2018/0106(COD) | [ParlTrack]

Proposal for a directive
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 whistleblowers are often discouraged from reporting their concerns or suspicions for fear of retaliation. The purpose of this Directive is to create a climate of trust that enables whistleblowers to report observed or suspected breaches of law, as well as threats to the public interest.

Amendment 204 #

Proposal for a directive
Recital 1

Amendment 205 #

Proposal for a directive
Recital 1

Amendment 206 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches of Union law or the national law of the Member State concerned 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 207 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches 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~~to ensure that there are effective reporting channels.

Amendment 208 #

Proposal for a directive
Recital 4

(4) Whistleblower protection currently provided in the European Union is fragmented across Member States ~~and~~, uneven across policy areas and often seriously inadeqaute. The consequences of breaches of Union law with cross-border dimension uncovered by whistleblowers illustrate how insufficient protection in one Member State 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 209 #

Proposal for a directive
Recital 6

(6) Whistleblower protection is necessary in particular to enhance the enforcement of Union law on public procurement. In addition to the need of preventing and detecting fraud and corruption in the context of the implementation of the EU budget, including procurement, it is necessary to tackle insufficient enforcement of rules on public procurement by national public authorities and certain public utility operators when purchasing goods, works and services. Breaches of such rules create distortions of competition, increase costs for doing business, violate the interests of investors and shareholders and, overall, lower attractiveness for investment and create an uneven level playing field for all businesses across Europe, thus affecting the proper functioning of the internal market.

Amendment 210 #

Proposal for a directive
Recital 7

(7) In the area of financial services, where whistleblowing is particularly common, the added value of whistleblower protection was already acknowledged by the Union legislator. In the aftermath of the financial crisis, which exposed serious shortcomings in the enforcement of the relevant rules, measures for the protection of whistleblowers were introduced in a significant number of legislative instruments in this area34. In particular, in the context of the prudential framework applicable to credit institutions and investment firms, Directive 2013/36/EU35 provides for protection of whistleblowers, which extends also to Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms. _________________ 34 Communication of 8.12.2010 "Reinforcing sanctioning regimes in the financial services sector". 35 Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).

Amendment 211 #

Proposal for a directive
Recital 8

(8) As regards the safety of products placed into the internal market, the primary source of evidence-gathering are businesses involved in the manufacturing and distribution chain, so that reporting by whistleblowers has a high added value, since they are much closer to the source of possible unfair and illicit manufacturing, import or distribution practices of unsafe products. That being so, whistleblowers can help to intensify the fight against fraud, protect the environment and improve the food safety of consumers. This warrants the introduction of whistleblower protection in relation to the safety requirements applicable both to ‘harmonised products’36 and to ‘non- harmonised products’37. Whistleblower protection is also instrumental in avoiding diversion of firearms, their parts and components and ammunition, as well as defence-related products, by encouraging the reporting of breaches, such as document fraud, altered marking or false declarations of import or export and fraudulent intra-communitarian acquisition of firearms where violations often imply a diversion from the legal to the illegal market. Whistleblower protection will also help prevent the illicit manufacture of homemade explosives by contributing to the correct application of restrictions and controls regarding explosives precursors. _________________ 36 The body of relevant ‘Union harmonisation legislation’ is circumscribed and listed in Regulation [XXX] laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation, 2017/0353 (COD). 37 Regulated by Directive (EC) 2001/95 of the European Parliament and of the Council, of 3 December 2001, on general product safety (OJ L 11, p. 4).

Amendment 212 #

Proposal for a directive
Recital 9

(9) The importance of whistleblower protection in terms of preventing and deterring breaches of Union rules on transport safety which can endanger human lives has been already acknowledged in sectorial Union instruments on aviation safety38 and maritime transport safety39, which provide for tailored measures of protection to whistleblowers as well as specific reporting channels. These instruments also include the protection from retaliation of the workers reporting on their own honest mistakes (so called ‘just culture’). It is necessary to complement the existing elements of whistleblower protection in these two sectors as well as to provide such protection to enhance the enforcement of safety standards for other transport modes, namely special, inland waterway, road and railway transport. _________________ 38 Regulation (EU) No 376/2014 of the European Parliament and of the Council, of 3 April 2014, on the reporting, analysis and follow-up of occurrences in civil aviation (OJ L 122, p. 18). 39 Directive 2013/54/EU, of the European Parliament and of the Council, of 20 November 2013, concerning certain flag State responsibilities for compliance with and enforcement of the Maritime Labour Convention (OJ L 329, p. 1), Directive 2009/16/EC of the European Parliament and of the Council, of 23 April 2009, on port State control (OJ L 131, p. 57).

Amendment 213 #

Proposal for a directive
Recital 10

(10) Evidence-gathering, detecting and addressing environmental crimes and unlawful conduct or omission 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 appears 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. 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 214 #

Proposal for a directive
Recital 10

(10) Evidence-gathering, detecting and addressing environmental crimes and unlawful conduct against the protection of the environment remain a serious 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 ~~appear~~is necessary to ensure effective enforcement of the Union environmental acquis, whose breaches can cause serious harm to the public interest and the environment 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 215 #

Proposal for a directive
Recital 13

(13) In the same vein, whistleblowers’ reports ~~can be key to~~must be able to play a key role in detecting and preventing, reducing or eliminating risks to public health and to consumer protection resulting from breaches of Union rules or national law which might otherwise remain hidden. The fact that numerous cases of fraud have been revealed which had a potential impact on consumer health underlines the importance of the role that whistleblowers can play in this respect. 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 216 #

Proposal for a directive
Recital 13

(13) In the same vein, whistleblowers’ reports can be key to detecting and preventing, reducing or eliminating risks to the life of EU citizens, 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 217 #

Proposal for a directive
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, tourism, health, transport, banking, construction, etc.) and providers of key digital services (e.g. cloud computing services) and basic utilities (water, electricity, gas, etc.). 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 218 #

Proposal for a directive
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 affect 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. This Directive should also ensure that the information disclosed by whistleblowers is subject to treatment that cannot undermine the credibility of the authorities in charge of national security and public confidence in those authorities.

Amendment 219 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). The underlying reason for providing them with protection is their position of economic vulnerability, and that of their families, 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 retaliation.

Amendment 220 #

Proposal for a directive
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 in any EU or third-country jurisdiction (irrespective of the nature of these activities,whether they are paid or not), have privileged 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 occurred.

Amendment 221 #

Proposal for a directive
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. Such acts or omissions must, however, be defined with caution and precision since, in the light of the definition given above, they do not constitute clear-cut breaches of legislation.

Amendment 222 #

Proposal for a directive
Recital 37

(37) For the effective detection and prevention of breaches of Union law it is vital that the relevant information reaches swiftly those closest to the source of the problem, most able to investigate and with powers to remedy it, where possible. This requires that legal entities in the private and the public sector establish appropriate internal procedures, in accordance with national law and the legal principles in force in the Member State concerned, for receiving and following-up on reports.

Amendment 223 #

Proposal for a directive
Recital 44

(44) Internal reporting procedures should enable private legal entities to receive and investigate in full confidentiality reports 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, and - where possible - in conditions involving minimal administrative procedures and no unnecessarily long interviews in the collection of reports.

Amendment 224 #

Proposal for a directive
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. 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. 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 .

Amendment 225 #

Proposal for a directive
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 at least once so as to be able to revise it, comment on it and correct it if necessary, albeit with no obligation to do so. These comments must be incorporated and taken into account in the monitoring of the investigation. The reporting person should be informed of the investigation's outcome and should be able to revise and comment on the final report of the investigation. These comments must be included in the final report.

Amendment 226 #

Proposal for a directive
Recital 49

(49) Lack of confidence in the usefulness of reporting is one of the main factors discouraging potential whistleblowers. This warrants imposing a clear obligation on competent authorities to diligently follow-up on the reports received, and, within a reasonable timeframe, give feedback to the reporting persons about the action envisaged or taken as follow-up irrespective of the outcome of the investigation carried out on the basis of the report (for instance, closure based on lack of sufficient evidence or other grounds, launch of an investigation and possibly its findings and/or measures taken to address the issue raised; referral to another authority competent to give follow- up) to the extent that such information would not prejudice the investigation or the rights of the concerned persons.

Amendment 227 #

Proposal for a directive
Recital 50

(50) Follow up and feedback should take place within a reasonable timeframe; this is warranted by the need to promptly address the problem that may be the subject of the report, ~~as well as~~to enhance whistle-blowers' confidence that their report was worthwhile, and to avoid unnecessary public disclosures. Such timeframe should not exceed three months, but could be extended to six months, where necessary due to the specific circumstances of the case, in particular the nature and complexity of the subject of the report, which may require a lengthy investigation.

Amendment 228 #

Proposal for a directive
Recital 62

(62) As a rule, reporting persons should first use the internal channels at their disposal and report to their employer. However, it may be the case that internal channels do not exist (in case of entities which are not under an obligation to establish such channels by virtue of this Directive or applicable national law) or that their use is not mandatory (which may be the case for persons who are not in an employment relationship), or that they were used but did not function properly (for instance the report was not dealt with diligently or within a reasonable timeframe, or no action was taken to address the breach of law despite the positive results of the enquiry).deleted

Amendment 229 #

Proposal for a directive
Recital 63

(63) In other cases, internal channels could not reasonably be expected to function properly, for instance, where the reporting persons have valid reasons to believe that they would suffer retaliation in connection with the reporting; that their confidentiality would not be protected; that the ultimate responsibility holder within the work-related context is involved in the breach; that the breach might be concealed; that evidence may be concealed or destroyed; that the effectiveness of investigative actions by competent authorities might be jeopardised or that urgent action is required (for instance because of an imminent risk of a substantial and specific danger to the life, health and safety of persons, or to the environment. In all such cases, persons reporting externally to the competent authorities and, where relevant, to bodies, offices or agencies of the Union shall be protected. Moreover, protection is also to be granted in cases where Union legislation allows for the reporting person to report directly to the competent national authorities or bodies, offices or agencies of the Union, for example in the context of fraud against the Union budget, prevention and detection of money laundering and terrorist financing or in the area of financial services.deleted

Amendment 230 #

Proposal for a directive
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 231 #

Proposal for a directive
Recital 66

(66) Where retaliation occurs undeterred and unpunished, it has a chilling effect on potential whistleblowers. A clear prohibition of retaliation in law has an important dissuasive effect, further strengthened by provisions for personal liability and penalties - proportionate but applied effectively - for the perpetrators of retaliation.

Amendment 232 #

Proposal for a directive
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 false report or disclosure ~~demonstrated to be knowingly false~~ are necessary to deter further malicious reporting and preserve the credibility of the system, on condition, of course, that it has been demonstrated that such persons knew the report or disclosure not to be true. The proportionality of such penalties should ensure that they do not have a dissuasive effect on potential whistleblowers.

Amendment 233 #

Proposal for a directive
Article 1 – paragraph 1 – point a – introductory part

a) breaches falling within the scope of the Union acts, and especially those set out in the Annex (Part I and Part II) as regards the following areas:

Amendment 234 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point iii

(iii) food and non-food product safety;

Amendment 235 #

Proposal for a directive
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 236 #

Proposal for a directive
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 237 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or potential unlawful activities or, abuse of law or misconduct relating to ~~the~~ Union ~~acts and areas falling within the scope referred to in Article 1 and in the Annex~~law or the public interest;

Amendment 238 #

Proposal for a directive
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 239 #

Proposal for a directive
Article 3 – paragraph 1 – point 4 – indent 1 (new)

- 'information of public interest' means any information relating to or arising from the activities of a public or private entity and relating to rights, health and public finances;

Amendment 240 #

Proposal for a directive
Article 3 – paragraph 1 – point 4 – indent 2 (new)

- ' general public interest' means any action that affects rights, health and public finances in general and involves public entities guaranteeing and respecting legitimate individual rights, freedoms and interests;

Amendment 241 #

Proposal for a directive
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 or~~and/or in the event of a serious, imminent threat or where there ins a~~nother 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 242 #

Proposal for a directive
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 activities~~; who contributes, assists or aids to reveal or make public information on breaches; as well as persons representing the reporting person and family and relatives of the reporting person;

Amendment 243 #

Proposal for a directive
Article 4 – paragraph 6 – point d a (new)

d a) European Union institutions, agencies and bodies;

Amendment 244 #

Proposal for a directive
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 245 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding 30 days or three months ~~following the report,~~in duly justified cases following the report, with an acknowledgement of the report within 30 days to provide feedback to the reporting person about the follow-up to the report;

Amendment 246 #

Proposal for a directive
Article 6 – paragraph 1

1. Member States shall designate the authorities competent to receive and handle reports to ensure that they are closely followed up and that reporting persons are protected.

Amendment 247 #

Proposal for a directive
Article 6 – paragraph 4 a (new)

4a. Member States shall ensure that reporting persons have access to legal aid during the procedure.

Amendment 248 #

Proposal for a directive
Article 9 – paragraph 1 – point a

(a) the manner in which the competent authority may require the reporting person to clarify the information reported or to provide additional information that is available to the reporting person without long and pointless administrative procedures;

Amendment 249 #

Proposal for a directive
Article 13 – paragraph 2

2. A person reporting externally shall qualify for protection under this Directive where one of the following conditions is fulfilled : a) he or she first reported internally but no appropriate action was taken in response to the report within the reasonable timeframe referred in Article 5; b) internal reporting channels were not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels; c) the use of internal reporting channels was not mandatory for the reporting person, in accordance with Article 4(2); d) he or she could not reasonably be expected to use internal reporting channels in light of the subject-matter of the report; e) he or she had reasonable grounds to believe that the use of internal reporting channels could jeopardise the effectiveness of investigative actions by competent authorities; f) he or she was entitled to report directly through the external reporting channels to a competent authority by virtue of Union law.deleted

Amendment 250 #

Proposal for a directive
Article 13 – paragraph 2 a (new)

2 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 251 #

Proposal for a directive
Article 13 – paragraph 3

3. A person reporting to relevant bodies, offices or agencies of the Union on breaches falling within the scope of this Directive shall qualify for protection as laid down in this Directive under the same conditions as a person who reported externally in accordance with the conditions set out in paragraph 2.deleted

Amendment 252 #

Proposal for a directive
Article 13 – paragraph 4 – point b

b) he or she could not reasonably be expected to use internal and/or external reporting channels due, for instance, to imminent or manifest danger for the public interest, or to the particular circumstances of the case, or where there is a risk of irreversible damage.

Amendment 253 #

Proposal for a directive
Article 14 – paragraph 1 – introductory part

Member States shall take the necessary measures to prohibit any form of retaliation, whether direct or indirect, against reporting persons ~~meeting the conditions set out in Article 13~~, or those preparing an imminent report or disclosure, as well as those assisting them, under the scope of this Directive, including in particular in the form or threat of:

Amendment 254 #

Proposal for a directive
Article 14 – paragraph 1 – point c

c) transfer of duties, change of location of place of work, reduction in wages and benefits, change in working hours;

Amendment 255 #

Proposal for a directive
Article 14 – paragraph 1 – point e

e) negative performance assessment or employment reference, or refusal to provide an employment reference;

Amendment 256 #

Proposal for a directive
Article 14 – paragraph 1 – point g

g) coercion, intimidation, harassment or ostracism at the workplace or failure to address them;

Amendment 257 #

Proposal for a directive
Article 14 – paragraph 1 – point n a (new)

n a) refusal to consider a feasible transfer option upon the reporting person's request.

Amendment 258 #

Nicola CAPUTO

Proposal for a directive
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 may provide for further measures of legal and financial assistance and support for reporting persons in the framework of legal proceedings and also in situations in which the reporting person faces threats intended to prevent justice from being done. _________________ 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 259 #

Proposal for a directive
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. This shall not apply to reports and disclosures made in good faith, with reasonable grounds to believe that the facts reported or disclosed were true.

Amendment 260 #

Proposal for a directive
Article 22 a (new)

Article 22 a Delegated acts to update the annex 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.

Amendment 261 #

Proposal for a directive
Annex I – part I – subpart A – point 1 – introductory part

Amendment 262 #

Proposal for a directive
Annex I – part I – subpart A – point 2 – introductory part

2. Review procedures regulated in particular by:

Amendment 263 #

Proposal for a directive
Annex I – part I – subpart C – point 1 – introductory part

1. General safety requirements of products placed in the Union market as defined and regulated in particular by:

Amendment 264 #

Proposal for a directive
Annex I – part I – subpart D – point 3 – introductory part

3. Safety requirements in the road sector as regulated in particular by:

Amendment 265 #

Proposal for a directive
Annex I – part I – subpart E – title

E Article 1(a)(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 266 #

Proposal for a directive
Annex I – part I – subpart E – point ix a (new)

(ix a) Other legislative acts relevant to the 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, in particular: Council Regulation (EC) No 338/97 of 9 December 1996 on the protection of species of wild fauna and flora by regulating trade therein Commission Regulation (EC) No 865/2006 of 4 May 2006laying down detailed rules concerning the implementation of Council Regulation(EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein Council Regulation (EC) No 1005/2008 of 29 September2008 establishing a Community system to prevent, deter and eliminate illegal, unreported and unregulated fishing, amending Regulations (EEC) No 2847/93,(EC) No 1936/2001 and (EC) No 601/2004 and repealing Regulations (EC)No 1093/94 and (EC) No 1447/1999 Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora (OJ L 206, 22.7.1992, p. 7) Directive2009/147/EC of the European Parliament and of the Council of 30 November 2009on the conservation of wild birds (OJ L 20, 26.1.2010, p. 7) Regulation(EU) No 1143/2014 of the European Parliament and of the Council of 22 October2014 on the prevention and management of the introduction and spread of invasive alien species (OJ L 317, 4.11.2014, p. 35) Council Regulation (EC) No 1936/2001 of 27 September 2001 laying down control measures applicable to fishing for certain stocks of highly migratory fish (OJ L 263,3.10.2001, p. 1) Council Regulation (EC) No 1239/98 of 8 June 1998 amending Regulation (EC) No 894/97laying down certain technical measures for the conservation of fishery resources Council Regulation (EC) No 708/2007 of 11 June 2007 concerning use of alien and locally absent species in aquaculture (OJ L 168, 28.6.2007, p. 1) Council Directive 83/129/EC of 28 March 1983 concerning the importation into Member States of skins of certain seal pups and products derived therefrom (OJ L 91,9.4.1983, p. 30) Regulation(EC) No 1007/2009 of the European Parliament and of the Council of 16 September2009 on trade in seal products (OJ L 286, 31.10.2009, p. 36) Council Regulation (EC) No 734/2008 of 15 July 2008 on the protection of vulnerable marine ecosystems in the high seas from the adverse impacts of bottom fishing gears (OJ L 201, 30.7.2008, p. 8) Council Regulation (EC) No 812/2004 of 26 April 2004 laying down measures concerning bycatches of cetaceans in fisheries and amending Regulation (EC) No 88/98 (OJ L150, 30.4.2004, p. 12) Regulation(EC) No 1523/2007 of the European Parliament and of the Council of 11 December2007 banning the placing on the market and the import to, or export from, the Community of cat and dog fur, and products containing such fur (OJ L 343,27.12.2007, p. 1) Council Directive 1999/22/EC of 29 March 1999 relating to the keeping of wild animals in zoos (OJ L 94, 9.4.1999, p. 24) Council Regulation (EC) No 2173/2005 of 20 December 2005 on the establishment of a FLEGT licensing scheme for imports of timber into the European Community (OJ L347, 30.12.2005, p. 1) Commission Regulation (EU) No 1307/2014 of 8 December 2014 on defining the criteria and geographic ranges of highly biodiverse grassland for the purposes of Article7b(3)(c) of Directive 98/70/EC of the European Parliament and of the Council relating to the quality of petrol and diesel fuels and Article 17(3)(c) of Directive 2009/28/EC of the European Parliament and of the Council on the promotion of the use of energy from renewable sources (OJ L 351, 9.12.2014, p.3) Directive2003/4/EC of the European Parliament and of the Council of 28 January 2003 on public access to environmental information and repealing Council Directive90/313/EEC Regulation(EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001regarding public access to European Parliament, Council and Commission documents Regulation(EC) No 1367/2006 of the European Parliament and of the Council of 6 September2006 on the application of the provisions of the Aarhus Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters to Community institutions and bodies Directive 2003/35/EC of the European Parliament and of the Council of 26 May 2003 providing for public participation in respect of the drawing up of certain plans and programmes relating to the environment and amending with regard to public participation and access to justice Council Directives 85/337/EEC and 96/61/EC Directive 2007/2/EC of the European Parliament and of the Council of 14 March 2007establishing an Infrastructure for Spatial Information in the European Community (INSPIRE) Regulation(EU) No 1293/2013 of the European Parliament and of the Council of 11 December2013 on the establishment of a Programme for the Environment and Climate Action(LIFE) and repealing Regulation (EC) No 614/2007 Directive2009/28/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of the use of energy from renewable sources and amending and subsequently repealing Directives 2001/77/EC and 2003/30/EC Directive2009/29/EC of the European Parliament and of the Council of 23 April 2009 amending Directive 2003/87/EC so as to improve and extend the greenhouse gas emission allowance trading scheme of the Community (OJ L 140, 5.6.2009, p. 63), and all related Regulations; Regulation(EU) No 421/2014 of the European Parliament and of the Council of 16 April 2014amending Directive 2003/87/EC establishing a scheme for greenhouse gas emission allowance trading within the Community, in view of the implementation by 2020of an international agreement applying a single global market-based measure to international aviation emissions (OJ L 129, 30.4.2014, p. 1); Directive2009/31/EC of the European Parliament and of the Council of 23 April 2009 on the geological storage of carbon dioxide and amending Council Directive85/337/EEC, European Parliament and Council Directives 2000/60/EC, 2001/80/EC,2004/35/EC, 2006/12/EC, 2008/1/EC and Regulation (EC) No 1013/2006 (OJ L 140,5.6.2009, p. 114); Regulation(EU) No 525/2013 of the European Parliament and of the Council of 21 May 2013on a mechanism for monitoring and reporting greenhouse gas emissions and for reporting other information at national and Union level relevant to climate change and repealing Decision No 280/2004/EC (OJ L 165, 18.6.2013, p. 13); Regulation(EU) No 517/2014 of the European Parliament and of the Council of 16 April 2014on fluorinated greenhouse gases and repealing Regulation (EC) No 842/2006 (OJ L150, 20.5.2014, p. 195) Council Directive 2003/96/EC of 27 October 2003 restructuring the Community framework for taxation of energy products and electricity (OJ L 283 of 31.10.2003 p. 51) Directive2012/27/EU of the European Parliament and of the Council of 25 October 2012 on energy efficiency, amending Directives 2009/125/EC and 2010/30/EU and repealing Directives 2004/8/EC and 2006/32/EC (OJ L 315, 14.11.2012, p. 1) Directive2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives (OJ L 312, 22.11.2008, p. 3) Commission Regulation (EU) No 1357/2014 of 18 December 2014 replacing Annex III to Directive 2008/98/EC of the European Parliament and of the Council on waste and repealing certain Directives (OJ L 365, 19.12.2014, p. 89–96) Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste (OJ L 182, 16.7.1999,p. 1) Regulation(EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006on shipments of waste (OJ L 190, 12.7.2006, p. 1) European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and packaging waste (OJ L 365, 31.12.1994, p. 10) Directive(EU) 2015/720 of the European Parliament and of the Council of 29 April 2015amending Directive 94/62/EC as regards reducing the consumption of light weight plastic carrier bags (OJ L 115, 6.5.2015, p. 11) Directive2012/19/EU on waste electrical and electronic equipment (WEEE) (OJ L 197,24.7.2012, p. 38) Directive2006/66/EC of the European Parliament and of the Council of 6 September 2006 on batteries and accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC (OJ L 266, 26.9.2006, p. 1) Directive2011/65/EU of the European Parliament and the Council of 8 June 2011 on the restriction of the use of certain hazardous substances in electrical and electronic equipment (OJ L 174, 1.7.2011, p. 88) Directive2000/53/EC of the European Parliament and of the Council of 18 September 2000on end-of life vehicles (OJ L 269, 21.10.2000, p. 34) Directive2005/64/EC of the European Parliament and of the Council of 26 October 2005 on the type-approval of motor vehicles with regard to their reusability, recyclability and recoverability and amending Council Directive 70/156/EEC (OJL 310, 25.11.2005, p. 10); Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinatedbiphenyls and polychlorinated terphenyls (PCB/PCT) (OJ L 243, 24.9.1996, p. 31) Directive2011/65/EU of the European Parliament and the Council of 8 June 2011 on the restriction of the use of certain hazardous substances in electrical and electronic equipment (OJ L 174, 1.7.2011, p. 88) Council Regulation (Euratom) No 1493/93 of 8 June 1993 on shipments of radioactive substances between Member States (OJ L 148, 19.6.1993, p. 1) Directive2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment(OJ L 197, 21.7.2001, p. 30) Regulation(EC) No 66/2010 of the European Parliament and of the Council of 25 November2009 on the EU Ecolabel (OJ L 27, 30.1.2010, p. 1) Directive2008/50/EC of the European Parliament and of the Council of 21 May 2008 on ambient air quality and cleaner air for Europe (OJ L 152, 11.6.2008, p. 1) Directive2004/107/EC of the European Parliament and of the Council of 15 December 2004relating to arsenic, cadmium, mercury, nickel and polycyclic aromatichydrocarbons in ambient air Regulation(EC) No 850/2004 of the European Parliament and of the Council of 29 April 2004on persistent organic pollutants and amending Directive 79/117/EEC (OJ L 158,30.4.2004, p. 7) Regulation(EC) No 1005/2009 of the European Parliament and of the Council of 16 September2009 on substances that deplete the ozone layer (OJ L 286, 31.10.2009, p. 1) Directive2001/81/EC of the European Parliament and of the Council of 23 October 2001 on national emission ceilings for certain atmospheric pollutants (OJ L 309,27.11.2001, p. 22) European Parliament and Council Directive 94/63/EC of 20 December 1994 on the control of volatile organic compound (VOC) emissions resulting from the storage of petrol and its distribution from terminals to service stations (OJ L 365, 31.12.1994,p. 24) Directive98/70/EC of the European Parliament and of the Council of 13 October 1998relating to the quality of petrol and diesel fuels and amending Council Directive 93/12/EEC Directive2009/126/EC of the European Parliament and of the Council of 21 October 2009 on Stage II petrol vapour recovery during refuelling of motor vehicles at service stations (OJ L 285, 31.10.2009, p. 36) Regulation(EC) No 715/2007 of the European Parliament and of the Council of 20 June 2007on type approval of motor vehicles with respect to emissions from light passenger and commercial vehicles (Euro 5 and Euro 6) and on access to vehicle repair and maintenance information (OJ L 171, 29.6.2007, p. 1) Regulation(EC) No 595/2009 of the European Parliament and of the Council of 18 June 2009on type-approval of motor vehicles and engines with respect to emissions from heavy duty vehicles (Euro VI) and on access to vehicle repair and maintenance information and amending Regulation (EC) No 715/2007 and Directive 2007/46/EC and repealing Directives 80/1269/EEC, 2005/55/EC and 2005/78/EC (OJ L 188,18.7.2009, p. 1) Directive2014/94/EU of the European Parliament and of the Council of 22 October 2014 on the deployment of alternative fuels infrastructure (OJ L 307, 28.10.2014, p. 1) Regulation(EC) No 443/2009 of the European Parliament and of the Council of 23 April 2009setting emission performance standards for new passenger cars as part of the Community's integrated approach to reduce CO2 emissions from light-duty vehicles (OJ L 140, 5.6.2009, p. 1) Directive1999/94/EC relating to the availability of consumer information on fuel economy and CO2 emissions in respect of the marketing of new passenger cars (OJ L 12,18.1.2000, p. 16) Regulation(EU) No 510/2011 of the European Parliament and of the Council of 11 May 2011setting emission performance standards for new light commercial vehicles as part of the Union's integrated approach to reduce CO2 emissions from light-duty vehicles (OJ L 145, 31.5.2011, p. 1) Directive2006/40/EC of the European Parliament and of the Council of 17 May 2006relating to emissions from air conditioning systems in motor vehicles and amending Council Directive 70/156/EEC (OJ L 161, 14.6.2006, p. 12) Directive2009/33/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of clean and energy-efficient road transport vehicles (OJ L 120,15.5.2009, p. 12) Regulation(EU) 2016/1628 of the European Parliament and of the Council of 14 September2016 on requirements relating to gaseous and particulate pollutant emission limits and type- approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC (OJ L 252, 16.9.2016, p. 53) Directive2010/75/EU of the European Parliament and of the Council of 24 November 2010 on industrial emissions (integrated pollution prevention and control) (OJ L 334,17.12.2010, p. 17) Directive2008/101/EC of the European Parliament and of the Council of 19 November 2008amending Directive 2003/87/EC so as to include aviation activities in the scheme for greenhouse gas emission allowance trading within the Community (OJ L8, 13.1.2009, p. 3) Directive2006/38/EC of the European Parliament and of the Council of 17 May 2006amending Directive 1999/62/EC on the charging of heavy goods vehicles for the use of certain infrastructures (OJ L 157, 9.6.2006, p. 8) Regulation(EC) No 549/2004 of the European Parliament and of the Council of 10 March 2004laying down the framework for the creation of the single European sky (the framework Regulation) (OJ L 96, 31.3.2004, p. 1) Directive2002/84/EC of the European Parliament and of the Council of 5 November 2002amending the Directives on maritime safety and the prevention of pollution from ships (OJ L 324, 29.11.2002, p. 53) Regulation(EU) No 546/2014 of the European Parliament and of the Council of 15 May 2014amending Council Regulation (EC) No 718/1999 on a Community-fleet capacity policy to promote inland waterway transport Directive2009/30/EC of the European Parliament and of the Council of 23 April 2009amending Directive 98/70/EC as regards the specification of petrol, diesel and gas-oil and introducing a mechanism to monitor and reduce greenhouse gas emissions and amending Council Directive 1999/32/EC as regards the specification of fuel used by inland waterway vessels and repealing Directive93/12/EEC (OJ L 140, 5.6.2009, p. 88) Regulation(EC) No 782/2003 of the European Parliament and of the Council of 14 April 2003on the prohibition of organotin compounds on ships (OJ EU L 115, 9.5.2003, p.1) Directive2002/49/EC of the European Parliament and of the Council of 25 June 2002relating to the assessment and management of environmental noise (OJ L 189,18.7.2002, p. 12) Directive2000/14/EC of the European Parliament and of the Council of 8 May 2000 on the approximation of the laws of the Member States relating to the noise emission in the environment by equipment for use outdoors (OJ L 162, 3.7.2000, p. 1) Directive2002/49/EC of the European Parliament and the Council of 25 June 2002 relating to the assessment and management of environmental noise Directive2000/60/EC of the European Parliament and of the Council of 23 October 2000establishing a framework for Community action in the field of water policy Directive2008/105/EC of the European Parliament and of the Council of 16 December 2008on environmental quality standards in the field of water policy, amending and subsequently repealing Council Directives 82/176/EEC, 83/513/EEC, 84/156/EEC,84/491/EEC, 86/280/EEC and amending Directive 2000/60/EC of the European Parliament and of the Council (OJ L 348, 24.12.2008, p. 84) Directive2006/118/EC of the European Parliament and of the Council of 12 December 2006on the protection of groundwater against pollution and deterioration (OJ L 372,27.12.2006, p. 19) Council Directive 91/271/EEC of 21 May 1991 concerning urban waste-water treatment (OJL 135, 30.5.1991, p. 40) Council Directive 98/83/EC of 3 November 1998 on the quality of water intended for human consumption Regulation(EC) No 648/2004 of the European Parliament and of the Council of 31 March 2004on detergents (OJ L 104, 8.4.2004, p. 1) Council Directive 91/676/EEC of 12 December 1991 concerning the protection of waters against pollution caused by nitrates from agricultural sources (OJ L 375,31.12.1991, p. 1) Directive2007/60/EC of the European Parliament and of the Council of 23 October 2007 on the assessment and management of flood risks (OJ L 288, 6.11.2007, p. 27) Directive2014/52/EU of the European Parliament and of the Council of 16 April 2014amending Directive 2011/92/EU on the assessment of the effects of certain public and private projects on the environment (OJ L 124, 25.4.2014, p. 1) Directive2011/92/EU of the European Parliament and of the Council of 13 December 2011 on the assessment of the effects of certain public and private projects on the environment Text with EEA relevance

Amendment 267 #

Proposal for a directive
Annex I – part I – subpart E – point ix a (new)

(ix a) ix a) Council Regulation (EC) No 338/97 of 9 December 1996 on the protection of species of wild fauna and flora by regulating trade therein (OJ L 061, 3.3.1997, p. 1);

Amendment 268 #

Proposal for a directive
Annex I – part I – subpart E – point ix b (new)

(ix b) (ix b) Commission Regulation(EC) No 865/2006 of 4 May 2006 laying down detailed rules concerning the implementation of Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein (OJ L 16619.6.2006, p. 1);

Amendment 269 #

Proposal for a directive
Annex I – part I – subpart E – point ix c (new)

(ix c) (ix c) Commission Implementing Regulation (EU) No 792/2012 of 23 August 2012 laying down rules for the design of permits, certificates and other documents provided for in Council Regulation (EC) No 338/97 on the protection of species of wild fauna and flora by regulating trade therein and amending Commission Regulation (EC) No 865/2006 (OJ L 242, 7.9.2012, p.13);

Amendment 270 #

Proposal for a directive
Annex I – part I – subpart F – paragraph 1 – introductory part

Rules on nuclear safety as regulated in particular by:

Amendment 271 #

Proposal for a directive
Annex I – part I – subpart F – paragraph 1 – point i

(i) Council Directive 2009/71/Euratom of 25 June 2009 establishing a Community framework for the nuclear safety of nuclear installations (OJ L 172, 2.7.2009, p. 18) as well as Council Directive2014/87/Euratom of 8 July 2014 amending Directive 2009/71/Euratom establishing a Community framework for the nuclear safety of nuclear installations (OJ L 219, 25.7.2014, p.42–52);

Amendment 272 #

Proposal for a directive
Annex I – part I – subpart G – title

G Article 1(a)(vii) – food and feed safety, animal health and animal welfare: Rules on food and feed safety, as regulated in particular by:

