104 Amendments of Molly SCOTT CATO 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, 19, 33, 43, 50, 53(1), 62, 77, 78, 79, 83(1), 91, 100, 103, 109, 114, 153, 157, 168, 169, 192, 207 and 325(4) thereof and to the Treaty establishing the European Atomic Energy Community, and in particular Article 31 thereof,
Amendment 24 #
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. The purpose of this Directive is to create a climate of trust that enables whistleblowers to report observed or suspected breaches of law, wrongdoing and threats to the public interest. 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 whistleblowers are often discouraged from reporting their concerns or suspicions for fear of retaliation.
Amendment 30 #
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 introducingto ensure that there are effective reporting channels.
Amendment 34 #
Proposal for a directive
Recital 5
Recital 5
(5) Accordingly, common minimum standards ensuring effective whistleblower protection should apply in 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 toundermine the public interest.
Amendment 40 #
Proposal for a directive
Recital 10
Recital 10
(10) Evidence-gathering, preventing, detecting and addressing environmental crimes and unlawful conduct or omissions as well as potential breaches against the protection of the environment remain a challenge and need to be reinforced as acknowledged in the Commission Communication "EU actions to improve environmental compliance and governance" of 18 January 201840 . Whilst whistleblower protection rules exist at present only in one sectorial instrument on environmental protection41 , the introduction of such protection appearis necessary to ensure effective enforcement of the Union environmental acquis, whose breaches can cause serious harm to the public interest with possible spill-over impacts across national borders. This is also relevant in cases where unsafe products can cause environmental harm. _________________ 40 COM(2018) 10 final. 41 Directive 2013/30/EU of the European Parliament and of the Council, of 12 June 2013, on safety of offshore oil and gas operations (OJ L 178, p. 66).
Amendment 45 #
Proposal for a directive
Recital 13
Recital 13
(13) In the same vein, whistleblowers’ reports can be key to detecting and preventing, reducing or eliminating risks to public health and to consumer protection resulting from breaches of Union rules which might otherwise remain hidden. In particular, consumer protection is also strongly linked to cases where unsafe products can cause considerable harm to consumers. Whistleblower protection should therefore be introduced in relation to relevant Union rules adopted pursuant to Articles 114, 168 and 169 TFEU.
Amendment 47 #
Proposal for a directive
Recital 14
Recital 14
(14) The protection of privacy and personal data is another area where whistleblowers are in a privileged position to disclose breaches of Union law which can seriously harm the public interest. Similar considerations apply for breaches of the Directive on the security of network and information systems45 , which introduces notification of incidents (including those that do not compromise personal data) and security requirements for entities providing essential services across many sectors (e.g. energy, health, transport, banking, etc.) and providers of key digital services (e.g. cloud computing services). Whistleblowers' reporting in this area is particularly valuable to prevent security incidents that would affect key economic and social activities and widely used digital services. It helps ensuring the continuity of services which are essential for the functioning of the internal market and the wellbeing of society. _________________ 45 Directive (EU) 2016/1148 of the European Parliament and of the Council of 6 July 2016 concerning measures for a high common level of security of network and information systems across the Union.
Amendment 52 #
Proposal for a directive
Recital 19
Recital 19
(19) Each time a new Union act for which whistleblower protection is relevant and can contribute to more effective enforcement is adopted, consideration should be given to whether to amendit should be added to the Annex to the present Directive in order to place it under its scope.
Amendment 54 #
Proposal for a directive
Recital 20
Recital 20
(20) This Directive should be without prejudiceis a complement to the protection afforded to employees when reporting on breaches of Union employment law. In particular, in the area of occupational safety and health, Article 11 of Framework Directive 89/391/EEC already requires Member States to ensure that workers or workers' representatives shall not be placed at a disadvantage because of their requests or proposals to employers to take appropriate measures to mitigate hazards for workers and/or to remove sources of danger. Workers and their representatives are entitled to raise issues with the competent national authorities if they consider that the measures taken and the means employed by the employer are inadequate for the purposes of ensuring safety and health.
