Improvement of Whistleblower Protection Systems and Awareness (SK0137)

What is the public problem that the commitment will address? Act no. 54/2019 Coll. on the Protection of Whistleblowers of Anti-Social Activity and Amendments to Certain Acts (hereinafter referred to as "Act No. 54/2019 Coll. on the Protection of Whistleblowers of Anti-Social Activity") sets measures to protect whistleblowers, motivates employees to report antisocial activity that they have learned about with his work and thereby helps to uncover anti-social activities and waste of public resources. It also establishes an institution - the Whistleblower Protection Office, which ensures the protection of employees who are subject to retaliatory measures by the employer for reporting unfair practices in the workplace. The Government of the Slovak Republic was building upon the Program Statement of the Government for the years 2018 to 2020, in which it set itself the task of "strengthening the role of the state and protecting the public interest" and fighting corruption. The law was also approved in connection with the implementation of measures from the Action plan to strengthen the rule of law in the Slovak Republic. Absence of internal systems for reporting anti-social activity Despite the fact that the legislation that obliges employers to set up processes for receiving and checking reports of anti-social activity was adopted seven years ago, in practice there are still organizations/institutions/companies that do not have them in place. Within the state administration, this mainly concerns subordinate organizations of central state administration bodies. A formalistic approach to the obligations arising from Act no. 54/2019 Coll. on the protection of whistleblowers of anti-social activity The central state administration bodies sooner or later formally fulfilled their duty and established mechanisms for receiving and verifying whistleblower reports. However, it turns out that they are not really used in practice. Ministries do not register any or only a minimal number of submitted whistleblower reports. At the same time, it is unlikely, even on the basis of several cases reported in the media, that they would avoid corruption. Rather, it indicates non-functionality and distrust of employees in the existing systems. Low awareness of the possibility of protection for whistleblowers of antisocial activity. It is also likely that employees do not know about the possibility of internal reporting of anti-social activity or about the protection of whistleblowers. This is also shown by data from a survey by the Focus agency conducted for the Office for the Protection of Whistleblowers in January 2022 on a sample of 1,017 respondents: 79.5% of people do not know that there is or think that there is no state institution that protects whistleblowers who report corruption and fraud.

What is the commitment? The aim of the commitment is to map the implementation of Act No. 54/2019 Coll. on the protection of whistleblowers of anti-social activity in practice, and at the same time, in cooperation with civil society, to contribute to better and more effective protection of whistleblowers. Additional objectives: a) Increasing the awareness of public authorities about the obligations of employers arising from Act no. 54/2019 Coll. on the protection of whistleblowers of anti-social activity. b) Raising the awareness of public authorities about the protection of whistleblowers of anti-social activity. Content of the commitment: a) Questionnaire survey: how central state administration bodies implemented obligations from Act no. 54/2019 Coll. on the protection of whistleblowers of anti-social activity. b) Manual for central state administration bodies on how to effectively set up an internal system for reporting anti-social activity. c) Training of employees of central state administration bodies on anti-social activity reporting systems and whistleblower protection. For the successful fulfillment of the commitment, cooperation between state authorities and responsible persons is required to carry out the annual regular sharing of information on the number and subject of whistleblower reports received, the number and subject of verified whistleblower reports, and the result of investigation / verification, as well as the active participation of designated responsible persons in educational activities organized by the Office for the Protection of Whistleblowers.

How will the commitment contribute to solving the public problem? Implementation of the commitment takes place in four stages: Phase I: Mapping the environment The activity examines whether and how central state administration bodies have set up internal systems for checking whistleblower reports and the identification of deficiencies in the established internal systems for whistleblower reports. The questionnaire report for 2022 is available at: https://bit.ly/3KBcGbR Phase II: Creation of the manual The central authorities of the state administration were informed about the need to develop or improve the internal system for reporting anti-social activity. They have at their disposal a model manual and methodological guidelines that will help central state administration bodies to effectively set up an internal system for reporting anti-social activity. The manual is available at: https://bit.ly/3rk7bXm Phase III: Organization of training The Office for the Protection of Whistleblowers organizes regular trainings for employees of central state administration bodies on the protection of whistleblowers, internal systems for reporting anti-social activity and the competences of the Office for the Protection of Whistleblowers. Phase IV: Exchange of examples from practice The Office for the Protection of Whistleblowers organizes working meetings with responsible persons and anti-corruption coordinators aimed at exchanging examples of the practice of checking reports and protecting whistleblowers and establishing relationships.

