97 Amendments of Fabio Massimo CASTALDO related to 2018/0106(COD)
Amendment 23 #
Proposal for a directive
Citation 1
Citation 1
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 16, 33, 43, 50, 53(1), 62, 91, 100, 103, 109, 114, 168, 169, 192, 207, 325(4) and 3525(4) thereof and to the Treaty establishing the European Atomic Energy Community, and in particular Article 31 thereof,
Amendment 32 #
Proposal for a directive
Recital 3
Recital 3
(3) In certain policy areas, bBreaches of Union law may cause serious harm to the public interest, in the sense of creating significant risks for the welfare of society. Where weaknesses of enforcement have been identified in those areas, and whistleblowers are in a privileged position to disclose breaches, it is necessary to enhance enforcement by ensuring effective protection of whistleblowers from retaliation and introducing effective reporting channels.
Amendment 35 #
Proposal for a directive
Recital 5
Recital 5
(5) Accordingly, common minimum standards ensuring effective whistleblower protection should apply i, based on an across-the-board, organic approach, with a special focus on those acts and policy areas where i) there is a need to strengthen enforcement; ii) under-reporting by whistleblowers is a key factor affecting enforcement, and iii) breaches of Union law cause serious harm to the public interest.
Amendment 40 #
Proposal for a directive
Recital 1
Recital 1
(1) Persons who work for an organisation or are in contact with it in the context of their work-related activities are often the first to know about threats or harm to the public interest which arise in this context. By ‘blowing the whistle’ they play a key role in exposing and preventing breaches of the law and in safeguarding the welfare of society. However, potential whistle blowers are often discouraged from reporting their concerns or suspicions for fear of retaliation. in case they expose irregularities, mismanagement, misuse of funds, maladministration or potential corruption related to the activity of public and private bodies within the Union; they are not truly protected and do not feel protected; this is why many of them use other means to reveal the wrongdoing or even refrain from acting;
Amendment 41 #
Proposal for a directive
Recital 16
Recital 16
(16) The protection of the financial interests of the Union, which relates to the fight against fraud, corruption, the infringement of legal obligations, abuse of power and any other illegal activity affecting the use of Union expenditures, the collection of Union revenues and funds or Union assets, is a core area in which enforcement of Union law needs to be strengthened. The strengthening of the protection of the financial interests of the Union also encompasses implementation of the Union budget related to expenditures made on the basis of the Treaty establishing the European Atomic Energy Community. Lack of effective enforcement in the area of the financial interests of the Union, including fraud and corruption at national level, causes a decrease of the Union revenues and a misuse of EU funds, which can distort public investments and growth and undermine citizens’ trust in EU action. Whistleblower protection is necessary to facilitate the detection, prevention and deterrence of relevant fraud and illegal activities.
Amendment 46 #
Proposal for a directive
Recital 2
Recital 2
(2) At Union level, reports by whistleblowers and investigative journalists are one upstream component of enforcement of Union law: they feed national and Union enforcement systems with information leading to effective detection, investigation and prosecution of breaches of Union law.
Amendment 49 #
Proposal for a directive
Recital 3
Recital 3
(3) In certain policy areas, bBreaches of Union law may cause serious harm to the public interest, in the sense of creating significant risks for the welfare of society. Where weaknesses of enforcement have been identified in those areas, and whistleblowers are in a privileged position to disclose breaches, it is necessary to enhance enforcement by ensuring effective protection of whistleblowers from retaliation and introducing effective reporting channels.
Amendment 52 #
Proposal for a directive
Recital 4
Recital 4
(4) Whistleblower protection currently provided in the European Union is fragmented across Member States and uneven across policy areas; moreover, there is a lack of follow-up and proper settlement regarding whistle-blowing cases across Member States as well as within the European institutions. The consequences of breaches of Union law with cross-border dimension uncovered by whistleblowers illustrate how insufficient protection in one Member State or within the European bodies not only negatively impacts on the functioning of EU policies in that Member State but can also spill over into other Member States and the Union as a whole.
Amendment 56 #
Proposal for a directive
Recital 5
Recital 5
(5) Accordingly, common minimum standards ensuring effective whistleblower protection with a global and comprehensive approach, should apply in those acts and with particular emphasis on policy areas where i) there is a need to strengthen enforcement; ii) under-reporting by whistleblowers is a key factor affecting enforcement, and iii) breaches of Union law cause serious harm to the public interest.
Amendment 56 #
Proposal for a directive
Recital 30
Recital 30
(30) Effective prevention of breaches of Union law requires that protection is also granted to persons who provide information about potential breaches, which have not yet materialised, but are likely to be committed. For the same reasons, protection is warranted also for persons who do not provide positive evidence but raise reasonable concerns or suspicions. At the same time, protection should not apply to the reporting of information which is already in the public domain or of unsubstantiated rumours and hearsay.