Amendment 273 #

Proposal for a directive
Annex I – part I – subpart G – point 3 a (new)

3 a. Other legislative acts relevant to food and feed safety, in particular: Regulation (EC) No 2003/2003 of the European Parliament and of the Council relating to fertilisers Regulation (EC) No 1069/2009 of the European Parliament and of the Council laying down health rules as regards animal by-products and derived products not intended for human consumption Regulation (EC) No 1107/2009 concerning the placing of plant protection products on the market and repealing Council Directives 91/414/EEC and 79/117/EEC Directive 2009/128/EC establishing a framework for Community action to achieve the sustainable use of pesticides Regulation (EC) No 396/2005 on maximum residue levels (MRLs)of pesticides in or on food and feed of plant and animal origin Council Regulation (Euratom) 3954/87 laying down maximum permitted levels of radioactive contamination of foodstuffs and of feedingstuffs following a nuclear accident or any other case of radiological emergency Council Regulation (Euratom) 944/89 laying down maximum permitted levels of radioactive contamination in minor foodstuffs following a nuclear accident or any other case of radiological emergency Council Regulation (EURATOM) 770/90 laying down maximum permitted levels of radioactive contamination of feedingstuffs following a nuclear accident or any other case of radiological emergency Directive 2001/18/EC on the deliberate release into the environment of genetically modified organisms Regulation (EC) No 1829/2003 on genetically modified food and feed Regulation (EC) No 1830/2003 on the traceability and labelling of GMOs and the traceability of food and feed products produced from GMOs and amending Directive 2001/18/EC Council Decision 2002/628/EC concerning the conclusion, on behalf of the European Community, on the Cartagena Protocol on Biosafety(2002). Official Journal of the European Communities, L 201/48 Directive2009/41/EC of the European Parliament and of the Council of 6 May 2009 on the contained use of genetically modified micro-organisms (recast) (OJ L 125,21.5.2009, p. 75) Regulation(EC) No 1946/2003 of the European Parliament and of the Council of 15 July 2003on trans boundary movements of genetically modified organisms (OJ L 287,5.11.2003, p. 1) Regulation(EU) No 528/2012 of the European Parliament and of the Council of 22 May 2012concerning the making available on the market and use of biocidal products Directive 2001/82/EC on the Community code relating to veterinary medicinal products Regulation (EC) No 470/2009 laying down Community procedures for the establishment of residue limits of pharmacologically active substances in foodstuffs of animal origin (repealing Regulation (EEC) No 2377/90) Directive 96/23/EC on measures to monitor certain substances and residues thereof in live animals and animal products Council Directive 96/22/EC concerning the prohibition on the use in stock- farming of certain active substances having a hormonal or thyrostatic action and of beta-agonists Regulation (EC) No 852/2004 of the European Parliament and of the Council on the hygiene of foodstuffs Regulation (EC) No 853/2004 of the European Parliament and of the Council laying down specific hygiene rules for food of animal origin Regulation (EC) No 854/2004 of the European Parliament and of the Council laying down specific rules for the organisation of official controls on products of animal origin intended for human consumption Council Directive 2002/99/EC on products of animal origin Commission Regulation (EC) No 2073/2005 on microbiological criteria for foodstuffs Regulation (EC) No 2160/2003 on the control of Salmonella and other specified food-borne zoonotic agents Directive 2003/99/EC of the European Parliament and of the Council on the monitoring of zoonoses and zoonotic agents Regulation (EC) No 1331/2008 on a common authorisation procedure for food additives, enzymes and flavourings Regulation (EC) No 1333/2008 on food additives Regulation (EC) No 1332/2008 on food enzymes Regulation (EC) No 1334/2008 on food flavourings Regulation (EC) No 2065/2003 on smoke flavourings Directive 2009/32/EC on extraction solvents used in the production of foods and food ingredients Council Regulation (EEC) No 315/93 laying down Community procedures for contaminants in food Commission Regulation (EC) No 1881/2006 setting maximum levels for certain contaminants in foodstuffs Directive 1999/2/EC of the European Parliament and of the Council on the approximation of the laws of the Member States concerning foods and food ingredients treated with ionising radiation Regulation (EC) No 258/97 concerning novel foods and novel food ingredients Regulation (EC) No 1935/2004 of the European Parliament and of the Council on materials and articles intended to come into contact with food Council Directive 82/711/EEC laying down the basic rules necessary for testing migration of the constituents of plastic materials and articles intended to come into contact with foodstuffs Regulation (EU) No 1169/2011 of the European Parliament and of the Council of 25 October 2011 on the provision of food information to consumers Council Directive 90/496/EEC of 24 September 1990 on nutrition labelling for foodstuffs Regulation (EU) No 609/2013 on food intended for infants and young children, food for special medical purposes, and total diet replacement for weight control Council Directive 98/83/EC of 3 November 1998 on the quality of water intended for human consumption Regulation (EU) 2018/848 of the European Parliament and of the Council of 30 May 2018 on organic production and labelling of organic products and repealing Council Regulation (EC) No 834/2007 Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and(EC) No 1234/2007 Regulation (EU) No 1305/2013 of the European Parliament and of the Council of 17 December 2013 on support for rural development by the European Agricultural Fund for Rural Development(EAFRD) and repealing Council Regulation (EC) No 1698/2005 Regulation (EU) No 1307/2013 of the European Parliament and of the Council of 17 December 2013 establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and repealing Council Regulation (EC) No637/2008 and Council Regulation (EC) No 73/2009 Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and(EC) No 1234/2007 Regulation(EC) No 1831/2003 of the European Parliament and of the Council of 22 September2003 on additives for use in animal nutrition Council Directive 90/167/EEC of26 March 1990 laying down the conditions governing the preparation, placing on the market and use of medicated feedingstuffs in the Community Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community coderelating to veterinary medicinal products Directive 2002/32/EC of the European Parliament and of the Council of 7 May 2002 on undesirable substances in animal feed Regulation (EC) No 767/2009 of the European Parliament and of the Council of 13 July 2009 on the placing on the market and use of feed, amending European Parliament and Council Regulation(EC) No 1831/2003 and repealing Council Directive 79/373/EEC, Commission Directive 80/511/EEC, Council Directives 82/471/EEC, 83/228/EEC, 93/74/EEC,93/113/EC and 96/25/EC and Commission Decision 2004/217/EC (Text with EEA relevance) Commission Directive 2008/38/EC of 5 March 2008 establishing a list of intended uses of animal feedingstuffs for particular nutritional purposes Regulation (EC) No 183/2005 oft he European Parliament and of the Council of 12 January 2005 laying down requirements for feed hygiene

Amendment 274 #

Proposal for a directive
Annex I – part I – subpart G – point 4 – introductory part

4. Protection of animal health and welfare as regulated in particular by:

Amendment 275 #

Proposal for a directive
Annex I – part I – subpart G – point 4 – point iii a (new)

(iii a) Other legislative acts relevant to animal health and welfare, in particular: Council Directive 74/577/EEC of 18 November 1974 on stunning of animals befores laughter Council Directive 90/425/EEC of 26 June 1990 concerning veterinary and zootechnical checks applicable in intra- Community trade in certain live animals and products with a view to the completion of the internal market Council Directive 91/496/EEC of 15 July 1991 laying down the principles governing the organization of veterinary checks on animals entering the Community from third countries and amending Directives 89/662/EEC, 90/425/EEC and 90/675/EEC Council Directive 91/628/EEC of 19 November 1991 on the protection of animals during transport and amending Directives 90/425/EEC and 91/496/EEC Council Directive 95/29/EC of 29 June 1995 amending Directive 91/628/EEC concerning the protection of animals during transport Council Regulation (EC) No 411/98 of 16 February 1998 on additional animal protection standards applicable to road vehicles used for the carriage of livestock on journeys exceeding eight hours Council Regulation (EC) No 1/2005 of 22 December 2004 on the protection of animals during transport and related operations and amending Directives 64/432/EEC and93/119/EC and Regulation (EC) No 1255/97 Council Regulation (EC) No 1099/2009 of 24 September 2009 on the protection of animals at the time of killing (Text with EEA relevance) Council Directive 98/58/EC of 20 July 1998 concerning the protection of animals kept for farming purposes Council Directive 1999/22/EC of 29 March1999 relating to the keeping of wild animals in zoos Commission Regulation (EC) No 1739/2005 of21 October 2005 laying down animal health requirements for the movement of circus animals between Member States (Text with EEA relevance) Commission Regulation (EC) No 318/2007 of 23 March 2007 laying down animal health conditions for imports of certain birds into the Community and the quarantine conditions thereof (Text with EEA relevance) Regulation(EC) No 1523/2007 of the European Parliament and of the Council of 11 December2007 banning the placing on the market and the import to, or export from, the Community of cat and dog fur, and products containing such fur (Text with EEA relevance ) Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009 on the conservation of wild birds (OJ L 20, 26.1.2010, p. 7) Council Directive 92/43/EEC of 21 May 1992 on the conservation of natural habitats and of wild fauna and flora Council Regulation (EC) No 338/97 of 9 December 1996 on the protection of species of wild fauna and flora by regulating trade therein Council Regulation(EC) No 338/97 of 9 December 1996 on the protection of species of wild fauna and flora by regulating trade therein Regulation (EU) No 1143/2014 of the European Parliament and of the Council of 22 October 2014 on the prevention and management of the introduction and spread of invasive alien species (OJ L 317, 4.11.2014, p. 35) Regulation (EC) No 1223/2009 of the European Parliament and of the Council of 30 November 2009 on cosmetic products Directive2010/63/EU of the European Parliament and of the Council of 22 September 2010on the protection of animals used for scientific purposes (OJ L 276,20.10.2010, p. 33) and Directive 86/609/EEC Directive 86/609/EEC(no longer in force)Council Directive 86/609/EEC of 24 November 1986 on the approximation of laws, regulations and administrative provisions of the Member States regarding the protection of animals used for experimental and other scientific purposes Council Directive 88/320/EEC of 9 June 1988 on the inspection and verification of Good Laboratory Practice (GLP) Regulation (EU) 2018/848 of the European Parliament and of the Council of 30 May 2018 on organic production and labelling of organic products and repealing Council Regulation (EC) No 834/2007 Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No1234/2007 Regulation (EU) No 1305/2013 of the European Parliament and of the Council of 17 December 2013 on support for rural development by the European Agricultural Fund for Rural Development (EAFRD) and repealing Council Regulation (EC) No 1698/2005 Regulation (EU) No 1307/2013 of the European Parliament and of the Council of 17 December 2013 establishing rules for direct payments to farmers under support schemes within the framework of the common agricultural policy and repealing Council Regulation (EC) No 637/2008 and Council Regulation (EC) No 73/2009 Council Regulation (EEC) No 1906/90 of 26 June 1990 on certain marketing standards for poultry Council Regulation (EEC) No 1907/90 of 26 June 1990 on certain marketing standards for eggs Commission Regulation (EEC) No 1538/91 of 5 June1991 introducing detailed rules for implementing Regulation (EEC) No 1906/90 on certain marketing standards for poultry meat Regulation (EU) 2016/1012 of the European Parliament and of the Council of 8 June 2016 on zootechnical and genealogical conditions for the breeding, trade in and entry into the Union of pure bred breeding animals, hybrid breeding pigs and the germinal products thereof and amending Regulation (EU) No 652/2014, Council Directives 89/608/EEC and90/425/EEC and repealing certain acts in the area of animal breeding (‘Animal Breeding Regulation’) (Text with EEA relevance) Council Directive 2008/73/EC of 15 July 2008simplifying procedures of listing and publishing information in the veterinary and zootechnical fields and amending Directives 64/432/EEC, 77/504/EEC,88/407/EEC, 88/661/EEC, 89/361/EEC, 89/556/EEC, 90/426/EEC, 90/427/EEC,90/428/EEC, 90/429/EEC, 90/539/EEC, 91/68/EEC, 91/496/EEC, 92/35/EEC,92/65/EEC, 92/66/EEC, 92/119/EEC, 94/28/EC, 2000/75/EC, Decision 2000/258/EC and Directives 2001/89/EC, 2002/60/EC and 2005/94/EC (Text with EEA relevance) Council Regulation (EC) No 1255/97 of 25 June1997 concerning Community criteria for staging points and amending the route plan referred to in the Annex to Directive 91/628/EEC Council Directive 96/93/EC of 17 December 1996 on the certification of animals and animal products Directives 2009/156/EC Council Regulation (EC) No 21/2004 Commission Decision 2006/968/EC Council Decision 1999/879/EC: Council Decision of 17 December 1999 concerning the placing on the market and administration of bovine somatotrophin (BST) and repealing Decision 90/218/EEC Council Directive 1999/74/EC of 19 July 1999laying down minimum standards for the protection of laying hens Directives 86/113/EEC and 88/166/EEC Laying down minimum standards for the protection of laying hens kept in battery cages Council Directive 2007/43/EC of 28 June 2007laying down minimum rules for the protection of chickens kept for meat production Council Directive 2008/119/EC of 18 December2008 laying down minimum standards for the protection of calves Council Directive 2008/120/EC of 18 December2008 laying down minimum standards for the protection of pigs Council Regulation (EEC) No 3254/91 of 4November 1991 prohibiting the use of leghold traps in the Community and the introduction into the Community of pelts and manufactured goods of certain wild animal species originating in countries which catch them by means of legholdtraps or trapping methods which do not meet international humane trapping standards Regulation (EU) 2016/429 Transmissible animal diseases and amending and repealing certain acts in the area of animal health (Animal Health Law) and other legislation aimed at minimising animal Directive 2013/31/EU of the European Parliament and of the Council of 12 June 2013 amending Council Directive92/65/EEC as regards the animal health requirements governing intra- Union trade in and imports into the Union of dogs, cats and ferrets Regulation (EU) No 576/2013 of the European Parliament and of the Council of 12 June 2013 on the non-commercial movement of pet animals and repealing Regulation (EC) No 998/2003 Council Directive 2009/156/EC of 30 November2009 on animal health conditions governing the movement and importation from third countries of equidae Council Directive 92/35/EEC of 29 April 1992laying down control rules and measures to combat African horse sickness Regulation (EU) No 1380/2013 of the European Parliament and of the Council of 11 December 2013 on the Common Fisheries Policy, amending Council Regulations (EC) No 1954/2003 and (EC) No 1224/2009and repealing Council Regulations (EC) No 2371/2002 and (EC) No 639/2004 and Council Decision 2004/585/EC Council Regulation (EC) No 1239/98 of 8 June 1998 amending Regulation (EC) No 894/97laying down certain technical measures for the conservation of fishery resources Council Directive 83/129/EC of 28 March 1983 concerning the importation into Member States of skins of certain seal pups and products derived therefrom (OJ L 91,9.4.1983, p. 30) Regulation(EC) No 1007/2009 of the European Parliament and of the Council of 16 September2009 on trade in seal products (OJ L 286, 31.10.2009, p. 36)

Amendment 276 #

Proposal for a directive
Annex I – part I – subpart H – point 1 – introductory part

1. Measures setting high standards of quality and safety of organs and substances of human origin, as regulated in particular by:

Amendment 277 #

Proposal for a directive
Annex I – part I – subpart H – point 2 – introductory part

2. Measures setting high standards of quality and safety for medicinal products and devices of medical use as regulated in particular by:

Amendment 278 #

Proposal for a directive
Annex I – part I – subpart H – point 5

5. Manufacture, presentation and sale of tobacco and related products regulated by Directive 2014/40/EU of the European Parliament and of the Council of 3 April 2014 on the approximation of the laws, regulations and administrative provisions of the Member States concerning the manufacture, presentation and sale of tobacco and related products and repealing Directive 2001/37/EC (OJ L 127, 29.4.2014, p. 1), and the advertising and sponsorship of tobacco products as regulated by Directive 2003/33/EC of the European Parliament and of the Council of 26 May 2003 on the approximation of the laws, regulations and administrative provisions of the Member States relating to the advertising and sponsorship of tobacco products.

Amendment 279 #

Proposal for a directive
Annex I – part I – subpart H – point 5 a (new)

5 a. Other legislative acts relating to public health, in particular: Commission Directive (EU)2016/1214 of 25 July 2016 amending Directive 2005/62/EC as regards quality system standards and specifications for blood establishments (OJ L 199,26.7.2016, p. 14) Commission Directive2005/61/EC of 30 September 2005 implementing Directive 2002/98/EC of the European Parliament and of the Council as regards traceability requirements and notification of serious adverse reactions and events (OJ L 256, 1.10.2005, p.32) Commission Directive2004/33/EC of 22 March 2004 implementing Directive 2002/98/EC of the European Parliament and of the Council as regards certain technical requirements for blood and blood components (OJ L 91, 30.3.2004, p. 25) Commission Directive2005/62/EC of 30 September 2005 implementing Directive 2002/98/EC of the European Parliament and of the Council as regards Community standards and specifications relating to a quality system for blood establishments (OJ L 256,1.10.2005, p. 41) Directive 2010/53/EU of the European Parliament and of the Council of 7 July 2010 on standards of quality and safety of human organs intended for transplantation Regulation (EU) 2017/745 of the European Parliament and of the Council of 5 April 2017 on medical devices, amending Directive 2001/83/EC, Regulation (EC) No 178/2002 and Regulation (EC) No1223/2009 and repealing Council Directives 90/385/EEC and 93/42/EEC Regulation (EU) 2017/746 of the European Parliament and of the Council of 5 April 2017 on in vitro diagnostic medical devices and repealing Directive 98/79/EC and Commission Decision 2010/227/EU Regulation (EC) No 1223/2009of the European Parliament and of the Council of 30 November 2009 on cosmetic products.

Amendment 280 #

Proposal for a directive
Annex I – part I – subpart I – paragraph 1 – introductory part

Consumer rights and consumer protection as regulated in particular by:

source: 623.961

2018/07/12 CULT 235 amendments...

Amendment 102 #

Proposal for a directive
Citation 6 a (new)

Having regard to the Charter of Fundamental Rights of the European Union, in particular Article 11 on Freedom of expression and information,

Amendment 103 #

Proposal for a directive
Citation 6 b (new)

Having regard to the European Parliament resolution of 14 February 2017 on the role of whistleblowers in the protection of EU’s financial interests,

Amendment 104 #

Proposal for a directive
Citation 6 c (new)

Having regard to the European Parliament resolution of 24 October 2017 on legitimate measures to protect whistle- blowers acting in the public interest when disclosing the confidential information of companies and public bodies,

Amendment 105 #

Proposal for a directive
Recital 1

Amendment 106 #

Stelios KOULOGLOU, Curzio MALTESE

Proposal for a directive
Recital 2

(2) At Union level, reports by whistleblowers are one upstream component of enforcement of Union law and policies: they feed national and Union enforcement systems with information leading to effective detection, investigation and prosecution of breaches of Union law.

Amendment 107 #

Proposal for a directive
Recital 2 a (new)

(2a) Acknowledging that all major scandals that have been made public since 2014, like LuxLeaks and Panama Papers, are all thanks to whistleblowers.

Amendment 108 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches 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 safe and effective reporting channels.

Amendment 109 #

(3) In certain policy areas, breaches of Union law may cause serious harm to the public interest, in the sense of creating significant risks for the ~~welfare of society~~common good. 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 110 #

Proposal for a directive
Recital 5

Amendment 111 #

Proposal for a directive
Recital 5

Amendment 112 #

Proposal for a directive
Recital 6

(6) Whistleblower protection is necessary to enhance the enforcement of Union law on public procurement. In addition to the need of preventing and detecting fraud and corruption in the context of the implementation of the EU budget, including procurement, it is necessary to tackle insufficient enforcement of rules on public procurement by national public authorities and certain public utility operators when purchasing goods, works and services. Breaches of such rules create distortions of competition, increase costs for doing business, violate the interests of investors and shareholders and, overall, lower attractiveness for investment and create an uneven level playing field for all businesses across Europe, thus affecting the proper functioning of the internal market. In most of the cases such breaches place the trust of citizens in public institutions under a serious threat, thus jeopardising the proper functioning of democracy.

Amendment 113 #

Proposal for a directive
Recital 8

(8) As regards the safety of products placed into the internal market, the primary source of evidence-gathering are businesses involved in the manufacturing and distribution chain, so that reporting by whistleblowers has a high added value, since they are much closer to the source of possible unfair and ill~~icit~~egal manufacturing, import or distribution practices of unsafe products. This warrants the introduction of whistleblower protection in relation to the safety requirements applicable both to ‘harmonised products’36 and to ‘non- harmonised products’37. Whistleblower protection is also instrumental in avoiding diversion of firearms, their parts and components and ammunition, as well as defence-related products, by encouraging the reporting of breaches, such as document fraud, altered marking or false declarations of import or export and fraudulent intra-communitarian acquisition of firearms where violations often imply a diversion from the legal to the illegal market. Whistleblower protection will also help prevent the ill~~icit~~egal manufacture of homemade explosives by contributing to the correct application of restrictions and controls regarding explosives precursors. _________________ 36 The body of relevant ‘Union harmonisation legislation’ is circumscribed and listed in Regulation [XXX] laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation, 2017/0353 (COD). 37 Regulated by Directive (EC) 2001/95 of the European Parliament and of the Council, of 3 December 2001, on general product safety (OJ L 11, p. 4).

Amendment 114 #

Proposal for a directive
Recital 10

(10) Evidence-gathering, detecting and addressing environmental crimes and unlawful conduct 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 appears 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 115 #

Proposal for a directive
Recital 10

(10) Evidence-gathering, detecting and addressing environmental crimes and ~~unlawfu~~illegal conduct 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 appears 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. 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 116 #

Proposal for a directive
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 117 #

Proposal for a directive
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 ensur~~ing~~e the continuity of services which are essential for the functioning of the internal market and the ~~wellbeing of society~~common good. _________________ 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 118 #

Proposal for a directive
Recital 16 a (new)

(16a) Combating the illegal trafficking in stolen cultural goods is a concern of the Union. The introduction of whistleblower protection would increase the ability of the European Commission and of the competent authorities in the Member States to detect this illegal trafficking and put an end to it.

Amendment 119 #

Proposal for a directive
Recital 17

(17) Acts which breach the rules of corporate tax and arrangements whose purpose is to obtain a tax advantage and to evade legal obligations, defeating the object or purpose of the applicable corporate tax law, negatively affect the proper functioning of the internal market. They can give rise to unfair tax competition and extensive tax evasion, distorting the level-playing field for companies and resulting in loss of tax revenues for Member States and for the Union budget as a whole, which will have a detrimental effect on taxpayers. Whistleblower protection adds to recent Commission initiatives aimed at improving transparency and the exchange of information in the field of taxation47 and creating a fairer corporate tax environment within the Union48, with a view to increasing Member States’ effectiveness in identifying evasive and/or abusive arrangements that could otherwise go undetected and will help deter such arrangements. _________________ 47 Council Directive 2011/16/EU of 15 February 2011 on administrative cooperation in the field of taxation and repealing Directive 77/799/EEC (as amended). 48 Council Directive (EU) 2016/1164 of 12 July 2016 laying down rules against tax avoidance practices that directly affect the functioning of the internal market (as amended); Proposal for a Council Directive on a Common Consolidated Corporate Tax Base, COM/2016/0683 final — 2016/0336; Proposal for a Council Directive on a Common Corporate Tax Base, COM/2016/0685 final — 2016/0337.

Amendment 120 #

Proposal for a directive
Recital 21 a (new)

(21a) This Directive shall not facilitate disclosure of confidential medical information or information covered by lawyer-client confidentiality.

Amendment 121 #

Proposal for a directive
Recital 22

(22) Persons who report information 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 the right to receive and impart information as well as media freedom and pluralism.

Amendment 122 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). 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 retaliation.~~

Amendment 123 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). 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 retaliation.~~

Amendment 124 #

Proposal for a directive
Recital 24

(24) Persons need specific ~~legal~~ protection (legal, economic, social and psychological) where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). The underlying reason for providing them with protection is, amongst others, 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 retaliation~~Furthermore, the protection should be granted to incentive citizens to report breaches of law in order to safeguard the public interest and proper functioning of democracy.

Amendment 125 #

Proposal for a directive
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 or student activities (irrespective of the nature of these activities, whether they are paid or not), have privileged 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 occurred.

Amendment 126 #

Proposal for a directive
Recital 25

(25) Effective ~~enforcement of Union law requires that protection is~~protection needs to be 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 privileged 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 occurred.

Amendment 127 #

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52, i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers, paid trainees and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency, which are types of relationships where standard protections against unfair treatment are often difficult to apply. _________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 128 #

Proposal for a directive
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 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 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 129 #

Proposal for a directive
Recital 27

Amendment 130 #

Proposal for a directive
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.

Amendment 131 #

Proposal for a directive
Recital 29

Amendment 132 #

Proposal for a directive
Recital 30

Amendment 133 #

Proposal for a directive
Recital 30

Amendment 134 #

Proposal for a directive
Recital 31

Amendment 135 #

Proposal for a directive
Recital 31

Amendment 136 #

Proposal for a directive
Recital 32 a (new)

(32a) Potential whistleblowers should seek wherever possible to inform internal reporting systems or agencies but wherever they deem that such course of action will be inadequate, they should be free to decide that the public should be informed directly, for example through the media. Whistleblowers should be protected no matter what their choice of reporting channel is.

Amendment 137 #

Proposal for a directive
Recital 33

Amendment 138 #

Proposal for a directive
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 be independent and have the necessary capacities and powers to impartially and objectively 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 139 #

Proposal for a directive
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 judicial authorities, 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 140 #

Proposal for a directive
Recital 36

(36) Some bodies, offices and agencies of the Union, such as the European Anti- Fraud Office (OLAF), the European Maritime Safety Agency (EMSA), the European Aviation Safety Agency (EASA) and the European Medicines Agency (EMA), have in place external channels and procedures for receiving reports on breaches falling within the scope of this Directive, which mainly provide for confidentiality of the identity of the reporting persons and of the natural persons concerned by the reports. This Directive does not affect such external reporting channels and procedures, where they exist, but will ensure that persons reporting to those bodies, offices or agencies of the Union benefit from common minimum standards of protection throughout the Union.

Amendment 141 #

Proposal for a directive
Recital 38

(38) For legal entities in the private sector, the obligation to establish internal channels is commensurate with their size and the level of risk their activities pose to the public interest. It should apply to all medium-sized and large entities irrespective of the nature of their activities, based on their obligation to collect VAT. As a general rule small and micro undertakings, as defined in Article 2 of the Annex of the Commission Recommendation of 6 May 2003, as amended56 , should be exempted from the obligation to establish internal channels. However, following an appropriate risk assessment, Member States may require small undertakings to establish internal reporting channels in specific cases (e.g. due to the significant risks that may result from their activities). _________________ 56Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).deleted

Amendment 142 #

Proposal for a directive
Recital 39

(39) The exemption of small and micro undertakings from the obligation to establish internal reporting channels should not apply to private undertakings active in the area of financial services. Such undertakings should remain obliged to establish internal reporting channels, in line with the current obligations set forth in the Union acquis on financial services.deleted

Amendment 143 #

Proposal for a directive
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 able to report directly externally to the competent authorities and such persons should enjoy the protection against retaliation provided by this Directive.Does not affect the English version.)

Amendment 144 #

Proposal for a directive
Recital 40

(40) It should be clear that, in the case of private legal entities which ~~do not~~fail to provide for internal reporting channels, reporting persons should be able to report directly externally to the competent authorities and such persons should enjoy the protection against retaliation provided by this Directive.

Amendment 145 #

Proposal for a directive
Recital 41

(41) To ensure in particular, the respect of the public procurement rules in the public sector, the obligation to put in place internal reporting channels should apply to all public legal entities, at local, regional and national level, whilst being commensurate with their size. In cases where internal channels are not provided in small public entities, Member States may provide for internal reporting within a higher level in the administration (that is to say at regional or central level).

Amendment 146 #

Proposal for a directive
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.Does not affect the English version.)

Amendment 147 #

Proposal for a directive
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, they shall be designated in close collaboration with the employees or employee representatives and their function should ensure absence of conflict of interest and independence. 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 148 #

Proposal for a directive
Recital 46

(46) In the context of internal reporting, the quality and transparency of information provided on the follow up procedure to the report is crucial to build trust in the effectiveness of the overall system of whistleblower protection and reduces the likelihood of further unnecessary reports or public disclosures. The reporting person should be informed within a reasonable timeframe about the action envisaged or taken as follow up to the report (for instance, closure based on lack of sufficient evidence or other grounds, launch of an internal enquiry and possibly its findings and/or measures taken to address the issue raised, referral to a competent authority for further investigation) as far as such information would not prejudice the enquiry or investigation or affect the rights of the concerned person. Such reasonable timeframe should not exceed in total three months. Where the appropriate follow up is still being determined, the reporting person should be informed about this and about any further feedback he/she should expect.Does not affect the English version.)

Amendment 149 #

Proposal for a directive
Recital 46

(46) In the context of internal reporting, the quality and transparency of information provided on the follow up procedure to the report is crucial to build trust in the effectiveness of the overall system of whistleblower protection and reduces the likelihood of further un~~necessary~~justified reports or public disclosures. The reporting person should be informed within a reasonable timeframe about the action envisaged or taken as follow up to the report (for instance, closure based on lack of sufficient evidence or other grounds, launch of an internal enquiry and possibly its findings and/or measures taken to address the issue raised, referral to a competent authority for further investigation) as far as such information would not prejudice the enquiry or investigation or affect the rights of the concerned person. Such reasonable timeframe should not exceed in total three months. Where the appropriate follow -up is still being determined, the reporting person should be informed about this and about any further feedback he/she should expect.

Amendment 150 #

Proposal for a directive
Recital 46

(46) In the context of internal reporting, the quality and transparency of information provided on the follow up procedure to the report is crucial to build trust in the effectiveness of the overall system of whistleblower protection and reduces the likelihood of further unnecessary reports or public disclosures. The reporting person should be informed within a reasonable timeframe about the action envisaged or taken as follow up to the report (for instance, closure based on lack of sufficient evidence or other grounds, launch of an internal enquiry and possibly its findings and/or measures taken to address the issue raised, referral to a competent authority for further investigation) as far as such information would not prejudice the enquiry or investigation or affect the rights of the concerned person. Such reasonable timeframe should not exceed in total t~~hree~~wo months. Where the appropriate follow up is still being determined, the reporting person should be informed about this and about any further feedback he/she should expect.

Amendment 151 #

Proposal for a directive
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~~internal reporting procedures as well as on procedures to report externally to relevant competent authorities. 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 152 #

Proposal for a directive
Recital 49

(49) Lack of confidence in the usefulness of reporting is one of the main factors discouraging potential whistleblowers. This warrants imposing a clear obligation on competent authorities to diligently follow-up on the reports received, and, within a reasonable timeframe, give feedback to the reporting persons about the action envisaged or taken as follow-up (for instance, closure based on lack of sufficient evidence or other grounds, launch of an investigation and possibly its findings and/or measures taken to address the issue raised; referral to another authority competent to give follow- up) to the extent that such information would not prejudice the investigation or the rights of the concerned persons.Does not affect the English version.)

Amendment 153 #

Proposal for a directive
Recital 50

(50) Follow up and feedback should take place within a reasonable timeframe; this is warranted by the need to promptly address the problem that may be the subject of the report, as well as to avoid un~~necessary~~justified public disclosures. Such timeframe should not exceed three months, but could be extended to six months, where necessary due to the specific circumstances of the case, in particular the nature and complexity of the subject of the report, which may require a lengthy investigation.

Amendment 154 #

Proposal for a directive
Recital 50

(50) Follow up and feedback should take place within a reasonable timeframe; this is warranted by the need to promptly address the problem that may be the subject of the report, as well as to avoid unnecessary public disclosures. Such timeframe should not exceed t~~hree~~wo months, but could be extended to ~~six~~four months, where necessary due to the specific circumstances of the case, in particular the nature and complexity of the subject of the report, which may require a lengthy investigation.

Amendment 155 #

Proposal for a directive
Recital 51

(51) Where provided for under national or Union law, the competent authorities should refer cases or relevant information to relevant bodies, offices or agencies of the Union, including, for the purposes of this Directive, the European Anti-Fraud Office (OLAF) and the European Public Prosecutor Office (EPPO), without prejudice to the possibility for the reporting person to refer directly to such bodies, offices or agencies of the UnDoes not affect the English version.)

Amendment 156 #

Proposal for a directive
Recital 53

(53) Dedicated staff members of the competent authorities, who are professionally trained on a regular basis, including on applicable data protection rules, would be necessary in order to receive and handle reports and to ensure communication with the reporting person, as well as following up on the report in a suitable manner.

Amendment 157 #

Proposal for a directive
Recital 53

(53) Dedicated staff members of the competent authorities, who are professionally trained, including on applicable data protection rules, would be necessary in order to handle reports and to ensure communication with the reporting person, as well as following up on the report in a suitable manner.Does not affect the English version.)

Amendment 158 #

Proposal for a directive
Recital 54

(54) Persons intending to report should be able to make an informed decision on whether, how and when to report. Competent authorities should therefore publicly disclose and make easily accessible information about the available reporting channels with competent authorities, about the applicable procedures and about the dedicated staff members within these authorities. All information regarding reports should be transparent, easily understandable and reliable in order to promote and not deter reporting. Potential whistleblowers should always be able to decide themselves whether to use internal or external reporting channels or whether they directly reach out to the public, provided that whistleblowers should in their discretion determine before resorting to external channels whether internal reporting mechanisms would be effective enough to provide a remedy against the breach that would be the subject of their report.

Amendment 159 #

Proposal for a directive
Recital 58

(58) Protection of personal data of the reporting and concerned person 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.Does not affect the English version.)

Amendment 160 #

Proposal for a directive
Recital 60

(60) To enjoy protection, the reporting persons should reasonably believe, in light of the circumstances and the information available to them at the time of the reporting, that the matters reported by them are true. This reasonable belief should be presumed unless and until proven otherwise. This is an essential safeguard against malicious and frivolous or abusive reports, ensuring that those who deliberately and knowingly report wrong or misleading information do not enjoy protection. At the same time, it ensures that protection is not lost where the reporting person made an inaccurate report in honest error. In a similar vein, reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.Does not affect the English version.)