Amendment 55 #
Proposal for a directive
Recital 21
Recital 21
(21) This Directive should be without prejudice to the protection of national security and other classified information which Union law or the laws, regulations or administrative provisions in force in the Member State concerned require, for security reasons, to be protected from unauthorised access. In particular, Moreover, the provision of this Directive should not affectbe read together with the obligations arising from Commission Decision (EU, Euratom) 2015/444 of 13 March 2015 on the security rules for protecting EU classified information or Council Decision of 23 September 2013 on the security rules for protecting EU classified information.
Amendment 57 #
Proposal for a directive
Recital 22
Recital 22
(22) Persons who report information, particularly about threats or harm to the public interest obtained in the context of their work- related activities, make use of their right to freedom of expression. The right to freedom of expression, enshrined in Article 11 of the Charter of Fundamental Rights of the European Union (‘the Charter’) and in Article 10 of the European Convention on Human Rights (ECHR), encompasses freedom of information as well as media freedom and pluralism.
Amendment 60 #
Proposal for a directive
Recital 24
Recital 24
(24) Persons need specific legal protection where they acquireconcerning the information they report through their work-related activities and theacquire and where their decision to refpore run thet it results in a risk of work-related or other retaliation (for instance, for breaching the duty of confidentiality or loyaltyEU legislation on trade secrets). The underlying reason for providing them with protection is their position of economic vulnerability vis-à-vis the person on whom they de facto depend for work. When there is no such work-related power imbalance (for instance in the case of ordinary complainants or citizen bystanders) there is no need for protection against retaliationare reporting or on whom they de facto depend for work.
Amendment 61 #
Proposal for a directive
Recital 25
Recital 25
(25) Effective enforcement of Union law requires that protection is granted to the broadest possible range of categories of persons, who, irrespective of whether they are EU citizens or third-country nationals, by virtue of work-related activities (irrespective of the nature of these activities,whether they are paid or not), have privilegedhave access to information about breaches that would be in the public’s interest to report and who may suffer retaliation if they report them. Member States should ensure that the need for protection is determined by reference to all the relevant circumstances and not merely by reference to the nature of the relationship, so as to cover the whole range of persons connected in a broad sense to the organisation where the breach has occurredall persons connected to the report.
Amendment 66 #
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 vulnerability in the context of their work-related activitiesvis-à-vis the legal or natural person reported on. 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 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 67 #
Proposal for a directive
Recital 28
Recital 28
(28) Effective whistleblower protection implies protecting also further categories of persons who, whilst not relying on their work-related activities economically, may nevertheless suffer retaliation for exposing breaches. Retaliation against volunteers and unpaid trainees may take the form of no longer making use of their services, or of giving a negative reference for future employment or otherwise damaging their reputation. Retaliation against investigators or reporters could take the form of strategic litigation suits, for example regarding libel or defamation.
Amendment 70 #
Proposal for a directive
Recital 29
Recital 29
(29) Effective detection and prevention of serious harm to the public interest requires that the information reported which qualifies for protection covers not only unlawful activities but also abuse of law, namely acts or omissions which do not appear to be unlawful in formal terms but defeat the object or the purpose of the law or otherwise present a real or potential threat to the public interest.
Amendment 71 #
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 72 #
Proposal for a directive
Recital 30 a (new)
Recital 30 a (new)
(30 a) Protection should be given to individuals working at institutions within the Union, but also to individuals working in European entities located outside Union territory. It should also apply to officials as well as other employees and interns working at the institutions, agencies and bodies of the Union.
Amendment 77 #
Proposal for a directive
Recital 42
Recital 42
(42) Provided the anonymity or 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 anonymity nor confidentiality of the identity of the reporting person.
Amendment 78 #
Proposal for a directive
Recital 43
Recital 43
(43) Third parties may also be authorised to receive reports on behalf of private and public entities, provided they offer appropriate guarantees of respect for independence, confidentiality, data protection and secrec, secrecy and the possibility for anonymity. These can be external reporting platform providers, external counsel or auditors or trade union representatives.
Amendment 79 #
Proposal for a directive
Recital 44
Recital 44
(44) Internal reporting procedures should enable private legal entities to receive and investigate reports in full confidentiality reportsand with respect of anonymity, if appropriate, by the employees of the entity and of its subsidiaries or affiliates (the group), but also, to any extent possible, by any of the group’s agents and suppliers and by any person who acquires information through his/her work-related activities with the entity and the group.