Amendment 60 #
Proposal for a directive
Recital 31
Recital 31
(31) Retaliation expresses the close (cause and effect) relationship that must exist between the report and the adverse treatment suffered, directly or indirectly, by the reporting person, so that this person can enjoy legal protection. Effective protection of reporting persons as a means of enhancing the enforcement of Union law requires a broad definition of retaliation, encompassing any act or omission occurring in the work-related context which causes them detriment.
Amendment 61 #
Proposal for a directive
Recital 16
Recital 16
(16) The protection of the financial interests of the Union, which relates to the fight against fraud, corruption and any other illegal activity affecting the use of Union expenditures, the collection of Union revenues and funds or Union assets, is a core area in which enforcement of Union law needs to be strengthened. The strengthening of the protection of the financial interests of the Union also encompasses implementation of the Union budget related to expenditures made on the basis of the Treaty establishing the European Atomic Energy Community. Lack of effective enforcement in the area of the financial interests of the Union, including fraud and corruption at national level, causes a decrease of the Union revenues and a misuse of EU funds, which can distort public investments and growth and undermine citizens’ trust in EU action. Whistleblower protection isInvestigative journalists also play a crucial role in revealing wrongdoing connected to all these areas; they represent a very exposed group of professionals, often paying with their jobs, freedom and even with their lives disclosure of massive irregularities and corruption schemes; therefore, special measures to protect investigative journalists should be included in a horizontal legislative proposal for the protection of whistle-blowers. Investigative journalism and whistleblower protection are necessary to facilitate the detection, prevention and deterrence of relevant fraud and illegal activities.
Amendment 62 #
Proposal for a directive
Recital 16
Recital 16
(16) The protection of the financial interests of the Union, which relates to the fight against fraud, corruption, the violation of legal obligations, the abuse of power and any other illegal activity affecting the use of Union expenditures, the collection of Union revenues and funds or Union assets, is a core area in which enforcement of Union law needs to be strengthened. The strengthening of the protection of the financial interests of the Union also encompasses implementation of the Union budget related to expenditures made on the basis of the Treaty establishing the European Atomic Energy Community. Lack of effective enforcement in the area of the financial interests of the Union, including fraud and corruption at national level, causes a decrease of the Union revenues and a misuse of EU funds, which can distort public investments and growth and undermine citizens’ trust in EU action. Whistleblower protection is necessary to facilitate the detection, prevention and deterrence of relevant fraud and illegal activities.
Amendment 63 #
Proposal for a directive
Recital 34
Recital 34
(34) It is for the Member States to identify the authorities competent to receive and give appropriate follow up to the reports on breaches falling within the scope of this Directive which have the highest possible degree of independence and impartiality. These may be regulatory or supervisory bodies in the areas concerned, law enforcement agencies, anti- corruption bodies and ombudsmen. The authorities designated as competent shall have the necessary capacities and powers to assess the accuracy of the allegations made in the report and to address the breaches reported, including by launching an investigation, prosecution or action for recovery of funds, or other appropriate remedial action, in accordance with their mandate.
Amendment 67 #
Proposal for a directive
Recital 40
Recital 40
(40) It should be clear that, in the case of private legal entities which do not provide for internal reporting channels, reporting persons should be ablemust be given a guaranteed right to report directly externally to the competent authorities and such persons should enjoy the protection against retaliation provided by this Directive.
Amendment 70 #
Proposal for a directive
Citation 1
Citation 1
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 16, 33, 43, 50, 53(1), 62, 91, 100, 103, 109, 114, 168, 169, 192, 207, 325(4) and 3525(4) thereof and to the Treaty establishing the European Atomic Energy Community, and in particular Article 31 thereof,
Amendment 74 #
Proposal for a directive
Recital 45
Recital 45
(45) The most appropriate persons or departments within a private legal entity to be designated as competent to receive and follow up on reports depend on the structure of the entity, but, in any case, their function should ensure absence of conflict of interest and independence. A civil liability scheme should be applicable to these persons in the event of malicious acts or gross negligence. In smaller entities, this function could be a dual function held by a company officer well placed to report directly to the organisational head, such as a chief compliance or human resources officer, a legal or privacy officer, a chief financial officer, a chief audit executive or a member of the board.
Amendment 76 #
Proposal for a directive
Recital 57
Recital 57
(57) Member States should ensure the adequate record-keeping of all reports of infringement and that every report is retrievable within the competent authority and that information received through reports could be used as evidence in enforcement actions where appropriate, respecting, where possible, the confidentiality of the reporting person.