Amendment 161 #

Proposal for a directive
Recital 60

(60) To enjoy protection, the reporting persons should reasonably believe, in light of the circumstances and the information available to them at the time of the reporting, that the matters reported by them are true. This reasonable belief should be presumed unless and until proven otherwise. This is an essential safeguard against intentional malicious and frivolous or abusive reports, ensuring that those who deliberately and knowingly report wrong or misleading information do not enjoy protection. At the same time, it ensures that protection is not lost where the reporting person made an inaccurate report in honest error. In a similar vein, reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.

Amendment 162 #

Proposal for a directive
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, it 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.Does not affect the English version.)

Amendment 163 #

Proposal for a directive
Recital 62

Amendment 164 #

Proposal for a directive
Recital 62

(62) ~~As a~~Without prejudice to the other provisions of this Directive, as a general rule, reporting persons should first use the internal channels at their disposal and report to their employer. However, it may be the case that internal channels do not exist (in case of entities which are not under an obligation to establish such channels by virtue of this Directive or applicable national law) or that their use is not mandatory (which may be the case for persons who are not in an employment relationship), or that they were used but did not function properly (for instance the report was not dealt with diligently or within a reasonable timeframe, or no action was taken to address the breach of law despite the positive results of the enquiry).

Amendment 165 #

Proposal for a directive
Recital 62

Amendment 166 #

Proposal for a directive
Recital 62

(62) As a rule, reporting persons should first use the internal channels at their disposal ~~and report to their employer~~. However, it may be the case that internal channels do not exist (in case of entities which are not under an obligation to establish such channels by virtue of this Directive or applicable national law) or that their use is not mandatory (which may be the case for persons who are not in an employment relationship), or that they were used but did not function properly (for instance the report was not dealt with diligently or within a reasonable timeframe, or no action was taken to address the breach of law despite the positive results of the enquiry).

Amendment 167 #

Proposal for a directive
Recital 63

Amendment 168 #

Proposal for a directive
Recital 64

(64) Persons making a public disclosure directly should also qualify for protection in cases where a breach remains unaddressed (for example, it was not properly assessed or investigated or no remedial action was taken) despite having been reported internally and/or externally following a tiered use of available channels; or in cases where reporting persons have valid reasons to believe that there is collusion between the perpetrator of the breach and the competent authority is reasonably suspected , that evidence may be concealed or destroyed, or that the effectiveness of investigative actions by competent authorities might be jeopardised; or in cases of imminent and manifest danger for the public interest, or where there is a risk of irreversible damage, including, inter alia, harm to physical integrity.Does not affect the English version.)

Amendment 169 #

Proposal for a directive
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. 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 persDoes not affect the English version.)

Amendment 170 #

Proposal for a directive
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. 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 or other persons and organisations who have provided support to the reporting person.

Amendment 171 #

Proposal for a directive
Recital 68

(68) Under certain national frameworks and in certain cases, reporting persons suffering retaliation may benefit from forms of certification of the fact that they meet the conditions of the applicable rules. Notwithstanding such possibilities, they should have effective access to judicial review, whereby it falls upon the courts to decide, based on all the individual circumstances of the case, whether they meet the conditions of the applicable rules.Does not affect the English version.)

Amendment 172 #

Proposal for a directive
Recital 70

(70) Retaliatory measures are likely to be presented as being justified on grounds other than the reporting and it can be very difficult for reporting persons to prove the link between the two, whilst the perpetrators of retaliation may have greater power and resources to document the action taken and the reasoning. Therefore, ~~once the reporting person demonstrates prima facie that he/she made a report or disclosure in line with this Directive and suffered a detriment,~~ the burden of proof should shift to the person who took the detrimental action, who should then demonstrate that their the action taken was not linked in any way to the reporting or the disclosure.

Amendment 173 #

Proposal for a directive
Recital 70

(70) Retaliatory measures are likely to be presented as being justified on grounds other than the reporting and it can be very difficult for reporting persons to prove the link between the two, whilst the perpetrators of retaliation may have greater power and resources to document the action taken and the reasoning. Therefore, once the reporting person demonstrates prima facie that he/she made a report or disclosure in line with this Directive and suffered a detriment, the burden of proof should shift to the person who took the detrimental action, who should then demonstrate that their the action taken was not linked in any way to the reporting or the disclosure.Does not affect the English version.)

Amendment 174 #

Proposal for a directive
Recital 71

(71) Beyond an explicit prohibition of retaliation provided in law, it is crucial that reporting persons who do suffer retaliation have access to legal remedies. The appropriate remedy in each case will be determined by the kind of retaliation suffered. It may take the form of actions for reinstatement (for instance, in case of dismissal, transfer or demotion, or of withholding of training or promotion) or for restauration of a cancelled permit, licence or contract; compensation for actual and future financial losses (for lost past wages, but also for future loss of income, costs linked to a change of occupation); compensation for other economic damage such as legal expenses and costs of medical treatment, and for intangible damage (pain and suffering).Does not affect the English version.)

Amendment 175 #

Proposal for a directive
Recital 73

(73) Of particular importance for reporting persons are interim remedies pending the resolution of legal proceedings that can be protracted. Interim relief can be in particular necessary in order to stop threats, attempts or continuing acts of retaliation, such as harassment at the workplace, or to prevent forms of retaliation such as dismissal, which might be difficult to reverse after the lapse of lengthy periods and which can ruin financially the individual — a perspective which can seriously discourage potential whistleblowers.Does not affect the English version.)

Amendment 176 #

Proposal for a directive
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, or through interference in their studies, can also pose a serious deterrent to whistleblowing. 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, in case the alleged acquisition, use or disclosure of the trade secret was carried out for revealing 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 177 #

Proposal for a directive
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 Council59and more generally support to those who are in serious financial need might be key, in certain cases, 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).Does not affect the English version.)

Amendment 178 #

Silvia COSTA

Proposal for a directive
Recital 76

(76) The rights of the concerned person should be protected in order to avoid reputational damages or other negative consequences. Furthermore, the rights of defence and access to remedies of the concerned person should be fully respected at every stage of the procedure following the report, in accordance with Articles 47 and 48 of the Charter of Fundamental Rights of the European Union. Member States should ensure the right of defence of the concerned person, including the right to access to the file, the right to be heard and the right to seek effective remedy against a decision concerning the concerned person under the applicable procedures set out in national law in the context of investigations or subsequent judicial proceedings, and to this end suitable measures should be employed to make individuals and civil society more aware of this.

Amendment 179 #

Proposal for a directive
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 deliberately and 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 180 #

Proposal for a directive
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.Does not affect the English version.)

Amendment 181 #

Proposal for a directive
Recital 80

Amendment 182 #

Proposal for a directive
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 operatedUnion law as a whole.

Amendment 183 #

Proposal for a directive
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 184 #

Proposal for a directive
Recital 85 a (new)

(85a) This Directive is a new standard for protecting the rights of persons reporting on breaches of Union law and should serve as an example for the candidate countries, associated countries and other countries that have committed to bring their legislation closer to the European acquis, especially in the context of reporting on abuse of EU funding and EU macro-financial assistance provided to these countries.

Amendment 185 #

1. With a view to protecting the public interest, safeguarding freedom of expression and 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 186 #

Proposal for a directive
Article 1 – paragraph 1 – point a – introductory part

(a) breaches falling within the scope of the Union legislation, for example those acts set out in the Annex (Part I and Part II) as regards the following areas:

Amendment 187 #

Proposal for a directive
Article 1 – paragraph 1 – point a a (new)

(aa) freedom of expression and information as referred to in Article 11 of the Charter of Fundamental Rights of the European Union, and case-law based on that Article;

Amendment 188 #

Proposal for a directive
Article 1 – paragraph 2

Amendment 189 #

Proposal for a directive
Article premier – paragraph 2

Amendment 190 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to ~~reporting~~natural or legal persons working in the private or public sector who acquired in a direct manner information on breaches in a work-related context and disclose said information, including, at least, the following:

Amendment 191 #

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of worker, with the meaning of Article 45 TFEU as well as former workers;

Amendment 192 #

Proposal for a directive
Article 2 – paragraph 1 – point c

(c) shareholders and persons belonging to the management body of an undertaking, including non-executive members~~, as well as volunteers and unpaid trainees~~;

Amendment 193 #

Proposal for a directive
Article 2 – paragraph 1 – point c a (new)

(ca) volunteers, students and trainees (paid or unpaid) who have a relationship with the enterprise or institution that breaches Union law;

Amendment 194 #

Proposal for a directive
Article 2 – paragraph 1 – point d a (new)

(da) This Directive shall also apply to European Union staff members, as defined within the EU Staff Regulation;

Amendment 195 #

Proposal for a directive
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 negotiat(Does not affect the English version.)

Amendment 196 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or potential unlawful activities or abuse of law ~~relating to the Union a~~or other forms of misconducts and ~~areas falling within the scope referred to in Article 1 and in the Annex~~wrongdoing that may cause harm to the public interest or the general interest of the Union, or which run contrary to the objectives of Union law;

Amendment 197 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or potential ~~unlawfu~~illegal activities or abuse of law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex;

Amendment 198 #

Proposal for a directive
Article 3 – paragraph 1 – point 4

(4) ‘information on breaches’ means evidence (confidential or otherwise) about actual breaches as well as reasonable suspicions about potential breaches which have not yet materialised;

Amendment 199 #

Proposal for a directive
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 or in another organisation with which he or she is or was in contact through his or her work;Does not affect the English version.)

Amendment 200 #

Proposal for a directive
Article 3 – paragraph 1 – point 8

(8) ‘public disclosure’ means making information on breaches acquired within the work-related context available to the public domain;

Amendment 201 #

Proposal for a directive
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 activities;~~Does not affect the English version.)

Amendment 202 #

Proposal for a directive
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 during his or her studies and causes or may cause unjustified detriment to the reporting person;

Amendment 203 #

(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal or external reporting or a public disclosure which occurs in a work-related context and causes or may cause unjustified detriment to the reporting person;

Amendment 204 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

(12) ‘retaliation’ means any threatened or actual act or omission prompted by ~~the~~ internal or external reporting or a public disclosure which occurs in a work-related context and causes or may cause ~~unjustified~~ detriment to the reporting person;

Amendment 205 #

Proposal for a directive
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 and causes or may cause unjustified direct or indirect detriment to the reporting person;

Amendment 206 #

Proposal for a directive
Article 3 – paragraph 1 – point 14 a (new)

(14a) 'public disclosure’ means a disclosure to media, civil society organizations or another institutional body which does not fall under (14) of this article;

Amendment 207 #

Proposal for a directive
Article 4 – paragraph 1

Amendment 208 #

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity~~. They may allow for reporting b~~ and by any other persons who are in contact with ~~the~~such entity in the context of their work-related activities, referred to in Article 2(1)(b),(c) and (d)~~, but the use of internal channels for reporting shall not be mandatory for these categories of persons~~.

Amendment 209 #

Proposal for a directive
Article 4 – paragraph 3

3. The legal entities in the private sector referred to in paragraph 1 are the following: (a) private legal entities with 50 or more employees; (b) private legal entities with an annual business turnover or annual balance sheet total of EUR 10 million or more; (c) operating in the area of financial services or vulnerable to money laundering or terrorist financing, as regulated under the Union acts referred to in the Annex.deleted private legal entities of any size

Amendment 210 #

Proposal for a directive
Article 4 – paragraph 4

4. Following an appropriate risk assessment taking into account the nature of activities of the entities and the ensuing level of risk, Member States may require small private legal entities, as defined in Commission Recommendation of 6 May 200362 , other than those referred to in paragraph 3(c) to establish internal reporting channels and procedures. _________________ 62Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises OJ L 124, 20.5.2003, p. 36.deleted

Amendment 211 #

Proposal for a directive
Article 4 – paragraph 5

5. Any decision taken by a Member State pursuant to paragraph 4 shall be notified to the Commission, together with a justification and the criteria used in the risk assessment. The Commission shall communicate that decision to the other Member States.deleted

Amendment 212 #

Stelios KOULOGLOU, Curzio MALTESE

Proposal for a directive
Article 4 – paragraph 6 – point c

Amendment 213 #

Proposal for a directive
Article 4 – paragraph 6 – point c

Amendment 214 #

Proposal for a directive
Article 4 – paragraph 6 – point c a (new)

(ca) private entities providing a public service or under public control;

Amendment 215 #

Proposal for a directive
Article 4 – paragraph 6 – point d a (new)

(da) European Union institutions, agencies and bodies;

Amendment 216 #

Proposal for a directive
Article 5 – paragraph 1 – point a

(a) channels for receiving the reports which are designed, set up and operated in a manner that ensures the confidentiality of the identity of the reporting person, allows for anonymous disclosures through the use of appropriate computerised systems and prevents access to non-authorised staff members;

Amendment 217 #

Proposal for a directive
Article 5 – paragraph 1 – point a

(a) channels for receiving the reports which are designed, set up and operated in a manner that ensures the confidentiality, and where necessary the anonymity, of the identity of the reporting person, also in the digital environment, and prevents access to non-authorised staff members;

Amendment 218 #

Proposal for a directive
Article 5 – paragraph 1 – point a

(a) channels for receiving the reports which are designed, set up and operated in a manner that ensures the confidentiality of the identity of the reporting person and of the natural persons concerned by the report and prevents access to non- authorised staff members;

Amendment 219 #

Proposal for a directive
Article 5 – paragraph 1 – point a

Amendment 220 #

Proposal for a directive
Article 5 – paragraph 1 – point b

(b) ~~the~~ designation, in close collaboration with employees or employee representatives, of a person or department competent for following up on the reports;

Amendment 221 #

Proposal for a directive
Article 5 – paragraph 1 – point b

(b) the designation of a person or, department or a trade union representative competent for following up on the reports;

Amendment 222 #

Proposal for a directive
Article 5 – paragraph 1 – point d

(~~d) a reasonable timeframe, not exceeding three months following the report, to provide feedback to the reporting person about the follow-up to the report;~~Does not affect the English version.)

Amendment 223 #

Proposal for a directive
Article 5 – paragraph 1 – point d

(d) a reasonable timeframe, not exceeding t~~hree~~wo months following the report, to provide feedback to the reporting person about the follow-up to the report;

Amendment 224 #

Proposal for a directive
Article 5 – paragraph 1 – point d

(d) a reasonable timeframe, not exceeding ~~three month~~60 days following the report, to provide feedback to the reporting person about the follow-up to the report;

Amendment 225 #

Proposal for a directive
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~~, including options for anonymous disclosures, as well as disclosures employing cryptographic methods;

Amendment 226 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a

(a) written reports in electronic or paper format and/or oral report through recorded telephone lines~~, whether recorded or unrecorded~~;

Amendment 227 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a a (new)

(aa) oral report through telephone lines, whether recorded or unrecorded;

Amendment 228 #

Proposal for a directive
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, in close collaboration with employees or employee representatives, as “trusted persons” from whom reporting persons and those considering reporting may seek confidential advice.

Amendment 229 #

Proposal for a directive
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.(Does not affect the English version.)

Amendment 230 #

Proposal for a directive
Article 6 – paragraph 1

1. Member States shall designate ~~the~~ authorities competent to receive and handle reports. Such authorities shall have adequate financial and human resources to enable them to exercise the competences assigned to them.

Amendment 231 #

Proposal for a directive
Article 6 – paragraph 1 a (new)

1a. Member States are also to ensure that persons requiring protection as whistleblowers will be entitled to the right of appeal before independent and impartial Courts of Justice wherever such persons are denied recognition or protection as whistleblowers by the relevant authority that would be tasked with the recognition or grant of status to a person requesting to be considered as a whistleblower, and that under no circumstances can the authority tasked to grant such status or protection have an actual or potential conflict of interest with regard to whether or not to grant such status or protection.

Amendment 232 #

Proposal for a directive
Article 6 – paragraph 2 – point a

(a) establish independent and autonomous external reporting channels, which are ~~both~~ secure ~~and~~, ensure confidentiality and allow for anonymous disclosures, for receiving and ~~handl~~processing information provided by the reporting person;

Amendment 233 #

Proposal for a directive
Article 6 – paragraph 2 – point a

(a) establish independent ~~and~~, autonomous, clear and transparent external reporting channels, which are both secure and ensure confidentiality, for receiving and handling information provided by the reporting person;

Amendment 234 #

Proposal for a directive
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 p~~Does not affect the English version;.)

Amendment 235 #

Proposal for a directive
Article 6 – paragraph 2 – point a a (new)

(aa) are independent and dispose over adequately qualified and trained staff and appropriate funding;

Amendment 236 #

Proposal for a directive
Article 6 – paragraph 2 – point b

(~~b) 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 cases;~~Does not affect the English version.)

Amendment 237 #

Proposal for a directive
Article 6 – paragraph 2 – point b

(b) give feedback to the reporting person about the follow-up of the report within a reasonable timeframe not exceeding t~~hree~~wo months or ~~six~~four months in duly justified cases;

Amendment 238 #

Proposal for a directive
Article 6 – paragraph 2 – point b

(b) give feedback to the reporting person about the follow-up of the report within a reasonable timeframe not exceeding ~~three months or six month~~60 days or 120 days in duly justified cases;

Amendment 239 #

Proposal for a directive
Article 6 – paragraph 2 – point c

(c) transmit, while further ensuring confidentiality and/or anonymity of the reporting person, the information contained in the report to competent bodies, offices or agencies of the Union, as appropriate, for further investigation, where provided for under national or Union law.

Amendment 240 #

Proposal for a directive
Article 6 – paragraph 3

3. Member States shall ensure that competent authorities follow up on the reports by taking the necessary measures and investigate, to the extent appropriate, the subject-matter of the reports. The competent authorities shall communicate to the reporting person the final outcome of the investigat(Does not affect the English versions.)

Amendment 241 #

Proposal for a directive
Article 6 – paragraph 3

Amendment 242 #

Proposal for a directive
Article 6 – paragraph 4

Amendment 243 #

Proposal for a directive
Article 7 – paragraph 1 – introductory part

1. Dedicated external reporting channels shall be considered independent ~~and~~, autonomous, clear and transparent if they meet all of the following criteria:

Amendment 244 #

Proposal for a directive
Article 7 – paragraph 1 – point b

(b) they are designed, set up and operated in a manner that ensures the completeness, integrity and confidentiality of the information and prevents access to non-authorised ~~staff members of the competent authority~~persons;

Amendment 245 #

Proposal for a directive
Article 7 – paragraph 1 – point c a (new)

(ca) they are easily accessible, also to people with disabilities;

Amendment 246 #

Proposal for a directive
Article 7 – paragraph 2 – point a

(a) written report in electronic or paper format, including options for anonymous disclosures, as well as disclosures employing cryptographic methods;

Amendment 247 #

Proposal for a directive
Article 7 – paragraph 2 – point b

(b) oral report through recorded telephone lines~~, whether recorded or unrecorded~~;

Amendment 248 #

Proposal for a directive
Article 7 – paragraph 4

4. Member States 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 or the natural persons concerned by the report.

Amendment 249 #

Proposal for a directive
Article 8 – paragraph 1

1. Member States shall ensure that competent authorities have staff members dedicated to handling reports. Dedicated staff members shall receive specific and regular training for the purposes of handling reports.

Amendment 250 #

Proposal for a directive
Article 8 – paragraph 2 – point a

(a) providing any interested person with information on the procedures for reporting and on the protection to which he/she is entitled;

Amendment 251 #

Proposal for a directive
Article 8 – paragraph 2 – point c

(~~c) maintaining contact with the reporting person for the purpose of informing the reporting person of the progress and the outcome of the investigat~~Does not affect the English version.)

Amendment 252 #

Proposal for a directive
Article 9 – paragraph 1 – point a

(a) the manner in which the competent authority may require the reporting person, or the reporting person, may request to clarify the information reported or to provide additional information that is available to the reporting person;

Amendment 253 #

Proposal for a directive
Article 9 – paragraph 1 – point a

(~~a) the manner in which the competent authority may require the reporting person to clarify the information reported or to provide additional information that is available to the reporting person;~~Does not affect the English version.)

Amendment 254 #

Proposal for a directive
Article 9 – paragraph 1 – point a

(a) the manner in which the competent authority may require the reporting person to clarify the information reported or to provide additional information that is available to the reporting person;

Amendment 255 #

Proposal for a directive
Article 9 – paragraph 1 – point b

(b) a reasonable timeframe, not exceeding ~~three months or six month~~60 days or 120 days in duly justified cases, for giving ~~feed-back~~updates to the reporting person ~~about the follow-up of the report and~~on the actual and forthcoming status of the report as well as a description of the ~~type~~form and content of this feed-back;

Amendment 256 #

Proposal for a directive
Article 9 – paragraph 1 – point b

(b) a reasonable timeframe, not exceeding three months or six months in duly justified cases, for giving feed-back to the reporting person about the follow-up of the report and the type and content of this feed-back;Does not affect the English version.)

Amendment 257 #

Proposal for a directive
Article 9 – paragraph 1 – point b

(b) a reasonable timeframe, not exceeding t~~hree~~wo months or ~~six~~four months in duly justified cases, 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 258 #

Proposal for a directive
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.~~Does not affect the English version.)

Amendment 259 #

Proposal for a directive
Article 9 – paragraph 1 – point c

(c) the confidentiality ~~regime~~measures applicable to reports, including a detailed description of the circumstances under which the confidential data of a reporting person may be disclosed.

Amendment 260 #

Proposal for a directive
Article 9 – paragraph 2

2. The detailed description referred to in point (c) of paragraph 1 shall include the exceptional cases in which confidentiality of personal data may ~~not be ensur~~be breached, including 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 tof defence ~~of the concerned person~~, and in each case subject to appropriate safeguards under such laws.

Amendment 261 #

Proposal for a directive
Article 9 – paragraph 3

~~3. The detailed description referred to in point (c) of paragraph 1 must be written in clear and easy to understand language and be easily accessible to the reporting p~~(Does not affect the English versions.)

Amendment 262 #

Proposal for a directive
Article 10 – paragraph 1 – point a

(~~a) the conditions under which reporting persons qualify for protection under this Directive;~~Does not affect the English version.)

Amendment 263 #

Proposal for a directive
Article 10 – paragraph 1 – point b – point i

(i) the phone numbers, indicating ~~whether~~that conversations are recorded ~~or unrecorded when using those phone lines~~;

Amendment 264 #

Proposal for a directive
Article 11 – paragraph 2

2. Competent authorities shall promptly acknowledge the receipt of written reports to the postal or electronic address indicated by the reporting person, unless the reporting person explicitly requested otherwise or the competent authority reasonably believes that acknowledging receipt of a written report would jeopardise the protection of the reporting person’s identity.(Does not affect the English version.)

Amendment 265 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 1 – introductory part

Where a recorded telephone line is used for reporting, subject to the consent of the reporting person, the competent authority shall have the right to document the oral reporting in one of the following ways:(Does not affect the English version.)

Amendment 266 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 2

~~The competent authority shall offer the possibility to the reporting person to check, rectify and agree the transcript of the call by signing it.~~(Does not affect the English version.)

Amendment 267 #

Proposal for a directive
Article 11 – paragraph 4

4. Where an unrecorded telephone line is used for reporting, the competent authority shall have the right to document the oral reporting in the form of accurate minutes of the conversation prepared by the dedicated staff members. The competent authority shall offer the possibility to the reporting person to check, rectify and agree with the minutes of the call by signing them.deleted

Amendment 268 #

Proposal for a directive
Article 11 – paragraph 4

~~4. Where an unrecorded telephone line is used for reporting, the competent authority shall have the right to document the oral reporting in the form of accurate minutes of the con~~(Does not affect the English versation ~~prepared by the dedicated staff members. The competent authority shall offer the possibility to the reporting person to check, rectify and agree with the minutes of the call by signing them~~.)

Amendment 269 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 2

~~The competent authority shall offer the possibility to the reporting person to check, rectify and agree with the minutes of the meeting by signing them.~~(Does not affect the English version.)

Amendment 270 #

Proposal for a directive
Chapter 4 – title

~~PROTECTION OF REPORTING AND CONCERNED PERSONS~~(Does not affect the English version.)

Amendment 271 #

Proposal for a directive
Article 13 – title

~~Conditions for the protection of reporting p~~(Does not affect the English versions.)

Amendment 272 #

Proposal for a directive
Article 13 – paragraph 1

1. A reporting person or intermediary shall qualify for protection under this Directive provided he or she has reasonable grounds to believe that the information reported or disclosed was true at the time of reporting or disclosure and that this information falls within the scope of this Directive.

Amendment 273 #

Proposal for a directive
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.(Does not affect the English version.)

Amendment 274 #

Proposal for a directive
Article 13 – paragraph 2

2. A person reporting externally shall qualify for protection under this Directive where one of the following conditions is fulfilled : (a) he or she first reported internally but no appropriate action was taken in response to the report within the reasonable timeframe referred in Article 5; (b) internal reporting channels were not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels; (c) channels was not mandatory for the reporting person, in accordance with Article 4(2); (d) he or she could not reasonably be expected to use internal reporting channels in light of the subject-matter of the report; (e) to believe that the use of internal reporting channels could jeopardise the effectiveness of investigative actions by competent authorities; (f) directly through the external reporting channels to a competent authority by virtue of Union law.deleted the use of internal reporting he or she had reasonable grounds he or she was entitled to report

Amendment 275 #

Proposal for a directive
Article 13 – paragraph 2 – point c

~~(c) the use of internal reporting channels was not mandatory for the reporting person, in accordance with Article 4(2);~~deleted

Amendment 276 #

Proposal for a directive
Article 13 – paragraph 2 – point a

(a) he or she first reported internally but no appropriate and effective action was taken in response to the report within the reasonable timeframe referred in Article 5;

Amendment 277 #

Proposal for a directive
Article 13 – paragraph 2 – point b

(~~b) internal reporting channels were not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels;~~Does not affect the English version.)

Amendment 278 #

Proposal for a directive
Article 13 – paragraph 2 – point c

(~~c) the use of internal reporting channels was not mandatory for the reporting person, in accordance with Article 4(2);~~Does not affect the English version.)

Amendment 279 #

Proposal for a directive
Article 13 – paragraph 3

3. A person reporting to relevant bodies, elected officials, offices or agencies of the Union on breaches falling within the scope of this Directive shall qualify for protection as laid down in this Directive under the same conditions as a person who reported ~~externally~~ in accordance with the conditions set out in paragraph 2.1;

Amendment 280 #

Proposal for a directive
Article 13 – paragraph 4

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall qualify for protection under this Directive where: (a) and/or externally in accordance with Chapters II and III and paragraph 2 of this Article, but no appropriate action was taken indeleted he or she first response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); or (b) expected to use internal and/or external reporting channels due to imminent or manifest danger for the public interest, or to the particular circumstances of the case, or where there is a risk of irreversible damage.rted internally he or she could not reasonably be

Amendment 281 #

Proposal for a directive
Article 13 – paragraph 4 – introductory part

4. A person making a publicly disclos~~ing information~~ure on breaches falling within the scope of this Directive shall qualify for protection under this Directive where any of the following are met:

Amendment 282 #

Proposal for a directive
Article 13 – paragraph 4 – point a

(a) he or she first reported internally and/or externally in accordance with Chapters II and III and paragraph 21 of this Article, but no appropriate action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); or

Amendment 283 #

Proposal for a directive
Article 13 – paragraph 4 – point b

(b) he or she could not reasonably be expected to use internal and/or external reporting channels due to imminent or manifest danger for the public interest, urgent threat to public health, safety or the environment, or to the particular circumstances of the case, or where there is a risk of irreversible damage.

Amendment 284 #

Proposal for a directive
Article 13 – paragraph 4 – point b a (new)

(ba) 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 oneself when making a report or a disclosure;

Amendment 285 #

Proposal for a directive
Article 14 – title

~~Prohibition of retaliation against reporting p~~(Does not affect the English versions.)

Amendment 286 #

Proposal for a directive
Article 14 – paragraph 1 – introductory part

Member States shall take the necessary measures to prohibit any ~~form of retaliation, whether direct or indirect, against reporting persons meet~~threatened, attempted or implemented action that could underminge the ~~conditions set out in Article 13, including in particular in the form of~~exercise of rights protected by the present Directive. This includes, but is not limited to retaliation measures such as:

Amendment 287 #

Proposal for a directive
Article 14 – paragraph 1 – introductory part

Member States shall take the necessary measures to prohibit any form of retaliation, whether direct or indirect, against reporting persons meeting the conditions set out in Article 13, including in particular in the form of:(Does not affect the English version.)

Amendment 288 #

Proposal for a directive
Article 14 – paragraph 1 – point d

(d) withholding of training or interference in studies;

Amendment 289 #

Proposal for a directive
Article 14 – paragraph 1 – point j

(j) failure to renew or early termination of the temporary employment or voluntary work contract;

Amendment 290 #

Proposal for a directive
Article 15 – title

~~Measures for the protection of reporting persons against retaliat~~(Does not affect the English version.)

Amendment 291 #

Proposal for a directive
Article 15 – paragraph 1

1. Member States shall take the necessary measures to ensure the protection of reporting persons meeting the conditions set out in Article 13 against retaliation. Such measures shall include, in particular, those set out in paragraphs 2 to 8.(Does not affect the English version.)

Amendment 292 #

Proposal for a directive
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.(Does not affect the English version.)

Amendment 293 #

5. In judicial proceedings relating to a detriment suffered by the reporting person, ~~and subject to him or her providing reasonable grounds to believe that the detriment was in retaliation for having made the 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.

Amendment 294 #

Proposal for a directive
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 believe that the detriment was in retaliation for having made the report or public 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 or public disclosure but was exclusively based on duly justified grounds.

Amendment 295 #

Proposal for a directive
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 believe that the detriment was in retaliation for having made the 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.(Does not affect the English version.)

Amendment 296 #

Proposal for a directive
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.(Does not affect the English version.)

Amendment 297 #

Proposal for a directive
Article 15 – paragraph 7

7. In addition to the exemption from measures, procedures and remedies provided for in Directive (EU) 2016/943, in judicial proceedings, including for defamation, breach of copyright, breach of secrecy or for compensation requests based on private, public, or on collective labour law, reporting persons shall have the right to rely on having made a report or disclosure in accordance with this Directive to seek dismissal.(Does not affect the English version.)

Amendment 298 #

Proposal for a directive
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 may 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).(Does not affect the English version.)

Amendment 299 #

Proposal for a directive
Article 16 – paragraph 2

~~2. Where the identity of the concerned persons is not known to the public, competent authorities shall ensure that their identity is protected for as long as the investigation is ongoing.~~deleted

Amendment 300 #

Silvia COSTA

Proposal for a directive
Article 16 – paragraph 2

2. Where the identity of the concerned persons is not known to the public, competent authorities shall ensure that their identity is protected for as long as the investigation is ongoing and in no case after the start of the criminal trial.

Amendment 301 #

Proposal for a directive
Article 17 – title

PCriminal penalties

Amendment 302 #

Proposal for a directive
Article 17 – paragraph 1 – introductory part

1. Member States shall provide for effective, proportionate and dissuasive criminal penalties applicable to natural or legal persons that:

Amendment 303 #

Proposal for a directive
Article 17 – paragraph 1 – point b

(~~b) take retaliatory measures against reporting p~~Does not affect the English versions;.)

Amendment 304 #

Proposal for a directive
Article 17 – paragraph 1 – point c

(~~c) bring vexatious proceedings against reporting p~~Does not affect the English versions;.)

Amendment 305 #

Proposal for a directive
Article 17 – paragraph 1 – point d

(d) breach the duty of maintaining the confidentiality of the identity of reporting persons or of natural persons concerned by the report.

Amendment 306 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 307 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 308 #

Proposal for a directive
Article 17 – paragraph 2

2. Member States shall provide for effective, proportionate and dissuasive criminal penalties applicable to persons ~~making~~who: (a) make malicious or abusive reports or disclosures, including measures for compensating persons who have suffered damage from malicious or abusive reports or disclosures; (b) spread false information claiming to have been so informed by a whistleblower.

Amendment 309 #

2. Member States shall provide for effective, proportionate and dissuasive penalties applicable to persons ~~making~~proven having intentionally made malicious or abusive reports or disclosures, including measures for compensating persons who have suffered ~~damage from~~unjustified direct damage from intentional malicious or abusive reports or disclosures.

Amendment 310 #

Proposal for a directive
Article 17 – paragraph 2

2. Member States shall provide for effective, proportionate and dissuasive penalties applicable to persons making knowingly and deliberately malicious or abusive reports or disclosures, including measures for compensating persons who have suffered damage from such malicious or abusive reports or disclosures.

Amendment 311 #

Proposal for a directive
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).~~(Does not affect the English version.)

Amendment 312 #

Proposal for a directive
Article 20 – paragraph 1

1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 1~~5 Ma~~ January 20210, at the latest. They shall forthwith communicate to the Commission the text of those provisions.

Amendment 313 #

Proposal for a directive
Article 21 – paragraph 1

1. Member States shall provide the Commission with all relevant information regarding the implementation and application of this Directive. On the basis of the information provided, the Commission shall, by 1~~5 Ma~~ January 20232, submit a report to the European Parliament and the Council on the implementation and application of this Directive.

Amendment 314 #

Proposal for a directive
Article 21 – paragraph 2 – point c a (new)

(ca) the ascertained number of retaliatory measures against reporting persons;

Amendment 315 #

Proposal for a directive
Article 21 – paragraph 3

3. The Commission shall, by 1~~5 Ma~~ January 20276, taking into account its report submitted pursuant to paragraph 1 and the Member States’ statistics submitted pursuant to paragraph 2, submit a report to the European Parliament and to the Council assessing the impact of national law transposing this Directive. The report shall evaluate the way in which this Directive has operated and consider the need for additional measures, including, where appropriate, amendments with a view to extending the scope of this Directive to further areas or Union acts.

Amendment 316 #

Proposal for a directive
Article 21 – paragraph 3 a (new)

3a. Such reports shall be made public and easily accessible.

