Whistleblowing and Retaliation

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Employee Helplines: Safety Valve or False Security? (why many don't work and what to do about it)(2009) resource Events Member contribution

Join Donna Boehme, Principal, Compliance Strategists LLC (and former Group Compliance and Ethics Officer of BP plc), for a frank, interactive discussion on the confidential employee helpline.

Organization: 
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29 CFR Part 1980 - Procedures for the Handling of Discrimination Complaints under Section 806 of the Corporate and Criminal Fraud Accountability Act of 2002 resource National Regulations Member contributionOCEG Reviewed
Federal regulations as posted at the U.S. Government Printing Office.Purpose and Scope:
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ACFE's 2010 Report to the Nations on Occupational Fraud and Abuse resource Research / Studies OCEG Reviewed

Introduction: "The ACFE's 2010 Report to the Nations on Occupational Fraud and Abuse is based on data compiled from a study of 1,843 cases of occupational fraud that occurred worldwide between January 2008 and December 2009. All information was provided by the Certified Fraud Examiners (CFEs) who investigated those cases.

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Anonymous Submission of Suspected Wrongdoing (Whistleblowers) resource Member contributionOCEG Reviewed
Assessing the effectiveness of the use of the hotline as set out by Sarbanes Oxley. Prepared by the American Institute of Certified Public Accountants. (AICPA) Antifraud Programs and Controls Task Force.
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Best Practices in Ethics Hotlines (EthicsLine, Updated for 2006) resource White Papers Member contributionOCEG Reviewed
Abstract: A framework for creating an effective anonymous reporting program. The Sarbanes-Oxley Act of 2002 (SOX) was passed in response to publicly traded companies issuing misleading financial statements at the direction of senior executives and sometimes with the assistance of outside auditors. The Act attacks the problem on many fronts, including new standards for a board of directors’ audit committee.
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BoardroomDirect -- Alert: SEC issues final whistleblower rules (PwC, 2011) resource Books / Publications OCEG Reviewed

This special edition of PwC's BoardroomDirect notifies corporate directors and management that the SEC issued its final rules for the whistleblower provisions contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act. The final rules were approved by the SEC at its meeting on May 25, 2011.

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Complaint Form (OSC-11, Complaint of Possible Prohibited Personnel Practice or Other Prohibited Activity, revised 2-05) resource Forms Member contributionOCEG Reviewed
Complaints alleging a prohibited personnel practice, or a prohibited activity other than a Hatch Act violation, must be submitted on this form. OSC will not process complaints (except a complaint alleging only a Hatch Act violation) that are not submitted on this form.
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Compliance Programs, Codes of Conduct, Whistleblowers and Hotlines (2004) resource Articles Member contributionOCEG Reviewed
This article seeks to clarify the roles, purposes and functions of integrated compliance programs, including a focus on reporting mechanisms and the implementation of hotlines. Posted by O’Melveny & Myers LLP.
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Corporate and Criminal Fraud Accountability Act of 2002 (CCFA) (Title VII, SOX) resource National Laws Member contributionOCEG Reviewed
Public Law 107–204, § 806(a), July 30, 2002, Title VIII of the Sarbanes-Oxley Act of 2002, as codified. Civil action to protect against retaliation in fraud cases.
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Creating a Non-Retaliatory Workplace Survey Results (2005) resource Research / Studies Member contributionOCEG Reviewed
The International Business Ethics Institute (IBEI), conducted research aimed at analyzing how companies can foster open environments where employees are comfortable coming forward to report misconduct. This research also sought to address retaliation against individuals that identify wrongdoing.
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