Why is this commitment relevant to OGP values? The commitment supports the development of all principles of open governance: The principle of transparency By mapping the environment and subsequently publishing the results, it improves access to information and supports the principle of transparency. The principle of citizen participation and accountability By exchanging practical experience between responsible persons and anticorruption coordinators, it supports partnership, mutual education and the principle of participation: a) The publication of the results of the questionnaire survey and the sample manual motivates self-reflection and better setting of internal systems for checking reports on anti-social activity and protection of whistleblowers, thus supporting the principle of accountability. b) The publication of the results of the questionnaire survey motivates selfreflection and a better setting of internal systems for checking whistleblower reports and protecting whistleblowers, thereby improving the environment for civil society, which can more effectively participate in the control and protection of the public interest.

Additional information Relevance to the strategic and partial objectives of the OGP National Action Plan 2022-2024: 1.1.: Improve access to information about the activities of central state administration bodies and promote transparency. 1.2.: Motivate institutions to reevaluate their own practice and learn through mechanisms supporting accountability to different audiences. 2.1.: Identify examples of Slovak and foreign good practice and ensure their exchange. 3.2.: Raise awareness of the principles of open governance in central state administration bodies. Relevance to programs/projects of the Slovak government and international documents: a) Program statement of the government 2020-2024 b) Act no. 54/2019 Coll. on the protection of whistleblowers of anti-social activity c) National anti-corruption program of the Slovak Republic 2021 d) Recovery and resilience plan e) Action plan to strengthen the rule of law in the Slovak Republic f) UN Sustainable Development Goals (Agenda 2030)

Milestone Activity with a verifiable deliverable Start Date: End Date: For the Whistleblower Protection Office Organize trainings for state administration employees. 1 July 2022 30 June 2024 Organize working meetings with responsible persons and anti-corruption coordinators aimed at mutual exchange of experiences. 1 July 2022 30 June 2024 In cooperation with civil society, monitor the implementation of the manual and methodological guidelines on setting up an internal system for reporting anti-social activity in the environment of central state administration bodies. 1 July 2022 30 June 2024 For ministries and other central state administration bodies with subordinate organizations Provide an annual report to the Office for the Protection of Whistleblowers on the number and subject of whistleblower reports received, the number and subject of verified whistleblower reports and the result of the verification by March 1 for the previous calendar year. 1 July 2022 30 June 2024 Ensure the participation of responsible persons in trainings or work meetings organized by the Office for the Protection of Whistleblowers, if they are to be organized. 1 July 2022 30 June 2024 Conduct annual employee training by a responsible person in the area of reporting antisocial activity. 1 July 2022 30 June 2024

Action Plan Review

Commitment 1. Protection of Whistleblowers

● Verifiable: Yes

● Does it have an open government lens? Yes

● Potential for results: Modest

Improvement of internal systems for reporting antisocial activities and protection of whistleblowers of central state administration bodies

Whistleblower Protection Office (WPO), Transparency International Slovakia

For a complete description of the commitment, see Commitment 1 in the Slovak Republic’s action plan: https://www.opengovpartnership.org/documents/slovak-republic-action-plan-2022-2024/.

Context and objectives:

Commitment 1 was proposed by the WPO, in operation since September 2021. [1] It builds on work undertaken since the first action plan and seeks to improve the internal reporting systems in the central state administration. The WPO’s activities are closely followed by civil society, experts, and media, [2] and the policy of whistleblowers protection is under constant pressure for improvement. [3]

Public perceptions of whistleblowers in the Slovak Republic are slowly improving, and the willingness to report corruption is rising. [4] Employers, including in the public sector, have a legal obligation to establish an internal reporting system for whistleblowers and maintain evidence of received reports. [5] However, there are still institutions and organizations that do not have them in place. When they are in place, the mechanisms for receiving and verifying whistleblower reports are often not sufficiently used. In December 2021, the WPO surveyed central state administration bodies about their internal reporting mechanisms. The survey showed that 87% of institutions have set up an internal whistleblowing system, but many lack internal whistleblowing policies and only 9% have received a whistleblower complaint in the last three years. These results indicate that existing internal reporting systems are mostly a formality. [6]

This commitment seeks to address the status quo by a combination of measures. First, the WPO will conduct and publish the results of the survey on how state institutions implement obligations on the protection of whistleblowers and publish a manual for the public sector on internal reporting systems. [7] The WPO will also adopt two methodological guidelines, on the evidence and registration of the reports and on the investigation of the reports. [8] A second set of measures targets the contact persons within public institutions. The WPO will plan trainings of civil servants responsible to receive whistleblowing reports. One major training for up to 50 participants is scheduled for November 2022, and online training for interested parties from the regions is under consideration. [9] The WPO further envisages regular working meetings with contact persons, where they can share good practices and experience in solving individual cases.