Amendment 81 #
Proposal for a directive
Recital 27
Recital 27
(27) Protection should also extend to further categories of natural or legal persons, who, whilst not being 'workers' within the meaning of Article 45 TFEU, can play a key role in exposing breaches of the law and may find themselves in a position of economic or other type of vulnerability in the context of their work- related activities. For instance, in areas such as product safety, suppliers are much closer to the source of possible unfair and illicit manufacturing, import or distribution practices of unsafe products; in the implementation of Union funds, consultants providing their services are in a privileged position to draw attention to breaches they witness. Such categories of persons, including self- employed persons providing services, freelance, contractors, sub-contractors and suppliers, are typically subject to retaliation in the form of early termination or cancellation of contract of services, licence or permit, loss of business, loss of income, coercion, intimidation or harassment, blacklisting/business boycotting or damage to their reputation. Shareholders and persons in managerial bodies, may also suffer retaliation, for instance in financial terms or in the form of intimidation or harassment, blacklisting or damage to their reputation. Protection should also be granted to investigative journalists who acquired and published information on corruption schemes, money laundering, fraud, misuse of public money, abuse of office and other irregularities; the same protection should apply to candidates for employment or for providing services to an organisation who acquired the information on breaches of law during the recruitment process or other pre-contractual negotiation stage, and may suffer retaliation for instance in the form of negative employment references or blacklisting/business boycotting.
Amendment 82 #
Proposal for a directive
Recital 3
Recital 3
(3) In certain policy areas, bBreaches of Union law may cause serious harm to the public interest, in the sense of creating significant risks for the welfare of society. Where weaknesses of enforcement have been identified in those areas, and whistleblowers are in a privileged position to disclose breaches, it is necessary to enhance enforcement by ensuring effective protection of whistleblowers from retaliation and introducing effective reporting channels.
Amendment 88 #
Proposal for a directive
Recital 78
Recital 78
(78) Penalties are necessary to ensure the effectiveness of the rules on whistleblower protection. Penalties against those who take retaliatory or other adverse actions against reporting persons can discourage further such actions. Penalties against persons who make a report or disclosure demonstrated to be knowingly false are necessary to deter further malicious reporting and preserve the credibility of the system. The proportionality of such penalties should ensure that they do not have a dissuasive effect on potential whistleblowers.
Amendment 90 #
Proposal for a directive
Recital 80
Recital 80
(80) This Directive introduces minimum standards and Member States should have the power to introduce or maintain more favourable provisions to the reporting person, provided that such provisions do not interfere with the measures for the protection of concerned persons. In addition, Member States may establish a reward system that may offer a fair reward in the event that the reporting results in the prevention of considerable damage to the assets of the European Union or the recovery of large sums by the EU.
Amendment 91 #
Proposal for a directive
Recital 5
Recital 5
(5) Accordingly, common minimum standards ensuring effective whistleblower protection should apply in those acts and, adopting a global and organic approach, should apply in particular to those policy areas where i) there is a need to strengthen enforcement; ii) under- reporting by whistleblowers is a key factor affecting enforcement, and iii) breaches of Union law cause serious harm to the public interest.
Amendment 91 #
Proposal for a directive
Recital 82
Recital 82
(82) The material scope of this Directive is based on the identification of areas where the introduction of whistleblower protection appears justified and necessary on the basis of currently available evidence. Such material scope may be extended to further areas or Union acts, if this proves necessary as a means of strengthening their enforcement in the light of evidence that may come to the fore in the future or on the basis of the evaluation of the way in which this Directive has operated and extends, on the basis of Article 352 TFEU, to all further areas or Union acts.
Amendment 92 #
Proposal for a directive
Recital 30
Recital 30
(30) Effective prevention of breaches of Union law requires that protection is also granted to persons who provide information about potential breaches, which have not yet materialised, but are likely to be committed. For the same reasons, protection is warranted also for persons who do not provide positive evidence but raise reasonable concerns or suspicions. At the same time, protection should not apply to the reporting of information which is already in the public domain or of unsubstantiated rumours and hearsay.
Amendment 92 #
Proposal for a directive
Recital 84
Recital 84
(84) The objective of this Directive, namely to strengthen enforcement in certain policy areas and acts where breaches of Union law can cause serious harm to the public interestof Union law through effective whistleblower protection, cannot be sufficiently achieved by the Member States acting alone or in an uncoordinated manner, but can rather be better achieved by Union action providing minimum standards of harmonisation on whistleblower protection. Moreover, only Union action can provide coherence and align the existing Union rules on whistleblower protection. Therefore, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve this objective.
Amendment 96 #
Proposal for a directive
Recital 31
Recital 31
(31) Retaliation expresses the close (cause and effect) relationship that must exist between the report and the adverse treatment suffered, directly or indirectly, by the reporting person, so that this person can enjoy legal protection. Effective protection of reporting persons as a means of enhancing the enforcement of Union law requires a broad definition of retaliation, encompassing any act or omission occurring in the work-related context which causes them detriment.
Amendment 97 #
Proposal for a directive
Article 1 – paragraph 1 – introductory part
Article 1 – paragraph 1 – introductory part
1. With a view to enhancing the enforcement of Union law and policies in specific areas, this Directive lays down common minimum standards for the protection of persons reporting on the following unlawful activities or abuse of law:
Amendment 98 #
Proposal for a directive
Recital 33
Recital 33
(33) Whistleblowers are, in particular, important sources for investigative journalists. Providing effective protection to whistleblowers from retaliationas well as to investigative journalists from retaliation and any form of harassment increases the legal certainty of (potential) whistleblowers and thereby encourages and facilitates whistleblowing also to the media. In this respect, protection of whistleblowers as journalistic sources is crucial for safeguarding the ‘watchdog’ role of investigative journalism in democratic societies.