Amendment 80 #
Proposal for a directive
Recital 47
Recital 47
(47) Persons who are considering reporting breaches of Union law should be able to make an informed decision on whether, how and when to report. Private and public entities having in place internal reporting procedures shall provide information on these procedures as well as on procedures to report externally to relevant competent authorities. They should also provide information on rights guaranteed to whistleblowers, particularly their right to disclosure guaranteed by this Directive, and their right to turn to civil society organisations involved in whistleblower protection to this end, in particular those who provide strategic and legal advice to whistleblowers. Such information must be easily understandable and easily accessible, including, to any extent possible, also to other persons, beyond employees, who come in contact with the entity through their work-related activities, such as service-providers, distributors, suppliers and business partners. For instance, such information may be posted at a visible location accessible to all these persons and to the web of the entity and may also be included in courses and trainings on ethics and integrity.
Amendment 81 #
Proposal for a directive
Recital 48
Recital 48
(48) Effective detection and prevention of breaches of Union law requires ensuring that potential whistleblowers can easily and in full confidentiality and anonymity bring the information they possess to the attention of the relevant competent authorities which are able to investigate and to remedy the problem, where possible.
Amendment 82 #
Proposal for a directive
Recital 48 a (new)
Recital 48 a (new)
(48 a) In all cases, the reporting person should be informed of the investigation's progress and should be able to access the draft report so as to be able to comment on it and correct it if necessary, albeit with no obligation to do so. The reporting person should also be informed of the investigation's outcome.
Amendment 87 #
Proposal for a directive
Recital 58
Recital 58
(58) Protection of personal data of the reporting and concerned person, as well as of the report itself, is crucial in order to avoid unfair treatment or reputational damages due to disclosure of personal data, in particular data revealing the identity of a person concerned. Hence, in line with the requirements of Regulation (EU) 2016/679 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data (General Data Protection Regulation, hereinafter also referred to as 'GDPR'), competent authorities should establish adequate data protection procedures specifically geared to the protection of the reporting person, the concerned person and any third person referred to in the report that should include a secure system within the competent authority with restricted access rights for authorised staff only.
Amendment 88 #
Proposal for a directive
Recital 59
Recital 59
(59) The regular review of the procedures of competent authorities and the exchange of good practices between them and competent civil society organisations should guarantee that those procedures are adequate and thus serving their purpose.
Amendment 89 #
Proposal for a directive
Recital 61
Recital 61
(61) The requirement of a tiered use of reporting channels, as a general rule, is necessary to ensure that the information gets to the persons who can contribute to the early and effective resolution of risks to the public interest as well as to prevent unjustified reputational damage from public disclosure. At the same time, some exceptions to its application are necessary, allowing the reporting person to choose the most appropriate channel depending on the individual circumstances of the case. Moreover, iIt is necessary to protect public disclosures taking into account democratic principles such as transparency and accountability, and fundamental rights such as freedom of expression and media freedom, whilst balancing the interest of employers to manage their organisations and to protect their interests with the interest of the public to be protected from harm, in line with the criteria developed in the case-law of the European Court of Human Rights57 . _________________ 57 One of the criteria for determining whether retaliation against whistleblowers making public disclosures interferes with freedom of expression in a way which is not necessary in a democratic society, is whether the persons who made the disclosure had at their disposal alternative channels for making the disclosure; see, for instance, Guja v. Moldova [GC], no 14277/04, ECHR 2008.
Amendment 91 #
Proposal for a directive
Recital 62
Recital 62
Amendment 93 #
Proposal for a directive
Recital 63
Recital 63
Amendment 94 #
Proposal for a directive
Recital 65
Recital 65
(65) Reporting persons should be protected against any form of retaliation, whether direct or indirect, taken by their employer or customer/recipient of services and by persons working for or acting on behalf of the latter, including co-workers and managers in the same organisation or in other organisations with which the reporting person is in contact in the context of his/her work-related activities, where retaliation is recommended or tolerated by the concerned person. Protection should be provided against retaliatory measures taken vis-à-vis the reporting person him/herself but also those that may be taken vis-à-vis the legal entity he/she represents, such as denial of provision of services, blacklisting or business boycotting. Protection against retaliation should also be granted to natural or legal persons closely linked to the reporting person, irrespective of the nature of the activities, and whether they are paid or not. Indirect retaliation also includes actions taken against relatives of the reporting person who are also in a work-related connection with the latter’s employer or customer/recipient of services and workers’ representatives who have provided support to the reporting person.
