Speak Up Procedures - Institute of Business Ethics

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SPEAK UP PROCEDURES Appendix 2 Example of a call procedure Below is a sample script of a call procedure when handling reports of alleged wrongdoing. It outlines the process which a Speak Up line operator can follow to ensure that an employee’s concern is logged and registered fully and that the caller is put at ease. This procedure can also be adapted for calls for advice only. Handling reports of alleged wrongdoing Greet [Good morning/afternoon, ‘Speak Up Line’, give name. Ask how you can help] If necessary, put the caller at ease and assure them that the helpline can be used • to get advice about the Code and the behaviours it requires, or • to register concerns about an actual or potential breach of the code of ethics • to register a conflict of interest and it can also be used by • managers seeking advice about handling ethics issues • staff who are uneasy about raising an issue with their manager • suppliers, business customers or joint venture partners who wish to raise ethics issues. Do you wish to report an actual or potential breach of the code of ethics or seek advice? If the caller wishes to seek advice, direct them to [HR or similar department, or follow adapted script]. If the caller wishes to report an alleged wrong doing: I will ask you a number of questions that are intended to help me to handle your call and, if appropriate, to arrange for your concerns to be investigated by a specialist. Your call is [not recorded/is recorded] but I will ask you a number of questions and complete a confidential form. This is intended to capture as much information as possible to enable me to make a judgement about what best to do about the points you make to me. The form will be kept confidential. Whilst you don’t need proof of what you tell me, you must have good reason for calling me and I will ask you about that later. What you tell me must not be malicious or made for your personal gain. 1. Are you willing to give me your name? Your name will be kept on the form but will be held in a separate, secure, hand-written record, cross referenced to your case number which I will give you later. 34
SPEAK UP PROCEDURES APPENDIX 2 If yes: record it. If no or uncertain- It would be helpful to me in investigating the facts to have your name. If you give me your name but ask me to keep it confidential I will do so unless (in exceptional circumstances) required in law, in the course of a criminal investigation by the Police, or in serving a substantial public interest requirement. It would be helpful to share your name if I appoint a specialist to carry out the fact finding. He or she will protect your identity from any third party. We will not reveal your identity to any person who might be involved in your reported concern. You will be protected from reprisal from having reported your concern – exacting reprisal is unlawful and a disciplinary matter. However, you have a right to remain anonymous if you wish. We will give advice or investigate your case even if you wish to stay anonymous, but it could make investigating the case difficult, particularly if we need to ask you further questions or if you want to know the outcome of any investigations, or if sought, we cannot mitigate any actual, pending or potential penalties because of any personal involvement, if we do not have your identity 2. Are you a permanent employee of [ ] or are you a temporary worker, contractor, former employee, supplier, business customer. 3. (If an employee or temporary worker) Please give me the name of your business unit and section office and work location. If only gives location, Executive Director you work for [Business Area] If not an employee or temporary worker – please expand on your relationship with [ ] and confirm whether you are calling on behalf of another organisation (such as a newspaper, a Trade Union, the Police, private investigator agency, private company or a public body) 4. In your own words what would you like to tell me about? [Listen carefully and try to disentangle verifiable fact from opinion, explore why caller thinks in way he/she does and what grounds for believing he/she has for suspicion] Read back to the caller using your notes to verify you have understood their concern: • What is the issue? – repeat back your understanding and check it with caller • Who is involved and how and why? – check your understanding with caller • Where is this happening? – is it widespread, or just at your location? Is it happening at another location? 35
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Speak Up Procedures - Institute of Business Ethics

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