Amendment 99 #
Proposal for a directive
Recital 34
Recital 34
(34) It is for the Member States to identify the authorities competent to receive and give appropriate follow up to the reports on breaches falling within the scope of this Directive. These may be regulatory or supervisory bodies in the areas concerned, law enforcement agencies, anti-corruption bodies and ombudsmen. The authorities designated as competent shall have the necessary capacities and powers to assess the accuracy of the allegations made in the report and to address the breaches reported, including by launching an investigation, prosecution or action for recovery of funds, or other appropriate remedial action, in accordance with their mandate. At the same time, an independent advisory and referral Unit within the European Ombudsman should be established with a view to coordinate with Member States and advise on specific measures for the protection of whistle-blowers and investigative journalists.
Amendment 101 #
Proposal for a directive
Recital 34
Recital 34
(34) It is for the Member States to identify the authorities competent to receive and give appropriate follow up to the reports on breaches falling within the scope of this Directive which also guarantee the highest possible level of independence and impartiality. These may be regulatory or supervisory bodies in the areas concerned, law enforcement agencies, anti-corruption bodies and ombudsmen. The authorities designated as competent shall have the necessary capacities and powers to assess the accuracy of the allegations made in the report and to address the breaches reported, including by launching an investigation, prosecution or action for recovery of funds, or other appropriate remedial action, in accordance with their mandate.
Amendment 105 #
Proposal for a directive
Recital 40
Recital 40
(40) It should be clear that, in the case of private legal entities which do not provide for internal reporting channels, reporting persons should be ableguaranteed the right to report directly externally to the competent authorities and such persons should enjoy the protection against retaliation provided by this Directive..
Amendment 107 #
Proposal for a directive
Recital 42
Recital 42
(42) Provided the confidentiality of the identity of the reporting person is ensured, it is up to each individual private and public legal entity to define the kind of reporting channels to set up, such as in person, by post, by physical complaint box(es), by telephone hotline or through an online platform (intranet or internet). However, reporting channels should not be limited to those amongst the tools, such as in-person reporting and complaint box(es), which do not guarantee confidentiality of the identity of the reporting person; anonymous reporting should be taken into consideration and protection of initially anonymous whistle-blowers should be put in place, in cases where such protection is required.
Amendment 108 #
(16) The protection of the financial interests of the Union, which relates to the fight against fraud, corruption, breaches of legal requirements, abuse of power and any other illegal activity affecting the use of Union expenditures, the collection of Union revenues and funds or Union assets, is a core area in which enforcement of Union law needs to be strengthened. The strengthening of the protection of the financial interests of the Union also encompasses implementation of the Union budget related to expenditures made on the basis of the Treaty establishing the European Atomic Energy Community. Lack of effective enforcement in the area of the financial interests of the Union, including fraud and corruption at national level, causes a decrease of the Union revenues and a misuse of EU funds, which can distort public investments and growth and undermine citizens’ trust in EU action. Whistleblower protection is necessary to facilitate the detection, prevention and deterrence of relevant fraud and illegal activities.
Amendment 114 #
Proposal for a directive
Article 1 – paragraph 1 – point d a (new)
Article 1 – paragraph 1 – point d a (new)
(da) all other sectors in which the public interest is damaged or EU law is breached;
Amendment 115 #
Proposal for a directive
Recital 45
Recital 45
(45) The most appropriate persons or departments within a private legal entity to be designated as competent to receive and follow up on reports depend on the structure of the entity, but, in any case, their function should ensure absence of conflict of interest and independence. For these subjects, a civil liability regime should be provided in case of will full misconduct or gross negligence. In smaller entities, this function could be a dual function held by a company officer well placed to report directly to the organisational head, such as a chief compliance or human resources officer, a legal or privacy officer, a chief financial officer, a chief audit executive or a member of the board.
Amendment 123 #
Proposal for a directive
Article 2 – paragraph 2
Article 2 – paragraph 2
2. This Directive shall also apply to reporting persons whose work-based relationship is yet to begin in cases where information concerning a breach has been acquired during the recruitment process or other pre-contractual negotiation, and to reporting persons whose working relationship has ceased.
Amendment 124 #
Proposal for a directive
Recital 57
Recital 57
(57) Member States should ensure the adequate record-keeping of all reports of infringement and that every report is retrievable within the competent authority and that information received through reports could be used as evidence in enforcement actions where appropriate, respecting, where possible, the privacy of the reporter.
