Index

  •  
  • abductive analysis 167–8
  • academic literature 139–42
  • accountability, lack of 45, 94
  • accounting practices, ethically questionable 44–5
  • Adobor, H., trust in organizations 108
  • adverse events, hospital patients in the UK 68
  • advice lines, independent 51, 55, 71, 102, 103, 143
  • Alford, C. F 15
  • Anechiarico, F., efficiency cost of speaking up 97
  • anonymous concerns, barrier to responsiveness 106–107, 123, 133
  • attitudes
    • to responding 134
    • to speaking up 132
  • Australia
    • Donkin et al., reporting sequence 89, 90, 92
    • Lenanne's research on retaliation 17–19
    • Smith and Brown's public sector research 27, 33, 87
  •  
  • banking sector 42–6
    • best practices 54–5
    • case study 50–4
    • speak‐out in 46–50
  • barriers to responsiveness 106, 132–3
    • anonymous concerns 106–107
    • invisibility of response 105
    • legal limitations 107–108
    • strategies to circumvent 133–4
  • barriers to speaking up
    • ‘culture of silence’ 117
    • policy inconsistency, NHS 69
    • retaliation, banking sector 46–9
  • behavioural trust 31–2
  • best practices
    • banking organisation 54–5, 143
    • engineering firm 66, 143–4
    • NHS Trust 76, 144
  • Bird, F. B., ‘muted conscience’ 11, 94
  • Boisjoly, Roger 60
  • Bolsin, Dr. Stephen 69–70
  • Bristol Royal Infirmary (BRI), paediatric heart surgery scandal 69–70
  • Butler, Judith 29–30
  •  
  • Canada, engineering graduates' ritual 57–8
  • Care Quality Commission (CQC), UK 5, 14, 70, 71, 72
  • Challenger space shuttle disaster 60, 166
  • ‘champions’ for internal reporting 14, 34–5
  • channels for speaking up
    • email 104, 107, 133
    • external independent advice 102, 143
    • informal (line managers) 51, 72–3, 89
    • key persons (internal champion) 34–5, 51–2, 103
    • ombudsperson 63–4, 110, 113
    • providing a range of 129–30
    • question channel 61–2, 130, 143
    • specialist (compliance, auditor, HR) 91–2
    • see also hotlines
  • CIAs (confidential integrity advisors 34–5
  • clarity, organisational virtue, Kapstein's work 84, 86
  • code of conduct, bank case study 50, 51, 53, 54
  • codes of ethics, engineering 57, 59–60
  • Committee on Oversight and Government Reform, US 44–5
  • communication theory, Watzlawick 92–3
  • compliance function
    • liaising with HR 104–105, 130–1
    • role of 45
  • confidential integrity advisor (CIA), role of 34–5
  • confidentiality agreements 47, 48
  • congruency, organisational virtue, Kapstein 84, 85, 86–7
  • consolidation of accounts, merged companies 44
  • construction sector, corrupt practices 58–9
  • consumerist model, NHS 67, 68, 143
  • Corporate Ethical Virtue (CEV) Model, Kaptein 84–7, 165–6
  • Corporation of the Seven Wardens Inc 57–8
  • corruption 57, 59, 68, 73
  • cost cutting programmes in the NHS 67
  • Council of Europe 4, 9
  • Countrywide Bank, US 16
  • creative accounting 42, 44, 45, 50, 56, 77
  • Criminal Fraud Accountability Act (2002) 16
  • culture
  •  
  • data protection regulations 107–108, 133
  • De Graaf, G., CIA study 34–5
  • Deltour, Antoine 49
  • Devine, Tom 128
  • Digital Reality Trust, Inc. v. Somers 5–6
  • disclosures, myths about 24
  • discussability, organisational virtue, Kapstein 85, 86
  • dismissals, banking sector 48
  • division of labour, compliance and HR 104–105, 130–1
  • Dodd‐Frank Wall Street Reform and Consumer Protection Act (2010) (Dodd‐ Frank) 5–6
  • Donkin, M., reporting pathways 89, 90, 92
  • dual dependencies 60
  •  
  • economic crimes, exposure of 7, 128
  • email as a speak‐up channel 104, 107, 133
  • empirical work 142–4
  • employee benefits of effective speak‐up arrangements 129
  • employee relations (ER) stream, employee voice 141, 163
  • employee voice 26, 34, 141, 163
  • Engineering Institute of Canada 57–8
  • engineering sector 55–9
    • best practices 66
    • case study 61–5
