The core value of any democracy is the right to freedom of expression and thought. In a system of representative democracy, the citizens vote in regular elections to choose a representative to best govern their interests. Of importance is a chance for citizens to have insight into how the public authorities exercise the power given to them. The principle of public access to information is a fundamental principle in Sweden’s form of government and is supposed to ensure transparency regarding public sector activities. One way to achieve transparency is with the possibility for officials to report alleged illegal, immoral, or illegitimate practices directly to the organization, an act known as whistleblowing. The question of possible corruption in Swedish municipalities has become a topic of discussion. A concern for an extensive silence within the public sector from numerous actors such as media and labor organizations has also arisen.  The contribution of this study is to analyze and evaluate the possibilities provided by Swedish municipalities to encourage internal whistleblowing, as previous research stresses its value for the organizational integrity and ethical climate. Applying a qualitative method, the aim of this thesis is to empirically study policies and documents for implemented whistleblowing systems in Swedish municipalities. The results show that the ways vary in which it is made possible for public employees to blow the whistle within their organization. Most of the reporting channels are managed within the municipality. Possibilities for external reporting, which could strengthen review of reported wrongdoings, are limited. The used definition in Swedish municipalities mainly refers to corruption as a behavior that violates the law. The definition is problematic as it might fail to detect other forms of corruption such as nepotism, cronyism, or discrimination. Implemented whistleblowing systems do not guarantee a high sense of protection for a reporting person. A fear of retaliation could therefore have the effect of employees not reporting. The results of this thesis are of great importance as it shows that Swedish municipalities might not gain information of potential wrongdoings and unethical practices.

The period of crisis is ongoing and still poses challenges for companies. In the aftermath of Covid-19 pandemic, the effects of the Russian war of aggression and inflation increase economic pressures. This might lead to less expenses on Compliance and increase the vulnerability to Compliance-violations. At the same time, legal policy trends are moving toward a stronger commitment to Compliance and transparency (e.g., the German Act on Corporate Due Diligence Obligations in Supply Chains or implementation laws of EU Whistleblower Directive). In this edition, our authors address some of these legislative trends as well as the question of the limits of “Creative Compliance”.

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L'indagine cerca di verificare la sussistenza di norme o la praticabilità di riforme o interpretazioni evolutive che consentano di riconoscere al lavoratore un ruolo efficamente preventivo rispetto a illeciti che possano prodursi nel corso dell'attività di impresa. Le due direttive principali lungo le quali corre l'analisi svolta sono quelle del diritto della sicurezza sul lavoro e delle segnalazioni (oggetto di comparazione con la normativa statunitense), con riferimenti ad alcune tematiche ritenute fondamentali della teoria generale del reato, così come ad aspetti significativi del contratto di lavoro subordinato. / The investigation is about the existence of laws or the possibility of reforms or evolutive interpretations that would allow a reconstruction of the role of the workers whithin an enterprise as a gatekeeper in front of illicit risks and conducts. While the focus is on health and safety at work and on whistleblowing laws (which are compared to the U.S.A. ones), the development of the thesis passes even through some fundamental themes of the general theory of the crime and some relevant profiles of the employment contract.