Amendment 138 #
Proposal for a directive
Recital 30
Recital 30
(30) Effective prevention of breaches of Union law requires that protection is also granted to persons who provide information about potential breaches, which have not yet materialised, but are likely to be committed. For the same reasons, protection is warranted also for persons who do not provide positive evidence but raise reasonable concerns or suspicions. At the same time, protection should not apply to the reporting of information which is already in the public domain or of unsubstantiated rumours and hearsay.
Amendment 143 #
Proposal for a directive
Article 3 – paragraph 1 – point 12
Article 3 – paragraph 1 – point 12
(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal or external reporting which occurs in a work-related context or after the cessation of the working relationship and causes or may cause unjustified detriment to the reporting person;
Amendment 145 #
Proposal for a directive
Recital 31
Recital 31
(31) Retaliation expresses the close (cause and effect) relationship that must exist between the report and the adverse treatment suffered, directly or indirectly, by the reporting person, so that this person can enjoy legal protection. Effective protection of reporting persons as a means of enhancing the enforcement of Union law requires a broad definition of retaliation, encompassing any act or omission occurring in the work-related context which causes them detriment.
Amendment 150 #
Proposal for a directive
Recital 80
Recital 80
(80) This Directive introduces minimum standards and Member States should have the power to introduce or maintain more favourable provisions to the reporting person, provided that such provisions do not interfere with the measures for the protection of concerned persons. Moreover, the Member States can set up a reward system that can offer a fair compensation in the event that the report involves the prevention of considerable pecuniary damage or a recovery of significant sums by the European Union
Amendment 151 #
Proposal for a directive
Recital 34
Recital 34
(34) It is for the Member States to identify the authorities competent to receive and give appropriate follow up to the reports on breaches falling within the scope of this Directive and that guarantee a maximum degree of independence and impartiality. These may be regulatory or supervisory bodies in the areas concerned, law enforcement agencies, anti-corruption bodies and ombudsmen. The authorities designated as competent shall have the necessary capacities and powers to assess the accuracy of the allegations made in the report and to address the breaches reported, including by launching an investigation, prosecution or action for recovery of funds, or other appropriate remedial action, in accordance with their mandate.
Amendment 154 #
Proposal for a directive
Recital 82
Recital 82
(82) The material scope of this Directive is based on the identification of areas where the introduction of whistleblower protection appears justified and necessary on the basis of currently available evidence. Such material scope may and it shall be extended to furtherall areas or Union acts, if this proves necessary as a means of strengthening their enforcement in the light of evidence that may come to the fore in the future or on the basis of the evaluation of the way in which this Directive has operatedon the basis of the art. 352 of TFUE..
Amendment 157 #
Proposal for a directive
Recital 84
Recital 84
(84) The objective of this Directive, namely to strengthen enforcement in certain policy areas and acts where breaches of Union law can cause serious harm to the public interest through effective whistleblower protection, cannot be sufficiently achieved by the Member States acting alone or in an uncoordinated manner, but can rather be better achieved by Union action providing minimum standards of harmonisation on whistleblower protection. Moreover, only Union action can provide coherence and align the existing Union rules on whistleblower protection. Therefore, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve this objective.
Amendment 160 #
Proposal for a directive
Recital 40
Recital 40
(40) It should be clear that, in the case of private legal entities which do not provide for internal reporting channels, reporting persons should be ablemust be guaranteed the right to report directly externally to the competent authorities and such persons should enjoy the protection against retaliation provided by this Directive.
Amendment 165 #
Proposal for a directive
Article 1 – paragraph 1 – introductory part
Article 1 – paragraph 1 – introductory part
1. With a view to enhancing the enforcement of Union law and policies in specific areas, this Directive lays down common minimum standards for the protection of persons reporting on the following unlawful activities or abuse of law:
Amendment 167 #
Proposal for a directive
Recital 45
Recital 45
(45) The most appropriate persons or departments within a private legal entity to be designated as competent to receive and follow up on reports depend on the structure of the entity, but, in any case, their function should ensure absence of conflict of interest and independence. A set of rules regarding civil liability in the event of wilful misconduct or gross negligence on the part of such entities should be provided for. In smaller entities, this function could be a dual function held by a company officer well placed to report directly to the organisational head, such as a chief compliance or human resources officer, a legal or privacy officer, a chief financial officer, a chief audit executive or a member of the board.
Amendment 177 #
Proposal for a directive
Recital 57
Recital 57
(57) Member States should ensure the adequate record-keeping of all reports of infringement and that every report is retrievable within the competent authority and that information received through reports could be used as evidence in enforcement actions where appropriate, protecting the identity of the informant wherever possible.
Amendment 179 #
Proposal for a directive
Article 1 – paragraph 1 – point d a (new)
Article 1 – paragraph 1 – point d a (new)
d a) all the remaining sectors in which the public interest is harmed or there is a breach of EU law.