Amendment 96 #
Proposal for a directive
Recital 67
Recital 67
(67) Potential whistleblowers who are not sure about how to report or whether they will be protected in the end may be discouraged from reporting. Member States should ensure that relevant information is provided in a user-friendly way and is easily accessible to the general public and support the work of civil society organisations providing this information. Individual, impartial and confidential advice, free of charge, should be available on, for example, whether the information in question is covered by the applicable rules on whistleblower protection, which reporting channel may best be used and which alternative procedures are available in case the information is not covered by the applicable rules (‘signposting’). Access to such advice can help ensure that reports are made through the appropriate channels, in a responsible manner and that breaches and wrongdoings are detected in a timely manner or even prevented.
Amendment 97 #
Proposal for a directive
Recital 74
Recital 74
(74) Action taken against reporting persons outside the work-related context, through proceedings, for instance, related to defamation, breach of copyright, trade secrets, confidentiality and personal data protection, can also pose a serious deterrent to whistleblowing. The protection of whistleblowers provided for in this Directive shall prevail over Directive (EU) 2016/943 of the European Parliament and of the Council58 exempts reporting persons from the civil redress measures, procedures and remedies it provides for that, in case the alleged acquisition, use or disclosure of the trade secret was carried out for revealingcan reasonably be assumed to serve as proof of actual misconduct, wrongdoing or illegal activity, provided that the respondent acted for the purpose of protecting the general public interest. Also in other proceedings, reporting persons should be able to rely on having made a report or disclosure in accordance with this Directive as a defence. In such cases, the person initiating the proceedings should carry the burden to prove any intent on the part of the reporting person to violate the law. _________________ 58 Directive (EU) 2016/943 of the European Parliament and of the Council of 8 June 2016 on the protection of undisclosed know-how and business information (trade secrets) against their unlawful acquisition, use and disclosure (OJ L 157, 15.6.2016, p. 1).
Amendment 98 #
Proposal for a directive
Recital 75
Recital 75
(75) A significant cost for reporting persons contesting retaliation measures taken against them in legal proceedings can be the relevant legal fees. Although they could recover these fees at the end of the proceedings, they might not be able to cover them up front, especially if they are unemployed and blacklisted. Assistance for criminal legal proceedings, particularly in accordance with the provisions of Directive (EU) 2016/1919 of the European Parliament and of the Council59 and more generally support to those who are in serious financial need might be key, in certain cases,is key for the effective enforcement of their rights to protection. _________________ 59 Directive (EU) 2016/1919 of the European Parliament and of the Council of 26 October 2016 on legal aid for suspects and accused persons in criminal proceedings and for requested persons in European arrest warrant proceedings (OJ L 297 4.11.2016, p. 1).
Amendment 99 #
Proposal for a directive
Recital 77
Recital 77
(77) Any person who suffers prejudice, whether directly or indirectly, as a consequence of the reporting or disclosure of inaccurate or misleading information should retain the protection and the remedies available to him or her under the rules of general law. Where sufficient evidence has been produced demonstrating that such inaccurate or misleading report or disclosure was made deliberately and knowingly, the concerned persons should be entitled to compensation in accordance with national law.
Amendment 100 #
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 101 #
Proposal for a directive
Recital 80
Recital 80
(80) This Directive introduces minimum standards and Member States should have the power and be encouraged 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.