Submitted by Diego Barreiros Dutra Sampaio (digdutra@msn.com) on 2013-09-17T17:03:53Z No. of bitstreams: 1 Speak Now or Forever Hold Your Peace - Dissertação (Diego Barreiros Dutra Sampaio).pdf: 2546308 bytes, checksum: 266a9ec2bfd922a06bff1ae2bf211a09 (MD5) / Approved for entry into archive by ÁUREA CORRÊA DA FONSECA CORRÊA DA FONSECA (aurea.fonseca@fgv.br) on 2013-09-25T13:39:02Z (GMT) No. of bitstreams: 1 Speak Now or Forever Hold Your Peace - Dissertação (Diego Barreiros Dutra Sampaio).pdf: 2546308 bytes, checksum: 266a9ec2bfd922a06bff1ae2bf211a09 (MD5) / Approved for entry into archive by Marcia Bacha (marcia.bacha@fgv.br) on 2013-09-27T12:41:28Z (GMT) No. of bitstreams: 1 Speak Now or Forever Hold Your Peace - Dissertação (Diego Barreiros Dutra Sampaio).pdf: 2546308 bytes, checksum: 266a9ec2bfd922a06bff1ae2bf211a09 (MD5) / Made available in DSpace on 2013-09-27T12:42:29Z (GMT). No. of bitstreams: 1 Speak Now or Forever Hold Your Peace - Dissertação (Diego Barreiros Dutra Sampaio).pdf: 2546308 bytes, checksum: 266a9ec2bfd922a06bff1ae2bf211a09 (MD5) Previous issue date: 2012-10-29 / À medida que ajudam as organizações a prevenir condutas irregulares e a manter um ambiente de trabalho mais éticos, as denúncias (whistleblowing) são frequentemente apontadas pela literatura como um benefício à sociedade como um todo. Entretanto, pouco se sabe a respeito de muitos aspectos associados à decisão de denunciar uma irregularidade. No Brasil, em especial, onde o assunto permanece sendo negligenciado por pesquisadores, elementos culturais específicos podem obstruir o caminho da denuncia, além de impor restrições à generalização dos resultados de pesquisas anteriores, quase sempre voltadas para a realidade anglo-saxônica. Com base nesses pressupostos, este estudo busca identificar os antecedentes do whistleblowing interno nas organizações brasileiras. De modo geral, os resultados da pesquisa empírica realizada com uma ampla amostra de profissionais oriundos de empresas púbicas e privadas dão suporte ao modelo proposto e reforçam a noção de que o ato de denunciar é o resultado complexo da interação entre fatores da organização, do indivíduo da situação observada. Em particular, os resultados sugerem que os indivíduos são mais propensos a realizar a denúncia quando a irregularidade observada é percebida como grave e quando a própria denuncia é vista como um curso de ação ético. Por outro lado, os indivíduos podem optar pelo silêncio se o alvo da denúncia for alguém com alto status na organização, se eles não sentirem apoio da organização ou se temerem retaliações. A influência negativa do medo de retaliação sobre a intenção de denunciar, contudo, pode ser atenuada se o indivíduo está convencido de que o correto a fazer é denunciar. Por fim, os resultados também sugerem que profissionais em posição gerencial são mais propensos a denunciar irregularidades do que os demais membros de uma organização. As implicações desses resultados, bem como as limitações e contribuições do estudo para a teoria e para a prática são discutidas em detalhe, juntamente com sugestões para pesquisas futuras. / Whistleblowing is often assumed to benefit society at large as it promotes a more ethical work environment by helping organizations to prevent misconducts. However, little is known about many aspects of the decision to blow the whistle on a wrongful act. Particularly In Brazil, where the topic remains neglected by researchers, specific cultural elements may hinder whistleblowing behavior and limit the generalization of findings from previous studies, almost always based on the context of English speaking countries. By relying on these assumptions, this study attempted to ascertain the antecedents of internal whistleblowing intentions in Brazilian organizations. Results of a survey carried out within a large sample of employees from public and private organizations provide support to the proposed model and reinforce the notion that whistleblowing is the complex result of the interplay between organizational, individual and situational variables. In particular, it is suggested that individuals are more likely to blow the whistle when they observe a severe ethical violation and when they view the disclosure as an ethical course of action. Individuals, on the other hand, may decide to remain silent if the wrongdoer is of a high status, if they lack the support from the organization and if they fear retaliation. The negative influence of the fear of retaliation, however, may be attenuated if the observer is convinced that blowing the whistle is the right thing to do. We also found that managers are more likely to blow the whistle than other employees. Implications, limitations and contributions to theory and practice are discussed in detail, along with directions for future research.