Amendment 317 #

Proposal for a directive
Annex I – part I – subpart A – point 1 – introductory part

Amendment 318 #

Proposal for a directive
Annex I – part I – subpart A – point 2 – introductory part

2. Review procedures regulated, in particular, by:

Amendment 319 #

Proposal for a directive
Annex I – part I – subpart B – paragraph 1 – introductory part

Rules establishing a regulatory and supervisory framework and consumer and investor protection in the Union financial services and capital markets, banking, credit, insurance and re-insurance, occupational or personal pensions, securities, investment funds, payment and investment advice and the services listed in Annex I to Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338), as regulated in particular by:

Amendment 320 #

Proposal for a directive
Annex I – part I – subpart C – point 1 – introductory part

1. General safety requirements of products placed in the Union market as defined and regulated for example by:

Amendment 321 #

Proposal for a directive
Annex I – part I – subpart C – point 2 – introductory part

2. Marketing and use of sensitive and dangerous products, as regulated for example by:

Amendment 322 #

Proposal for a directive
Annex I – part I – subpart D – point 1

1. Safety requirements in the railway sector as regulated in particular by Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety (OJ L 138, 26.5.2016, p. 102).

Amendment 323 #

Proposal for a directive
Annex I – part I – subpart D – point 2

2. Safety requirements in the civil aviation sector as regulated in particular by Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC (OJ L 295, 12.11.2010, p. 35).

Amendment 324 #

Proposal for a directive
Annex I – part I – subpart D – point 3 – introductory part

3. Safety requirements in the road sector as regulated for example by:

Amendment 325 #

Proposal for a directive
Annex I – part I – subpart D – point 4 – introductory part

4. Safety requirements in the maritime sector as regulated in particular by:

Amendment 326 #

Proposal for a directive
Annex I – part I – subpart E – point i

(i) Any criminal offence against the protection of the environment as regulated for example by Directive 2008/99/EC of the European Parliament and of the Council of 19 November 2008 on the protection of the environment through criminal law (OJ L 328, 6.12.2008, p. 28) or any unlawful conduct infringing the legislation set out in the Annexes of the Directive 2008/99/EC;

Amendment 327 #

Proposal for a directive
Annex I – part I – subpart F – paragraph 1 – introductory part

Rules on nuclear safety as regulated for example by:

Amendment 328 #

Proposal for a directive
Annex I – part I – subpart G – point 1

1. Union food and feed law governed by the general principles and requirements as defined in particular by Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety (OJ L 31, 1.2.2002, p. 1).

Amendment 329 #

Proposal for a directive
Annex I – part I – subpart G – point 2

2. Animal health as regulated in particular by Regulation (EU) 2016/429 of the European Parliament and of the Council of 9 March 2016 on transmissible animal diseases and amending and repealing certain acts in the area of animal health (‘Animal Health Law’) (OJ L 84, 31.3.2016, p. 1).

Amendment 330 #

Proposal for a directive
Annex I – part I – subpart G – point 4 – introductory part

4. Protection of animal welfare as regulated for example by:

Amendment 331 #

Proposal for a directive
Annex I – part I – subpart H – point 1 – introductory part

1. Measures setting high standards of quality and safety of organs and substances of human origin, as regulated for example by:

Amendment 332 #

Proposal for a directive
Annex I – part I – subpart H – point 2 – introductory part

2. Measures setting high standards of quality and safety for medicinal products and devices of medical use as regulated for example by:

Amendment 333 #

Proposal for a directive
Annex I – part I – subpart H – point 3

3. Serious cross-border threats to health as regulated in particular by Decision No 1082/2013/EU of the European Parliament and of the Council of 22 October 2013 on serious cross-border threats to health and repealing Decision No 2119/98/EC (OJ L 293, 5.11.2013, p. 1).

Amendment 334 #

Proposal for a directive
Annex I – part I – subpart H – point 4

4. Patients’ rights as regulated in particular by Directive 2011/24/EU of the European Parliament and of the Council of 9 March 2011 on the application of patients’ rights in cross-border healthcare (OJ L 88, 4.4.2011, p. 45).

Amendment 335 #

Proposal for a directive
Annex I – part I – subpart H – point 5

5. Manufacture, presentation and sale of tobacco and related products regulated in particular by Directive 2014/40/EU of the European Parliament and of the Council of 3 April 2014 on the approximation of the laws, regulations and administrative provisions of the Member States concerning the manufacture, presentation and sale of tobacco and related products and repealing Directive 2001/37/EC (OJ L 127, 29.4.2014, p. 1).

Amendment 336 #

Proposal for a directive
Annex I – part I – subpart I – paragraph 1 – introductory part

Consumer rights and consumer protection as regulated for example by:

source: 625.365

2018/07/19 EMPL 189 amendments...

Amendment 100 #

Proposal for a directive
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~~ and causes or may cause unjustified detriment to the reporting person;

Amendment 101 #

Proposal for a directive
Article 4 – paragraph 1 a (new)

(1a) Member States may stipulate that legal entities in the private sector should establish internal reporting channels and procedures for reporting and following up on reports, following consultations with social partners, if appropriate.

Amendment 102 #

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity. They may allow for reporting by other persons who are in contact with the entity in the context of their work-related activities, referred to in Article 2(1)(b),(c) and (d), ~~but~~and the use of internal channels for reporting shall ~~not~~ be mandatory for these categories of persons, except in legitimate, proven cases of risks to the person’s anonymity or safety.

Amendment 103 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity. They may allow for reporting by other persons who are in contact with the entity in the context of their work-related activities, referred to in Article 2(1)(b),(c) and (d), but the use of internal channels for reporting shall not be mandatory for these categories of persons. Workers and their representatives shall be consulted on proposals to set up respective channels and procedures.

Amendment 104 #

Robert ROCHEFORT, Jean-Marie CAVADA

Proposal for a directive
Article 4 – paragraph 2 a (new)

2a. These reporting channels shall be clearly defined by the entity and easily accessible both within and from outside the entity.

Amendment 105 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 4 – paragraph 2 a (new)

2a. Such channels must guarantee the anonymity of the reporting person as well as their personal information.

Amendment 106 #

Proposal for a directive
Article 4 – paragraph 2 a (new)

2a. Such channels shall safeguard the anonymity of whistleblowers, as well as their personal data.

Amendment 107 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 4 – paragraph 6 – point c

Amendment 108 #

Proposal for a directive
Article 4 – paragraph 6 – point d a (new)

(da) European Union institutions, agencies and bodies.

Amendment 109 #

Proposal for a directive
Article 5 – paragraph 1 – point a

(a) channels for receiving the reports which 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;. Recipients of disclosed information within the workplace shall include, but not be limited to:· – Line-managers, superiors or representatives of the organisation;· – Human resources, ethics officers, work councils or other bodies in charge of mediating· – conflicts at work, including conflicts of interest;· – Internal financial oversight bodies within the organisation; – Disciplinary bodies within the organisation.

Amendment 110 #

Proposal for a directive
Article 5 – paragraph 1 – point c

Amendment 111 #

Proposal for a directive
Article 5 – paragraph 1 – point d

(d) a reasonable timeframe, not exceeding 30 days or three months ~~following the report~~in duly justified cases following the report with an acknowledgement of the receipt of report within 30 days, to provide feedback to the reporting person about the follow-up to the report;

Amendment 112 #

Proposal for a directive
Article 5 – paragraph 1 – point d

(d) a reasonable timeframe, not exceeding t~~hree~~wo months following the report, to provide feedback to the reporting person about the follow-up to the report;

Amendment 113 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a

(a) written reports in electronic or paper format and/or oral report through recorded telephone lines~~, whether recorded or unrecorded~~;

Amendment 114 #

Proposal for a directive
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 and/or by a representative of civil society and/or his/her legal representative.

Amendment 115 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 2

Reporting channels may be operated internally by a person or department designated for that purpose or provided externally by a third party, provided that the safeguards and requirements referred to in point (a) of paragraph 1 are respected. These channels shall be clearly defined by the entity to ensure the procedure is transparent and easy to use by the reporting person.

Amendment 116 #

Proposal for a directive
Article 5 – paragraph 2 a (new)

(2a) Member States may stipulate that follow-ups on reports with the same content as previous reports can be dispensed with.

Amendment 117 #

Proposal for a directive
Article 5 – paragraph 3 a (new)

3a. A reporting person who wishes to report a problem or negligence shall use the channels and methods offered by the entity unless: (a) the reporting person has legitimate reason to doubt that his action will remain anonymous; (b) the reporting person has legitimate reason to fear for his professional or personal safety; (c) the legal entity has failed in its obligation and does not offer any appropriate reporting channels or methods. All reports made via a channel or method other than those clearly defined by the entity will be deemed inadmissible and it will not be possible to use said reports subsequently as proof when reporting externally.

Amendment 118 #

Proposal for a directive
Article 5 – paragraph 3 a (new)

3a. Member States shall ensure the protection of report to an employer other than his or her direct employer where there are multiple organisations or employers involved and the worker reasonably believes the information relates solely or mainly to the conduct of that person or organisation, or is a matter for which that person or organisation has legal responsibility. Any such disclosure shall be treated as internal reporting.

Amendment 119 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 5 – paragraph 3 a (new)

3a. It shall be ensured that a worker considering making a report is protected to discuss, be accompanied and represented by his/her trade union, including throughout the internal process.

Amendment 120 #

Proposal for a directive
Article 6 – paragraph 2 – point b

(b) give feedback to the reporting person about the follow-up of the report within a reasonable timeframe not exceeding t~~hree~~wo months or ~~six~~four months in duly justified cases;

Amendment 121 #

Proposal for a directive
Article 6 – paragraph 2 – point b

(b) give feedback to the reporting person about the follow-up of the report within a reasonable timeframe not exceeding t~~hree~~wo months or ~~six~~four months in duly justified cases;

Amendment 122 #

Robert ROCHEFORT, Jean-Marie CAVADA

Proposal for a directive
Article 6 – paragraph 2 – point b a (new)

(ba) 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 and, where relevant, take his/her comments into account;

Amendment 123 #

Proposal for a directive
Article 6 – paragraph 2 – point c a (new)

(ca) safeguard the anonymity of whistleblowers, as well as their personal data.

Amendment 124 #

Proposal for a directive
Article 7 – paragraph 1 – point c a (new)

(ca) guarantee free and independent advice and legal support for reporting persons and intermediaries.

Amendment 125 #

Proposal for a directive
Article 7 – paragraph 2 – point b

(b) oral report through recorded telephone lines~~, whether recorded or unrecorded~~;

Amendment 126 #

Robert ROCHEFORT, Jean-Marie CAVADA

Proposal for a directive
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 and/or by a representative of civil society and/or his/her legal representative.

Amendment 127 #

Proposal for a directive
Article 7 – paragraph 2 a (new)

2a. These channels shall safeguard the anonymity of whistleblowers, as well as their personal data.

Amendment 128 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 9 – paragraph 1 – point a

Amendment 129 #

Proposal for a directive
Article 9 – paragraph 1 – point b

Amendment 130 #

Proposal for a directive
Article 9 – paragraph 1 – point b

Amendment 131 #

Proposal for a directive
Article 9 – paragraph 1 – point c a (new)

(ca) 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 and, where relevant, take his/her comments into account.

Amendment 132 #

Proposal for a directive
Article 9 – paragraph 3 a (new)

(3a) Member States may stipulate that follow-ups on reports with the same content as previous reports can be dispensed with.

Amendment 133 #

Proposal for a directive
Article 9 a (new)

Article 9a Reporting of High Level Corruption Reporting persons in possession of information on high-level corruption shall be able to report directly to a judicial body set-up and self-regulated by the judiciary in a member state. This judicial body shall be completely autonomous from other branches of government and shall have the powers to provide the reporting person with physical and legal protection and take every action necessary ensure the breaches are thoroughly investigated and concerned persons brought to justice.

Amendment 134 #

Proposal for a directive
Article 10 – paragraph 1 – point b – point i

(i) the phone numbers, indicating ~~whether~~that conversations are recorded ~~or unrecorded when using those phone lines~~;

Amendment 135 #

Proposal for a directive
Article 10 – paragraph 1 – point g a (new)

(ga) contact information of CSOs where legal advice can be obtained free of charge.

Amendment 136 #

Proposal for a directive
Article 11 – paragraph 4

Amendment 137 #

Proposal for a directive
Article 12 – paragraph 1

Member States shall ensure that competent authorities review their procedures for receiving reports and their follow-up regularly, and at least once every ~~two years. In reviewing such procedures, competent authorities must take into account their experience and that of other competent authorities and must adapt their procedures accordingly~~five years.

Amendment 138 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
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 with~~that the information reported falls within the scope of this Directive. The protection covers whatever reporting channel was used; the individual circumstances of each case will determine the ~~scope of this Directive~~most appropriate channel.

Amendment 139 #

Proposal for a directive
Article 13 – paragraph 1

Amendment 140 #

Proposal for a directive
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 or disclosed was true at the time of reporting or disclosure and that this information falls within the scope of this Directive.

Amendment 141 #

Proposal for a directive
Article 13 – paragraph 2

2. A person reporting externally shall qualify for protection under this Directive where one of the following conditions is fulfilled : (a) but no appropriate action was taken in response to the report within the reasonable timeframe referred in Article 5; (b) not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels; (c) channels was not mandatory for the reporting person, in accordance with Article 4(2); (d) expected to use internal reporting channels in light of the subject-matter of the report; (e) to believe that the use of internal reporting channels could jeopardise the effectiveness of investigative actions by competent authorities; (f) directly through the external reporting channels to a competent authority by virtue of Union law.deleted he or she first reported internally internal reporting channels were the use of internal reporting he or she could not reasonably be he or she had reasonable grounds he or she was entitled to report

Amendment 142 #

Proposal for a directive
Article 13 – paragraph 2 – introductory part

2. A person ~~reporting externally~~who anonymously disclosed information that falls within the scope of this directive and whose identity was revealed shall also qualify for protection under this Ddirective ~~where one of the following conditions is fulfilled :~~.

Amendment 143 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 13 – paragraph 2 – introductory part

2. A person reporting ~~externally~~ shall qualify for protection under this Directive whe~~re one of the following conditions is fulfilled~~n raising concerns about matters under national law implementing union law in particular when he or she was entitled to report directly to a competent authority by virtue of Union law :

Amendment 144 #

Proposal for a directive
Article 13 – paragraph 2 – point a

~~(a) he or she first reported internally but no appropriate action was taken in response to the report within the reasonable timeframe referred in Article 5;~~deleted

Amendment 145 #

Proposal for a directive
Article 13 – paragraph 2 – point b

~~(b) internal reporting channels were not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels;~~deleted

Amendment 146 #

Proposal for a directive
Article 13 – paragraph 2 – point c

~~(c) the use of internal reporting channels was not mandatory for the reporting person, in accordance with Article 4(2);~~deleted

Amendment 147 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 13 – paragraph 2 – point c

(c) the use of internal reporting channels wasould not ~~mandatory for the reporting person, in accordance with Article 4(2)~~have achieved the same results;

Amendment 148 #

Proposal for a directive
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;~~deleted

Amendment 149 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
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;

Amendment 150 #

Proposal for a directive
Article 13 – paragraph 2 – point e

~~(e) he or she had reasonable grounds to believe that the use of internal reporting channels could jeopardise the effectiveness of investigative actions by competent authorities;~~deleted

Amendment 151 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 13 – paragraph 2 – point e

(e) he or she had ~~reasonable~~ grounds to believe that the use of internal reporting channels could jeopardise the effectiveness of investigative actions by competent authorities;

Amendment 152 #

Proposal for a directive
Article 13 – paragraph 2 – point f

~~(f) he or she was entitled to report directly through the external reporting channels to a competent authority by virtue of Union law.~~deleted

Amendment 153 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 13 – paragraph 2 – point f

~~(f) he or she was entitled to report directly through the external reporting channels to a competent authority by virtue of Union law.~~deleted

Amendment 154 #

Proposal for a directive
Article 13 – paragraph 2 – point f a (new)

(fa) he or she has reasonable grounds for doubting the anonymity of his action and may legitimately fear professional or personal reprisals.

Amendment 155 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 13 – paragraph 2 – point f a (new)

(fa) he or she has reasonable grounds to believe that the information reported was true at the time of reporting.

Amendment 156 #

Proposal for a directive
Article 13 – paragraph 3

Amendment 157 #

Proposal for a directive
Article 13 – paragraph 3

Amendment 158 #

Proposal for a directive
Article 13 – paragraph 4

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall qualify for protection under this Directive where: (a) and/or externally in accordance with Chapters II and III and paragraph 2 of this Article, but no appropriate action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); or (b) expected to use internal and/or external reporting channels due to imminent or manifest danger for the public interest, or to the particular circumstances of the case, or where there is a risk of irreversible damage.deleted he or she first reported internally he or she could not reasonably be

Amendment 159 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 13 – paragraph 4 – introductory part

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall qualify for protection under this Directive where one of the following conditions applies:

Amendment 160 #

Proposal for a directive
Article 13 – paragraph 4 – point a

(a) he or she first reported internally and/or externally in accordance with Chapters II and III ~~and paragraph 2 of this Article, but no appropriate action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b)~~; or

Amendment 161 #

Proposal for a directive
Article 13 – paragraph 4 – point b

(b) he or she could not reasonably be expected to use internal and/or external reporting channels, due, for instance, to imminent or manifest danger for the public interest, or to the particular circumstances of the case, or where there is a risk of irreversible damage.

Amendment 162 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 13 – paragraph 4 – point b a (new)

(ba) where the public has an overriding interest in being informed directly.

Amendment 163 #

Proposal for a directive
Article 13 – paragraph 4 a (new)

4a. A person who makes deliberately false accusations in bad faith may not benefit from the protection accorded by this Directive.

Amendment 164 #

Proposal for a directive
Article 13 – paragraph 4 a (new)

(4a) Member States may establish rules which differ from paragraphs (2)-(4) in order to afford greater protection to reporting persons.

Amendment 165 #

Proposal for a directive
Article 14 – title

Prohibition of professional retaliation against reporting persons

Amendment 166 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 14 – paragraph 1 – point c

(c) transfer or restriction of duties, change of location of place of work, reduction in wages~~, change in working hour~~ and allowances, change or reduction in working hours and working time arrangements;

Amendment 167 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 14 – paragraph 1 – point d

(d) withholding of training and vocational training;

Amendment 168 #

Proposal for a directive
Article 14 – paragraph 1 – point e

(e) unjustified negative performance assessment or employment reference;

Amendment 169 #

Proposal for a directive
Article 14 – paragraph 1 – point g

(g) coercion, intimidation, job blackmail, harassment or ostracism at the workplace;

Amendment 17 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
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, 153, 154, 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 170 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 14 – paragraph 1 – point h a (new)

(ha) mandatory psychiatric or medical referrals;

Amendment 171 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 14 – paragraph 1 – point i

(i) failure to convert a temporary or non-standard employment contract into a permanent one;

Amendment 172 #

Proposal for a directive
Article 14 – paragraph 1 – point i

(i) unjustified failure to convert a temporary employment contract into a permanent one;

Amendment 173 #

Proposal for a directive
Article 14 – paragraph 1 – point j

(j) unjustified failure to renew or early termination of the temporary employment contract;

Amendment 174 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 14 – paragraph 1 – point n a (new)

(na) actual, threatened or attempted retaliatory actions;

Amendment 175 #

Proposal for a directive
Article 14 – paragraph 1 – point n a (new)

(na) mandatory psychiatric or medical referrals,

Amendment 176 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 14 – paragraph 1 – point n b (new)

(nb) obstruction or cancellation of retirement benefits.

Amendment 177 #

Proposal for a directive
Article 14 – paragraph 1 – point n b (new)

(nb) obstruction or cancellation of retirement benefits,

Amendment 178 #

Proposal for a directive
Article 14 – paragraph 1 – point n c (new)

(nc) loss of benefits or status,

Amendment 179 #

Proposal for a directive
Article 14 – paragraph 1 – point n d (new)

(nd) cancellation of duties,

Amendment 18 #

Proposal for a directive
Citation 1

Amendment 180 #

Proposal for a directive
Article 14 – paragraph 1 – point n e (new)

(ne) suspension of revocation of security clearance,

Amendment 181 #

Proposal for a directive
Article 14 – paragraph 1 – point n f (new)

(nf) retaliatory investigations,

Amendment 182 #

Proposal for a directive
Article 14 – paragraph 1 – point n g (new)

(ng) failure by managers to make reasonable efforts to prevent retaliation,

Amendment 183 #

Proposal for a directive
Article 14 – paragraph 1 – point n h (new)

(nh) initiation of retaliatory lawsuits or prosecutions.

Amendment 184 #

Proposal for a directive
Article 14 – paragraph 1 – point n i (new)

(ni) wilful ignorance of the retaliation by a supervisor or supervisory body who are tasked with monitoring the protected person

Amendment 185 #

Proposal for a directive
Article 14 – paragraph 1 – point n j (new)

(nj) breaching the confidentiality and anonymity of the reporting person and other persons protected by this Directive

Amendment 186 #

Proposal for a directive
Article 14 – paragraph 1 – point n k (new)

(nk) denying the rights of defence, including excessive delays in the handling of cases within the place of work

Amendment 187 #

Proposal for a directive
Article 14 – paragraph 1 – point n l (new)

(nl) and all other actions that could chill employees from exercise of rights protected by the Directive

Amendment 188 #

Proposal for a directive
Article 14 – paragraph 1 – point n m (new)

(nm) furthermore, all recommendations for any of the retaliatory actions listed in this article.

Amendment 189 #

Proposal for a directive
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 19 #

Proposal for a directive
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, 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 190 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
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 191 #

Proposal for a directive
Article 15 – paragraph 4

(4) Persons reporting externally to competent authorities or making a public disclosure in accordance with this Directive – with the exception of cases involving the public disclosure of classified information and information relating to trade secrets – shall not be considered to have breached any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and incur liability of any kind in respect of such disclosure.

Amendment 192 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 15 – paragraph 5

Amendment 193 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 15 – paragraph 7

Amendment 194 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 15 – paragraph 8 a (new)

8a. Reporting persons shall have access to psychological support.

Amendment 195 #

Proposal for a directive
Article 16 – paragraph 1

1. Member States shall ensure that ~~the~~all the parties concerned ~~persons~~ fully enjoy the right to an effective remedy and to a fair trial as well as the presumption of innocence and the rights of defence, including the right to be heard and the right to access their file, in accordance with the Charter of Fundamental Rights of the European Union.

Amendment 196 #

Proposal for a directive
Article 17 – paragraph 1 – introductory part

1. Member States shall provide for effective, proportionate and dissuasive penalties applicable, under civil and/or criminal law, to natural or legal persons that:

Amendment 197 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 198 #

Proposal for a directive
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 – paragraph 2

2. Member States shall provide for effective, proportionate and dissuasive penalties applicable, under civil and/or criminal law, to persons making malicious and/or abusive and/or deliberately false reports or disclosures, including measures for compensating persons who have suffered damage from malicious or abusive reports or disclosures.

Amendment 20 #

Michael DETJEN, Alex MAYER, Guillaume BALAS, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Citation 1 a (new)

Having regard to initiative report of the European Parliament on legitimate measures to protect whistle-blowers acting in the public interest when disclosing the confidential information of companies and public bodies,

Amendment 200 #

Proposal for a directive
Article 17 a (new)

Article 17a 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 and may be subject to penalty or sanction.

Amendment 201 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 19

Member States ~~may~~shall introduce or retain provisions more favourable to the rights of the reporting persons than those set out in this Directive and shall establish reporting systems on national provisions, without prejudice to Article 16 and Article 17(2).

Amendment 202 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 20 a (new)

Article 20a Non-regression clause 1. The implementation of this Directive shall under no circumstances constitute valid grounds for reducing the general level of protection already afforded when reporting on breaches other than those mentioned in Article 1. 2. This Directive is without prejudice to any other rights conferred on reporting persons by other legal acts of the Union.

Amendment 203 #

Proposal for a directive
Article 21 a (new)

Article 21a 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.

Amendment 204 #

Proposal for a directive
Annex I

~~[...]~~deleted

Amendment 205 #

Proposal for a directive
Annex I – part I – subpart J a (new)

Ja Article 1 (a) (xi) - (xi) employment and working conditions 1. Employment legislation of the European Union, as regulated in particular by: (i) Council Directive 79/7/EEC of 19 December 1978 on the progressive implementation of the principle of equal treatment for men and women in matters of social security (OJ L 6, 10.1.1979,p. 24); (ii) Council Directive91/533/EEC of 14 October 1991 on an employer's obligation to inform employees of the conditions applicable to the contract or employment relationship (OJ L288, 18.10.1991, p. 32); (iii) Council Directive91/383/EEC of 25 June 1991 supplementing the measures to encourage improvements in the safety and health at work of workers with a fixed-duration employment relationship or a temporary employment relationship (OJ L 206, 29.7.1991, p.19); (iv) Council Directive 94/33/EC of 22 June 1994 on the protection of young people at work (OJ L 216, 20.8.1994,p. 12); (v) Council Directive 98/59/EC on the approximation of the laws of the Member States relating to collective redundancies (OJ L 225, 12.8.1998, p. 16); (vi) Council Directive 98/49/EC of 29 June 1998 on safeguarding the supplementary pension rights of employed and self-employed persons moving within the Community (OJ L 209, 25.7.1998, p.46); (vii) Council Directive2000/78/EC of 27 November 2000 establishing a general framework for equal treatment in employment and occupation (OJ L 303, 2.12.2000, p. 16); (viii) Council Directive2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin (OJ L 180, 19.7.2000,p. 22); (ix) Council Directive2000/79/EC of 27 November 2000 concerning the European Agreement on the Organisation of Working Time of Mobile Workers in Civil Aviation concluded by the Association of European Airlines (AEA), the European Transport Workers' Federation (ETF), the European Cockpit Association (ECA), the European Regions Airline Association (ERA) and the International Air Carrier Association (IACA)(OJ L 302, 1.12.2000, p. 57); (x) Council Directive 2001/23/EC of 12 March 2001 on the approximation of the laws of the Member States relating to the safeguarding of employees' rights in the event of transfers of undertakings, businesses or parts of undertakings or businesses (OJ L 82,22.3.2001, p. 16); (xii) Directive 2003/41/EC of the European Parliament and of the Council of 3 June 2003 on the activities and supervision of institutions for occupational retirement provision (OJ L 235,23.9.2003, p. 10); (xiii) Directive 2004/113/EC of13 December 2004 implementing the principle of equal treatment between men and women in the access to and supply of goods and services (OJ L 373, 21.12.2004,p. 37); (xiv) Directive 2003/88/EC of the European Parliament and of the Council of 4 November 2003 concerning certain aspects of the organisation of working time (OJ L 299, 18.11.2003, p. 9); (xv) Directive 2006/54/EC of the European Parliament and of the Council of 5 July 2006 on the implementation of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation (OJ L 204, 26.7.2006, p. 23); (xvi) Directive 2008/94/EC of the European Parliament and of the Council of 22 October 2008 on the protection of employees in the event of the insolvency of their employer (OJ L 283,28.10.2008, p. 36); (xvii) Directive 2010/41/EU of the European Parliament and of the Council of 7 July 2010 on the application of the principle of equal treatment between men and women engaged in an activity in a self-employed capacity and repealing Council Directive 86/613/EEC (OJ L180, 15.7.2010, p. 1); (xviii) Directive 2014/54/EU of the European Parliament and of the Council of 16 April 2014 on measures facilitating the exercise of rights conferred on workers in the context of freedom of movement for workers (OJ L 128, 30.4.2014, p. 8); (xix) Directive 2014/67/EU of the European Parliament and of the Council of 15 May 2014 on the enforcement of Directive 96/71/EC concerning the posting of workers in the framework of the provision of services and amending Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘the IMI Regulation’) (OJ L 159, 28.5.2014, p. 11); (xx) Directive 2014/50/EU of the European Parliament and of the Council of 16 April 2014 on minimum requirements for enhancing worker mobility between Member States by improving the acquisition and preservation of supplementary pension rights (OJ L 128,30.4.2014, p. 1); (xxi) Regulation (EC) No450/2003 of the European Parliament and of the Council of 27 February 2003concerning the labour cost index (OJ L 69, 13.3.2003, p. 1); (xxii) Regulation (EC) No1071/2009 of the European Parliament and of the Council of 21 October 2009establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC (OJ L 300, 14.11.2009, p. 51); (xxiii) Regulation (EC) No987/2009 of the European Parliament and of the Council of 16 September 2009laying down the procedure for implementing Regulation (EC) No 883/2004 on the coordination of social security systems (OJ L 284, 30.10.2009, p. 1); (xxiv) Regulation (EU) No492/2011 of the European Parliament and of the Council of 5 April 2011 on freedom of movement for workers within the Union (OJ L 141, 27.5.2011, p. 1.); (xxv) Regulation (EU) No223/2014 of the European Parliament and of the Council of 11 March 2014 on the Fund for European Aid to the Most Deprived (OJ L 72, 12.3.2014, p. 1); (xxvi) Regulation (EU) 2015/848of the European Parliament and of the Council of 20 May 2015 on insolvency proceedings (OJ L 141, 5.6.2015, p. 19); 2. Working conditions, as regulated in particular by: (i) all individual Directives within the meaning of Article 16(1) of Directive 89/391/EEC; (ii) Council Directive 92/29/EEC of 31 March 1992 on the minimum safety and health requirements for improved medical treatment on board vessels (OJ L 113, 30.4.1992, p. 19); (iii) Directive 2001/95/EC of 3December 2001 on general product safety (OJ L 11, 15.01.2002, p. 4); (iv) Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC (OJ L 157, 9.6.2006, p. 24); (v) Commission Directive2006/15/EC of 7 February 2006 establishing a second list of indicative occupational exposure limit values in implementation of Council Directive98/24/EC and amending Directives 91/322/EEC and 2000/39/EC (OJ L 38, 9.2.2006,p. 36); (vi) Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the in land transport of dangerous goods (OJ L 260, 30.9.2008, p. 13); (vii) Directive 2009/104/EC of the European Parliament and of the Council of 16 September 2009 concerning the minimum safety and health requirements for the use of work equipment by workers at work (second individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (OJ L 260, 3.10.2009, p. 5); (viii) Directive 2009/148/EC of the European Parliament and of the Council of 30 November 2009 on the protection of workers from the risks related to exposure to asbestos at work(OJ L 330, 16.12.2009, p. 28); (ix) Regulation (EC) No 1338/2008 of the European Parliament and of the Council of 16 December 2008 on Community statistics on public health and health and safety at work (OJ L 354, 31.12.2008, p. 70).

Amendment 21 #

Proposal for a directive
Citation 2 a (new)

Having regard to the European Convention on Human Rights, notably Article 10,

Amendment 22 #

Proposal for a directive
Citation 3 a (new)

Having regard to the Charter of Fundamental Rights of the European Union, in particular Article 11,

Amendment 23 #

Proposal for a directive
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, as well as 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 24 #

Proposal for a directive
Recital 1 a (new)

(1a) The role of whistleblowers shall consist in discouraging and preventing wrongdoing, fraud, mismanagement and corruption in order to promote respect for the law and transparency.

Amendment 25 #

Proposal for a directive
Recital 3

Amendment 26 #

Proposal for a directive
Recital 4 a (new)

(4a) Reporting persons perform a public service by exposing wrongdoing, at times at great personal risk, and should be protected.

Amendment 27 #

Proposal for a directive
Recital 5 a (new)

(5a) Whistleblower protection is necessary to enhance the enforcement of Union law on public procurement. It is particularly necessary in combating corruption, a scourge that is deeply rooted in many EU Member States, even to the point where a genuine unofficial economy exists.

Amendment 28 #

Proposal for a directive
Recital 6

~~(6) Whistleblower protection is (6) necessary to enhance the enforcement of Union law on public procurement.~~ In addition to the need of preventing and detecting fraud and corruption in the context of the implementation of the EU budget, including procurement, it is necessary to tackle insufficient enforcement of rules on public procurement by national public authorities and certain public utility operators when purchasing goods, works and services. Breaches of such rules create distortions of competition, increase costs for doing business, violate the interests of investors and shareholders and, overall, lower attractiveness for investment and create an uneven level playing field for all businesses across Europe, thus affecting the proper functioning of the internal market.

Amendment 29 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Recital 9 a (new)

(9a) The importance of whistleblowers can also be seen in economic intelligence: as this can be cross-border in scope, whistleblowers play a major role in bringing to light illegal acts carried out in other countries against national economic interests.

Amendment 30 #

Proposal for a directive
Recital 20

(20) This Directive should be without prejudice 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 but does not foresee the right to report breaches.

Amendment 31 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). 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 retaliation.~~

Amendment 32 #

Proposal for a directive
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 privileged 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~~all persons connected ~~in a broad sense to the organisation where the breach has occurred~~to the report..

Amendment 33 #

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 , i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration. In accordance with the Court's case law, the notion of worker should be interpreted broadly, including, for example civil servants. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency, which are types of relationships where standard protections against unfair treatment are often difficult to apply. __________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 34 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 , i.e. persons who, for a certain period of time, perform or performed services for and under the direction of another person, in return of which they receive remuneration. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency, contractor or subcontractor or where the employee-like relationship is solely bound to directives, which are types of relationships where standard protections against unfair treatment are ~~often~~ difficult to apply. __________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 35 #

Proposal for a directive
Recital 30 a (new)

(30a) 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 36 #

Proposal for a directive
Recital 32 a (new)

(32a) Persons who report unlawful activities at their place of work should be guaranteed proper protection. Said protection should be provided in the workplace (against harassment, blackmail, unlawful redundancy practices, wage discrimination, wilful and unjustified attacks on the person’s career) and in their personal life (protection for whistleblowers and their close relations in the event of real threats made against them).

Amendment 37 #

Proposal for a directive
Recital 33

(33) Whistleblowers are, in particular, important sources for investigative journalists. Providing effective protection to whistleblowers from retaliation 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. In view of the variety of situations, this Directive does not establish an order of priority between the different channels of reporting and disclosure. It is for the reporting person to determine the most appropriate channel, taking into account the rights and legitimate interests of concerned persons. Due to their importance for the freedom of expression and the right to receive information, public disclosures, including through the media, should be encouraged.

Amendment 38 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Recital 33 a (new)

(33a) Whistleblowers should be protected also when they disclose information to the public, including through the media, as insufficient whistleblower protection would affect individuals’ freedom of expression as well as the public’s right to access information and media freedom.

Amendment 39 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER

Proposal for a directive
Recital 33 b (new)

(33b) In order to facilitate public disclosures and establish an open culture of reporting in line with the Council of Europe Recommendation CM/Rec (2014) 7 on the protection of whistleblowers, the conditions for public disclosures should be sufficiently flexible, allowing the media to fulfil its democratic role as vector of freedom of expression and information.