Amendment 102 #
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 104 #
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 or threats to the public interest, including:
Amendment 105 #
Proposal for a directive
Article 1 – paragraph 1 – point a – introductory part
Article 1 – paragraph 1 – point a – introductory part
a) breaches falling within the scope of the Union acts set out in the Annex (Part I and Part II) as regards, including but not limited to the following areas:
Amendment 107 #
Proposal for a directive
Article 1 – paragraph 1 – point a – point ii
Article 1 – paragraph 1 – point a – point ii
(ii) financial services, prevention of money laundering and terrorist financing, corruption and organised crime;
Amendment 109 #
Proposal for a directive
Article 1 – paragraph 1 – point a – point v
Article 1 – paragraph 1 – point a – point v
(v) protection of the environment, sustainable development, waste management, sea, air and noise pollution, protection and management of water and soils, protecting the natural world and biodiversity as well as combating climate change and wildlife crime;
Amendment 110 #
Proposal for a directive
Article 1 – paragraph 1 – point a – point viii
Article 1 – paragraph 1 – point a – point viii
(viii) public health or public safety;
Amendment 111 #
Proposal for a directive
Article 1 – paragraph 1 – point a – point x a (new)
Article 1 – paragraph 1 – point a – point x a (new)
(x a) employment and working conditions;
Amendment 112 #
Proposal for a directive
Article 1 – paragraph 1 – point a – point x b (new)
Article 1 – paragraph 1 – point a – point x b (new)
(x b) tax fraud, tax evasion and tax avoidance;
Amendment 113 #
Proposal for a directive
Article 1 – paragraph 1 – point a – point x c (new)
Article 1 – paragraph 1 – point a – point x c (new)
(x c) violations of human rights or of the rights enshrined in the European Charter of Fundamental Rights;
Amendment 114 #
Proposal for a directive
Article 1 – paragraph 1 – point a – point x d (new)
Article 1 – paragraph 1 – point a – point x d (new)
(x d) company law;
Amendment 115 #
Proposal for a directive
Article 1 – paragraph 1 – point a – point x e (new)
Article 1 – paragraph 1 – point a – point x e (new)
(x e) asylum and migration law;
Amendment 116 #
Proposal for a directive
Article 1 – paragraph 1 – point b
Article 1 – paragraph 1 – point b
b) Competition law, especially breaches of Articles 101, 102, 106, 107 and 108 TFEU and breaches falling within the scope of Council Regulation (EC) No 1/2003 and Council Regulation (EU) No 2015/1589;
Amendment 117 #
Proposal for a directive
Article 1 – paragraph 1 – point d
Article 1 – paragraph 1 – point d
d) breaches relating to the internal market, as referred to in Article 26(2) TFEU, particularly as regards acts which breach the rules of corporate tax or arrangements whose purpose is to obtain a tax advantage that defeats the object or purpose of the applicable corporate tax law.
Amendment 118 #
Proposal for a directive
Article 1 – paragraph 2
Article 1 – paragraph 2
2. Where specific rules on the reporting of breaches are provided for in sector-specific Union acts listed in Part 2 of the Annex, those rules shall apply. The provisions of this Directive shall be applicable for all matters relating to the protection of reporting persons not regulated in those sector-specific Union acts. This paragraph shall apply only in cases where the protection foreseen in sector-specific acts is higher than the one guaranteed by this directive.
Amendment 119 #
Proposal for a directive
Article 2 – paragraph 1 – introductory part
Article 2 – paragraph 1 – introductory part
1. This Directive shall apply to reporting persons workingand facilitators in the private or public sector who acquired information on breaches in a work-related context including, at least, the following:
Amendment 121 #
Proposal for a directive
Article 2 – paragraph 1 – point d
Article 2 – paragraph 1 – point d
d) any persons working under the supervision and direction of contractors, subcontractors, service providers and suppliers.
Amendment 122 #
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 work-based relationships that have terminated.
Amendment 123 #
Proposal for a directive
Article 2 – paragraph 2 a (new)
Article 2 – paragraph 2 a (new)
2 a. Without prejudice to Articles 22a, 22b and 22c of Regulation No 31 (EEC), 11 (EAEC), this Directive shall also apply to the officials and the other servants of the European Union and the European Atomic Energy Community who report information on any of the breaches referred to in Article 1.