Amendment 188 #
Proposal for a directive
Article 2 – paragraph 1 – point a
Article 2 – paragraph 1 – point a
a) persons having the status of worker, or former worker, with the meaning of Article 45 TFEU;
Amendment 191 #
Proposal for a directive
Article 2 – paragraph 1 – point d a (new)
Article 2 – paragraph 1 – point d a (new)
d a) This Directive shall also apply to European Union staff members, as defined within the EU Staff Regulation
Amendment 194 #
Proposal for a directive
Article 2 – paragraph 1 – point d a (new)
Article 2 – paragraph 1 – point d a (new)
d a) investigative journalists.
Amendment 195 #
Proposal for a directive
Article 2 – paragraph 2
Article 2 – paragraph 2
2. This Directive shall also apply to reporting persons whose work-based relationship is yet to begin in cases where information concerning a breach has been acquired during the recruitment process or other pre-contractual negotiation, or even to reporting persons whose employment relationship is terminated.
Amendment 200 #
Proposal for a directive
Article 2 – paragraph 2 a (new)
Article 2 – paragraph 2 a (new)
2 a. This Directive shall also apply to legal and natural person associated with a reporting person if such person makes probable that suffered a detriment due to connection to a reporting person.
Amendment 201 #
Proposal for a directive
Article 2 – paragraph 2 b (new)
Article 2 – paragraph 2 b (new)
2 b. This Directive shall also apply to legal and natural person who makes probable that suffered a detriment due to the fact that was believed to be a reporting person or an associated person.
Amendment 206 #
Proposal for a directive
Article 13 – paragraph 1
Article 13 – paragraph 1
1. A reporting person shall qualify for protection under this Directive provided he or she has reasonable grounds to believe that the information reported was true at the time of reporting and that this information falls within the scope of this Directive.
Amendment 210 #
Proposal for a directive
Recital 78
Recital 78
(78) Penalties are necessary to ensure the effectiveness of the rules on whistleblower protection. Penalties against those who take retaliatory or other adverse actions against reporting persons can discourage further such actions. Penalties against persons who make a report or disclosure demonstrated to be knowingly false are necessary to deter further malicious reporting and preserve the credibility of the system. The proportionality of such penalties should ensure that they do not have a dissuasive effect on potential whistleblowers.
Amendment 212 #
Proposal for a directive
Recital 80
Recital 80
(80) This Directive introduces minimum standards and Member States should have the power to introduce or maintain more favourable provisions to the reporting person, provided that such provisions do not interfere with the measures for the protection of concerned persons. Member States may also offer commensurate rewards for information leading to the prevention of major financial losses or to the recovery of substantial amounts by the European Union.
Amendment 213 #
Proposal for a directive
Article 13 – paragraph 2 – point d
Article 13 – paragraph 2 – point d
(d) he or she could not reasonably be expected to use internal reporting channels in light of the subject-matter of the report and the gravity of the breach;
Amendment 216 #
(82) The material scope of this Directive is based on the identification of areas where the introduction of whistleblower protection appears justified and necessary on the basis of currently available evidence. Such material scope may be and is extended to all further areas or Union acts, if this proves necessary as a means of strengthening their enforcement in the light of evidence that may come to the fore in the future or on the basis of the evaluation of the way in which this Directive has operated under Article 352 TFEU.
Amendment 217 #
Proposal for a directive
Recital 84
Recital 84
(84) The objective of this Directive, namely to strengthen enforcement in certain policy areas and acts where breaches of Union law can cause serious harm to the public interestof Union law through effective whistleblower protection, cannot be sufficiently achieved by the Member States acting alone or in an uncoordinated manner, but can rather be better achieved by Union action providing minimum standards of harmonisation on whistleblower protection. Moreover, only Union action can provide coherence and align the existing Union rules on whistleblower protection. Therefore, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve this objective.
Amendment 224 #
Proposal for a directive
Article 1 – paragraph 1 – introductory part
Article 1 – paragraph 1 – introductory part
1. With a view to enhancing the enforcement of Union law and policies in specific areas, this Directive lays down common minimum standards for the protection of persons reporting on the following unlawful activities or abuse of law:
Amendment 225 #
Proposal for a directive
Article 3 – paragraph 1 – point 12
Article 3 – paragraph 1 – point 12
(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal or external reporting which occurs in a work-related context, or even after the termination of the employment relationship and causes or may cause unjustified detriment to the reporting person;
Amendment 228 #
Proposal for a directive
Article 17 – paragraph 2
Article 17 – paragraph 2
Amendment 230 #
Proposal for a directive
Article 19 – paragraph 1
Article 19 – paragraph 1
Member States may introduce or retain provisions more favourable to the rights of the reporting persons than those set out in this Directive, without prejudice to Article 16 and Article 17(2). In particular, it is possible to establish a reward system that may offer a fair reward in the event that the reporting results in the prevention of considerable damage to the assets of the European Union or the recovery of large sums by the EU.
Amendment 234 #
Proposal for a directive
Article 4 – paragraph 1
Article 4 – paragraph 1
1. Member States shall ensure that legal entities in the private and in the public sector establish internal channels and procedures for reporting and following up on reports, and protecting reporting persons, following consultations with social partners, if appropriate.