Amendment 40 #

Proposal for a directive
Recital 34 a (new)

(34a) Member States should also establish their own criteria, in line with the minimal bases set by this Directive, for appraising the relevance and veracity of information provided by whistleblowers, and the appropriate follow-up.

Amendment 41 #

Proposal for a directive
Recital 35 a (new)

(35a) In cases of high level corruption additional safeguards are necessary to ensure that reporting persons are not prevented from receiving protection by the concerned persons the information in their possession will incriminate.

Amendment 42 #

Proposal for a directive
Recital 35 b (new)

(35b) Reporting persons in possession of information related to high-level corruption should have recourse to a judicial body that is autonomous from other branches of government with the powers to grant reporting persons effective protection and address the breaches that they expose.

Amendment 43 #

Proposal for a directive
Recital 39

(39) The exemption of small and micro undertakings from the obligation to establish internal reporting channels should not apply to private undertakings active in the area of financial services. Such undertakings should remain obliged to establish internal reporting channels, without this becoming an excessive bureaucratic burden, in line with the current obligations set forth in the Union acquis on financial services.

Amendment 44 #

Proposal for a directive
Recital 40 a (new)

(40a) Regardless of their size and number of employees, workplaces need to cultivate a working environment within which persons feel confident in raising concerns about potential failings, misconduct or unlawful activities. Establishing the right culture where persons feel able to raise issues without the fear of being accused of being a ‘whistleblower’ or fear of retaliation or being disadvantaged in some way, whether within their current role or with a future employer is recommended. Such action would make it easier to distinguish between genuine warnings and rumours or unfounded complaints.

Amendment 45 #

Proposal for a directive
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, in line with the rules in force in the Member State in which it is established, 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.

Amendment 46 #

Proposal for a directive
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 47 #

Proposal for a directive
Recital 42 a (new)

(42a) Each individual private and public legal entity is duty bound to prepare in advance and in full transparency its own internal procedure(s) or kind(s) of channels. It should be easy for individuals to know about these procedures and channels and they should be easily accessible both within and from outside the entity.

Amendment 48 #

Proposal for a directive
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, the possibility for anonymity data protection and secrecy. These can be external reporting platform providers, external counsel or auditors or trade union representatives.

Amendment 49 #

Proposal for a directive
Recital 44

(44) Internal reporting procedures should enable private legal entities to receive and investigate in full confidentiality and with respect of anonymity if appropriate reports 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 50 #

Proposal for a directive
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. 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 51 #

Proposal for a directive
Recital 46

(46) In the context of internal reporting, the quality and transparency of information provided on the follow up procedure to the report is crucial to build trust in the effectiveness of the overall system of whistleblower protection and reduces the likelihood of further unnecessary reports or public disclosures. The reporting person should be informed within a reasonable timeframe about the action envisaged or taken as follow up to the report (for instance, closure based on lack of sufficient evidence or other grounds, launch of an internal enquiry and possibly its findings and/or measures taken to address the issue raised, referral to a competent authority for further investigation) as far as such information would not prejudice the enquiry or investigation or affect the rights of the concerned person. Such reasonable timeframe should not exceed in total t~~hree~~wo months. Where the appropriate follow up is still being determined, the reporting person should be informed about this and about any further feedback he/she should expect.

Amendment 52 #

Proposal for a directive
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 53 #

Proposal for a directive
Recital 48 a (new)

(48a) In all cases, the reporting person should be informed of the investigation’s progress and should be able to access the draft report at least once so as to be able to revise it, comment on it and correct it if necessary, albeit with no obligation to do so. These comments must be incorporated and taken into account in the monitoring of the investigation. The reporting person should be informed of the investigation's outcome and should be able to revise and comment on the final report of the investigation. These comments must be included in the final report.

Amendment 54 #

Proposal for a directive
Recital 50

(50) Follow up and feedback should take place within a reasonable timeframe; this is warranted by the need to promptly address the problem that may be the subject of the report, as well as to avoid unnecessary public disclosures. Such timeframe should not exceed t~~hree~~wo months, but could be extended to ~~six~~four months, where necessary due to the specific circumstances of the case, in particular the nature and complexity of the subject of the report, which may require a lengthy investigation.

Amendment 55 #

Proposal for a directive
Recital 51 a (new)

(51a) EU institutions should create a competent authority to receive and handle reports. EU should ensure that the competent authority establish independent and autonomous external reporting channels, which are both secure and ensure confidentiality, for receiving and handling information provided by the reporting person; 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 cases and transmit the information contained in the report to competent bodies, offices or agencies of the Union, as appropriate, for further investigation, where provided for under national or Union law. EU should also ensure that competent authorities follow up on the reports by taking the necessary measures and investigate, to the extent appropriate, the subject matter of the reports. The competent authorities should communicate to the reporting person the final outcome of the investigations. EU 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.

Amendment 56 #

Proposal for a directive
Recital 54 a (new)

(54a) Persons contacting external competent authorities should be able to prove that they have first contacted the private or public legal entity, via the reporting channels clearly made known by said entity. External procedures are not to be launched without having first tried to report internally, and any such request will be deemed inadmissible.

Amendment 57 #

Proposal for a directive
Recital 54 b (new)

(54b) The obligation to report internally may only be ignored if whistleblowers have legitimate doubts about their anonymity being protected when reporting, or if reporting internally would lead to known risks.

Amendment 58 #

Proposal for a directive
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 59 #

Proposal for a directive
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 60 #

Proposal for a directive
Recital 62

Amendment 61 #

Proposal for a directive
Recital 63

Amendment 62 #

Proposal for a directive
Recital 64

Amendment 63 #

Proposal for a directive
Recital 65

Amendment 64 #

Proposal for a directive
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 65 #

Proposal for a directive
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 66 #

Proposal for a directive
Recital 78 a (new)

(78a) For the sake of fairness to all sides, there has to be a fair and proportional system of penalties for deliberately false accusations made in bad faith by whistleblowers against a private or public legal entity.

Amendment 67 #

Proposal for a directive
Recital 82

Amendment 68 #

Proposal for a directive
Recital 85 a (new)

Amendment 69 #

Proposal for a directive
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 70 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 1 – paragraph 1 – introductory part

1. With a view to enhancing the enforcement of the individual protection of persons reporting breaches 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 71 #

Proposal for a directive
Article 1 – paragraph 1 – point a

~~(a) breaches falling within the scope of the Union a~~deleted public procurement; financial services, prevention of products set out in the Annex (Part I and Part II) as regards the following areas: (i) (ii) money laundering and terrorist financing; (iii) (iv) (v) (vi) (vii) food and feed safety, animal health and welfare; (viii) (ix) (x) data, and security of network and information systems.afety; transport safety; protection of the environment; nuclear safety; public health; consumer protection; protection of privacy and personal

Amendment 72 #

Czesław HOC, Kosma ZŁOTOWSKI, Zdzisław KRASNODĘBSKI

Proposal for a directive
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 regard~~are amongst others the following areas:

Amendment 73 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
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 the following areas:

Amendment 74 #

Proposal for a directive
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), in particular as regards the following areas:

Amendment 75 #

Proposal for a directive
Article 1 – paragraph 1 – point a – introductory part

(a) breaches falling within the scope of the Union acts, and especially those set out in the Annex (Part I and Part II) as regards the following areas:

Amendment 76 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 1 – paragraph 1 – point a – point x a (new)

(xa) social rights, individual and collective workers' rights as well as the rights of their representatives;

Amendment 77 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x a (new)

(xa) employment and working conditions

Amendment 78 #

Proposal for a directive
Article 1 – paragraph 1 – point b

~~(b) 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;~~deleted

Amendment 79 #

Proposal for a directive
Article 1 – paragraph 1 – point c

(c) breaches affecting the financial interests of the Union as defined by Article 325 TFEU and as further specified, in particular, in Directive (EU) 2017/1371 and Regulation (EU, Euratom) No 883/2013;deleted

Amendment 80 #

Proposal for a directive
Article 1 – paragraph 1 – point d

(d) breaches relating to the internal market, as referred to in Article 26(2) TFEU, 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.deleted

Amendment 81 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having or having had the status of a worker or an employee-like employment relationship, with the meaning of Article 45 TFEU;

Amendment 82 #

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of worker, with the meaning of Article 45 TFEU, including persons having the status of civil servants;

Amendment 83 #

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of worker, with the meaning of Article 45 TFEU as well as former workers;

Amendment 84 #

Czesław HOC, Kosma ZŁOTOWSKI, Zdzisław KRASNODĘBSKI

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of worker or formal workers, with the meaning of Article 45 TFEU;

Amendment 85 #

Proposal for a directive
Article 2 – paragraph 1 – point c

(c) shareholders and persons belonging to the management body of an undertaking, including non-executive members~~, as well as volunteers and unpaid trainees~~;

Amendment 86 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 2 – paragraph 1 – point c

(c) shareholders and persons belonging to the management body of an undertaking, including non-executive members, as well as volunteers and ~~unpaid~~ trainees;

Amendment 87 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 2 – paragraph 1 – point d a (new)

(da) any person facilitating the report on possible breaches;

Amendment 88 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 2 – paragraph 1 – point d b (new)

(db) family members of the reporting person;

Amendment 89 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 2 – paragraph 1 – point d c (new)

(dc) any person presenting new information on the breach.

Amendment 90 #

Proposal for a directive
Article 2 – paragraph 2 a (new)

2a. 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 91 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or potential unlawful activities or abuse of ~~law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex~~Union law;

Amendment 92 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means any actual or potential unethical or dishonest misconduct or actual or potential unlawful activities or abuse of law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex;

Amendment 93 #

Proposal for a directive
Article 3 – paragraph 1 – point 8

(8) ‘public disclosure’ means making information on breaches acquired within the work-related context available to the public domain;

Amendment 94 #

Proposal for a directive
Article 3 – paragraph 1 – point 8 a (new)

(8a) 'high level corruption' means breaches and abuse of law by concerned persons at ministerial level or higher and heads of public authorities and the staff that report directly to such concerned persons;

Amendment 95 #

Proposal for a directive
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 activities~~, who contributes, assists or aids to reveal or make public information on breaches as well as persons representing the reporting person and family and relatives of the reporting person;

Amendment 96 #

Proposal for a directive
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 activities;~~ , without necessarily being in a traditional employee-employer relationship and without necessarily having witnessed such acts first hand;

Amendment 97 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 3 – paragraph 1 – point 10

(10) ‘work-related context’ means current or past work activities regardless of the employment status or business relationship in the public or private sector through which, irrespective of their nature, persons may acquire information on breaches and within which these persons may suffer retaliation if they report them.

Amendment 98 #

Michael DETJEN, Guillaume BALAS, Alex MAYER, Agnes JONGERIUS, Rory PALMER, Claudiu Ciprian TĂNĂSESCU, Evelyn REGNER

Proposal for a directive
Article 3 – paragraph 1 – point 10 a (new)

(10a) ‘worker’ means a natural person who for a certain period of time performs services for and under the direction of another person in return for remuneration;

Amendment 99 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

source: 625.555

2018/09/06 ECON 184 amendments...

Amendment 100 #

Proposal for a directive
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

(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

Amendment 103 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

1. WIn cases where Member States do not already have sufficient protection in place and 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 which Member States may adopt:

Amendment 104 #

Proposal for a directive
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

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 106 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

(ii) financial services, prevention of tax evasion, tax avoidance, money laundering and terrorist financing, also cyber- terrorism and cyber-crime;

Amendment 107 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

(ii) financial services, prevention of money laundering and terrorist financing, corruption and organised crime;

Amendment 108 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

(ii) financial services, prevention of money laundering, tax evasion, tax avoidance and terrorist financing;

Amendment 109 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point v

Amendment 110 #

Proposal for a directive
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)

(x a) employment and working conditions;

Amendment 112 #

Proposal for a directive
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)

(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)

(x d) company law;

Amendment 115 #

Proposal for a directive
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

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

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

Amendment 119 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons ~~working~~and facilitators in the private or public sector who acquired information on breaches ~~in a work-related context~~ including, at least, the following:

Amendment 120 #

Jonás FERNÁNDEZ

Proposal for a directive
Article 2 – paragraph 1 – point a

a) persons having the status of worker, with the meaning of Article 45 TFEU, including part-time workers and fixed-term contract workers;

Amendment 121 #

Proposal for a directive
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

Amendment 123 #

Proposal for a directive
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

(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

(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

(4) ‘information on breaches’ means ~~evidence~~information 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

Amendment 128 #

Proposal for a directive
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

(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

(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal or, external reporting ~~which occurs in a work-related context and~~or 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

(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

Amendment 133 #

Proposal for a directive
Article 4 – paragraph 1

Amendment 134 #

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall 2. allow for reporting by employees of the entity. They ~~may~~shall allow for reporting by other persons who are in contact with the entity in the context of their work-related activities, referred to in Article 2(1)(b),(c) and (d)~~, but the use of internal channels for reporting shall not be mandatory for these categories of persons~~.

Amendment 135 #

Proposal for a directive
Article 4 – paragraph 3 – point b – paragraph 1

private legal entities with an annual business or group turnover or annual balance sheet

Amendment 136 #

Proposal for a directive
Article 4 – paragraph 3 – point c

c) private legal entities of any size operating in the area of financial services or vulnerable to money laundering or, terrorist financing or cyber-crime, as regulated under the Union acts referred to in the Annex.

Amendment 137 #

Proposal for a directive
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

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

c) diligent follow up to the report by the designated person or department and appropriate and timely action if needed;

Amendment 140 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding three months following the report, to provide substantive feedback to the reporting person about the follow-up to the report, 4 weeks to provide initial feedback and 1 week to provide a confidential note of receipt;

Amendment 141 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding ~~three month~~30 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)

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

(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

(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)

2 a. Reporting channels, including digital mechanisms, and institutional arrangements shall provide for safe, secure, confidential and anonymous disclosures.

Amendment 146 #

Proposal for a directive
Article 5 – paragraph 3

Amendment 147 #

Proposal for a directive
Article 5 – paragraph 3

Amendment 148 #

Proposal for a directive
Article 6 – paragraph 2 – introductory part

2. Member States and EU institutions shall ensure that the competent authorities:

Amendment 149 #

Proposal for a directive
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

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 t~~hree months or six months in duly justified case~~wo months;

Amendment 151 #

Proposal for a directive
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 152 #

Proposal for a directive
Article 6 – paragraph 2 – point c

c) transmit the information contained in the report to competent bodies, offices or agencies of the Union or other Member States, as appropriate, for further investigation~~, where provided for under national or Union law~~.

Amendment 153 #

Proposal for a directive
Article 6 – paragraph 2 – point c a (new)

c a) cooperate fully, loyally and expeditiously with other Member States and EU authorities.

Amendment 154 #

Proposal for a directive
Article 6 – paragraph 3

3. Member States shall ensure that competent authorities follow up on the reports by taking the necessary measures and investigate, to the extent appropriate, the subject-matter of the reports. The competent authorities shall communicate to the reporting person and all relevant other Member States and competent EU competent authorities, offices and agencies the final outcome of the investigations.

Amendment 155 #

Proposal for a directive
Article 6 – paragraph 3

3. Member States and EU institutions shall ensure that competent authorities follow up on the reports by taking the necessary measures and investigate, to the extent appropriate, the subject-matter of the reports. The competent authorities shall communicate to the reporting person the final outcome of the investigations.

Amendment 156 #

Proposal for a directive
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 157 #

Proposal for a directive
Article 6 – paragraph 4

Amendment 158 #

Proposal for a directive
Article 6 – paragraph 4

4. Member States and EU institutions 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.

Amendment 159 #

Proposal for a directive
Article 7 – paragraph 1 – point a a (new)

a a) they are designed, set up and operated in a manner that ensures the confidentiality of the personal information of the reporting person or persons and effectively prevents access to non-authorised staff members of the competent authority and keeps information on which staff members have accessed this information and when;

Amendment 160 #

Proposal for a directive
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

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

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 163 #

Proposal for a directive
Article 7 – paragraph 4

4. Member States and EU institutions 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

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 165 #

Proposal for a directive
Article 8 – paragraph 1

1. Member States and EU institutions shall ensure that competent authorities have staff members dedicated to handling reports. Dedicated staff members shall receive specific training for the purposes of handling reports.

Amendment 166 #

Proposal for a directive
Article 8 – paragraph 2 – point c

c) maintaining confidential contact with the reporting person and/or their trusted representatives for the purpose of informing the reporting person of the progress and the outcome of the investigation.

Amendment 167 #

Proposal for a directive
Article 9 – paragraph 1 – point b

b) a reasonable timeframe, not exceeding three months or six months in duly justified cases, for giving substantive feed-back to the reporting person about the follow-up of the report and the type and content of this feed-back;, 4 weeks to provide initial feedback and 1 week to provide a confidential note of receipt.

Amendment 168 #

Proposal for a directive
Article 9 – paragraph 1 – point b

b) a reasonable timeframe, not exceeding t~~hree months or six months in duly justified case~~wo 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)

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 170 #

Proposal for a directive
Article 10 – paragraph 1 – introductory part

Member States and EU institutions shall ensure that competent authorities publish on their websites in a separate, easily identifiable and accessible section at least the following information:

Amendment 171 #

Proposal for a directive
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 172 #

Proposal for a directive
Article 11 – paragraph 1

1. Member States and EU institutions shall ensure that competent authorities keep records of every report received.

Amendment 173 #

Proposal for a directive
Article 12 – paragraph 1

Member States and EU institutions shall ensure that competent authorities review their procedures for receiving reports and their follow-up regularly, and at least once every two years. In reviewing such procedures competent authorities shall take account of their experience and that of other competent authorities and adapt their procedures accordingly.

Amendment 174 #

Proposal for a directive
Article 13 – paragraph 1

Amendment 175 #

Proposal for a directive
Article 13 – paragraph 1 a (new)

1 a. Natural persons shall address the permanent representations of the European Union in their municipalities, or in the closest municipalities to their municipality, in order to report on breaches of Union law. The representations of the EU shall assist these persons.

Amendment 176 #

Proposal for a directive
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

Amendment 178 #

Proposal for a directive
Article 13 – paragraph 4

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall qualify for protection under this Directive where: a) he or she first reported internally and/or externally in accordance with Chapters II and III and paragraph 2 of this Article, but no appropriate action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); or b) he or she could not reasonably be expected to use internal and/or external reporting channels due to imminent or manifest danger for the public interest, or to the particular circumstances of the case, or where there is a risk of irreversible damage.deleted

Amendment 179 #

Proposal for a directive
Article 14 – paragraph 1 – introductory part

Member States and EU institutions shall take the necessary measures to prohibit any form of retaliation, whether direct or indirect, against reporting persons meeting the conditions set out in Article 13, including in particular in the form of:

Amendment 180 #

Proposal for a directive
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

n) cancellation of a licence or permit.;

Amendment 182 #

Proposal for a directive
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)

n b) retaliatory investigations;

Amendment 184 #

Proposal for a directive
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)

n d) suspension of revocation of security clearance;

Amendment 186 #

Proposal for a directive
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)

n f) initiation of retaliatory lawsuits or prosecutions.

Amendment 188 #

Proposal for a directive
Article 14 a (new)

Article 14 a Support for the reporting person or persons from an independent third party 1. Member States may provide for the person reporting or intending to make a report or a public disclosure to be given support in the procedure. Such support shall ensure the identity of the persons referred to in this paragraph remains confidential and may, in particular, take the form of: (a) free, impartial and confidential advice, especially on the scope of this Directive, the reporting channels and the protection granted to the reporting person and the rights of the concerned person; (b) legal advice in the event of a legal dispute; (c) psychological support; 2. This support may be provided by an independent administrative authority, trade unions or other organisations representing workers or an accredited body designated by the Member State, provided that it fulfils the following criteria: (a) it is properly constituted according to the law of a Member State; (b) it has a legitimate interest in ensuring compliance with the provisions laid down in this Directive; and (c) it is a not-for-profit entity.

Amendment 189 #

Proposal for a directive
Article 15 – paragraph 1

1. Member States and EU institutions shall take the necessary measures to ensure the protection of reporting persons meeting the conditions set out in Article 13 against retaliation. Such measures shall include, in particular, those set out in paragraphs 2 to 8.

Amendment 190 #

Proposal for a directive
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 and EU institutions may 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 191 #

Proposal for a directive
Article 15 a (new)

Article 15 a Duty to preserve the confidentiality of the identity of the reporting person 1. The identity of the reporting person or persons may not be disclosed without their express consent. This duty of confidentiality also includes information which may be used to identify the reporting person. 2. A person who possesses or obtains the information referred to in paragraph 1 shall be duty-bound not to disclose it. 3. The circumstances in which, by way of derogation from paragraph 2, information germane to the identity of the reporting person may be disclosed shall be limited to exceptional cases where disclosure of such information is a necessary and proportionate obligation required by Union or national law in the context of subsequent investigations or 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. In such cases apropriate and effective steps must be taken to ensure the safety and well-being of the reporting person or persons. 4. In the cases referred to in paragraph 3, the person designated to receive the report shall inform the reporting person in due time before disclosing his or her identity and consult with them on other possible alternative courses of action. 5. The internal and external reporting channels shall be designed in such a way as to ensure the identity of the reporting person remains confidential and to prevent access by non-authorised persons. Information shall be kept on which staff members have accessed confidential information, including time and dates of such access.

Amendment 192 #

Proposal for a directive
Article 16 – paragraph 1

1. Member States and EU institutions shall ensure that the concerned persons fully enjoy the right to an effective remedy and to a fair trial as well as the presumption of innocence and the rights of defence, including the right to be heard and the right to access their file, in accordance with the Charter of Fundamental Rights of the European Union.

Amendment 193 #

Proposal for a directive
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 194 #

Proposal for a directive
Article 17 – paragraph 1 – introductory part

1. Member States and EU institutions shall provide for effective, proportionate and dissuasive penalties applicable to natural or legal persons that:

Amendment 195 #

Proposal for a directive
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)

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

Amendment 198 #

Proposal for a directive
Article 17 a (new)

Article 17 a Obligation to cooperate 1. Member States' authorities who are made aware of breaches of Union law, as covered by this directive, are obliged to expeditiously inform all other relevant Member States' authorities and/or EU offices and agencies and to cooperate with these in a loyal, effective and expeditious manner. 2. Member States' authorities who are notified by other Member States' authorities of potential breaches of union law, as covered by this directive, are required to provide a substantive response on actions taken in connection with said notification as well as an offical notification of receipt and a point of contact for further cooperation. 3. Member States' authorities are obliged to safeguard confidential information received, especially as related to the identity and other personal information of reporting persons. 4. Member States' authorities are obliged to provide confidential access to the information received from reporting persons and to facilitate requests for further information in a timely manner. 5. Member States' authorities are obliged to share all relevant information with other competent Member States authorities pertaining to breaches of Union or national law in international cases and to do so in a timely manner.

Amendment 199 #

Proposal for a directive
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 200 #

Proposal for a directive
Article 20 – paragraph 1

1. Member States and EU institutions shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 15 May 2021, at the latest. They shall forthwith communicate to the Commission the text of those provisions.

Amendment 201 #

Proposal for a directive
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 202 #

Proposal for a directive
Article 21 – paragraph 1

1. Member States and EU institutions shall provide the Commission with all relevant information regarding the implementation and application of this Directive. On the basis of the information provided, the Commission shall, by 15 May 2023, submit a report to the European Parliament and the Council on the implementation and application of this Directive.

Amendment 203 #

Proposal for a directive
Article 21 – paragraph 2 – introductory part

2. Without prejudice to reporting obligations laid down in other Union legal acts, Member States and EU institutions shall, on an annual basis, submit the following statistics on the reports referred to in Chapter III to the Commission, if they are available at a central level in the Member State concerned:

Amendment 204 #

Proposal for a directive
Article 21 – paragraph 3

3. The Commission shall, by 15 May 2027, taking into account its report submitted pursuant to paragraph 1 and the Member States’ statistics submitted pursuant to paragraph 2, submit a report to the European Parliament and to the Council assessing the impact of national law transposing this Directive. The report shall evaluate the way in which this Directive has operated and consider the need for additional measures, including, where appropriate, amendments with a view to extending the scope of this Directive to further areas or Union acts. Statistics and reports related to whistleblowing within EU institutions are published.

Amendment 205 #

Proposal for a directive
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.

Amendment 206 #

Proposal for a directive
Annex I – part I – subpart G – point 4 – point iii a (new)

(iii a) Council Directive 2008/120/EC of 18 December 2008 laying down minimum standards for the protection of pigs.

Amendment 23 #

Proposal for a directive
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

(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 25 #

Proposal for a directive
Recital 1

Amendment 26 #

Proposal for a directive
Recital 1

Amendment 27 #

Proposal for a directive
Recital 2

(2) At Union level, reports by whistleblowers are one upstream component of enforcement of Union law: they feed national and Union enforcement systems with information often leading to effective detection, investigation and prosecution of breaches of Union law.

Amendment 28 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches 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 e~~nsuring effective~~ffectively ensuring real protection ofor whistleblowers from retaliation and introducing more effective reporting channels.

Amendment 29 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches 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 such breaches, it is necessary to enhance enforcement by ensuring effective protection of whistleblowers from retaliation and introducing effective reporting channels.

Amendment 30 #

Proposal for a directive
Recital 3

(3) ~~In certain policy areas, b~~Breaches 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~~to ensure that there are effective reporting channels.

Amendment 31 #

Proposal for a directive
Recital 4

(4) Whistleblower protection currently provided in the European Union is unfortunately fragmented across Member States and uneven across policy areas. The consequences of breaches of Union law with cross-border dimension uncovered by whistleblowers illustrate how insufficient protection in one Member State 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 32 #

Proposal for a directive
Recital 5

(5) Accordingly, common minimum standards ensuring effective whistleblower protection should only apply in those acts ~~and~~, policy areas ~~where~~and Member States where there is evidence that 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 33 #

Proposal for a directive
Recital 5

(5) ~~Accordingly, common minimum~~Stricter common standards ensuring effective whistleblower protection should ~~app~~, however, apply, particularly 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 to the public interest.

Amendment 34 #

Proposal for a directive
Recital 5

Amendment 35 #

Proposal for a directive
Recital 6

(6) Whistleblower protection is necessary to enhance the enforcement of Union law on public procurement. In addition to the need of preventing and detecting fraud and corruption in the context of the implementation of the EU budget, including procurement, it is necessary to tackle insufficient enforcement of rules on public procurement by national public authorities and certain public utility operators when purchasing goods, works and services. Breaches of such rules create distortions of competition, increase costs for doing business, violate the interests of investors and shareholders and, overall, lower attractiveness for investment and create an uneven level playing field for all businesses across Europe, thus affecting the proper functioning of the internal market. Attention must also be paid to protecting those reporting misuse or misconduct regarding the EU budget and EU institutions.

Amendment 36 #

Proposal for a directive
Recital 6

(6) Whistleblower protection is ~~necessary~~imperative to enhance the enforcement of Union law on public procurement. In addition to the need of preventing and detecting fraud and corruption in the context of the implementation of the EU budget, including procurement, it is necessary to tackle insufficient enforcement of rules on public procurement by national public authorities and certain public utility operators when purchasing goods, works and services. Breaches of such rules create distortions of competition, increase costs for doing business, violate the interests of investors and shareholders and, overall, lower attractiveness for investment and create an uneven level playing field for all businesses across Europe, thus affecting the proper functioning of the internal market.

Amendment 37 #

Proposal for a directive
Recital 7

(7) In the area of financial services, the added value of whistleblower protection was already acknowledged by the Union legislator. In the aftermath of the financial crisis, which exposed serious shortcomings in the enforcement of the relevant rules, measures for the protection of whistleblowers were introduced in a significant number of legislative instruments in this area34 . In particular, in the context of the prudential framework applicable to credit institutions and investment firms, Directive 2013/36/EU35 provides for protection of whistleblowers, which extends also to Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms. However, a number of high profile cases involving European financial institutions have proven, that protection of whistleblowers within the full range of financial institutions still remain unsatisfactory and that fears of reprisals from both employers and authorities still prevent whistleblowers from coming forward with information on breaches of law. _________________ 34 Communication of 8.12.2010 "Reinforcing sanctioning regimes in the financial services sector". 35 Directive 2013/36/EU of the European Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).

Amendment 38 #

Proposal for a directive
Recital 7

(7) In the area of financial services, the added value of sectoral whistleblower protection was already acknowledged by the Union legislator. In the aftermath of the financial crisis, which exposed serious shortcomings in the enforcement of the relevant rules, measures for the protection of whistleblowers were introduced in a significant number of legislative instruments in this area34 . In particular, in the context of the prudential framework applicable to credit institutions and investment firms, Directive 2013/36/EU35 provides for protection of whistleblowers, which extends also to Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms. _________________ 34 Communication of 8.12.2010 "Reinforcing sanctioning regimes in the financial services sector". 35 Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).

Amendment 39 #

Proposal for a directive
Recital 9

(9) The importance of whistleblower protection in terms of preventing and deterring breaches of Union rules on transport safety which can endanger human lives has been already acknowledged in sectorial Union instruments on aviation safety38 and maritime transport safety39, which provide for tailored measures of protection to whistleblowers as well as specific reporting channels. These instruments also include the protection from retaliation of the workers reporting on their own honest mistakes (so called ‘just culture’). It is necessary to complement the existing elements of whistleblower protection in these two sectors as well as to provide such protection to enhance immediately the enforcement of safety standards for other transport modes, namely road and railway transport. _________________ 38 Regulation (EU) No 376/2014 of the European Parliament and of the Council, of 3 April 2014, on the reporting, analysis and follow-up of occurrences in civil aviation (OJ L 122, p. 18). 39 Directive 2013/54/EU, of the European Parliament and of the Council, of 20 November 2013, concerning certain flag State responsibilities for compliance with and enforcement of the Maritime Labour Convention (OJ L 329, p. 1), Directive 2009/16/EC of the European Parliament and of the Council, of 23 April 2009, on port State control (OJ L 131, p. 57).

Amendment 40 #

Proposal for a directive
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 ~~appear~~is 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 41 #

Proposal for a directive
Recital 10

(10) Evidence-gathering, detecting and addressing environmental crimes and unlawful conduct against the protection of the environment unfortunately 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 appears 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 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)~~COM(2018) 10 final.

Amendment 42 #

Proposal for a directive
Recital 11

(11) Similar considerations warrant the introduction of whistleblower protection to build upon existing provisions and prevent breaches of EU rules in the area of food chain and in particular on food and feed safety as well as on animal health and welfare. The different Union rules developed in these areas are closely interlinked. Regulation (EC) No 178/200242 sets out the general principles and requirements which underpin all Union and national measures relating to food and feed, with a particular focus on food safety, in order to ensure a high level of protection of human health and consumers’ interests in relation to food as well as the effective functioning of the internal market. This Regulation provides, amongst others, that food and feed business operators are prevented from discouraging their employees and others from cooperating with competent authorities where this may prevent, reduce or eliminate a risk arising from food. The Union legislator has taken a similar approach in the area of ‘Animal Health Law’ through Regulation (EU) 2016/429 establishing the rules for the prevention and control of animal diseases which are transmissible to animals or to humans43 . Systematic breaches of Union law as regards animal welfare remains a significant issue across Member States, however, the number of whistleblowers in this field is very low, which indicates a need to further strengthen protections of would-be whistleblowers and ensuring safe and effective reporting channels for them to disclose their information. _________________ 42 Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety (OJ L 31, p. 1). 43 OJ L 84, p. 1

Amendment 43 #

Proposal for a directive
Recital 11

(11) Similar considerations warrant the introduction of whistleblower protection to build upon existing provisions and in practice effectively prevent breaches of EU rules in the area of food chain and in particular on food and feed safety as well as on animal health and welfare. The different Union rules developed in these areas are closely interlinked. Regulation (EC) No 178/200242 sets out the general principles and requirements which underpin all Union and national measures relating to food and feed, with a particular focus on food safety, in order to ensure a high level of protection of human health and consumers’ interests in relation to food as well as the effective functioning of the internal market. This Regulation provides, amongst others, that food and feed business operators are prevented from discouraging their employees and others from cooperating with competent authorities where this may prevent, reduce or eliminate a risk arising from food. The Union legislator has taken a similar approach in the area of ‘Animal Health Law’ through Regulation (EU) 2016/429 establishing the rules for the prevention and control of animal diseases which are transmissible to animals or to humans 43. _________________ 42 European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety (OJ L 31, p. 1). 43 OJ L 84, p. 1Regulation (EC) No 178/2002 of the

Amendment 44 #

Proposal for a directive
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~~may therefore be introduced by Member States in relation to relevant Union rules adopted pursuant to Articles 114, 168 and 169 TFEU.

Amendment 45 #

Proposal for a directive
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 46 #

Proposal for a directive
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 in order 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 47 #

Proposal for a directive
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 48 #

Proposal for a directive
Recital 17

(17) A~~cts which breach the rules of corporate tax and arrangements~~ggressive tax planning whose purpose is to obtain a tax advantage and to evade legal obligations, defeating the object or purpose of the applicable corporate tax law, negatively affect the proper functioning of the internal market. They can give rise to ~~unfair tax competition and~~ extensive tax evasion, distorting the level-playing field for companies and resulting in loss of tax revenues for Member States and for the Union budget as a whole. Whistleblower protection adds to recent Commission initiatives aimed at improving transparency and the exchange of information in the field of taxation47 ~~and creating a fairer corporate tax environment within the Union48~~ , with a view to increasing Member States’ effectiveness in identifying evasive and/or abusive arrangements that could otherwise go undetected and will help deter such arrangements. _________________ 47 Council Directive 2011/16/EU of 15 February 2011 on administrative cooperation in the field of taxation and repealing Directive 77/799/EEC (as amended). 48 Council Directive (EU) 2016/1164 of 12 July 2016 laying down rules against tax avoidance practices that directly affect the functioning of the internal market (as amended); Proposal for a Council Directive on a Common Consolidated Corporate Tax Base, COM/2016/0683 final — 2016/0336; Proposal for a Council Directive on a Common Corporate Tax Base, COM/2016/0685 final — 2016/0337.