Amendment 124 #
Proposal for a directive
Article 3 – paragraph 1 – point 1
Article 3 – paragraph 1 – point 1
(1) ‘breaches’ means actual or potential unlawful activities, omissions or abuse of law relating to the Union acts and, notably in areas falling within the scope referred to in Article 1 and in the Annex;
Amendment 125 #
Proposal for a directive
Article 3 – paragraph 1 – point 3
Article 3 – paragraph 1 – point 3
(3) ‘abuse of law’ means acts or omissions falling within the scope of Union law which do not appear to be unlawful in formal terms but defeat the object or the purpose pursued by the applicable rules or represent a danger or a potential danger to the public interest;
Amendment 126 #
Proposal for a directive
Article 3 – paragraph 1 – point 4
Article 3 – paragraph 1 – point 4
(4) ‘information on breaches’ means evidenceinformation about actual breaches as well as reasonable suspicions about potential breaches which have not yet materialised;
Amendment 127 #
Proposal for a directive
Article 3 – paragraph 1 – point 5
Article 3 – paragraph 1 – point 5
(5) ‘report’ means the provision of information relating to a breach which has occurred or is likely to occur in the organisation at which the reporting person works or has worked orand/or in the event of a serious, imminent threat or where there ins another organisation with which he or she is or was in contact through his or her work risk of irreversible damage to the environment and/or public health;
Amendment 128 #
Proposal for a directive
Article 3 – paragraph 1 – point 8
Article 3 – paragraph 1 – point 8
(8) ‘disclosure’ means making information on breaches acquired within the work-related context available to the public domain;
Amendment 129 #
Proposal for a directive
Article 3 – paragraph 1 – point 9
Article 3 – paragraph 1 – point 9
(9) ‘reporting person’ means a natural or legal person who reports or discloses information on breaches acquired in the context of his or her work-related activiti, or who contributes, assists or aids to reveal or make public information on breaches;
Amendment 130 #
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 andor disclosure and which causes or may cause unjustified detriment to the reporting person, suspected reporting person or their family members, relatives and facilitators;
Amendment 131 #
Proposal for a directive
Article 3 – paragraph 1 – point 13
Article 3 – paragraph 1 – point 13
(13) ‘follow-up’ means any action taken by the recipient of the report, made internally or externally, to assess the accuracy of the allegations made in the report and, where relevant, to address the breach reported, including actions such as internal enquiry, investigation, prosecution, action for recovery of funds and closure as well as any other appropriate remedial or mitigation action;
Amendment 132 #
Proposal for a directive
Article 3 – paragraph 1 – point 14
Article 3 – paragraph 1 – point 14
(14) ‘competent authority’ means any nationallegally responsible Union or Member State authority entitled to receive reports in accordance with Chapter III and designated to carry out the duties provided for in this Directive, in particular as regards the follow up of reports.
Amendment 134 #
Proposal for a directive
Article 4 – paragraph 2
Article 4 – paragraph 2
Amendment 135 #
Proposal for a directive
Article 4 – paragraph 3 – point b – paragraph 1
Article 4 – paragraph 3 – point b – paragraph 1
private legal entities with an annual business or group turnover or annual balance sheet
Amendment 137 #
Proposal for a directive
Article 4 – paragraph 6 – point d a (new)
Article 4 – paragraph 6 – point d a (new)
d a) European Union institutions, agencies and bodies;
Amendment 138 #
Proposal for a directive
Article 5 – paragraph 1 – point a
Article 5 – paragraph 1 – point a
a) channels for receiving the reports which are designed, set up and operated in a manner that ensures an acknowledgement of the receipt of a report, that ensures the confidentiality or anonymity of the identity of the reporting person and prevents access to non- authorised staff members;
Amendment 139 #
Proposal for a directive
Article 5 – paragraph 1 – point c
Article 5 – paragraph 1 – point c
c) diligent follow up to the report by the designated person or department and appropriate and timely action if needed;
Amendment 141 #
Proposal for a directive
Article 5 – paragraph 1 – point d
Article 5 – paragraph 1 – point d
d) a reasonable timeframe, not exceeding three month30 days following the report, to provide feedback to the reporting person about the follow-up to the report;
Amendment 142 #
Proposal for a directive
Article 5 – paragraph 1 – point d a (new)
Article 5 – paragraph 1 – point d a (new)
d a) the opportunity for the reporting person, with no obligation to do so, to look over, examine and comment on the final report at the end of the investigation;
Amendment 143 #
Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a
Article 5 – paragraph 2 – subparagraph 1 – point a
(a) written reports in electronic or paper format and/or oral report through telephone lines, whether recorded or unrecorded; in case the phone conversation is recorded, the prior consent of the reporting person is necessary;
Amendment 144 #
Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point b
Article 5 – paragraph 2 – subparagraph 1 – point b
(b) physical meetings with the person or department designated to receive reports. accompanied, if the reporting person requests it, by a union representative, by a representative of civil society or his/her legal representative;
Amendment 145 #
Proposal for a directive
Article 5 – paragraph 2 a (new)
Article 5 – paragraph 2 a (new)
2 a. Reporting channels, including digital mechanisms, and institutional arrangements shall provide for safe, secure, confidential and anonymous disclosures.