Amendment 237 #
Proposal for a directive
Article 4 – paragraph 6 – point a a (new)
Article 4 – paragraph 6 – point a a (new)
a a) European Union Institutions, Agencies and bodies;
Amendment 244 #
Proposal for a directive
Article 1 – paragraph 1 – point d a (new)
Article 1 – paragraph 1 – point d a (new)
(da) all other sectors in which the public interest has been undermined or Union law infringed
Amendment 250 #
Proposal for a directive
Article 5 – paragraph 1 – point e a (new)
Article 5 – paragraph 1 – point e a (new)
e a) the prompt acknowledgement of receipt of written reports to the postal or electronic address indicated by the reporting person;
Amendment 257 #
Proposal for a directive
Article 6 – paragraph 1 a (new)
Article 6 – paragraph 1 a (new)
1 a. The European Court of Auditors and the European Ombudsman shall publish, every year: a) Special Reports containing statistics and a clear track record of whistle- blowing cases identified in the European institutions; b) the follow-up of the institutions concerned in relation to the cases revealed, according to the provisions set therein; c) the outcome of each investigation open as a result of the information received form whistle-blowers; d) the measures foreseen in every case for the whistle-blowers´ protection.
Amendment 269 #
Proposal for a directive
Article 2 – paragraph 2
Article 2 – paragraph 2
2. This Directive shall also apply to reporting persons whose work-based relationship is yet to begin in cases where information concerning a breach has been acquired during the recruitment process or other pre-contractual negotiation, as well as to reporting persons whose work-based relationship has terminated.
Amendment 274 #
Proposal for a directive
Article 7 – paragraph 3
Article 7 – paragraph 3
3. Competent authorities shall ensure that a report received by means other than dedicated reporting channels referred to in paragraphs 1 and 2 is promptly forwarded without modification to the dedicated staff members of the competent authority by using dedicated communication channels. Anonymous reporting shall be taken into account.
Amendment 281 #
Proposal for a directive
Article 9 – paragraph 1 – point c
Article 9 – paragraph 1 – point c
c) the confidentiality regime applicable to reports, including a detailed description of the circumstances under which the confidential data of a reporting person may be disclosed; the same confidentiality regime and protection measures shall be applicable to whistle blowers who initially reported anonymously, if they ask for such measures.
Amendment 308 #
Proposal for a directive
Article 3 – paragraph 1 – point 12
Article 3 – paragraph 1 – point 12
(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal or external reporting which occurs in a work-related context or after the cessation of the working relationship and causes or may cause unjustified detriment to the reporting person;
Amendment 309 #
Proposal for a directive
Article 13 – paragraph 1
Article 13 – paragraph 1
1. A reporting person shall qualify for protection under this Directive provided he or she has reasonable grounds to believe that the information reported was true at the time of reporting and that this information falls within the scope of this Directive.
Amendment 317 #
Proposal for a directive
Article 13 – paragraph 2 – point d
Article 13 – paragraph 2 – point d
d) he or she could not reasonably be expected to use internal reporting channels in light of the subject-matter of the report and the seriousness of the violation;
Amendment 324 #
Proposal for a directive
Article 13 – paragraph 4 – introductory part
Article 13 – paragraph 4 – introductory part
4. A person publicly disclosing information on breaches falling within the scope of this Directive, including investigative journalists, shall qualify for protection under this Directive where:
Amendment 330 #
Proposal for a directive
Article 13 – paragraph 4 – point a a (new)
Article 13 – paragraph 4 – point a a (new)
a a) A person making a report or a disclosure anonymously and who subsequently has been identified shall qualify for protection as laid down in this Directive under the same conditions as a person who identified themselves when making a report or a disclosure
Amendment 339 #
Proposal for a directive
Article 14 – title
Article 14 – title
14 Prohibition of retaliation against reporting persons and investigative journalists
Amendment 342 #
Proposal for a directive
Article 14 – paragraph 1 – point g
Article 14 – paragraph 1 – point g
g) coercion, intimidation, harassment or ostracism at the workplace, in public or private life;
Amendment 348 #
Proposal for a directive
Article 14 – paragraph 1 – point k a (new)
Article 14 – paragraph 1 – point k a (new)
k a) abusive suing and disproportionate financial claims;
Amendment 350 #
Proposal for a directive
Article 14 a (new)
Article 14 a (new)
Article 14 a Duty of maintaining the confidentiality of the identity of reporting persons 1. The identity of a reporting person may not be disclosed without the individual’s explicit consent. This includes information that may be used to discover the identity of the reporting person. 2. Any person who learns about the data referred to in paragraph 1 of this Article shall be required to protect such data. 3. Circumstances under which the confidential data of a reporting person may be disclosed are limited to cases where the disclosure of data is a necessary and proportionate obligation required under Union or national law in the context of investigations or subsequent judicial proceedings or to safeguard the freedoms of others including the right of defence of the concerned person, and in each case subject to appropriate safeguards under such laws. 4. In the cases referred to in paragraph 3, the person designated to receive and follow-upon reports shall be required to notify the reporting person before disclosing his or her confidential data. 5. The internal and external reporting channels are designed, set up and operated in a manner that ensures the confidentiality of the identity of the reporting person, and prevents access to non-authorised staff members.