Amendment 49 #

Proposal for a directive
Recital 18

(18) Certain Union acts, in particular in the area of financial services, such as Regulation (EU) No 596/2014 on market abuse49 , and Commission Implementing Directive 2015/2392, adopted on the basis of that Regulation50 , already contain detailed rules on whistleblower protection. Such existing Union legislation, including the list of Part II of the Annex, should be complemented by the present Directive, so that these instruments are fully aligned with its minimum standards whilst maintaining any specificities they provide for, tailored to the relevant sectors. This is of particular importance to ascertain which legal entities in the area of financial services, the prevention of money laundering and terrorist financing are currently obliged to establish internal reporting channels. As these cases often involve highly complex international corporate and financial constructions, which are likely to be within the remit of differing jurisdictions, provisions for a unified point of contact for whistleblowers should be adopted. _________________ 49 OJ L 173, p. 1. 50 Commission Implementing Directive (EU) 2015/2392 of 17 December 2015 on Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards reporting to competent authorities of actual or potential infringements of that Regulation (OJ L 332, p. 126).

Amendment 50 #

Proposal for a directive
Recital 18

(18) Certain Union acts, in particular in the area of financial services, such as Regulation (EU) No 596/2014 on market abuse49 , and Commission Implementing Directive 2015/2392, adopted on the basis of that Regulation 50 , already contain detailed rules on whistleblower protection. Such existing Union legislation, including the list of Part II of the Annex, should be complemented by the present Directive, so that these instruments are fully aligned with its minimum standards whilst maintaining any specificities they provide for, tailored to the relevant sectors. This is of particular importance to ascertain which legal entities in the area of financial services, the prevention of money laundering ~~and terrorist financing are currently obliged to establish internal reporting channels. _________________ 49 50 Commission Imple~~, the proper implementation of the Late Payment~~ing~~s Directive (EU) 2015/2392 of 17 December 2015 on Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards reporting to competent authorities of actual or potential infringements of that Regulation (2011/7/EU, terrorist financing and cyber-crime are currently obliged to establish internal reporting channels. OJ L ~~332~~173, p. 1~~26)~~.

Amendment 51 #

Proposal for a directive
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 amend~~ the Annex to the present Directive should be amended in order to place it under its scope.

Amendment 52 #

Proposal for a directive
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 amend~~it should be added to the Annex to the present Directive in order to place it under its scope.

Amendment 53 #

Proposal for a directive
Recital 20

(20) This Directive should be without prejudice 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 or European Union 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 54 #

Proposal for a directive
Recital 20

(20) This Directive ~~should be without prejudice~~is 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

(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 affect~~be 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 56 #

Proposal for a directive
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 affect 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

(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 58 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). 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 retaliation.~~

Amendment 59 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). 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 retaliation.~~

Amendment 60 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection ~~where they acquire~~concerning the information they ~~report through their work-related activities and the~~acquire and where their decision to refpor~~e run the~~t it results in a risk of work-related or other retaliation (for instance, for breaching the duty of confidentiality or ~~loyalty~~EU 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

(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 privileged~~have 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 occurred~~all persons connected to the report.

Amendment 62 #

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 , i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency, which are types of relationships where standard protections against unfair treatment are often difficult to apply. Considering the report by Transparency International published in the summer of 2018 underscoring the need for whistleblower protection within EU institutions as well, protection should extend similarly to EU staff. _________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 63 #

Jonás FERNÁNDEZ

Proposal for a directive
Recital 26

(26) Protection should~~, firstly,~~ apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 , i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration~~. Protection should thus also be granted to~~, including workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency, which are types of relationships where standard protections against unfair treatment are often difficult to apply. _________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 64 #

Proposal for a directive
Recital 27

(27) Protection should also extend to people facilitating the reporting, such as intermediaries, NGO activists and investigative journalists, who disclose potential or actual breaches, as well as 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 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. In the case of such whistleblowers as NGOs, journalists, investigators and human rights defenders, there is a risk of being targeted with strategic lawsuits against public participation (SLAPP). 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 65 #

Proposal for a directive
Recital 27

(27) PMember States may decide that 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 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 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 66 #

Proposal for a directive
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 activities~~vis-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

(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 68 #

Proposal for a directive
Recital 28

Amendment 69 #

Proposal for a directive
Recital 28

(28) Effective whistleblower protection implies wider protecti~~ng also~~on for 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.

Amendment 70 #

Proposal for a directive
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

Amendment 72 #

Proposal for a directive
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 73 #

Proposal for a directive
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, to ensure proper implementation and to ensure full, loyal and expeditious cooperation between competent authorities both within the Member State itself and with relevant authorities in other Member States. 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 74 #

Proposal for a directive
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, in addition to the necessary capacities and powers, suitably qualified staff 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 75 #

Proposal for a directive
Recital 37

Amendment 76 #

Proposal for a directive
Recital 39

(39) The exemption of small and micro undertakings from the obligation to establish internal reporting channels should not apply to private undertakings active in or closely linked to the area of financial services. Such undertakings should remain obliged to establish internal reporting channels, in line with the current obligations set forth in the Union acquis on financial services.

Amendment 77 #

Proposal for a directive
Recital 42

Amendment 78 #

Proposal for a directive
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

(44) Internal reporting procedures should enable private legal entities to receive and investigate reports in full confidentiality ~~reports~~and 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

(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

(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)

(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 83 #

Proposal for a directive
Recital 50

(50) Follow up and feedback should take place within a reasonable timeframe; this is warranted by the need to promptly address the problem that may be the subject of the report, as well as to ~~avoid unnecessary public disclosures~~ensure swift action by competent authorities and safeguard evidence needed for further investigation and prosecution. Such timeframe should not exceed three months, but could be extended to six months, where necessary due to the specific circumstances of the case, in particular the nature and complexity of the subject of the report, which may require a lengthy investigation. In such cases a reasoned argument for such a prolongation must be provided. In all cases an initial reply should be provided no later than 4 weeks from the date of the initial reporting and updates on actions taken and relevant new information should be provided monthly hereafter.

Amendment 84 #

Proposal for a directive
Recital 55

(55) Member States and EU institutions should ensure that competent authorities have in place adequate protection procedures for the processing of reports of infringements and for the protection of the personal data of the persons referred to in the report. Such procedures should ensure that the identity of every reporting person, concerned person, and third persons referred to in the report (e.g. witnesses or colleagues) is protected at all stages of the procedure. This obligation should be without prejudice to the necessity and proportionality of the obligation to disclose information when this is required by Union or national law and subject to appropriate safeguards under such laws, including in the context of investigations or judicial proceedings or to safeguard the freedoms of others, including the rights of defence of the concerned person.

Amendment 85 #

Proposal for a directive
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 and made available to other Member States' or European Union authorities where relevant. It remains the responsibility of both the transmitting and receiving authorities to ensure full protection of whisteblowers and to ensure full, loyal and expeditious cooperation.

Amendment 86 #

Proposal for a directive
Recital 57

(57) Member States and EU institutions 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.

Amendment 87 #

Proposal for a directive
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

Amendment 89 #

Proposal for a directive
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 90 #

Proposal for a directive
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, it 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

Amendment 92 #

Proposal for a directive
Recital 62

(62) ~~As a rule, r~~Reporting persons should first use the internal channels at their disposal and report to their employer. However, it may be the case that internal channels do not exist (in case of entities which are not under an obligation to establish such channels by virtue of this Directive or applicable national law) or that their use is not mandatory (which may be the case for persons who are not in an employment relationship), or that they were used but did not function properly (for instance the report was not dealt with diligently or within a reasonable timeframe, or no action was taken to address the breach of law despite the positive results of the enquiry).

Amendment 93 #

Proposal for a directive
Recital 63

Amendment 94 #

Proposal for a directive
Recital 65

Amendment 95 #

Proposal for a directive
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. 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

Amendment 97 #

Proposal for a directive
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 revealing~~can 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

(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

(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.

source: 627.591

2018/09/07 AFCO 229 amendments...

Amendment 100 #

Proposal for a directive
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 101 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point i a (new)

(i a) employment;

Amendment 102 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point i b (new)

(i b) trade;

Amendment 103 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

(ii) financial services, prevention of money laundering and terrorist financing, corruption and organized crime;

Amendment 104 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

ii) financial services, ~~prevention of~~the fight against money laundering and terrorist financing;

Amendment 105 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point viii

(viii) public health and public safety;

Amendment 106 #

(viii a) asylum and migration law;

Amendment 107 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ix a (new)

(ix a) employment and working conditions;

Amendment 108 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ix b (new)

(ix b) tax fraud, tax evasion and tax optimisation;

Amendment 109 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ix c (new)

(ix c) violations of human rights or of the rights enshrined in the European Charter of Fundamental Rights;

Amendment 110 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ix d (new)

(ix d) company law;

Amendment 111 #

Proposal for a directive
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 112 #

Proposal for a directive
Article 1 – paragraph 1 – point d

Amendment 113 #

Proposal for a directive
Article 1 – paragraph 1 – point d a (new)

Directive 2018/0106
Article 1, paragraph 1, point d a (new)

(da) infringements of those liberties, principles, common values and fundamental rights laid out in the Charter of Fundamental Rights of the European Union.

Amendment 114 #

Proposal for a directive
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
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 116 #

Proposal for a directive
Article 1 – paragraph 2 a (new)

2 a. Member States shall have specific provisions concerning data and documents covered by secret of defence, classified information, public order, or other exceptions based on their national law, if applicable.

Amendment 117 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons working in the private or public sector who acquired information on breaches ~~in a work-related context~~ including, at least, the following:

Amendment 118 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

Amendment 119 #

Proposal for a directive
Article 2 – paragraph 1 – point a

a) persons having the status of worker, with the meaning of Article 45 TFEU, regardless of whether they are paid or unpaid;

Amendment 120 #

Proposal for a directive
Article 2 – paragraph 1 – point b

b) persons having the status of ~~self- employed~~worker or former worker, with the meaning of Article 495 TFEU, including persons having the status of civil servants;

Amendment 121 #

Proposal for a directive
Article 2 – paragraph 1 – point c

c) shareholders and persons belonging to the management body of an undertaking, including non-executive members, as well as volunteers and paid and unpaid trainees;

Amendment 122 #

Proposal for a directive
Article 2 – paragraph 1 a (new)

1 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 123 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 124 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 125 #

Proposal for a directive
Article 2 – paragraph 2

2. This Directive shall also apply to reporting persons whose work-based relationship has ended or is yet to begin in cases where information concerning a breach has been acquired during the recruitment process or other pre- contractual negotiation.

Amendment 126 #

Proposal for a directive
Article 2 – paragraph 2 a (new)

2 a. This Directive shall apply to officials as well as to other employees and interns working at the institutions, agencies and bodies of the Union.

Amendment 127 #

Proposal for a directive
Article 2 – paragraph 2 b (new)

2 b. This Directive shall apply to individuals falling within the definition laid out in Article 1 of private or public legal entities located within the Union, as well as to private or public European legal entities located outside Union territory.

Amendment 128 #

Proposal for a directive
Article 2 – paragraph 2 c (new)

2 c. This Directive shall apply to individuals facilitating the reporting on breaches such as journalists or intermediaries between the reporting person and the person distributing the information.

Amendment 129 #

Proposal for a directive
Article 2 – paragraph 2 d (new)

2 d. This Directive shall apply to any individual reporting on breaches of Union law who has evidence of such breaches in the public or private sector.

Amendment 130 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

Amendment 131 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or potential unlawful activities or, abuse of law ~~relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex~~or activities detrimental to the public interest or the general interest of the Union;

Amendment 132 #

Proposal for a directive
Article 3 – paragraph 1 – point 2

(2) ‘unlawful activities’ means acts or omissions contrary to ~~Union~~ law;

Amendment 133 #

Proposal for a directive
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 134 #

Proposal for a directive
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;

Amendment 135 #

Proposal for a directive
Article 3 – paragraph 1 – point 4

(4) ‘information on breaches’ means ~~evidence~~information about actual breaches as well as ~~reasonable~~ suspicions about potential breaches which have not yet materialised;

Amendment 136 #

Proposal for a directive
Article 3 – paragraph 1 – point 5

Amendment 137 #

Proposal for a directive
Article 3 – paragraph 1 – point 5

Amendment 138 #

Proposal for a directive
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 139 #

Proposal for a directive
Article 3 – paragraph 1 – point 8

(8) ‘disclosure’ means making information on breaches acquired inter alia within the work-related context available to the public domain;

Amendment 140 #

Proposal for a directive
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 activities~~;

Amendment 141 #

Proposal for a directive
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 activities~~;

Amendment 142 #

Proposal for a directive
Article 3 – paragraph 1 – point 9 a (new)

(9 a) "facilitator" means a natural or legal person who contributes directly or indirectly to the reporting process;

Amendment 143 #

Proposal for a directive
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 144 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

Amendment 145 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal or external reporting or disclosure which occurs in a work-related context and causes or may cause unjustified detriment to the reporting person;

Amendment 146 #

Proposal for a directive
Article 3 – paragraph 1 – point 13

Amendment 147 #

Proposal for a directive
Article 3 – paragraph 1 – point 13 a (new)

(13 a) ‘national authority’ means any national 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 to reports;

Amendment 148 #

Proposal for a directive
Article 3 – paragraph 1 – point 13 b (new)

(13 b) ‘OPLA’, the authority set up at European level to receive reports in accordance with Chapter III, and to carry out the functions provided for in this Directive;

Amendment 149 #

Proposal for a directive
Article 3 – paragraph 1 – point 13 c (new)

(13 c) 'faciltator' means any natural or legal person who contributes to the report or assists a person reporting on breaches whit his report.

Amendment 150 #

Proposal for a directive
Article 3 – paragraph 1 – point 14

(14) ‘competent authorityies’ means any national 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~~or OPLA.

Amendment 151 #

Proposal for a directive
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, following consultations ~~with social partners, if appropriate~~and negotiations with the worker representatives and/or the trade union and/or social partners.

Amendment 152 #

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity. They may allow for reporting by other persons who are in contact with the entity ~~in the context of their work-related activities, referred to in Article 2(1)(b),(c) and (d), but t~~. The use of internal channels for reporting shall not be mandatory ~~for these categories of persons~~.

Amendment 153 #

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity. They ~~may~~shall allow for reporting by other persons who are in contact with the entity in the context of their work-related activities, referred to in Article 2(1)(b),(c) and (d)~~, but the use of internal channels for reporting shall not be mandatory for these categories of persons~~.

Amendment 154 #

Proposal for a directive
Article 4 – paragraph 2 a (new)

2 a. These reporting channels shall be clearly defined by the entity and easily accessible both within and from outside the entity. Such channels shall fully safeguard the anonymity of persons reporting on breaches or their facilitators, provided that they so wish, as well as their personal data.

Amendment 155 #

Proposal for a directive
Article 4 – paragraph 3 – point c

c) private legal entities of any size operating in the area of financial services or ~~vulnerable to money laundering or terrorist financing~~making or receiving payments of EUR 10 000 or more in cash, as regulated under the Union acts referred to in the Annex.

Amendment 156 #

Max ANDERSSON

c a) private legal entities of any size whose conducted activities are likely to constitute a danger to the environment or to public health;

Amendment 157 #

Proposal for a directive
Article 4 – paragraph 5

5. Any decision taken by a Member State pursuant to paragraph 4 shall be notified to the Commission and OPLA, together with a justification and the criteria used in the risk assessment. The Commission shall communicate that decision to the other Member States.

Amendment 158 #

Proposal for a directive
Article 4 – paragraph 6 – point c

c) municipalities ~~with more than 10 000 inhabitants~~;

Amendment 159 #

Proposal for a directive
Article 4 – paragraph 6 – point c a (new)

c a) European Union institutions, agencies and bodies.

Amendment 160 #

Proposal for a directive
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 acknowledgment of the receipt of a report within 5 working days, that ensures the confidentiality or anonymity of the identity of the reporting person and prevents access to non- authorised staff members;

Amendment 161 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding th~~ree month~~irty days following the report, to provide feedback to the reporting person about the follow-up to the report;

Amendment 162 #

Proposal for a directive
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, and that his/her comments must be included in the final report, and in the published version of the report, where applicable;

Amendment 163 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a

a) written reports in electronic or paper format and/or oral report through recorded telephone lines~~, whether recorded or unrecorded~~;

Amendment 164 #

Proposal for a directive
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 165 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point b

b) physical meetings with the person or department designated to receive reports, properly minuted and with the minutes dated and signed by the reporter.

Amendment 166 #

Proposal for a directive
Article 5 – paragraph 3 a (new)

3 a. It shall be ensured that a person considering reporting on breaches is protected to discuss, be accompanied and represented by his/her trade union and/or legal advisor, including throughout the internal process.

Amendment 167 #

Proposal for a directive
Article 5 – paragraph 3 a (new)

Directive 2018/0106
Article 5 – paragraph 3 a (new)

3 a. The reporting procedure ought to be scaled in some way so as to ensure measures designed to protect whistleblowers are balanced.

Amendment 168 #

Proposal for a directive
Article 6 – paragraph 2 – point a

a) establish independent and autonomous external reporting channels, which are ~~both~~ secure ~~and~~, ensure confidentiality and guarantee that the identity of the reporting person will not be disclosed, for receiving and handling information provided by the reporting person;

Amendment 169 #

Proposal for a directive
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 170 #

Proposal for a directive
Article 6 – paragraph 2 – point b

b) acknowledge receipt of the report within 5 working days, give feedback to the reporting person about the follow-up of the report within a reasonable timeframe not exceeding t~~hree months or six months in duly justified case~~wo months;

Amendment 171 #

Proposal for a directive
Article 6 – paragraph 2 – point b a (new)

Amendment 172 #

Proposal for a directive
Article 6 – paragraph 2 – point c a (new)

c a) guarantee free and independent advice and legal support for persons reporting on breaches, as well as for facilitators and intermediaries;

Amendment 173 #

Proposal for a directive
Article 6 – paragraph 2 – point c b (new)

c b) give 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 and, where relevant, take his/her comments into account;

Amendment 174 #

Proposal for a directive
Article 6 – paragraph 3 a (new)

3 a. Member States shall ensure that the national authorities can take adequate remedial action.

Amendment 175 #

Proposal for a directive
Article 6 – paragraph 3 b (new)

3 b. Member States shall ensure that the national authority publishes the final report, ensuring the reporting person's anonymity is maintained unless he/she requests otherwise, and that the national authority ensures that this report contains the reporting person's comments as well as remedial action where appropriate.

Amendment 176 #

Proposal for a directive
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 in line with clear procedures for handling all disclosed information securely with due regard to confidentiality or anonymity and that the reporting person is informed.

Amendment 177 #

Proposal for a directive
Article 6 – paragraph 4

Amendment 178 #

Proposal for a directive
Article 6 a (new)

Article 6 a Whistleblower Protection Office (OPLA) 1. The Commission shall set up an independent European authority responsible for receiving and handling reports at Union level, and for guaranteeing the protection of whistleblowers. This authority shall be called the ‘Whistleblower Protection Office (OPLA)’. 2. OPLA: a) shall establish an independent, autonomous, secure and confidential reporting channel for receiving and handling information provided by the reporting person; b) shall inform the reporting person of follow up to the report in a reasonable timeframe; c) shall ensure the timely follow-up to reports and take appropriate action, and inform the whistleblower of this without delay and by any means; d) shall consult, at the end of the investigation, the competent Union bodies for further investigation and/or for follow up and remedial action as appropriate, as quickly as is reasonably possible; e) shall give 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, and, where appropriate, his/her comments must be taken into account; f) shall inform the reporting person of the outcome of the investigations within a reasonable timeframe, not exceeding three months, or six months in duly justified cases, after the report or the submission of the report to OPLA; g) shall set up and update a public register of all reports received, in compliance with confidentiality obligations, especially the reporting person's identity. 4. OPLA shall set up measures for legal support for whistleblowers throughout proceedings. 5. OPLA shall have a presence in all Member States via points of contact and reference persons. It shall also be accessible via a secure online platform. 6. OPLA shall monitor the implementation of this Directive by Member States by doing the following: a) it shall gather data on reports, investigations and their follow up, repeat breaches, poorly conducted investigations and remedial action taken by and in each Member State; b) it shall regularly issue recommendations to Member States and to private or public legal entities to improve its implementation; c) it shall cooperate with national authorities, social partners and civil society organisation involved in whistleblower protection through continuous dialogue. 7. OPLA may be consulted directly: a) by any individual protected by this Directive; b) by a national authority; c) by bodies responsible for internal reporting.

Amendment 179 #

Proposal for a directive
Article 7 – paragraph 1 – point b

b) they are designed, set up and operated in a manner that ensures the completeness, integrity and confidentiality of the information, offers an appropriate level of cybersecurity and prevents access to non-authorised staff members of the competent authority;

Amendment 180 #

Proposal for a directive
Article 7 – paragraph 1 – point c a (new)

c a) they guarantee free and independent advice and legal support for persons reporting on breaches, as well as for facilitators and intermediaries.

Amendment 181 #

Proposal for a directive
Article 7 – paragraph 2 – point b

b) oral report through recorded telephone lines~~, whether recorded or unrecorded~~;

Amendment 182 #

Proposal for a directive
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 183 #

Proposal for a directive
Article 7 – paragraph 2 – point c

c) physical meeting with dedicated staff members of the competent authority, properly minuted and with the minutes dated and signed by the reporter.

Amendment 184 #

Proposal for a directive
Article 7 – paragraph 2 a (new)

2 a. Such channels shall safeguard the anonymity of the person reporting on breaches when he/she so wishes, as well as their personal data.

Amendment 185 #

Proposal for a directive
Article 7 – paragraph 4

4. Member States shall ~~establish procedures to~~ ensure that, where a report being initially addressed to a person ~~who~~or to an authority that 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.~~, clear procedures are established for handling all disclosed information securely with due regard to confidentiality or anonymity;

Amendment 186 #

Proposal for a directive
Article 8 – paragraph 1

1. Member States shall ensure that competent authorities have staff members dedicated to handling reports, while respecting confidentiality of persons reporting on breaches. Dedicated staff members shall receive specific training for the purposes of handling reports.

Amendment 187 #

Proposal for a directive
Article 9 – paragraph 1 – point a a (new)

a a) the way in which the competent authorities ensure the reporting person can revise, correct and comment on the report over the course of the investigation, without compelling him/her to do so, the fact that his/her comments are incorporated at the end of the investigation, as appropriate, and that he/she may comment on the final report, and that these comments are included in the final report and when it is published;

Amendment 188 #

Proposal for a directive
Article 9 – paragraph 1 – point a b (new)

a b) due follow-up to the report by the designated person or department, including appropriate action as well as investigations into the subject of the reports, where necessary;

Amendment 189 #

Proposal for a directive
Article 9 – paragraph 1 – point b a (new)

b a) contacts from civil society organisations involved in the protection of persons reporting on breaches;

Amendment 190 #

Proposal for a directive
Article 10 – paragraph 1 – point a

a) the conditions under which reporting persons and/or intermediators qualify for protection under this Directive;

Amendment 191 #

Proposal for a directive
Article 10 – paragraph 1 – point a a (new)

a a) the rights associated with the protection of the reporting person in the context of this Directive, including the possibility for the reporting person to consult OPLA directly;

Amendment 192 #

Proposal for a directive
Article 10 – paragraph 1 – point g

g) a statement clearly explaining that persons making information available to the competent authorityies and on internal reporting channels in accordance with this Directive are not considered to be infringing any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and are not to be involved in liability of any kind related to such disclosure.

Amendment 193 #

Proposal for a directive
Article 10 – paragraph 1 – point g a (new)

g a) access to reports and recommendations published by the competent authorities;

Amendment 194 #

Proposal for a directive
Article 10 – paragraph 1 – point g b (new)

g b) contact information of organisations where legal advice can be obtained free of charge;

Amendment 195 #

Proposal for a directive
Article 11 – paragraph 2

2. Competent authorities as well as private and public legal entities shall promptly acknowledge the receipt of written reports to the postal or electronic address indicated by the reporting person, unless the reporting person explicitly requested otherwise or the competent authority ~~reasonably~~, or private and public legal entities, believes that acknowledging receipt of a written report would jeopardise the protection of the reporting person’s identity.

Amendment 196 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 1 – introductory part

Where a recorded telephone line is used for reporting, subject to the consent of the reporting person~~, the competent authority~~ and ensuring the necessary confidentiality is maintained, the competent authorities and the private and public legal entities shall have the right to document the oral reporting in one of the following ways:

Amendment 197 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 1 – introductory part

Where a recorded telephone line is used for reporting, ~~subject to the consent of the reporting person,~~ the competent authority shall ~~have the right to~~ document the ~~oral~~ report~~ing~~ in one of the following ways:

Amendment 198 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 2

The competent authorityies and the public and private legal entities shall offer the possibility to the reporting person to check, rectify and agree the transcript of the call by signing it.

Amendment 199 #

Proposal for a directive
Article 11 – paragraph 4

4. Where an unrecorded telephone line is used for reporting, the competent authorityies and the private and public legal entities shall have the right to document the oral reporting in the form of accurate minutes of the conversation prepared by the dedicated staff members. The competent authorityies and the public and private legal entities shall offer the possibility to the reporting person to check, rectify and agree ~~with the minutes~~the transcript of the call by signing it~~hem~~.

Amendment 200 #

Proposal for a directive
Article 11 – paragraph 4

4. Where an unrecorded telephone line is used for reporting, the competent authority shall ~~have the right to~~ document the oral report~~ing~~ in the form of accurate minutes of the conversation prepared by the dedicated staff members. The competent authority shall offer the possibility to the reporting person to check, rectify and agree with the minutes of the call by signing them.

Amendment 201 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 1 – introductory part

Where a person requests a meeting with the dedicated staff members of the competent authorityies or the private and public legal entities for reporting according to Article 7(2)(c), competent authorities and the private and public legal entities shall ensure, subject to the consent of the reporting person, that complete and accurate records of the meeting are kept in a durable and retrievable form. ~~A c~~Competent authorityies and private and public legal entities shall have the right to document the records of the meeting in one of the following ways:

Amendment 202 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 1 – introductory part

Where a person requests a meeting with the dedicated staff members of the competent authority for reporting according to Article 7(2)(c), competent authorities shall ensure~~, subject to the consent of the reporting person,~~ that complete and accurate records of the meeting are kept in a durable and retrievable form. A competent authority shall ~~have the right to~~ document the records of the meeting in one of the following ways:

Amendment 203 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 1 – point b

b) accurate minutes of the meeting prepared by the dedicated staff members of the competent authority and the private and public legal entities.

Amendment 204 #

The competent authorityies and the public and private legal entities shall offer the possibility to the reporting person to check, rectify and agree withe t~~he minutes~~ranscript of the ~~meeting~~call by signing it~~hem~~.

Amendment 205 #

Proposal for a directive
Article 13 – paragraph 1

1. A reporting person shall qualify for protection under this Directive from the moment that he/she consults internal or external reporting channels referred to in this Directive, provided he or she has reasonable grounds to believe that the information reported or disclosed was true at the time of reporting or disclosure and that this information falls within the scope of this Directive.

Amendment 206 #

Proposal for a directive
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 207 #

Proposal for a directive
Article 13 – paragraph 1

Amendment 208 #

Proposal for a directive
Article 13 – paragraph 1

1. A reporting person shall qualify for protection under this Directive if he or she does not come forwards anonymously and 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 209 #

Proposal for a directive
Article 13 – paragraph 1 a (new)

1 a. A report should not be discarded because it was made anonymously and full protection should be granted to persons reporting on breaches, who have reported or disclosed information anonymously.

Amendment 210 #

Proposal for a directive
Article 13 – paragraph 1 a (new)

1 a. A person who anonymously reported information on breach and whose identity was revealed shall also qualify for protection under this Directive.

Amendment 211 #

Proposal for a directive
Article 13 – paragraph 2

Amendment 212 #

Proposal for a directive
Article 13 – paragraph 2

Amendment 213 #

Proposal for a directive
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 214 #

Proposal for a directive
Article 13 – paragraph 3

Amendment 215 #

Proposal for a directive
Article 13 – paragraph 4

Amendment 216 #

Proposal for a directive
Article 13 – paragraph 4

Amendment 217 #

Proposal for a directive
Article 14 – paragraph 1 – introductory part

Member States shall take the necessary measures to prohibit any form of retaliation, whether direct or indirect, against reporting persons meeting the conditions set out in Article 13, or any kinds of actions, whether direct or indirect, that could discourage reporting persons from exercising the rights protected by this Directive, including in particular in the form of:

Amendment 218 #

Proposal for a directive
Article 14 – paragraph 1 – point n a (new)

n a) physical, moral or financial pressure exerted on the persons protected by this Directive;

Amendment 219 #

Proposal for a directive
Article 14 – paragraph 1 – point n b (new)

n b) obstruction or cancellation of retirement benefits;

Amendment 22 #

Proposal for a directive
Citation 1

Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 16, 19 (2), 33, 43, 50, 53(1), 62, 77 (2), 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 220 #

Proposal for a directive
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 221 #

Proposal for a directive
Article 15 – paragraph 4

4. Persons reporting information concerning breaches of Union law detrimental to the public interest externally to competent authorities or making a public disclosure in accordance with this Directive shall not be considered to have breached any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and incur liability of any kind in respect of such disclosure.

Amendment 222 #

Proposal for a directive
Article 15 – paragraph 5 a (new)

Directive 2018/0106
Article 15, paragraph 5 a (new)

5 a. Where the legal proceedings instituted against the whistleblower are a clear consequence of their reporting and there is sufficient evidence that they have been initiated with abusive intent, the competent court shall sanction the applicant for abuse of procedure.

Amendment 223 #

Proposal for a directive
Article 15 – paragraph 5 b (new)

Directive 2018/0106
Article 15 paragraph 5 b (new)

5 b. Similarly, the reputation of the company the reporting person is calling into question must be protected throughout the reporting procedure to ensure that any allegation that proves to be false does not have lasting consequences for the company concerned.

Amendment 224 #

Proposal for a directive
Article 15 – paragraph 8 a (new)

8 a. Member States shall ensure that, following an individual assessment, any third country national who reports information falling into the scope of this directive and suffers from a well-founded fear of persecution or would face a real risk of suffering serious harm because of the report and is unable or, owing to such fear, is unwilling to avail himself or herself of the protection of that country can be considered as qualifying as a refugee beneficiary of subsidiary protection in accordance with chapters II and III of Directive 2011/95/EU.

Amendment 225 #

Proposal for a directive
Article 15 – paragraph 8 a (new)

8 a. Reporting persons shall have access to psychological support.

Amendment 226 #

Proposal for a directive
Article 17 – paragraph 1 – point b

b) take retaliatory measures against reporting persons and against any natural or legal person associated with the activities protected by this Directive;

Amendment 227 #

Proposal for a directive
Article 17 – paragraph 1 – point d

d) breach the duty of maintaining the confidentiality of the identity of reporting persons or take actions that uncover or aim at uncovering the identity of the reporting persons in case of anonymous reporting.

Amendment 228 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 229 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 23 #

Proposal for a directive
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 352~~5(4)~~ thereof and to the Treaty establishing the European Atomic Energy Community, and in particular Article 31 thereof,

Amendment 230 #

Proposal for a directive
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 231 #

Member States may introduce or retain provisions more favourable to the ~~rights of the~~ reporting persons than those set out in any provision of this Directive, without prejudice to Article 16 and Article 17(2).

Amendment 232 #

Proposal for a directive
Article 19 a (new)

Article 19 a Non-regression clause 1. The implementation of this Directive shall under no circumstances constitute valid grounds for reducing the general level of protection already afforded when reporting on breaches other than those mentioned in Article 1. 2. This Directive is without prejudice to any other rights conferred on reporting persons by other legal acts of the Union.

Amendment 233 #

Proposal for a directive
Annex I – part I – subpart A – point 2 – introductory part

2. Review procedures regulated in particular by:

Amendment 234 #

Proposal for a directive
Annex I – part I – subpart B – title

B Article 1(a)(ii) – financial services, ~~prevention of~~the fight against money -laundering and terrorist financing;:

Amendment 235 #

Proposal for a directive
Annex I – part I – subpart B – paragraph 1 – introductory part

Amendment 236 #

Proposal for a directive
Annex I – part I – subpart C – point 1 – introductory part

1. General safety requirements of products placed in the Union market as defined and regulated in particular by:

Amendment 237 #

Proposal for a directive
Annex I – part I – subpart C – point 2 – introductory part

2. Marketing and use of sensitive and dangerous products, as regulated in particular by:

Amendment 238 #

Proposal for a directive
Annex I – part I – subpart D – point 3 – introductory part

3. Safety requirements in the road sector as regulated in particular by:

Amendment 239 #

Proposal for a directive
Annex I – part I – subpart D – point 4 – introductory part

4. Safety requirements in the maritime sector as regulated in particular by:

Amendment 24 #

Proposal for a directive
Citation 1 a (new)

having regard to the European Convention on Human Rights, notably Article 10 thereof,

Amendment 240 #

Proposal for a directive
Annex I – part I – subpart E – title

E Article 1(a)(v) – protection of the environment, sustainable development, waste management, marine, air and noise pollution, protection and management of water and soils, protection of nature and biodiversity and the fight against climate change, as well as provisions on environmental responsibility, including:

Amendment 241 #

Proposal for a directive
Annex I – part I – subpart E a (new)

Ea Provisions on access to environmental information including: (i) Directive 2003/4/EC of the European Parliament and of the Council of 28 January 2003 on public access to environmental information and repealing Council Directive 90/313/EEC (OJ L 41, 14.2.2003, p. 26); (ii) Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (OJ L 145, 31.5.2001, p. 43); (iii) Regulation (EC) No 1367/2006 of the European Parliament and of the Council of 6 September 2006 on the application of the provisions of the Aarhus Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters to Community institutions and bodies (OJ L 264, 25.9.2006, p. 13); (iv) Directive 2007/2/EC of the European Parliament and of the Council of 14 March 2007 establishing an Infrastructure for Spatial Information in the European Community (INSPIRE) (OJ L 108, 25.4.2007, p. 1-14).