The WPO intends to empower persons responsible for receiving and verifying whistleblower complaints and anti-corruption coordinators (contact persons or responsible persons) through trainings, regular working meetings, and exchange of good practices. The commitment focuses solely on the central administrative bodies, notably the ministries, where most of the whistleblowing reports so far have originated. [10] The WPO will assist public institutions in adopting or updating their internal reporting policies. As such, the commitment is relevant to the OGP values of transparency and public accountability.

Potential for results: Modest

Reliable and well-designed internal reporting systems can become important anti-corruption tools. [11] A previous survey of the polling agency showed that employees prefer internal whistleblowing systems to criminal proceedings when reporting illegal activities. [12] The commitment has potential to change the attitudes toward whistleblowing within central state institutions and support whistleblowers in reporting potential corruption. The activities constitute modest but positive steps toward achieving this goal, including a new survey, a manual, and trainings.

The combination of activities promises good results in strengthening the processing of reports that require whistleblower protection in the public sector. The manual and methodological guidance can lead to the adoption of transparent and effective reporting mechanisms within central state bodies. Together with the training of the civil servants responsible for receiving the reports, that guidance can transform the current static internal reporting systems into a functioning model that inspires trust among potential whistleblowers. The networking element between contact persons was particularly praised by a civil society stakeholder as giving civil servants a platform for support, encouragement, and exchange of good practices. [13]

Strong leadership and clear priorities of the WPO suggest promising results. Two out of four activities (the survey and the manual) were completed before the action plan was adopted. The preparations are under way for the milestone on the trainings, which follows on from these two activities. In addition, the envisaged multiplier trainings can extend the impact to more employees. In the government’s resolution adopting the action plan, contact persons were given responsibility to organize trainings on whistleblower protection for employees at least once a year. [14] The WPO plans to design training materials and presentations to support the contact persons in this responsibility. [15]

Opportunities, challenges, and recommendations during implementation

Collective effort and positive outcomes in revealing corruption (such as establishing liability of wrongdoers, effective protection of whistleblowers) can change attitudes within an institution and enhance trust of potential whistleblowers to report misconduct. Continuous support to contact persons is, therefore, the key to improving whistleblowing systems and to receiving more reports.

Implementation of the commitment depends on the leadership and the budgetary capacity of the WPO to deliver promised activities. Activities delivered so far suggest that the commitment is on track. Moreover, recognition of the role of whistleblowers and of the importance of transparent and effective internal reporting mechanisms by political leadership and senior management of public institutions can send a positive message to employees and help implement the wanted changes. While this commitment targets the persons in contact with potential whistleblowers, real change can occur only when the latter find confidence to come forward. Trainings can raise awareness and confidence in employees, provided that their quality and frequency is adequate.

Therefore, for better implementation of this commitment IRM recommends:

• The WPO provide the contact persons with methodological guidance, examples of individual cases, and regular networking and support to organize multiplier trainings. This could build on actions already taken during the implementation period. [16] The WPO could learn from the progress and challenges that Estonia encountered when implementing its 2020–2022 action plan. Slovakian stakeholders could also learn from efforts in Latvia to change the perception of whistleblowers by raising awareness, as part of a 2017-2019 commitment to improve whistleblower protections. [17]
• Building on interactions with institutions that have taken place already, [18] the WPO should continue to encourage institutional leaders and high-level managers of targeted institutions to openly support whistleblower protection and internal processes.
• The WPO would benefit from partnering with experts and CSOs in the development of the guidance materials, trainings, and monitoring of project outcomes. These materials should be publicly available. When developing guidance materials, consider specific needs of women, minority groups, persons with disabilities, and other relevant groups, as well as the specific position of junior officers who may face unique challenges and potential retaliation or other consequences for whistleblowing.
• The Ministry of Justice, working with the WPO, could consider extending the commitment beyond the central administration—for example, to local administration (municipalities) and/or the private sector. In terms of additional activities to implement the manual and guidelines in practice, the Ministry of Justice could amend legislation or increase support to whistleblowers.