La responsabilité sociale des entreprises (RSE), définie comme l’intégration volontaire des préoccupations sociales et écologiques à l’activité commerciale des entreprises et dans leurs relations avec leurs parties prenantes, est devenue le lieu d’une série d’actes et de normes de nature et aux effets divers. Incitées à développer leurs démarches sociales responsables, les entreprises se sont dotées progressivement d’instruments volontaires. Or, comme tout fait social, ces derniers sont susceptibles de donner lieu à interprétation juridique d’autant plus que les sujets sur lesquels ils portent peuvent faire l’objet d’obligations posées par la réglementation étatique. En ce sens, les actes volontaires de RSE peuvent par leur formulation recommandatoire, proclamatoire ou déclaratoire opérer un renvoi au droit positif et constituer ainsi une base informationnelle voire pédagogique de la règle de droit offrant par-là un cadre pour le suivi d’une conduite juste et raisonnée. D’autres instruments peuvent également prescrire des comportements et ainsi constituer des modes de régulation des comportements. De plus, l’intensification de la force normative de ces instruments dits volontaires s’accompagne de leviers juridiques tant contraignants qu’incitatifs favorables au développement de la RSE. Le cadre national contribue de la sorte à façonner les initiatives des entreprises en cette matière. Ce maillage juridique fait de la RSE un espace de diverses formes de régulation. D’acte d’autorégulation lorsque les règles posées sont le résultat d’une volonté unilatérale, l’instrument peut devenir un mode de mise en œuvre du droit lorsqu’il s’inscrit dans le cadre d’obligations légales. Dans cette nouvelle dynamique, il ne faut pas occulter les potentialités juridiques offertes par le droit qui au fil des décisions de justice et analyses permet de concevoir la RSE comme un standard de conduite générateur de formes de régulation et de responsabilités au sein du rapport d’emploi. / The corporate social responsibility (CSR) of major companies, defined as the voluntary integration of social and environmental concerns in both business itself and in the relationships with stakeholders, has become the site of a series of acts and standards of diverse nature and effects. Encouraged to develop social initiatives, firms have experimented with several initiatives to promote the image of social responsibility. However, with any endeavour, these are likely to demand legal assessment, especially as the subjects to which they relate are subject to state regulation. Voluntary acts of CSR can, by their recommandatory, proclamatory or declaratory formulation, refer to hard law and thus constitute an educational or informational basis of the rule of law, offering a framework for monitoring fair and rational conduct. Other standards can also prescribe behaviours and act as a form of control. Moreover, the intensification of the normative force of those voluntary measures involves legal implications, both binding and inspiring CSR development. The national framework helps to shape the initiatives in this area. This legal mesh makes the CSR a space of varying regulation, including self-regulation as a result of unilateral will in light of legal obligations. In this new dynamic, one must not overshadow the legal freedom granted by the law, which, over judgment and analysis facilitates the conception of CSR as a standard of conduct, generating regulation forms and responsibilities within the employment report.

Au cours des dernières années, plusieurs professionnels de la santé ont dénoncé publiquement des situations problématiques affectant le système de santé et des services sociaux du Québec, notamment par le biais des réseaux sociaux et des médias traditionnels. Alors qu’ils contribuent à renforcer la transparence des organismes du réseau de la santé et à protéger les droits des usagers, ces lanceurs d’alerte se heurtent à une culture du silence et s’exposent, encore aujourd’hui, à des mesures de représailles. Ce mémoire cherche à clarifier le cadre juridique entourant les dénonciations publiques effectuées par les professionnels de la santé. La première partie examine la portée de la liberté d’expression dont jouissent ces professionnels. Cette liberté fondamentale, comme le droit du public d’être informé, n’est pas absolue. Son exercice doit être concilié avec d’autres droits et obligations, dont le droit à la réputation de l’employeur, le devoir de loyauté et les obligations déontologiques du professionnel, ainsi que les droits des patients. La deuxième partie s’intéresse à la protection juridique des dénonciateurs. Au fil des ans, le législateur a adopté plusieurs dispositions afin de faciliter la divulgation de certains actes répréhensibles. Celles-ci protègent principalement les personnes qui font des signalements à l’interne ou auprès d’une autorité compétente. Dans une perspective critique, ce mémoire souligne les insuffisances du droit québécois en matière de dénonciation publique et propose des avenues interprétatives et législatives visant à renforcer la protection des lanceurs d’alerte dans le secteur de la santé. / In recent years, several healthcare professionals have publicly denounced problematic situations affecting Quebec's health and social services system, notably via traditional and social media. Although they contribute to strengthening transparency in healthcare institutions and protecting the rights of users, these whistleblowers face a culture of silence and are still exposed to retaliation. This Master's thesis seeks to clarify the legal framework governing public disclosure made by healthcare professionals. The first part discusses the scope of the professionals' freedom of expression. This fundamental freedom, such as the public's right to be informed, is not absolute. Its exercise must be reconciled with other rights and obligations, including the employer's right to reputation, the duty of loyalty, ethical obligations, and the patients' rights. The second part focuses on legal protection for whistleblowers. The legislator has adopted over the years many provisions to facilitate the disclosure of wrongdoings. These provisions mainly protect whistleblowers who report internally or to a competent authority. Adopting a critical perspective, this thesis highlights the weaknesses of Quebec's legal framework on public disclosure and proposes interpretative and legislative pathways to reinforce the protection of whistleblowers in the healthcare sector.