Amendment 242 #

Proposal for a directive
Annex I – part I – subpart E b (new)

Eb Provisions on the environment and the climate, including: (i) Regulation (EU) No 1293/2013 of the European Parliament and of the Council of 11 December 2013 on the establishment of a Programme for the Environment and Climate Action (LIFE) and repealing Regulation (EC) No 614/2007 (OJ L 347, 20.12.2013, p. 185); (ii) Directive 2009/28/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of the use of energy from renewable sources and amending and subsequently repealing Directives 2001/77/EC and 2003/30/EC (OJ L 140, 5.6.2009, p. 16); (iii) Directive 2009/29/EC of the European Parliament and of the Council of 23 April 2009 amending Directive 2003/87/EC so as to improve and extend the greenhouse gas emission allowance trading scheme of the Community (OJ L 140, 5.6.2009, p. 63), and all related Regulations; (iv) Regulation (EU) No 421/2014 of the European Parliament and of the Council of 16 April 2014 amending Directive 2003/87/EC establishing a scheme for greenhouse gas emission allowance trading within the Community, in view of the implementation by 2020 of an international agreement applying a single global market-based measure to international aviation emissions (OJ L 129, 30.4.2014, p. 1); (v) Directive 2009/31/EC of the European Parliament and of the Council of 23 April 2009 on the geological storage of carbon dioxide and amending Council Directive 85/337/EEC, European Parliament and Council Directives 2000/60/EC, 2001/80/EC, 2004/35/EC, 2006/12/EC, 2008/1/EC and Regulation (EC) No 1013/2006 (OJ L 140, 5.6.2009, p. 114); (vi) Regulation (EU) No 525/2013 of the European Parliament and of the Council of 21 May 2013 on a mechanism for monitoring and reporting greenhouse gas emissions and for reporting other information at national and Union level relevant to climate change and repealing Decision No 280/2004/EC (OJ L 165, 18.6.2013, p. 13); (vii) Regulation (EU) No 517/2014 of the European Parliament and of the Council of 16 April 2014 on fluorinated greenhouse gases and repealing Regulation (EC) No 842/2006 (OJ L 150, 20.5.2014, p. 195); (viii) Council Directive 2003/96/EC of 27 October 2003 restructuring the Community framework for taxation of energy products and electricity (OJ L 283 of 31.10.2003 p. 51); (ix) Directive 2012/27/EU of the European Parliament and of the Council of 25 October 2012 on energy efficiency, amending Directives 2009/125/EC and 2010/30/EU and repealing Directives 2004/8/EC and 2006/32/EC (OJ L 315, 14.11.2012, p. 1).

Amendment 243 #

Proposal for a directive
Annex I – part I – subpart E c (new)

Ec Provisions on chemicals, including: (i) Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC,93/105/EC and 2000/21/EC (OJ L 396, 30.12.2006, p. 1).

Amendment 244 #

Proposal for a directive
Annex I – part I – subpart F – paragraph 1 – introductory part

Rules on nuclear safety as regulated in particular by:

Amendment 245 #

Proposal for a directive
Annex I – part I – subpart H – point 1 – introductory part

1. Measures setting high standards of quality and safety of organs and substances of human origin, as regulated in particular by:

Amendment 246 #

Proposal for a directive
Annex I – part I – subpart H – point 2 – introductory part

2. Measures setting high standards of quality and safety for medicinal products and devices of medical use as regulated in particular by:

Amendment 247 #

Proposal for a directive
Annex I – part I – subpart I – paragraph 1 – introductory part

Consumer rights and consumer protection as regulated in particular by:

Amendment 248 #

Proposal for a directive
Annex I – part I – subpart J a (new)

Ja Article 1 (a) (xi) - employment and working conditions: 1. Employment legislation of the European Union, as regulated in particular by: (i) Council Directive 79/7/EEC of 19 December 1978 on the progressive implementation of the principle of equal treatment for men and women in matters of social security (OJ L 6, 10.1.1979,p. 24); (ii) Council Directive91/533/EEC of 14 October 1991 on an employer's obligation to inform employees of the conditions applicable to the contract or employment relationship (OJ L288, 18.10.1991, p. 32); (iii) Council Directive91/383/EEC of 25 June 1991 supplementing the measures to encourage improvements in the safety and health at work of workers with a fixed- duration employment relationship or a temporary employment relationship (OJ L 206, 29.7.1991, p.19); (iv) Council Directive 94/33/EC of 22 June 1994 on the protection of young people at work (OJ L 216, 20.8.1994,p. 12); (v) Council Directive 98/59/EC on the approximation of the laws of the Member States relating to collective redundancies (OJ L 225, 12.8.1998, p. 16); (vi) Council Directive 98/49/EC of 29 June 1998 on safeguarding the supplementary pension rights of employed and self-employed persons moving within the Community (OJ L 209, 25.7.1998, p.46); (vii) Council Directive2000/78/EC of 27 November 2000 establishing a general framework for equal treatment in employment and occupation (OJ L 303, 2.12.2000, p. 16); (viii) Council Directive2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin (OJ L 180, 19.7.2000,p. 22); (viii) Council Directive2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin (OJ L 180, 19.7.2000,p. 22); (ix) Council Directive2000/79/EC of 27 November 2000 concerning the European Agreement on the Organisation of Working Time of Mobile Workers in Civil Aviation concluded by the Association of European Airlines (AEA), the European Transport Workers' Federation (ETF), the European Cockpit Association (ECA), the European Regions Airline Association (ERA) and the International Air Carrier Association (IACA)(OJ L 302, 1.12.2000, p. 57); (x) Council Directive 2001/23/EC of 12 March 2001 on the approximation of the laws of the Member States relating to the safeguarding of employees' rights in the event of transfers of undertakings, businesses or parts of undertakings or businesses (OJ L 82,22.3.2001, p. 16); (xii) Directive 2003/41/EC of the European Parliament and of the Council of 3 June 2003 on the activities and supervision of institutions for occupational retirement provision (OJ L 235,23.9.2003, p. 10); (xiii) Directive 2004/113/EC of13 December 2004 implementing the principle of equal treatment between men and women in the access to and supply of goods and services (OJ L 373, 21.12.2004,p. 37); (xiv) Directive 2003/88/EC of the European Parliament and of the Council of 4 November 2003 concerning certain aspects of the organisation of working time (OJ L 299, 18.11.2003, p. 9); (xv) Directive 2006/54/EC of the European Parliament and of the Council of 5 July 2006 on the implementation of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation (OJ L 204, 26.7.2006, p. 23); (xvi) Directive 2008/94/EC of the European Parliament and of the Council of 22 October 2008 on the protection of employees in the event of the insolvency of their employer (OJ L 283,28.10.2008, p. 36); (xvii) Directive 2010/41/EU of the European Parliament and of the Council of 7 July 2010 on the application of the principle of equal treatment between men and women engaged in an activity in a self-employed capacity and repealing Council Directive 86/613/EEC (OJ L180, 15.7.2010, p. 1); (xviii) Directive 2014/54/EU of the European Parliament and of the Council of 16 April 2014 on measures facilitating the exercise of rights conferred on workers in the context of freedom of movement for workers (OJ L 128, 30.4.2014, p. 8); (xix) Directive 2014/67/EU of the European Parliament and of the Council of 15 May 2014 on the enforcement of Directive 96/71/EC concerning the posting of workers in the framework of the provision of services and amending Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘the IMI Regulation’) (OJ L 159, 28.5.2014, p. 11); (xx) Directive 2014/50/EU of the European Parliament and of the Council of 16 April 2014 on minimum requirements for enhancing worker mobility between Member States by improving the acquisition and preservation of supplementary pension rights (OJ L 128,30.4.2014, p. 1); (xxi) Regulation (EC) No450/2003 of the European Parliament and of the Council of 27 February 2003concerning the labour cost index (OJ L 69, 13.3.2003, p. 1); (xxii) Regulation (EC) No1071/2009 of the European Parliament and of the Council of 21 October 2009establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC (OJ L 300, 14.11.2009, p. 51); (xxiii) Regulation (EC) No987/2009 of the European Parliament and of the Council of 16 September 2009laying down the procedure for implementing Regulation (EC) No 883/2004 on the coordination of social security systems (OJ L 284, 30.10.2009, p. 1); (xxiv) Regulation (EU) No492/2011 of the European Parliament and of the Council of 5 April 2011 on freedom of movement for workers within the Union (OJ L 141, 27.5.2011, p. 1.); (xxv) Regulation (EU) No223/2014 of the European Parliament and of the Council of 11 March 2014 on the Fund for European Aid to the Most Deprived (OJ L 72, 12.3.2014, p. 1); (xxvi) Regulation (EU) 2015/848of the European Parliament and of the Council of 20 May 2015 on insolvency proceedings (OJ L 141, 5.6.2015, p. 19); 2. Working conditions, as regulated in particular by: (i) all individual Directives within the meaning of Article 16(1) of Directive 89/391/EEC; (ii) Council Directive 92/29/EEC of 31 March 1992 on the minimum safety and health requirements for improved medical treatment on board vessels (OJ L 113, 30.4.1992, p. 19); (iii) Directive 2001/95/EC of 3December 2001 on general product safety (OJ L 11, 15.01.2002, p. 4); ( iv) Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC (OJ L 157, 9.6.2006, p. 24); (v) Commission Directive2006/15/EC of 7 February 2006 establishing a second list of indicative occupational exposure limit values in implementation of Council Directive98/24/EC and amending Directives 91/322/EEC and 2000/39/EC (OJ L 38, 9.2.2006,p. 36); (vi) Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the in land transport of dangerous goods (OJ L 260, 30.9.2008, p. 13); (vii) Directive 2009/104/EC of the European Parliament and of the Council of 16 September 2009 concerning the minimum safety and health requirements for the use of work equipment by workers at work (second individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (OJ L 260, 3.10.2009, p. 5); (viii) Directive 2009/148/EC of the European Parliament and of the Council of 30 November 2009 on the protection of workers from the risks related to exposure to asbestos at work(OJ L 330, 16.12.2009, p. 28); (ix) Regulation (EC) No 1338/2008 of the European Parliament and of the Council of 16 December 2008 on Community statistics on public health and health and safety at work (OJ L 354, 31.12.2008, p. 70).

Amendment 249 #

Proposal for a directive
Annex I – part II – subpart A – title

A Article 1(a)(ii) – financial services, ~~prevention of~~the fight against money laundering and terrorist financing:

Amendment 25 #

Proposal for a directive
Citation 1 b (new)

having regard to the Charter of Fundamental Rights of the European Union, in particular Article 11 thereof,

Amendment 250 #

Proposal for a directive
Annex I – part II – subpart A – point 2 – introductory part

2. ~~Prevention of~~The fight against money laundering and terrorist financing:

Amendment 26 #

Proposal for a directive
Citation 1 c (new)

having regard to Article 294(2) and Articles 16,33, 43, 50, 53(1), 62, 91, 100, 103, 109, 114, 153(1)(a) and (b), 168,169, 192, 207 and 325(4) of the Treaty on the Functioning of the European Union and Article 31 of the Treaty establishing the European Atomic Energy Community, pursuant to which the Commission submitted the proposal to Parliament,

Amendment 27 #

Proposal for a directive
Recital 1

Amendment 28 #

Proposal for a directive
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 or the general 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 whistleblowers are often discouraged from reporting their concerns or suspicions for fear of retaliation.

Amendment 29 #

Proposal for a directive
Recital 2

(2) At Union level, reports and disclosures by whistleblowers 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 30 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches of Union law may cause serious harm to the public or general 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, independent reporting channels.

Amendment 31 #

Charles GOERENS

Proposal for a directive
Recital 3

Amendment 32 #

Proposal for a directive
Recital 3

Amendment 33 #

Proposal for a directive
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 to the public interest. In keeping with all these statements, whistleblower protection must ensure the reputation of companies is upheld, particularly if the subject of the report has not yet been proven.

Amendment 34 #

Proposal for a directive
Recital 5

(5) Accordingly, common minimum standards ensuring effective, whistleblower protection should apply in ~~those~~all 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~~of the European Union, which by their very nature constitute a public and general interest.

Amendment 35 #

Proposal for a directive
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 36 #

Proposal for a directive
Recital 5

(5) Accordingly, common minimum legal 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 to the public interest.

Amendment 37 #

Proposal for a directive
Recital 10

(10) Evidence-gathering, detecting and addressing environmental crimes and unlawful conduct 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 appears necessary to ensure effective enforcement of the Union environmental acquis, whose breaches can cause serious harm to the public or general 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. 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 38 #

Proposal for a directive
Recital 10

(10) Evidence-gathering, detecting and addressing environmental crimes and unlawful conduct 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 appears 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 39 #

Proposal for a directive
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 or general 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 40 #

Proposal for a directive
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 41 #

Proposal for a directive
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 42 #

Proposal for a directive
Recital 18

(18) Certain Union acts, in particular in the area of financial services, such as Regulation (EU) No 596/2014 on market abuse49 and Commission Implementing Directive 2015/2392, adopted on the basis of that Regulation50, already contain detailed rules on whistleblower protection. Such existing Union legislation, including the list in Part II of the Annex, should be complemented by the present Directive, so that these instruments are fully aligned with its minimum standards whilst maintaining any specificities they provide for, tailored to the relevant sectors. This is of particular importance for ascertaining which legal entities in the area of financial services and the ~~prevention of~~fight against money laundering and terrorist financing are currently obliged to establish internal reporting channels. _________________ 49 OJ L 173, p. 1 50 Commission Implementing Directive (EU) 2015/2392 of 17 December 2015 on Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards reporting to competent authorities of actual or potential infringements of that Regulation (OJ L 332, p. 126).

Amendment 43 #

Proposal for a directive
Recital 18 a (new)

(18 a) In order to make full use of the provisions of this Directive, activities that are not deemed to be unlawful, but which would likely be detrimental to the public interest, should be potential subjects of reporting. A provision should thus be included to ensure that, in cases where reports relate to these activities, the reporting person is entitled to protection laid out in this Directive.

Amendment 44 #

Proposal for a directive
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 amend the Annex to the present Directive in order to place it under its scope.deleted

Amendment 45 #

Proposal for a directive
Recital 22

(22) Persons who report information about threats or harm to the public interest o~~btained~~r the general interest obtained, inter alia 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 media freedom and pluralism as well as the right to information.

Amendment 46 #

Proposal for a directive
Recital 22

Amendment 47 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire ~~the~~ information ~~they report through their work-related activities and the~~and their decision to refpor~~e run the~~t it results in a risk of work-related or other retaliation (for instance, for breaching the duty of confidentiality or ~~loyalty~~Union 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 48 #

Proposal for a directive
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 privileged~~have 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~~all persons connected ~~in a broad sense to the organisation where the breach has occurred~~to the report.

Amendment 49 #

Proposal for a directive
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, especially by virtue of work-related activities (irrespective of the nature of these activities, whether they are paid or not), have privileged 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 occurred.

Amendment 50 #

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 , i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration. In accordance with the Court's case law, the notion of "worker" should be interpreted broadly, including for example civil servants. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency, which are types of relationships where standard protections against unfair treatment are often difficult to apply. _________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 51 #

Proposal for a directive
Recital 27

(27) Protection should also extend to people facilitating the reporting, such as intermediaries and investigative journalists, who disclose potential or occurred breach, as well as 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 or social or political-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 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 52 #

Proposal for a directive
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 activities~~vis-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 53 #

Proposal for a directive
Recital 28 a (new)

(28 a) Effective whistleblower protection should also include any individual who has evidence of such acts in the public or private sector without being necessary to have witnessed such acts first hand.

Amendment 54 #

Proposal for a directive
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 constitute a danger or potential threat to the public interest.

Amendment 55 #

Proposal for a directive
Recital 29

Amendment 56 #

Proposal for a directive
Recital 30

Amendment 57 #

Proposal for a directive
Recital 30

Amendment 58 #

Proposal for a directive
Recital 30 a (new)

(30 a) Effective protection implies adequate training and a resource office available to inform whistleblowers on their rights, disclosure options, and limitations so they are aware of their rights and responsibilities.

Amendment 59 #

Proposal for a directive
Recital 31

Amendment 60 #

Proposal for a directive
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 33

(33) Whistleblowers are, in particular, important sources for investigative journalists. Providing effective protection to whistleblowers from retaliation 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. In view of the variety of situations, this Directive does not establish an order of priority between the different channels of reporting and disclosure. It is for the reporting person to determine the most appropriate channel, taking into account the rights and legitimate interests of the concerned persons. Due to their importance for the freedom of expression and the right to receive information, public disclosures, including through the media, should be encouraged.

Amendment 62 #

Proposal for a directive
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. The staff serving in those agencies shall be specialised and have proper training and formation.

Amendment 63 #

Proposal for a directive
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 64 #

Proposal for a directive
Recital 34 a (new)

(34 a) The Commission should set up the Whistleblower Protection Office (OPLA). OPLA shall be the independent European authority for reports and for whistleblower protection that is responsible for receiving and providing appropriate follow up to reports on breaches falling within the scope of this Directive, and for ensuring the protection of whistleblowers. OPLA shall be accessible through a point of contact in each Member State, as well as via a secure online platform. It shall be a point of contact and information for whistleblowers or potential whistleblowers, to assess the accuracy of information and/or allegations made in the report and process those breaches reported, specifically by launching an investigation and by consulting one of the competent bodies of the European Union upon concluding its investigation (the European Anti-Fraud Office, the European Public Prosecutor's Office, the Court of Justice of the European Union etc.). It shall also be a point of contact for national authorities, journalists and civil society organisations involved in whistleblower protection. While fully independent, it will be able to work closely with the competent EU bodies (the European Anti-Fraud Office, the European Public Prosecutor's Office, the Court of Justice of the European Union etc.).

Amendment 65 #

Proposal for a directive
Recital 34 b (new)

(34 b) OPLA should also have adequate protection procedures for the processing of reports on breaches and for the protection of the personal data of the persons referred to in the report. Such procedures should ensure that the identity of every reporting person, concerned person, and third person referred to in the report (e.g. witnesses or colleagues) is protected at every stage of the procedure. This obligation should be without prejudice to the necessity and proportionality of the obligation to disclose information where this is required by Union or national law, and subject to appropriate safeguards under those laws, including in the context of investigations or judicial proceedings or to safeguard the freedoms of others, including the rights of defence of the concerned person.

Amendment 66 #

Proposal for a directive
Recital 34 c (new)

(34 c) Procedures for external reporting must allow national authorities and OPLA to receive reports and to investigate, in full confidentiality, any reports provided by any whistleblower.

Amendment 67 #

Proposal for a directive
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 able~~must 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 68 #

Proposal for a directive
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 able to report directly externally to the competent authoritiesn any case, reporting persons should be able to report directly externally to the national authority or OPLA (hereinafter 'competent authorities'), and to exercise their right to disclose, and such persons should enjoy the protection against retaliation provided by this Directive.

Amendment 69 #

Proposal for a directive
Recital 41 a (new)

(41 a) Generally speaking, and for all those activities and companies covered by this Directive, external and internal reporting channels should be coordinated effectively so as to cover as many situations as possible.

Amendment 70 #

Proposal for a directive
Recital 42

(42) Provided the confidentiality of the identity of the reporting person or its anonymity 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 71 #

Proposal for a directive
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 or where relevant, anonymity, data protection and secrecy. These can be external reporting platform providers, external counsel or auditors or trade union representatives.

Amendment 72 #

Proposal for a directive
Recital 44

(44) Internal reporting procedures should enable private legal entities to receive and investigate in full confidentiality reports 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 especially through his/her work-related activities with the entity and the group.

Amendment 73 #

Proposal for a directive
Recital 44 a (new)

(44 a) The confidentiality of the reporting person and anyone involved must be ensured so that the reporting process runs as smoothly as possible without any impediment, and so that self- censorship is avoided. Indeed, the protection of personal data is laid down in Union law and in national law, and said data requires all the more protection in the event of reporting.

Amendment 74 #

Proposal for a directive
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 75 #

(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 authoritie~~To this end, they should be able to consult and seek advice from the national authority or OPLA, which is a first point of information and contact. They should also be able to consult civil society organisations involved in the protection of whistleblowers. 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, specifically those who provide strategic and legal advice to whistleblowers, as well as to journalists. 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 especially 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 76 #

Proposal for a directive
Recital 57

Amendment 77 #

Proposal for a directive
Recital 58

(58) Protection of personal data of the reporting and concerned person, as well as confidentiality of information, is crucial in order to avoid unfair treatment, any harassment or intimidation, or reputational damages due to disclosure of personal data~~, in particular data revealing the identity of a person concerned. Hence~~. Hence, Member States and OPLA shall ensure that, 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 78 #

Proposal for a directive
Recital 60

(60) The reporting persons should enjoy the protection of this Directive when they turn to one of the internal or external reporting channels (either a national authority or OPLA), with no special conditions or hierarchy, or when they exercise their right to disclosure to a journalist or a civil society organisation involved in whistleblower protection. This should apply throughout the procedure, including once the procedure is over, unless there is proven to be no threat of retaliation. To enjoy protection, the reporting persons should reasonably believe, in light of the circumstances and the information available to them at the time of the reporting, that the matters reported by them are true. This reasonable belief should be presumed unless and until proven otherwise. This is an essential safeguard against malicious and frivolous or abusive reports, ensuring that those who deliberately and knowingly report wrong or misleading information do not enjoy protection. At the same time, it ensures that protection is not lost where the reporting person made an inaccurate report in honest error. In a similar vein, reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.

Amendment 79 #

Proposal for a directive
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 80 #

Proposal for a directive
Recital 61

(61) ~~The requirement of a tiered use of reporting channels, as a gen~~It is necessary to ensure that all reporting channels whether internal or external ~~rule, is necessary~~are open to the reporting person so as to ensure that the information gets to the persons or entities 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,~~, by allowing the reporting person to choose the most appropriate channel depending on the individual circumstances of the case. Moreover, it 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 81 #

Proposal for a directive
Recital 62

Amendment 82 #

Proposal for a directive
Recital 62

(62) As a rule, reporting persons should first use the internal channels at their disposal and report to their employer. However, it may be the case that internal channels do not exist (in case of entities which are not under an obligation to establish such channels by virtue of this Directive or applicable national law) or that their use is not mandatory (have at their disposal both internal and external reporting channels including media outlets which mplay be the case for persons who are not in an employment relationship), or that they were used but did not function properly (for instance the report was not dealt with diligently or within a reasonable timeframe, or no action was taken to address the breach of law despite the positive results of the enquiry)an essential role in preserving democratic values.

Amendment 83 #

Proposal for a directive
Recital 63

Amendment 84 #

Proposal for a directive
Recital 63

Amendment 85 #

Proposal for a directive
Recital 63

(63) In other cases, internal channels could not reasonably be expected to function properly, for instance, where the reporting persons have valid reasons to believe that they would suffer retaliation in connection with the reporting; that their confidentiality would not be protected; that the ultimate responsibility holder within the work-related context is involved in the breach; that the breach might be concealed; that evidence may be concealed or destroyed; that the effectiveness of investigative actions by competent authorities might be jeopardised or that urgent action is required (for instance because of an imminent risk of a substantial and specific danger to the life, health and safety of persons, or to the environment. In all such cases, persons reporting externally to the competent authorities and, where relevant, to bodies, offices or agencies of the Union shall be protected. Moreover, protection is also to be granted in cases where Union legislation allows for the reporting person to report directly to the competent national authorities or bodies, offices or agencies of the Union, for example in the context of fraud against the Union budget, ~~prevention~~the fight against and detection of money laundering and terrorist financing or in the area of financial services.

Amendment 86 #

Proposal for a directive
Recital 65

Amendment 87 #

Proposal for a directive
Recital 77 a (new)

(77 a) Following an individual assessment, any third country national who reports information falling into the scope of this directive and suffers from a well-founded fear of persecution or would face a real risk of suffering serious harm because of the report and is unable or, owing to such fear, is unwilling to avail himself or herself of the protection of that country can be considered as qualifying as a refugee or beneficiary of subsidiary protection in accordance with chapters II and III of Directive2011/95/EU

Amendment 88 #

Proposal for a directive
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 89 #

Proposal for a directive
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

(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 82

Amendment 92 #

Proposal for a directive
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~~of 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 93 #

Proposal for a directive
Recital 85

(85) This Directive ~~respects fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union. Accordingly, this Directive must be implemented~~ is without prejudice to Member States' freedom to introduce the same or similar rules for breaches of national law, thereby providing ac cordance with those rights and principles. In particular, this Directive seeks to ensure full respect for freedom of expression and information, the right to protection of personal data, the freedom to conduct a business, the right to a high level of consumer protection, the right to an effective remedy and the rights of defenceherent and comprehensive framework for the protection of persons reporting on breaches.

Amendment 94 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

1. ~~With a view to enhancing the enforcement of Union law and policies in specific areas, t~~This Directive lays down common minimum standards for the protection of persons reporting on the following unlawful activities or abuse of law:

Amendment 95 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 96 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

1. With a view to enhancing ~~the~~ enforcement of ~~Union law and~~the law when implementing Union 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 97 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 98 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 99 #

Proposal for a directive
Article 1 – paragraph 1 – point a – introductory part

a) breaches of fundamental rights and principles of the Union, as well as 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:

source: 627.634

2018/09/11 JURI 238 amendments...

Amendment 100 #

Proposal for a directive
Recital 12

(12) Enhancing the protection of whistleblowers would also favour preventing and deterring breaches of Euratom rules on nuclear safety, radiation protection and responsible and safe management of spent fuel and radioactive waste and would be reinforce the enforcement of existing provisions of the revised Nuclear Safety Directive44 on the effective nuclear safety culture and, in particular, Article 8 b (2) (a), which requires, inter alia, that the competent regulatory authority establishes management systems which give due priority to nuclear safety and promote, at all levels of staff and management, the ability to question the effective delivery of relevant safety principles and practices and to report in a timely manner on safety issues. _________________ 44 Council Directive 2014/87/Euratom of 8 July 2014 amending Directive 2009/71/Euratom establishing a Community framework for the nuclear safety of nuclear installations (OJ L 219, 25.7.2014, p. 42–52).

Amendment 101 #

Proposal for a directive
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 the safety and health of consumers. Whistleblower protection should therefore be introduced in relation to relevant Union rules adopted pursuant to Articles 114, 168 and 169 TFEU.

Amendment 102 #

Proposal for a directive
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 103 #

Proposal for a directive
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 or general 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 104 #

Proposal for a directive
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~~cause major harm to 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 105 #

Proposal for a directive
Recital 14

(14) The protection of privacy and personal data is another area where whistleblowers ~~are in a privileged position~~may help 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 106 #

Proposal for a directive
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 107 #

(15) Reporting by whistleblowers is necessary to enhance the detection and prevention of infringements of Union competition law. This would serve to protect the efficient functioning of markets in the Union, allow a level playing field for business and deliver benefits to consumers. The protection of whistleblowers ~~would~~might enhance Union competition law enforcement, including State aid. As regards competition rules applying to undertakings, the importance of insider reporting in detecting competition law infringements has already been recognised in the EU leniency policy as well as with the recent introduction of an anonymous whistleblower tool by the European Commission46. The introduction of whistleblower protection at Member State level would increase the ability of the European Commission as well as the competent authorities in the Member States to detect and bring to an end infringements of Union competition law. With respect to State aid, whistleblowers can play a significant role in reporting unlawfully granted aid and informing when aid is misused, both at national, regional and local levels. _________________ 46 Commission Notice on Immunity from fines and reduction of fines in cartel cases (OJ C 298/17, 8.12.2006); rhttp://europa.eu/rapid/press-release IP-17- 591_fr.htm

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 109 #

Proposal for a directive
Recital 19

(19) Each time a new Union act for which whistleblower protection is ~~relevant and can contribute to~~essential and can have a major impact in terms of more effective enforcement is adopted, consideration should be given to whether to amend the Annex to the present Directive in order to place it under its scope.

Amendment 110 #

Proposal for a directive
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 amend~~it should be added to the Annex to the present Directive in order to place it under its scope.

Amendment 111 #

Proposal for a directive
Recital 19 a (new)

(19a) In certain situations, infringements of EU labour-law provisions can be the subject of effective individual procedures to secure redress. On the other hand, where such infringements are systematic, they undermine the public interest and there is therefore a need to provide for the protection of those who report such infringements. In certain fields, difficulties with the implementation of European legislation have been observed, for example unacceptable resort to precarious employment. Improving the protection of whistleblowers in the field of labour law would thus improve the application of the law and ensure a high level of protection of workers in the internal market while ensuring fair competition between economic operators, avoiding recourse to social dumping strategies and ensuring that workers are not unfairly compelled to compete amongst themselves.

Amendment 112 #

Proposal for a directive
Recital 20

(20) This Directive should ~~be without prejudice~~is 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 113 #

Proposal for a directive
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 affect~~be 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 114 #

Proposal for a directive
Recital 22

Amendment 115 #

Proposal for a directive
Recital 22

(22) Persons who report information about serious 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 media freedom and pluralism.

Amendment 116 #

Proposal for a directive
Recital 22

Amendment 117 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire ~~the~~ information ~~they report through their work-related activities and the~~and their decision to refpor~~e run the~~t it results in a risk of work-related or other retaliation (for instance, for breaching the duty of confidentiality or ~~loyalty~~EU 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 118 #

Proposal for a directive
Recital 24

(24) Persons acting in good faith and from selfless motives need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of ~~confidentiality or~~ loyalty). 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 retaliation.

Amendment 119 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection especially where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). 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 retaliation.

Amendment 120 #

Proposal for a directive
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 privileged 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~~all persons connected ~~in a broad sense to the organisation where the breach has occurred~~to the report.

Amendment 121 #

Proposal for a directive
Recital 25

(25) EMore effective enforcement of Union law requires that protection is granted to the broadest possible range of categories of persons acting in good faith, 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 privileged 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 acting in good faith connected in a broad sense to the organisation where the breach has occurred.

Amendment 122 #

Proposal for a directive
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, especially by virtue of work-related activities (irrespective of the nature of these activities, whether they are paid or not), have privileged 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 occurred.

Amendment 123 #

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 , i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration. In accordance with the Court's case law, the notion of "worker" should be interpreted broadly, including for example civil servants. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency, which are types of relationships where standard protections against unfair treatment are often difficult to apply. _________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 124 #

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 ,, i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency and those in precarious employment or with cross- border status, which are types of relationships where standard protections against unfair treatment are often difficult to apply. _________________ 52 Judgments of 3 July 1986, Lawrie- Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 125 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 27

Amendment 126 #

Proposal for a directive
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 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 persons whose work-based relationship ended, 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 127 #

Proposal for a directive
Recital 27

(27) Protection should also extend to further categories of natural or legal persons, who, whilst not being 'workers' within the meaning of national law or in accordance with 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 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 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 128 #

Proposal for a directive
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 activities~~vis-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 129 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 28

Amendment 130 #

Proposal for a directive
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 paid or 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.

Amendment 131 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 28 a (new)

(28a) Persons who facilitate the reporting and investigative journalists could play a crucial role in exposing breaches of EU law and potentially suffer from retaliation measures. Therefore, they should also be entitled to enjoy the protection measures provided for in this Directive.

Amendment 132 #

Proposal for a directive
Recital 28 a (new)

(28a) Effective whistleblower protection should also include any individual who has evidence of such acts in the public or private sector without being necessary to have witnessed such acts first hand.

Amendment 133 #

(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 and, more generally, any act of wrongdoing that is prejudicial to the public interest.

Amendment 134 #

Proposal for a directive
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 135 #

Proposal for a directive
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 t~~s, because any person abuses his rights who, among various ways of exercising his rights, deliberately opts for the one that is most damaging to otherms ~~but~~and defeats the object or the purpose of the law.

Amendment 136 #

Proposal for a directive
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 ~~informa~~unsubstantiated rumours and hearsay. Protection should be given to individuals working at institutions w~~hich is already in the public domain or of unsubstantiated rumours and hearsay~~ithin 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 137 #

Proposal for a directive
Recital 30

(30) Effective prevention of breaches of Union law requires that adequate and balanced protection is also granted to persons acting in good faith and for selfless motives who provide information about potential breaches, which have not yet materialised, but are likely to be committed and could be detrimental to the general interest. For the same reasons, protection is, under certain conditions, warranted also for persons who do not provide sufficient positive evidence but raise reasonable concerns or suspicions. ~~At the same time~~However, protection should not apply to the reporting of information which is already in the public domain or of unsubstantiated rumours and hearsay.

Amendment 138 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 30

Amendment 139 #

Proposal for a directive
Recital 30

Amendment 140 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
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~~are very 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 141 #

Proposal for a directive
Recital 30 a (new)

(30a) However, in order to prevent unjustified reputational damages a clear distinction should also be made between deliberate false accusations, intended to harm the reported person or entity, and the reporting of information for which the person had reasonable grounds to believe that it was true. The Directive is without prejudice to national laws applicable in the first case, such as defamation.

Amendment 142 #

Proposal for a directive
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. Whistleblowers are generally required to use the appropriate channels under a system of gradually escalating disclosure. This requirement is necessary to ensure that the information reaches people who can help to quickly and effectively eliminate risks to the public interest, as well as to prevent unjustified damage to a reputation due to public disclosure.

Amendment 143 #

Proposal for a directive
Recital 31

Amendment 144 #

Proposal for a directive
Recital 31

Amendment 145 #

Proposal for a directive
Recital 31

Amendment 146 #

Proposal for a directive
Recital 32

(32) Protection from retaliation as a means of safeguarding freedom of expression and media freedom should be provided both to persons acting in good faith who report information about acts or omissions within an organisation (internal reporting) or to an outside authority (external reporting) and to persons who, in compliance with the provisions of this directive, disclose such information to the public domain (for instance, directly to the public via web platforms or social media, or to the media, elected officials, civil society organisations, trade unions or professional/business organisations).

Amendment 147 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Recital 32

(32) Protection from retaliation as a means of safeguarding freedom of expression and media freedom should be provided both to persons who report information about acts or omissions within an organisation (internal reporting) or to an outside authority (external reporting) and to persons who disclose such information to the public domain (for instance, directly to the public via web platforms or social media, or to the media, elected officials, civil society organisations, trade unions or professional/business organisations), abiding by the successive stages of escalating disclosure.

Amendment 148 #

Proposal for a directive
Recital 33

Amendment 149 #

Proposal for a directive
Recital 33

Amendment 150 #

Proposal for a directive
Recital 34

(34) It is for the Member States to identify the authorities competent to receive and give appropriate and proportionate 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~~ that is proportional to the gravity of the reported offence in accordance with their mandate and their statutory terms of reference. The Commission shall encourage cooperation and exchanges of good practice between the Member State authorities with a view to ensuring proper and balanced implementation of the uniform whistleblower protection rules.