    • speak‐out in 59–60
  • ethical codes, engineering sector 57, 59–60
  • ethical culture, Kaptein's work 84–7
    • research in Australia 87–8
  • expectations about speak‐ups 92–7
    • trust as favourable expectation 109
  • external independent advice operators, role of 102
  • external and internal whistleblowing 25, 34, 86, 88, 90
  • external ombudsperson 63–4, 110, 113
  •  
  • Falciani, Hervé 49
  • fearless speech (parrhesia), Foucault 28–9, 164
    • and attachment to organisational ideals 29–30
    • whistleblowing as a form of 31, 141
  • feasibility, organisational virtue, Kapstein 84, 86, 87
  • Financial Conduct Authority (FCA), UK 6, 14, 42
    • new regulation for financial firms 49
  • Financial Crisis (2008)
    • effects on engineering sector 55–6, 143
    • events leading up to 42–3
    • global cost of 46
    • testimony of John Snow 44–5
    • victimisation of whistleblowers, 2014/2015 surveys 47–8
  • financial losses 1–2, 46
    • prevention of 128
  • financial sector 42–6
    • best practices 54–5
    • case study 50–4
    • speaking‐out 46–50
  • ‘First100’ campaign 120
  • Foster, Eileen, Countrywide Bank 16, 22
  • Fotaki, Marianna 9
  • Foucault, Michel, fearless speech (parrhesia) 28–9, 141, 164
  • Francis Public Inquiry Report 14, 69, 72
  • fraud 16, 73, 76, 131
  • Freedom to Speak Up Guardians 71
  • Freedom to Speak Up Review(Francis Report) 6, 9, 14
  • functions, involving more than one 104–105, 130–1
  •  
  • gagging clauses, banking sector 48, 49, 140
  • General Data Protection Regulation (GDPR) 107–108
  • General Medical Council 72
  • Government Accountability Project (US) 170
  • Grand Duchy of Luxemburg, advance tax agreements 49
  • grievances 51–2, 62, 90–1, 101, 112, 132
  • Griffiths Report (1983) 68
  •  
  • Halet, Raphael 49
  • Harlos, D. P., perceived futility of voice 27
  • Haultain, Professor 57
  • health and safety, engineering sector 58–9, 60, 77
  • healthcare sector, UK 66–8
    • best practices 76
    • case study 71–5
    • speak‐out in the NHS 68–71
  • helplines 71, 75, 76
    • NHS Trusts 33–4
  • hotlines 33–4, 86, 103
  • HSBC bank leaks 49
  • human resource management (HRM), employee voice 26, 163
  • hypocrisy, muted conscience 94
  •  
  • independence
    • of external advice operators 102
    • of speak‐up recipient 3, 100–102, 121–2, 131, 145
  • Institute of Business Ethics (IBE), FTSE survey 60
  • Interactional Communication theory, Watzlawick 92–4, 166
  • internal auditors acting as whistleblowers 34, 46
  • internal and external whistleblowing distinction 25, 34, 86, 88, 90
  • internal transparency, organisational virtue 84–7
  • internal whistleblowing procedures see speak‐up arrangements
  • invisibility of response/‘nonresponse’ 108, 133, 142, 166
  • Iron Ring, Canadian‐trained engineers 57–8
  •  
  • Jacobs, J. B., efficiency cost of speak‐up 97
  • Jagd, S., trust in organizations 108
  • justice‐oriented voice 26
  •  
  • Kaptein, M., Corporate Ethical Virtue Model (CEV model) 84–7, 140, 165–6
  • Kenny, Kate 9
  • key internal person (champion) 35
  • Kipling, Rudyard 57
  •  
  • Labaton Sucharow (2015) survey, financial services workers 47–8
  • language accessibility, providing 137
  • legal battles, prevention of 128
  • legal limitations, barrier to responsiveness 107–108, 133
  • legislation changes 4–6
  • Lennane, Dr. Jean 17–18
  • Lewis, D. 33–4, 88–9
  • local counter fraud specialist (LCFS), NHS Trust 73, 131
  • LuxLeaks scandal, financial sector 49
  •  
  • management by consensus principle, NHS 68–9
  • Martin, B., whistleblowing retaliation 20
  • McEvily, B., trust boundaries 109
  • mental health issues 19–20
  • methodology
    • analysis 167–8
    • sample and data collection 167
  • Milliken, F. J., employee silence 27, 117, 140
  • Möllering, G., theories of trust 164–5
    • trust as a moral obligation 113–14
    • ‘trust as becoming’ 109, 119