Amendment 147 #
Proposal for a directive
Article 5 – paragraph 3
Article 5 – paragraph 3
3. The person or department referred to in point (b) of paragraph 1 may be the same person who is competent for receiving the reports. Additional persons may be designated as “trusted persons” from whom reporting persons and those considering reporting may seek confidential advice including trade union representatives.
Amendment 149 #
Proposal for a directive
Article 6 – paragraph 2 – point a
Article 6 – paragraph 2 – point a
a) establish independent and autonomous external reporting channels, which are both secure and ensure confidentiality, for receiving and handling information provided by the reporting person and allow for anonymous reporting;
Amendment 150 #
Proposal for a directive
Article 6 – paragraph 2 – point b
Article 6 – paragraph 2 – point b
b) acknowledge receipt of the report , give feedback to the reporting person about the follow-up of the report within a reasonable timeframe not exceeding three months or six months in duly justified casewo months;
Amendment 151 #
Proposal for a directive
Article 6 – paragraph 2 – point b a (new)
Article 6 – paragraph 2 – point b a (new)
b a) gives the reporting person the opportunity, without compelling him/her, to look over, examine and comment on the draft report over the course of the investigation, and the final report before it is published at the end of the investigation;
Amendment 156 #
Proposal for a directive
Article 6 – paragraph 4
Article 6 – paragraph 4
4. Member States shall ensure that any authority which has received a report but does not have the competence to address the breach reported transmits it to the competent authority and that the reporting person is informed. Member States shall ensure that competent authorities receiving reports they do not have competence to address have clear procedures for handling all disclosed information securely with due regard to confidentiality or anonymity.
Amendment 160 #
Proposal for a directive
Article 7 – paragraph 1 – point c a (new)
Article 7 – paragraph 1 – point c a (new)
c a) they guarantee free and independent advice and legal support for reporting persons and intermediaries.
Amendment 161 #
Proposal for a directive
Article 7 – paragraph 2 – point c
Article 7 – paragraph 2 – point c
c) physical meeting with dedicated staff members of the competent authority accompanied, if the reporting person requests it, by a union representative, by a representative of civil society or his/her legal representative.
Amendment 162 #
Proposal for a directive
Article 7 – paragraph 4
Article 7 – paragraph 4
4. Member States and EU bodies shall establish procedures to ensure that, where a report being initially addressed to a person who has not been designated as responsible handler for reports that person is refrained from disclosing any information that might identify the reporting or the concerned person.
Amendment 164 #
Proposal for a directive
Article 8 – paragraph 1
Article 8 – paragraph 1
1. Member States shall ensure that competent authorities have an adequate number of competent staff members dedicated to handling reports. Dedicated staff members shall receive specific training for the purposes of handling reports.
Amendment 168 #
Proposal for a directive
Article 9 – paragraph 1 – point b
Article 9 – paragraph 1 – point b
b) a reasonable timeframe, not exceeding three months or six months in duly justified casewo months, for giving feed-back to the reporting person about the follow-up of the report and the type and content of this feed-back;
Amendment 169 #
Proposal for a directive
Article 9 – paragraph 1 – point c a (new)
Article 9 – paragraph 1 – point c a (new)
c a) giving the reporting person the opportunity, without compelling him/her, to look over, examine and comment on the draft report over the course of the investigation, and the final report before it is published at the end of the investigation.