Amendment 355 #
Proposal for a directive
Article 15 – paragraph 3
Article 15 – paragraph 3
3. Reporting persons shall have access to effective assistance from competent authorities before any relevant authority involved in their protection against retaliation, including, where provided for under national law, certification of the fact that they qualify for protection under this Directive.
Amendment 357 #
Proposal for a directive
Article 15 – paragraph 5
Article 15 – paragraph 5
5. In judicial proceedings relating to a detriment suffered by the reporting person, and subject to him or her providing reasonable grounds to believeestablishing that the detriment was in retaliation for havingor she made thea report or disclosure, it shall be for the person who has taken the retaliatory measure to prove that the detriment was not a consequence of the report but was exclusively based on duly justified grounds and suffered a detriment it shall be presumed that the detriment was made in retaliation for having made the report or disclosure.
Amendment 359 #
Proposal for a directive
Article 15 – paragraph 6
Article 15 – paragraph 6
6. Reporting persons shall have access to remedial measures against retaliation as appropriate, including interim relief pending the resolution of legal proceedings, in accordance with the national frameworkcovering all direct, indirect, and future consequences of any detriment, including, as appropriate, a) making any provision to act taken in breach of Article 14 void; b) the reinstatement of the reporting person with equal salary, status, duties and working conditions; c) the transfer of the reporting person to a new department or supervisor; d) compensation for pain and suffering; e) interim relief pending the resolution of legal proceedings.
Amendment 360 #
Proposal for a directive
Article 15 – paragraph 6
Article 15 – paragraph 6
6. Reporting persons shall have access to remedial measures against retaliation as appropriate, including interim relief pending the resolution of legal proceedings, in accordance with the national framework.
Amendment 363 #
Proposal for a directive
Article 15 – paragraph 8
Article 15 – paragraph 8
8. In addition to providing legal aid to reporting persons in criminal and in cross- border civil proceedings in accordance with Directive (EU) 2016/1919 and Directive 2008/52/EC of the European Parliament and of the Council63 , and in accordance with national law, Member States mayshall provide for further measures of legal and financial assistance and support for reporting persons in the framework of legal proceedings. _________________ 63 Directive 2008/52/EC of the European Parliament and of the Council of 21 May 2008 on certain aspects of mediation in civil and commercial matters (OJ L 136, 24.5.2008, p. 3).
Amendment 371 #
Proposal for a directive
Article 17 – paragraph 1 – point b
Article 17 – paragraph 1 – point b
b) take retaliatory measures against reporting persons or investigative journalists revealing wrondoing;
Amendment 372 #
Proposal for a directive
Article 17 – paragraph 1 – point c
Article 17 – paragraph 1 – point c
c) bring vexatious proceedings against reporting persons or investigative journalists revealing wrongdoing;
Amendment 376 #
Proposal for a directive
Article 17 – paragraph 1 – point d a (new)
Article 17 – paragraph 1 – point d a (new)
d a) do not fulfil their obligation to follow- up on a report;
Amendment 378 #
Proposal for a directive
Article 17 – paragraph 1 – point d b (new)
Article 17 – paragraph 1 – point d b (new)
d b) do not fulfil their obligation to provide feedback to the reporting person about the follow up to the report.
Amendment 388 #
Proposal for a directive
Annex I – part II – subpart C a (new)
Annex I – part II – subpart C a (new)
Ca D. – protection of the Union’s financial interests; (i) Regulation (EU, EURATOM) No 1023/2013 of the European Parliament and of the Council of 22 October 2013 amending the Staff Regulations of Officials of the European Union and the Conditions of Employment of Other Servants of the European Union.
Amendment 426 #
Proposal for a directive
Article 13 – paragraph 1
Article 13 – paragraph 1
1. A reporting person shall qualify for protection under this Directive provided he or she has reasonable grounds to believe that the information reported was true at the time of reporting and that this information falls within the scope of this Directive.
Amendment 441 #
Proposal for a directive
Article 13 – paragraph 2 – point d
Article 13 – paragraph 2 – point d
(d) he or she could not reasonably be expected to use internal reporting channels in light of the subject-matter of the report and the gravity of the breach;
Amendment 500 #
Proposal for a directive
Article 17 – paragraph 2
Article 17 – paragraph 2
Amendment 508 #
Proposal for a directive
Article 19 – paragraph 1
Article 19 – paragraph 1
Member States may introduce or retain provisions more favourable to the rights of the reporting persons than those set out in this Directive, without prejudice to Article 16 and Article 17(2). In particular, it is possible to establish a reward system that may offer a fair reward in the event that the reporting results in the prevention of considerable damage to its assets or the recovery of large sums by the EU.