    • trust for collective identity 109–10, 165
    • ‘trust as expectation’ 109, 141–2
    • ‘trusting as constituting’ 33, 110
  • money laundering 49
  • Monitor, healthcare sector regulator, UK 70, 75
  • moral muteness 94
  • Morrison, E. W., organizational silence 117, 140
  • Morton Thiolkol Inc., Challenger disaster 60
  • motivation for speaking up 26
  • Mowbray, P. K., employee voice 26
  • ‘muted conscience’, Bird's notion of 11, 94
  • myths about whistleblowing 21–31
  •  
  • national culture 136
  • national culture, consideration of 136
  • National Guardian's Office 71
  • National Health Service (NHS), UK 66–8
    • best practices 76
    • hospital case study 71–5
    • ineffective speak‐up arrangements 68–9
    • new governmental and civil initiatives 70–1
    • paediatric cardiac surgery scandal, Bristol 69–70
    • responsiveness 118
  • NHS Protect 71
  • NHS Trust Development Authority (NHS TDA) 70
  • normalising responding 105–106
  •  
  • Occupational Safety and Health Administration (OSHA) 6, 16
  • ombudsperson 63–4, 110, 113
  • online resources 169–70
  • ‘open door’ policies 97–8
  • organisational behaviour (OB), employee voice 26, 163
  • organisational benefits of effective speak‐up arrangements 128–9
  • organisational culture 136
    • Kaptein's work on ethical 84–7
    • and responsiveness 118, 134
    • of silence in banking sector 46, 47–8
    • trust and 32
  • organisational feedback loop, responding to whistleblowers' communication 95
  • organisational structure 77
  • organisational trust 128–9
  • outsider independence 102
  •  
  • paediatric cardiac surgery scandal, Bristol Royal Infirmary (BRI) 69–70
  • parrhesia (fearless speech), Foucault 28–9, 31, 141, 164
    • and passionate attachments 29–30
  • ‘patient choice’ model, NHS 67
  • Patient's Charter (1991), NHS 67
  • pattern recognition 119–20
  • PCAW see Public Concern at Work, UK
  • perceived behavioural control, manager responsiveness 106
  • PIDA (Public Interest Disclosure Act) 26–7
  • privacy laws 107–108, 133
  • Professional Regulators 71
  • project methodology 167–8
  • prosocial voice 26
  • protacted process of whistleblowing 21–3, 88–92
  • Protected Disclosures Act (2014) 23
  • protection of whistleblowers, legislation for 5–6
  • Prudential Regulation Authority (PRA) 14, 49
  • Public Concern at Work, UK 9, 14, 34, 46, 47, 170
    • financial services workers, survey findings 47–8
    • ‘First100’ campaign 120–1
    • new regulation for financial firms, effectiveness of 50
  • Public Interest Disclosure Act (2013, UK), changes in 26–7
  •  
  • quality of care vs patient satisfaction, NHS 67–8, 77, 143
  • question channel 61–2, 130, 143
  •  
  • recommendations for speak‐up arrangements 129–37, 146–7
  • recording of all speak‐up events 134–5
  • registering of speak‐up events 103–104
  • regulations
    • construction industry 58–9
    • financial firms 43–4
  • reporting of speak‐up data 135–6
  • reprisals, formal and informal 18
  • reputational loss/damage 45, 50, 56, 68, 69
    • prevention of 128
  • research into Speak‐up Arrangements 33–6
    • in organisations 20–1
  • responsiveness 4, 27, 103, 145
    • barriers to 106–108, 132–3
    • strategies to circumvent 133–4
    • enabled by functions liaising 104–105
    • facilitators of 117–19
    • and fearless speech 31
    • organisational feedback loop 95
    • reasons for lack of 105–106
    • registering speak‐up events 103–104
    • robust systems to respond to concerns 131–2
    • and trust 142
  • retaliation 7, 15–20, 139–40
    • creating a culture of silence 59
    • and ethical organisational culture 140
    • in the financial sector 47, 48
    • laws protecting against 6
    • and muted conscience, Bird 94
    • negative effect of 95
    • prevention of 129
    • role of the organisation 17–18
  • Rifkin, W., whistleblowing retaliation 20
  • Ritual of the Calling of an Engineer 57–8
