, to strengthen the effective response to reports of corruption and to protect those persons who come forward. The United Nations Convention against Corruption contains relevant provisions laying the groundwork for such initiatives, which are set out and explained in detail throughout this Guide. The Guide explains why encouraging and protecting those persons who report informa- tion about alleged cases of corrupt conduct are a key element in tackling corruption. It is intended to serve as a resource for States parties in implementing their obligations under the Convention in relation to assisting and protecting persons, whether members of the public or “whistleblowers”—typically understood to be persons working within an organization (public or private) or industry where wrongdoing is occurring. Taking a robust approach to this issue as a matter of law, policy and to protect the public interest will help States, authorities and organizations in all sectors detect and prosecute wrong- doers and, importantly, help prevent corruption from taking root in the frst place. The objectives of this Guide are to help States parties and other national actors identify what legal and institutional reforms may be needed to meet international requirements; to identify the resources and support available for this task; and to highlight those matters that will need to be continuously reviewed in light of new challenges that may arise. National examples of law and practice used throughout the Guide are intended to help States parties and others to recognize distinctive features of their own legislative and institutional frameworks on which the protection of reporting persons can be built, as well as those elements that may work against it. As the protection of reporting persons is a rapidly evolving feld, this Guide also directs readers to a number of resources that can serve as ongoing sources of information and updates. * See, for instance, UNODC research on bribery in the Western Balkans. Available from http://www.unodc.org/unodc/ en/data-and-analysis/statistics/corruption.html iii Acknowledgements This Resource Guide is a product of the Corruption and Economic Crime Branch of the United Nations Offce on Drugs and Crime (UNODC), developed in line with the Thematic Programme entitled Action against Corruption, Economic Fraud and Identity - related Crimes (2012-2015). UNODC wishes to thank its consultant, Anna Myers, for her substantive contribution to the drafting of this Resource Guide. UNODC also acknowledges with profound gratitude those who have contributed their expertise and experience at various stages of the development of this Resource Guide and the experts who participated in the international Expert Group Meeting, held in Vienna from 22 to 23 May 2014: Julio Bacioterracino, OECD, France; Christian Bauer, Europol, The Netherlands; Izani Bin Wan Ishak, Malaysian Anti-Corruption Commission, Malaysia; Jovana Blagotic, OECD, France; Professor A. J. Brown, Griffths University, Australia; Han Chee Rull, Malaysian Anti-Corruption Commission, Malaysia; Franz Chevarria Montesinos, Whistleblower Specialist, United States; Tom Devine, Government Accountability Project, United States; J. K. Devitt, Transparency International, Ireland; Paul Farley, City of London Police, United Kingdom; Alexandra Habershon, World Bank, United States; Cathy James, Public Concern at Work, United Kingdom; Wolfgang Job, Ministry of the Interior, Austria; Karen Kramer, UNODC, Vienna; Hendrik Mauyoma, Ministry of Justice, Namibia; Sean McKessy, Securities and Exchange Commission, United States; Sechang Oh, Anti-Corruption and Civil Rights Commission, Republic of Korea; Fernandon Ortega Cadillo, Department for the Prevention of Corruption, Peru; Guido Strack, Whistleblower-Netzwerk, Germany; Slagana Taseva, Transparency Inter- national, Macedonia; Alison Tilley, ODAC, South Africa; Mark Worth, Blueprint for Speech, Germany; Dr. Free Zenda, Ministry of Justice, Namibia; Wan Zulkifi Mohamed, Malaysian Anti-Corruption Commission, Malaysia. UNODC also wishes to acknowledge the contributions of the following UNODC staff members who were responsible for the development of the Resource Guide, Constanze von Söhnen and Shannon Bullock, and of those who provided their expertise and comments, Candice Welsch and Constantine Palikarski. UNODC wishes to express its gratitude to the Government of Australia for its generosity in providing funding for the development of this Resource Guide. v Contents Preface iii Acknowledgements v Introduction 1 A Lessons learned from research on reporting 3 B Framework of the United Nations Convention against Corruption 5 C Definitions and application of this Guide 8 D Results from the Implementation Review Mechanism 10 I National assessment 11 A The importance of informed decision-making 12 B Stakeholder consultations 12 C Key examination areas 15 II Facilitating reports and protecting reporting persons 21 A Reportable wrongdoing: range and scope of information 22 B Reporting channels 29 C Protections against unjustified treatment 45 D Other measures to facilitate reporting 65 E The handling of reports and cooperation 68 F Provision of help and advice 75 III Implementation 77 A Training and specialization 77 B Promotion and awareness 78 C Cross-border cooperation 79 D Monitoring and evaluation 80 IV Conclusion and overview of key learning points 85 Resources 89 Annex International standards 95 vii