Presenttion by Amy Block Joy A Whistleblower s Cse Study Blowing the Whistle on Frud t the University DISCLAIMER: Viewpoints expressed in this presenttion do not necessrily represent the officil position of the University of Cliforni. Bckground University of Cliforni Fculty Member Director of USDA Progrm 32 Yer Employee Mistke! Error on Spredsheet $60K Budget Incresed by $150K Hnd-Written Note 1
Presenttion by Amy Block Joy ALARM! Is this Embezzlement? Response About Mistke Files Locked No Key Wrning! Purchse Order Hs Red Flgs Price ( Expensive ) Description ( Vgue ) Seprtion of Duties ( Missing ) Vendor Instructions ( Pickup ) Morl Dilemm Mny Questions Arise Who to Tell? Responsibility? Process? 2
Presenttion by Amy Block Joy Internl Reporting Hitting Brick Wll Supervisor s Response Threts Intimidtion Morl Distress Discomfort Cn t Sleep Stress Trvel Frud $20,000! Monthly Reimbursements Fictitious Trips Approved Certifiction 3
Presenttion by Amy Block Joy Wht to do? Who to tell? Forms for Whistleblower Report Improper Activities Report Protection from Retlition Putting the Puzzle Together Investigtion Meet with Internl Auditors Meet with Police Meet with Investigtors Inform USDA Retlition! Embezzler Files Whistle Blower Report Aginst Me! Whistleblower Protections Silence Consequences A.B. Joy, Whistleblower, By Tree Publish, CA, 2010. 4
Presenttion by Amy Block Joy Investigtion: Initil Outcomes Federl Agents Supervise Evidence Collected Wrrnt Served Equipment Found Employee Resigns Retlition! Deception & Betryl Intimidtion Hrssment Mlicious gossip Threts Sources: C.F. Alford, Whistleblower: Broken Lives nd Orgniztionl Power, Cornell University Press, NY, 2001. A.B. Joy, Whistleblower, By Tree Publish, CA, 2010. A.S. Kesselheim, D.M. Studdert, M.M. Mello. Whistle-Blowers experiences in frud litigtion ginst phrmceuticl compnies, NEngJMed 362:1832-1838, My 13, 2010. Consequences Isoltion & Fer Job Loss or Demotion Creer Risk Reputtion Risk Helth Concerns Finncil Consequences Sources: C.F. Alford, Whistleblower: Broken Lives nd Orgniztionl Power, Cornell University Press, NY, 2001. A.B. Joy, Whistleblower, By Tree Publish, CA, 2010. A.S. Kesselheim, D.M. Studdert, M.M. Mello. Whistle-Blowers experiences in frud litigtion ginst phrmceuticl compnies, NEngJMed 362:1832-1838, My 13, 2010. 5
Presenttion by Amy Block Joy Turning Point Advice from Dniel Ellsberg, Fmous Whistleblower Consequences of Truth Telling Issues of Morl Courge Steps to Heling Dniel Ellsberg, Secrets: A Memoir of Vietnm nd the Pentgon Ppers, (New York: Viking Penguin, 2002). $2.3 Million Frud Finl Amount Returned to Federl Agency Four Yers of Investigtions Embezzlement Trvel Frud Mispproprition Whistleblower s Credo In theory, nyone who speks out in the nme of the public good within n orgniztion is whistleblower. 6
Presenttion by Amy Block Joy Responsibility Who is Responsible? Institution? Employees? How cn employees be held responsible if they re not educted in the institutes expecttions? Wrning Signs If someone tells you Well, mybe just this once No one will ever know.. It doesn t mtter how it gets done s long s it gets done. It sounds too good to be true. Everyone does it. Shred the document. We cn hide it. No one will get hurt. We didn t hve this converstion. Whistleblowing Benefits Stopping Frud Sves $$ Fith in the Justice System Concern for Public Sfety Fith in Institution Ethicl Stndrds 7
Presenttion by Amy Block Joy Whistleblowing Is Effective! The workforce is powerful lly Encourge comfort in rising issues Protection is essentil Credibility: respond quickly! Mrketing post sttistics! Source: N. Bker, See no evil, her no evil, spek no evil: Effective whistleblower progrms encourge employees who witness compny wrongdoing to spek out rther thn look the other wy, Internl Auditor, April 2008. Institutionl Response Medi Issues Institution in the Limelight Public s Rection to Frud Trnsprency Concerns Thnk you! bjoy@ucdvis.edu Acknowledgements: Power Point Presenttion by Computer Courge, Berkeley, CA. www.computercourge.com. Templte inspired by Clen White Keynote Presenttion by grphicriver 8