  • rule‐bound referrals 100, 101–102, 106, 131
  • Rumyantseva, N. 34
  •  
  • Safety Escalation Team (SET), NHS 70
  • sanctionability, organisational virtue, Kapstein 85, 86
  • sanctions against wrongdoers
    • invisibility of 108, 133
    • legal restrictions about communicating 114
    • strategies to make visible 133–4
  • Sarbanes‐Oxley Act (2002) (SOX) 6, 16
  • Securities and Exchange Commission (SEC) 5–6
  • seven organisational virtues, Kapstein 84–7
  • silence, code/culture of 46, 47–8, 60, 85, 117, 140
  • Skivenes, M., strong whistleblowing process 88
  • Snow, John 44–5
  • social isolation of voicing employees 48, 60, 140
  • societal benefits effective speak‐up arrangements 129
  • solvency ratio, financial firms 44
  • Somers, Paul 5–6
  • speak‐up arrangements 13
    • benefits of effective 7, 128–9
    • economic benefits of 1–2, 7
    • existing research 20–1, 33–6
    • model for sustainable 3–4, 121–2, 144–6
    • practical guide for professionals 127–37
    • reasons for 4–7
  • speak‐up channels, proving a range of 129–30
  • Speak‐up Charter, NHS employees 71
  • speak‐up data
    • centralised documentation of 103–104
    • publishing aggregated 120–1
    • recognising patterns in 119–20
    • for training purposes 120
  • speak‐up operators
  • special investigations unit (SIU) 104
  • stress
    • from reprisals 17–19
    • mental health issues 19–20
  • subprime loan fraud 16
  • supportability, organisational virtue, Kapstein 84–7
  • sustainable speak‐up systems, model for 3–4, 121
  • Switzerland, HSBC bank data leak 49
  •  
  • Tavory, I., constructing theory 168
  • tax avoidance and evasion 42, 46, 49, 77, 142
  • theories on speak up arrangements 163–6
  • third party involvement 134
  • time factor 98–100, 145–6
  • Timmermans, S., constructing theory 168
  • tobacco industry 15
  • training, using speak‐up data for 120, 135
  • transaction costs economics (TCE) 108
  • transparency, internal
    • organisational virtue, Kapstein's work 84–7
    • reporting contributing to 121, 135
  • Transparency International 9, 170
  • trust 31–3
    • creating 110–12
    • maintaining 112–17
    • Möllering's theories of 164–5
    • trust as a moral obligation 113–14
    • ‘trust as becoming’ 109, 119
    • trust for collective identity 109–10, 165
    • ‘trust as expectation’ 109, 141–2
    • ‘trusting as constituting’ 33, 110
    • recommendations for building 131
    • responsiveness facilitating 142
  • Trygstad, S., strong whistleblowing process 88
  • Turkey, corruption 57, 59
  •  
  • underfunding, health sector 67
  • United States (US)
    • Challenger disaster 60
    • derivatives trading 43
    • external disclosures and protection 5–6
    • financial regulation 44–5
    • financial services workers, survey statistics 47–8
    • Government Accountability Project 170
    • human interface of call‐in systems 111
    • interviews with employees, Rothschild and Miethe 89
    • laws on data protection and privacy 108
    • Office of the Whistleblower (OWB) 50
    • Sarbanes‐Oxley Act (2002) 6, 16
    • Securities and Exchange Commission (SEC) 5–6
  •  
  • Vandekerckhove, Wim 9, 33–4
  • victimisation see retaliation
  • voice
  • voice channels 103
    • effectiveness research 98
    • offering variety of 129–30
    • unintended use of 34
    • ‘voice culture’ 119
  •  
  • Watzlawick, Paul, communication theory 92–4, 96, 166
  • whistleblowing
    • changes in legislation 5–6
    • definition of term 13
    • external/internal distinction 25, 34, 86, 88, 90
    • myths about 21–31
    • negative connotations of term 13
    • significant increase in 6
  • Whistleblowing Commission, Code of Practice 120
  • Whistleblowing Helpline, healthcare workers 71
  • Whistleblowing Impact, online resource 169–70
  • Wigand, Jeffrey, tobacco company scientist 15
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