Amendment 171 #
Proposal for a directive
Article 10 – paragraph 1 – point g a (new)
Article 10 – paragraph 1 – point g a (new)
g a) contact information of civil society organisations where legal advice can be obtained free of charge.
Amendment 174 #
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 regardless of the reporting channel chosen.
Amendment 176 #
Proposal for a directive
Article 13 – paragraph 1 a (new)
Article 13 – paragraph 1 a (new)
1 a. A person who anonymously disclosed information that falls within the scope of this Directive and whose identity was revealed shall also qualify for protection under this Directive.
Amendment 177 #
Proposal for a directive
Article 13 – paragraph 2
Article 13 – paragraph 2
Amendment 178 #
Proposal for a directive
Article 13 – paragraph 4
Article 13 – paragraph 4
Amendment 180 #
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, discrimination or ostracism;
Amendment 181 #
Proposal for a directive
Article 14 – paragraph 1 – point n
Article 14 – paragraph 1 – point n
n) cancellation of a licence or permit.;
Amendment 182 #
Proposal for a directive
Article 14 – paragraph 1 – point n a (new)
Article 14 – paragraph 1 – point n a (new)
n a) loss of benefits or status;
Amendment 183 #
Proposal for a directive
Article 14 – paragraph 1 – point n b (new)
Article 14 – paragraph 1 – point n b (new)
n b) retaliatory investigations;
Amendment 184 #
Proposal for a directive
Article 14 – paragraph 1 – point n c (new)
Article 14 – paragraph 1 – point n c (new)
n c) cancellation of duties;
Amendment 185 #
Proposal for a directive
Article 14 – paragraph 1 – point n d (new)
Article 14 – paragraph 1 – point n d (new)
n d) suspension of revocation of security clearance;
Amendment 186 #
Proposal for a directive
Article 14 – paragraph 1 – point n e (new)
Article 14 – paragraph 1 – point n e (new)
n e) obstruction or cancellation of retirement benefits;
Amendment 187 #
Proposal for a directive
Article 14 – paragraph 1 – point n f (new)
Article 14 – paragraph 1 – point n f (new)
n f) initiation of retaliatory lawsuits or prosecutions.
Amendment 193 #
Proposal for a directive
Article 16 a (new)
Article 16 a (new)
Article 16 a Rights of Persons Implicated Member States shall ensure that any findings or reports resulting from an assessment or an investigation of, or prompted by one or more protected disclosure(s) does not unjustly prejudice any individual, whether directly or indirectly. The right to a fair hearing or trial shall also be fully respected.
Amendment 195 #
Proposal for a directive
Article 17 – paragraph 1 – point d
Article 17 – paragraph 1 – point d
d) breach the duty of maintaining the confidentiality or the anonymity of the identity of reporting persons.
Amendment 196 #
Proposal for a directive
Article 17 – paragraph 1 – point d a (new)
Article 17 – paragraph 1 – point d a (new)
d a) repeat the infringement reported by the reporting person once the case is closed.
Amendment 197 #
Proposal for a directive
Article 17 – paragraph 2
Article 17 – paragraph 2
2. Member States shall provide for effective, proportionate and dissuasive penalties applicable to persons making malicious or abusive reports or disclosures, including measures for compensating persons who have suffered damage from malicious or abusive reports or disclosures by retaining the protection and applying the rules of general law.
Amendment 199 #
Proposal for a directive
Article 17 a (new)
Article 17 a (new)
Article 17 a No Waiver of Rights and Remedies The rights and remedies provided for under this Directive may not be waived or limited by any agreement, policy, form or condition of employment, including by any pre-dispute arbitration agreement. Any attempt to waive or limit these rights and remedies shall be considered void and unenforceable.
Amendment 201 #
Proposal for a directive
Article 20 – paragraph 2 a (new)
Article 20 – paragraph 2 a (new)
2 a. When transposing this directive, Member States may consider the establishment of an independent whistleblower protection authority.
Amendment 205 #
Proposal for a directive
Article 22 a (new)
Article 22 a (new)
Article 22 a Updating the Annexes Whenever a new EU legal act falls into the material scope laid down in Article 1 (1) (a) or Article 1 (2), the Commission shall update the Annexes accordingly via a delegated act.