Amendment 151 #

Proposal for a directive
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 152 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 34 a (new)

(34a) The Commission should set up the Whistleblower Protection Office (OPLA). OPLA shall be the independent European authority for reports and for whistleblower protection that is responsible for receiving and providing appropriate follow up on reports on breaches falling within the scope of this Directive, and for ensuring the protection of whistleblowers. OPLA shall be accessible through a point of contact in each Member State, as well as via a secure online platform. It shall be a point of contact and information for whistleblowers or potential whistleblowers, to assess the accuracy of information and/or allegations made in the report and process those breaches reported, specifically by launching an investigation and by consulting one of the competent bodies of the European Union upon concluding its investigation (the European Anti-Fraud Office, the European Public Prosecutor's Office, the Court of Justice of the European Union, etc.). It shall also be a point of contact for national authorities, journalists and civil society organisations involved in whistleblower protection. While fully independent, it will be able to work closely with the competent EU bodies (the European Anti-Fraud Office, the European Public Prosecutor's Office, the Court of Justice of the European Union, etc.).

Amendment 153 #

Proposal for a directive
Recital 34 a (new)

(34a) The designated competent authorities should provide accurate information and appropriate advice to any person, reporting or reported, requesting such an information or advice for example on the protection measures, the appropriateness of the reporting channels and the scope of the Directive.

Amendment 154 #

Proposal for a directive
Recital 34 b (new)

(34b) OPLA should also have adequate protection procedures for the processing of reports on breaches and for the protection of the personal data of the persons referred to in the report. Such procedures should ensure that the identity of every reporting person, concerned person, and third person referred to in the report (e.g. witnesses or colleagues) is protected at every stage of the procedure. This obligation should be without prejudice to the necessity and proportionality of the obligation to disclose information where this is required by Union or national law, and subject to appropriate safeguards under those laws, including in the context of investigations or judicial proceedings or to safeguard the freedoms of others, including the rights of defence of the concerned person.

Amendment 155 #

Proposal for a directive
Recital 34 c (new)

(34c) Procedures for external reporting must allow national authorities and OPLA to receive reports and to investigate, in full confidentiality, any reports provided by any whistleblower.

Amendment 156 #

Proposal for a directive
Recital 37

(37) For the effective detection and prevention of breaches of Union law it is vital that the relevant information reaches swiftly those closest to the source of the problem, most able to investigate and with powers to remedy it, where possible. This requires that legal entities in the private and the public sector establish appropriate and proportionate internal procedures ~~for receiving and following-up on reports~~governed by the principles of independence and impartiality for receiving and following-up on reports. Measures taken under these internal procedures shall provide adequate guarantees regarding confidentiality, data protection and privacy.

Amendment 157 #

Proposal for a directive
Recital 38

(38) For legal entities in the private sector, the obligation to establish internal channels is commensurate with their size and the level of risk their activities pose to the public interest. ~~It should apply to all medium-sized and large entities irrespective of the nature of their activities, based on their obligation to collect VAT. As a general rule small and micro~~As a general rule small, micro and medium-sized undertakings, as defined in ~~Article 2 of the Annex of~~ the Commission Recommendation of 6 May 2003, as amended56, should be exempted from the obligation to establish internal channels. However, following an appropriate risk assessment, Member States may require small undertakings to establish internal reporting channels in specific cases (e.g. due to the significant risks that may result from their activities). _________________ 56 Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).

Amendment 158 #

Proposal for a directive
Recital 38

(38) For legal entities in the private sector, the obligation to establish internal channels is commensurate with their size and the level of risk their activities pose to the public interest. It should apply to all medium-sized and large entities irrespective of the nature of their activities, based on their obligation to collect VAT. As a general rule small and micro undertakings, as defined in Article 2 of the Annex of the Commission Recommendation of 6 May 2003, as amended56 , should be exempted from the obligation to establish internal channels. However, following an appropriate risk assessment, Member States ~~may require small undertakings to establish internal reporting channels in specific cases (e.g. due to the significant risks that may result from their activities)~~shall ensure that employer, and other legal entities in the private and public sector, to the extent the activities requires it, either makes sure that there are routines for such internal reporting referred to in this Directive on the protection of workers such as reporting on breaches or take other measures that facilitate such reporting. _________________ 56 Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).

Amendment 159 #

Proposal for a directive
Recital 39

Amendment 160 #

Proposal for a directive
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 able~~must 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 161 #

Proposal for a directive
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 able to report directly externally to the competent authoritiesn any case, reporting persons should be able to report directly externally to the national authority or OPLA (hereinafter 'competent authorities'), and to exercise their right to disclose, and such persons should enjoy the protection against retaliation provided by this Directive.

Amendment 162 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Recital 42

Amendment 163 #

Proposal for a directive
Recital 43

Amendment 164 #

Proposal for a directive
Recital 44

Amendment 165 #

Proposal for a directive
Recital 44

(44) Internal reporting procedures should enable private legal entities to receive and investigate in full confidentiality reports 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 especially through his/her work-related activities with the entity and the group.

Amendment 166 #

Proposal for a directive
Recital 44 a (new)

(44a) Keeping whistleblowers’ identity confidential is essential in order to avoid self-censorship. This principle of confidentiality can only be waived in exceptional circumstances in which disclosure of information about a whistleblower’s identity is a necessary and proportionate obligation under Union or national law in the context of investigations or subsequent or current judicial proceedings, to safeguard a right, such as the right of defence of the person concerned. Appropriate sanctions should be instituted which are to be applied in the event of a breach of the principle of confidentiality concerning the whistleblower’s identity.

Amendment 167 #

Proposal for a directive
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 168 #

Proposal for a directive
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. In smaller entities, this function could be a dual function held by aone 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 169 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Recital 46

(46) In the context of internal reporting, the quality and transparency of information provided on the follow up procedure to the report is crucial to build trust in the effectiveness of the overall system of whistleblower protection and reduces the likelihood of further unnecessary reports or public disclosures. The reporting person should be informed within a reasonable timeframe about the action envisaged or taken as follow up to the report (for instance, closure based on lack of sufficient evidence or other grounds, launch of an internal enquiry and possibly its findings and/or measures taken to address the issue raised, referral to a competent authority for further investigation) as far as such information would not prejudice the enquiry or investigation or affect the rights of the concerned person. Such reasonable timeframe should not exceed ~~in total~~ three months, but could be extended to six months where necessary due to the specific circumstances of the case, in particular the nature and complexity of the subject of the whistleblowing, which may require a lengthy investigation. Where the appropriate follow up is still being determined, the reporting person should be informed about this and about any further feedback he/she should expect.

Amendment 170 #

Proposal for a directive
Recital 47

Amendment 171 #

Proposal for a directive
Recital 47

Amendment 172 #

Proposal for a directive
Recital 48

Amendment 173 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 48 a (new)

(48a) In all cases, the reporting person should be informed of the investigation’s progress and should be able to access the draft report at least once so as to be able to revise it, comment on it and correct it if necessary, albeit with no obligation to do so. These comments must be incorporated and taken into account in the monitoring of the investigation. The reporting person should be informed of the investigation's outcome and should be able to revise and comment on the final report of the investigation. These comments must be included in the final report.

Amendment 174 #

Proposal for a directive
Recital 52

(52) In order to allow for effective communication with their dedicated staff, it is necessary that the competent authorities have in place and use specific channels, separate from their normal public complaints systems, that should be user- friendly, confidential and allow for written and oral, as well as electronic and non- electronic reporting.

Amendment 175 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 53

Amendment 176 #

Proposal for a directive
Recital 54

Amendment 177 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Recital 57

Amendment 178 #

Proposal for a directive
Recital 58

Amendment 179 #

Proposal for a directive
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 180 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Recital 59

Amendment 181 #

Proposal for a directive
Recital 60

Amendment 182 #

Proposal for a directive
Recital 60

(60) To enjoy protection, the reporting persons should be acting in good faith and for selfless motives. In other words, they should reasonably believe, in light of the circumstances and the information available to them at the time of the reporting, that the matters reported by them are true. This reasonable belief should be presumed unless and until proven otherwise. This is an essential safeguard against malicious and frivolous or abusive reports, ensuring that those who deliberately and knowingly report wrong or misleading information do not enjoy protection and may indeed be held accountable under the national laws of the Member States. At the same time, it ensures that protection is not lost where the reporting person made an inaccurate report in honest error. In a similar vein, reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.

Amendment 183 #

Proposal for a directive
Recital 60

(60) To enjoy protection, the reporting persons should reasonably believe, in light of the circumstances and the information available to them at the time of the reporting, that the matters reported by them are true. ~~This reasonable belief should be presumed unless and until proven otherwise.~~ This is an essential safeguard against malicious and frivolous or abusive reports, ensuring that those who deliberately and knowingly report wrong or misleading information do not enjoy protection. At the same time, it ensures that protection is not lost where the reporting person made an inaccurate report in honest error. In a similar vein, reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.

Amendment 184 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
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 185 #

Proposal for a directive
Recital 61

(61) ~~The requirement of a tiered use of reporting channels, as a gen~~It is necessary to ensure that all reporting channels whether internal or external ~~rule, is necessary~~are open to the reporting person so as to ensure that the information gets to the persons or entities 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,~~, by allowing the reporting person to choose the most appropriate channel depending on the individual circumstances of the case. Moreover, it 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 186 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
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 cas~~rules applicable. Moreover, it 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 legitimate interest of employers to ~~manage their organi~~protect the reputation of their organisation against malicious disclosures and unfounded accusations 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;

Amendment 187 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Recital 62

Amendment 188 #

Proposal for a directive
Recital 62

(62) As a rule, reporting persons should first use the internal channels at their disposal and report to their employer. However, it may be the case that internal channels do not exist (in case of entities which are not under an obligation to establish such channels by virtue of this Directive or applicable national law) or that their use is not mandatory (have at their disposal both internal and external reporting channels including media outlets which mplay be the case for persons who are not in an employment relationship), or that they were used but did not function properly (for instance the report was not dealt with diligently or within a reasonable timeframe, or no action was taken to address the breach of law despite the positive results of the enquiry)an essential role in preserving democratic values.

Amendment 189 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 62

(62) As a rule, reporting persons should first use the internal and/or external channels at their disposal and report to their employer. However, it may be the case that internal channels do not exist (in case of entities which are not under an obligation to establish such channels by virtue of this Directive or applicable national law) or that their use is not mandatory (which may be the case for persons who are not in an employment relationship), or that they were used but did not function properly (for instance the report was not dealt with diligently or within a reasonable timeframe, or no action was taken to address and/or to the competent authority. Moreover, protection is also to be granted in cases where Union legislation allows for the reporting person to report directly to the bodies, offices or agencies of the Union, for example in the context of fraud against the Union budget, prevention and detection of money laundering and terrorist financing or in the bareach of ~~law despite the positive results of the enquiry)~~financial services.

Amendment 190 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Recital 63

Amendment 191 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Recital 63

Amendment 192 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 63

Amendment 193 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 64

(64) Persons making a public disclosure directly should also qualify for protection in cases where a breach remains unaddressed (for example, it was not properly assessed or investigated or no remedial action was taken) despite having been reported internally and/or externally ~~following a tiered use of available channels~~; or in cases where reporting persons have valid reasons to believe that there is collusion between the perpetrator of the breach and the competent authority is reasonably suspected , that evidence may be concealed or destroyed, or that the effectiveness of investigative actions by competent authorities might be jeopardised; or in cases of imminent and manifest danger for the public interest, or where there is a risk of irreversible damage, including, inter alia, harm to physical integrity.

Amendment 194 #

Proposal for a directive
Recital 64

(64) Persons making a public disclosure ~~directly~~ should also qualify for protection in cases where a breach remains unaddressed (for example, it was not properly assessed or investigated or no remedial action was taken) despite having been reported internally and/or externally following a tiered use of available channels; or in cases where reporting persons have valid reasons to believe that there is collusion between the perpetrator of the breach and the competent authority is reasonably suspected , that evidence may be concealed or destroyed, or that the effectiveness of investigative actions by competent authorities might be jeopardised; or in cases of imminent and manifest danger for the public interest, or where there is a risk of irreversible damage, including, inter alia, harm to physical integrity.

Amendment 195 #

Proposal for a directive
Recital 65

Amendment 196 #

Proposal for a directive
Recital 66

(66) Where retaliation occurs undeterred and unpunished, it has a chilling effect on potential whistleblowers. A clear prohibition of retaliation in law ~~has~~may among other possible instruments have an important dissuasive effect, further strengthened by provisions for personal liability and penalties for the perpetrators of retaliation.

Amendment 197 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
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 CSOs 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 198 #

Proposal for a directive
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. 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, notably through the competent authorities, 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 199 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 69

(69) It should not be possible to waive the rights and obligations established by this Directive by contractual means. Individuals’ legal or contractual obligations, such as loyalty clauses in contracts or confidentiality/non-disclosure agreements, cannot be relied on to preclude workers from reporting, to deny protection or to penalise them for having done so. At the same time, this Directive should not affect the protection of legal and other professional privilege, such as professional or medical secrecy, as provided for under national law.

Amendment 200 #

Proposal for a directive
Recital 71

(71) Beyond an explicit prohibition of retaliation provided in law, it is crucial that reporting persons who do suffer retaliation have access to legal remedies and compensation. The appropriate remedy in each case will be determined by the kind of retaliation suffered, and damage suffered must be compensated in full. It may take the form of actions for reinstatement (for instance, in case of dismissal, transfer or demotion, or of withholding of training or promotion) or for restauration of a cancelled permit, licence or contract; compensation for actual and future financial losses (for lost past wages, but also for future loss of income, costs linked to a change of occupation); compensation for other economic damage such as legal expenses and costs of medical treatment, and for intangible damage (pain and suffering).

Amendment 201 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 71 a (new)

(71a) The Commission should develop instruments focusing on providing protection against economic sanctions, including the setting up of national funds or a European fund, financed in part from monies recovered or proceeds from fines, to give appropriate financial support to whistle-blowers in the EU;

Amendment 202 #

Proposal for a directive
Recital 72

(72) The types of legal action may vary between legal systems but they should ensure as full and effective a remedy as possible. Remedies should not discourage potential future whistleblowers. For instance, allowing for compensation as an alternative to reinstatement in case of dismissal might give rise to a systematic practice in particular by larger organisations, thus having a dissuasive effect on future whistleblowers.

Amendment 203 #

Proposal for a directive
Recital 72

(72) The types of legal action may vary between legal systems but they should ensure as full ~~and effective a remedy as possible~~compensation for the damage suffered. Remedies should not discourage potential future whistleblowers. For instance, allowing for compensation as an alternative to reinstatement in case of dismissal might give rise to a systematic practice in particular by larger organisations, thus having a dissuasive effect on future whistleblowers.

Amendment 204 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
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 revealing~~can 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 205 #

Proposal for a directive
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. 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, in case the alleged acquisition, use or disclosure of the trade secret was carried out for revealing 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 206 #

Proposal for a directive
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 207 #

Proposal for a directive
Recital 76

(76) The rights of the concerned person should be protected in order to avoid reputational damages or other negative consequences. Furthermore, the rights of defence and access to remedies of the concerned person should be fully respected at every stage of the procedure following the report, in accordance with Articles 47 and 48 of the Charter of Fundamental Rights of the European Union. Member States should ~~ensure the right of defence~~protect the confidentiality of the identity of the person concerned ~~person~~and ensure the right of defence, including the right to access to the file, the right to be heard and the right to seek effective remedy against a decision concerning the concerned person under the applicable procedures set out in national law in the context of investigations or subsequent judicial proceedings.

Amendment 208 #

Proposal for a directive
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 such inaccurate or misleading report or disclosure was made deliberately and knowingly, whistleblowers should not enjoy protection and the concerned persons should be entitled to compensation in accordance with national law.

Amendment 209 #

Proposal for a directive
Recital 77

Amendment 210 #

Proposal for a directive
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 211 #

Fabio Massimo CASTALDO, Laura FERRARA

Proposal for a directive
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

(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
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~~.

Amendment 214 #

Proposal for a directive
Recital 80

Amendment 215 #

Proposal for a directive
Recital 80 a (new)

(80a) Some Member States have already implemented coherent and effective protections for reporting persons. When implementing this directive, attention should be paid to those Member State and this Directive should in no circumstances constitute valid grounds for reducing the general level of protection already afforded to reporting persons within those Member States and in the areas to which it applies.

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 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Recital 84

Amendment 218 #

Proposal for a directive
Recital 85 a (new)

(85a) This Directive is without prejudice to Member States' freedom to introduce the same or similar rules for breaches of national law, thereby providing a coherent and comprehensive framework for the protection of persons reporting on breaches.

Amendment 219 #

Virginie ROZIÈRE, Evelyn REGNER, Sylvia-Yvonne KAUFMANN

Proposal for a directive
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 which seriously threaten or damage the general interest as follows:

Amendment 220 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 221 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 222 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 223 #

Proposal for a directive
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:(Does not affect the English version.)

Amendment 224 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 225 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
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 226 #

Proposal for a directive
Article 1 – paragraph 1 – point a – introductory part

(a) breaches of fundamental rights and principles of the EU, as well as breaches falling within the scope of the Union acts set out in the Annex (Part I and Part II) as regards the following areas:

Amendment 227 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 1 – paragraph 1 – point a – introductory part

(a) breaches falling within the scope of the Union acts and acts implementing them, and especially those set out in the Annex (Part I and Part II) as regards the following areas:

Amendment 228 #

Proposal for a directive
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 229 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
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 230 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 1 – paragraph 1 – point a – point i a (new)

(ia) employment

Amendment 231 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 1 – paragraph 1 – point a – point i b (new)

(ib) trade

Amendment 232 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

(ii) financial services, prevention of money laundering and terrorist financing, corruption and organised crime;

Amendment 233 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point v

Amendment 234 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point viii

(viii) public health or public safety ;

Amendment 235 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x a (new)

(xa) employment and working conditions;

Amendment 236 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x a (new)

(xa) workers' right

Amendment 237 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x b (new)

(xb) tax fraud, tax evasion and tax optimisation;

Amendment 238 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x c (new)

(xc) violations of human rights or of the rights enshrined in the European Charter of Fundamental Rights;

Amendment 239 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x d (new)

(xd) company law;

Amendment 240 #

Proposal for a directive
Article 1 – paragraph 1 – point a a (new)

(aa) employment, social rights, individual and collective workers' rights as well as the rights of their representatives;

Amendment 241 #

Proposal for a directive
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 242 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 1 – paragraph 1 – point d

(d) breaches relating to the internal market, as referred to in Article 26(2) TFEU, 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 243 #

Fabio Massimo CASTALDO, Laura FERRARA

Proposal for a directive
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 244 #

Proposal for a directive
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 245 #

Proposal for a directive
Article 1 – paragraph 1 – point d a (new)

(da) any other act of wrongdoing that is prejudicial to the public interest protected by the law of the European Union.

Amendment 246 #

Proposal for a directive
Article 1 – paragraph 2

Amendment 247 #

Proposal for a directive
Article 1 – paragraph 2 a (new)

2a. This Directive shall be without prejudice to the protection of the confidentiality of national defence, medical confidentiality and the secrecy of relations between lawyers and their clients.

Amendment 248 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons acting in a disinterested fashion who have personally gained knowledge of the information working in the private or public sector who acquired information on breaches in a work-related context including, at least, the following:

Amendment 249 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons acting in good faith and for selfless motives working in the private or public sector who acquired information on breaches in a work-related context including, at least, the following:

Amendment 250 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons and collaborators working in the private or public sector who acquired information on breaches in a work-related context including, at least, the following:

Amendment 251 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons ~~working~~acting in good faith in the private or public sector who acquired information on breaches in a work-related context including, at least, the following:

Amendment 252 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons working in the private or public sector who acquired information on breaches ~~in a work-related context~~ including, at least, the following:

Amendment 253 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 2 – paragraph 1 – introductory part

Amendment 254 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of worker, or former workers, with the meaning of Article 45 TFEU, including persons having the status of civil servants;

Amendment 255 #

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of worker, or former workers, with the meaning of Article 45 TFEU, regardless of whether they are paid or unpaid;

Amendment 256 #

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of worker, with the meaning of national labour law and national practice or in accordance with Article 45 TFEU;

Amendment 257 #

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of ~~worker, with the meaning of Article 45 TFEU~~employee;

Amendment 258 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 2 – paragraph 1 – point c

~~c) shareholders and persons belonging to the management body of an undertaking, including non-executive members, as well as volunteers and unpaid trainees;~~deleted

Amendment 259 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 2 – paragraph 1 – point c

(c) ~~shareholders and persons belonging to the management body of an undertaking, including non-executive members, as well as~~ volunteers and unpaid trainees;

Amendment 260 #

Proposal for a directive
Article 2 – paragraph 1 – point c

(c) shareholders and persons belonging to the management body of an undertaking, including non-executive members, as well as volunteers and paid and unpaid trainees;

Amendment 261 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 2 – paragraph 1 – point c

(c) shareholders and persons belonging to the management body of an undertaking, including non-executive members, as well as volunteers and paid or unpaid trainees;

Amendment 262 #

Proposal for a directive
Article 2 – paragraph 1 – point c

(c) shareholders and persons belonging to the management body of an undertaking, including non-executive members, as well as volunteers and paid or unpaid trainees;

Amendment 263 #

Proposal for a directive
Article 2 – paragraph 1 – point d

d~~) any persons working under the supervision and direction of contractors, subcontractors and suppliers.~~eleted

Amendment 264 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 2 – paragraph 1 – point d

~~(d) any persons working under the supervision and direction of contractors, subcontractors and suppliers.~~deleted

Amendment 265 #

Proposal for a directive
Article 2 – paragraph 1 – point d

(d) any persons working under the supervision and direction of contractors, subcontractors, service providers and suppliers.

Amendment 266 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 267 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 2 – paragraph 2

Amendment 268 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 269 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 270 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 271 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 272 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 2 – paragraph 2

2. This Directive shall also apply to reporting persons acting in good faith and for selfless motives 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.

Amendment 273 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 274 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 2 – paragraph 2

2. This Directive shall ~~also~~ apply to reporting persons whose work-based relationship has ended or is yet to begin in cases where information concerning a breach has been acquired during the recruitment process or other pre- contractual negotiation.

Amendment 275 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 2 – paragraph 2 a (new)

Amendment 276 #

Proposal for a directive
Article 2 – paragraph 2 a (new)

2a. This Directive shall apply to officials as well as to other employees and interns working at the institutions, agencies and bodies of the Union.

Amendment 277 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE, Geoffroy DIDIER

Proposal for a directive
Article 2 – paragraph 2 a (new)

2a. However, this Directive should not affect the protection of legal and other professional privilege as provided for under national law.

Amendment 278 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 2 – paragraph 2 b (new)

2b. This Directive shall apply to individuals falling within the definition laid out in Article 1 of private or public legal entities located within the Union, as well as to private or public European legal entities located outside Union territory.

Amendment 279 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 2 – paragraph 2 c (new)

2c. This Directive shall apply to individuals facilitating the reporting on breaches such as journalists or intermediaries between the reporting person and the person distributing the information.

Amendment 280 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 2 – paragraph 2 d (new)

2d. This Directive shall apply to any individual reporting on breaches of Union law who has evidence of such breaches in the public or private sector.

Amendment 281 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 2 a (new)

Article 2a Journalists and persons facilitating the reporting This Directive shall apply to persons facilitating the reporting and to investigative journalists.

Amendment 282 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or potential unlawful activities or abuse of law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex that could be seriously detrimental to the public interest;

Amendment 283 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

1. ‘breaches’ means actual ~~or potential~~ unlawful activities or those that are very likely to be committed or abuse of law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex;

Amendment 284 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 3 – paragraph 1 – point 1

Amendment 285 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 3 – paragraph 1 – point 1

~~1. ‘breaches’ means actual or potential unlawful activities or abuse of law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex;~~(Does not affect the English version.)

Amendment 286 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

Amendment 287 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual ~~or potential~~ unlawful activities or abuse of law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex;

Amendment 288 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE, Geoffroy DIDIER

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or ~~potential~~likely unlawful activities ~~or abuse of law~~ relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex;

Amendment 289 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 3 – paragraph 1 – point 2

~~2. ‘unlawful activities’ means acts or omissions contrary to Union law;~~(Does not affect the English version.)

Amendment 290 #

Proposal for a directive
Article 3 – paragraph 1 – point 2

(2) ‘unlawful activities’ means acts or omissions contrary to ~~Union~~ law;

Amendment 291 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 3 – paragraph 1 – point 3

Amendment 292 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
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 293 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
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 and which represent a risk of serious harm to the public interest;

Amendment 294 #

Proposal for a directive
Article 3 – paragraph 1 – point 3

(3) ‘abuse of law’ means acts or omissions falling within the scope of Union law or a serious threat or damage to the public interest which do not appear to be unlawful in formal terms but defeat the object or the purpose pursued by the applicable rules;

Amendment 295 #

Proposal for a directive
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 t~~a right’ is committed by any person who, among various ways of exercising his rights, deliberately opts for the one that is most damaging to otherms ~~but~~and defeats the object or the purpose ~~pursued by~~of the law applicable ~~rules;~~.

Amendment 296 #

Proposal for a directive
Article 3 – paragraph 1 – point 3

Amendment 297 #

Proposal for a directive
Article 3 – paragraph 1 – point 4

(4) ‘information on breaches’ means ~~evidence~~information about actual breaches as well as ~~reasonable~~ suspicions about potential breaches which have not yet materialised;

Amendment 298 #

Proposal for a directive
Article 3 – paragraph 1 – point 5

Amendment 299 #

Proposal for a directive
Article 3 – paragraph 1 – point 5

(5) ‘report’ means the provision in good faith 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 or in another organisation with which he or she is or was in contact through his or her work;

Amendment 300 #

Proposal for a directive
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~~and/or in the event of a serious, imminent threat or where the re~~porting person works or has worked or in another organisation with which he or she is or was in contact through his or her work~~ is a risk of irreversible damage to human life, the environment and/or public health;

Amendment 301 #

Proposal for a directive
Article 3 – paragraph 1 – point 8

(8) ‘disclosure’ means making information on breaches acquired inter alia within the work-related context available to the public domain;

Amendment 302 #

Proposal for a directive
Article 3 – paragraph 1 – point 8

(~~8) ‘disclosure’ means making information on breaches acquired within the work-related context available to the public domain;~~Does not affect the English version.)

Amendment 303 #

Proposal for a directive
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 66 #

Proposal for a directive
Citation 1

Having regard to ~~Article 294(2) and~~the Treaty on the Functioning of the European Union, and in particular Articles 16, 19 (2), 33, 43, 50, 53(1), 62, 77 (2), 78, 79, 83(1), 91, 100, 103, 109, 114, 153, 157, 168, 169, 192, 207 and 325(4) ~~of the Treaty on the Functioning of the European Union and~~thereof and to the Treaty establishing the European Atomic Energy Community, and in particular Article 31 thereof,

Amendment 67 #

Proposal for a directive
Citation 1

Having regard to ~~Article 294(2) and Articles~~the Treaty on the Functioning of the European Union, and in particular 16, 33, 43, 50, 53(1), 62, 91, 100, 103, 109, 114, 153(1)(a) and (b), 168, 169, 192, 207 and 325(4) ~~of the Treaty on the Function~~thereof and to the Treaty establishing of the European ~~Union and~~Atomic Energy Community, and in particular Article 31 thereof,

Amendment 68 #

Having regard to ~~Article 294(2) and~~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, 153, 154, 168, 169, 192, 207 and 325(4) ~~of the Treaty on the Functioning of the European Union and~~thereof and to the Treaty establishing the European Atomic Energy Community, and in particular Article 31 thereof,

Amendment 69 #

Proposal for a directive
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, 153(1),(a),(b),(e), 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 70 #

Proposal for a directive
Citation 1

Amendment 71 #

Proposal for a directive
Recital 1

(1) Persons who work for an public or private organisation or are in contact with it in the context of their work-related activities are often the first to know about illegal activities or inadmissible practices that could result in threats or even 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 inactions harmful to the public interest, as well as safeguarding the welfare of society as a whole. However, potential whistleblowers are often discouraged from reporting their concerns or suspicions for fear of retaliation. In this connection, the importance of providing balanced and effective whistleblower protection in order to safeguard the public interest is increasingly acknowledged both at European and international level.

Amendment 72 #

Proposal for a directive
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 73 #

Proposal for a directive
Recital 1

Amendment 74 #

Proposal for a directive
Recital 1

Amendment 75 #

Proposal for a directive
Recital 1

Amendment 76 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Recital 1

Amendment 77 #

Proposal for a directive
Recital 1 a (new)

(1a) The present Directive aims at enhancing the exercise of freedom of expression and the freedom of the media enshrined in Article 11 of the Charter of Fundamental Rights of the European Union by setting up protection measures for persons reporting breaches of EU law. It should be highlighted that these freedoms are the cornerstone of the investigative journalism and the principle of the confidentiality of sources of information.

Amendment 78 #

Proposal for a directive
Recital 1 a (new)

(1a) Too broad a definition of whistle- blowers risks jeopardizing their effective protection;

Amendment 79 #

Proposal for a directive
Recital 2

Amendment 80 #

Proposal for a directive
Recital 3

Amendment 81 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches 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~~establishing a system of gradually escalating disclosure which uses a series of effective reporting channels.

Amendment 82 #

Proposal for a directive
Recital 3

Amendment 83 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches of Union law may cause ~~serious~~major 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 84 #

Proposal for a directive
Recital 3

Amendment 85 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches of Union law may cause serious harm to the public interest, in the sense of creating significant risks ~~for the welfare of~~to 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 86 #

Proposal for a directive
Recital 4

(4) Whistleblower protection currently provided in the European Union is fragmented across Member States and uneven across policy areas. The consequences of breaches of Union law with cross-border dimension uncovered by whistleblowers illustrate how insufficient protection in one Member State 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. The absence of adequate and balanced protection for potential informants results in inadequate disclosure, making it impossible to prevent infringements of Union law, which could prove highly detrimental to the general interest.

Amendment 87 #

Proposal for a directive
Recital 4

(4) Whistleblower protection currently provided in the European Union is ~~fragmented~~diverse across Member States ~~and uneven across policy areas~~, depending on the national provisions already in place or the overall national legislative structure. The consequences of breaches of Union law with cross-border dimension uncovered by whistleblowers ~~illustrate how insufficient protection in one Member State not only nega~~highlight the challenges with regard to the effectively imp~~acts on the func~~lementation~~ing~~ of EU policies ~~in that Member State but can also spill over into other Member States and the Union as a whole~~and the need for improving cross-border cooperation mechanisms where needed.

Amendment 88 #

Proposal for a directive
Recital 5

Amendment 89 #

Proposal for a directive
Recital 5

(5) Accordingly, a set of common minimum standards, unanimously agreed by all EU Member States, 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 to the public interest.

Amendment 90 #

Proposal for a directive
Recital 5

(5) Accordingly, common minimum standards ensuring effective and balanced whistleblower protection should apply in those acts and policy areas ~~where i) there is a need to strengthen~~that have a manifest European dimension where i) there is a need to strengthen enforcement; there is a need to enhance 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 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 92 #

Proposal for a directive
Recital 5

Amendment 93 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Recital 5

Amendment 94 #

Proposal for a directive
Recital 5 a (new)

(5a) Such minimum standards for whistle-blower protection shall be developed with regard to the Charter of Fundamental Rights of the European Union, in particular Article 11 thereof, and to the European Convention on Human Rights, notably Article 10 thereof.

Amendment 95 #

Proposal for a directive
Recital 5 a (new)

(5a) Furthermore, the establishment of a set of common minimum standards at Union level for the protection of whistleblowers should ensure a balanced approach between, on the one hand, freedom of expression and information (enshrined in Article 11 of the Charter of Fundamental Rights of the European Union) and, on the other hand, guaranteed presumption of innocence and the right of defence (Article 48 of the Charter), focusing on the importance of guaranteed right to privacy and protection of personal data of both whistleblowers and those targeted in the reports.

Amendment 96 #

Proposal for a directive
Recital 9

(9) The importance of whistleblower protection in terms of preventing and deterring breaches of Union rules on transport safety which can endanger human lives has been already acknowledged in sectorial Union instruments on aviation safety38 and maritime transport safety39 , which provide for tailored measures of protection to whistleblowers as well as specific reporting channels. These instruments also include the protection from retaliation of the workers reporting on their own honest mistakes (so called ‘just culture’). It is necessary to complement and expand upon the existing elements of whistleblower protection in these two sectors as well as to provide such protection to enhance the enforcement of safety standards for other transport modes, namely road and railway transport. _________________ 38 Regulation (EU) No 376/2014 of the European Parliament and of the Council, of 3 April 2014, on the reporting, analysis and follow-up of occurrences in civil aviation (OJ L 122, p. 18). 39 Directive 2013/54/EU, of the European Parliament and of the Council, of 20 November 2013, concerning certain flag State responsibilities for compliance with and enforcement of the Maritime Labour Convention (OJ L 329, p. 1), Directive 2009/16/EC of the European Parliament and of the Council, of 23 April 2009, on port State control (OJ L 131, p. 57).

Amendment 97 #

Proposal for a directive
Recital 10

Amendment 98 #

(10) Evidence-gathering, detecting and addressing environmental crimes and unlawful conduct 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 appears necessary to ensure effective enforcement of the Union environmental acquis, whose breaches can cause serious harm to the public or general 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. 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 99 #

Proposal for a directive
Recital 10

(10) Evidence-gathering, detecting and addressing environmental crimes and unlawful conduct 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 rules41 exist at present only in one sectorial instrument on environmental protection, the introduction of such protection appears necessary to ensure effective enforcement of the Union environmental acquis, whose breaches can cause ~~serious~~major 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).

source: 627.664

2018/09/14 CONT 136 amendments...

Amendment 100 #

(24) Persons need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty - these must not be accepted as reason for retaliation in any form). 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 retaliation.

Amendment 101 #

Proposal for a directive
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 privileged access to information about breaches that would be in the public’s interest to report and who may suffer retaliation if they report them. This protection should be likewise extended to those reporting on activities of EU institutions or their agents/agencies, when those activities take place outside the EU. 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 occurred.

Amendment 102 #

Proposal for a directive
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 privileged~~have 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~~all persons connected ~~in a broad sense to the organisation where the breach has occurred~~to the report.

Amendment 103 #

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 , i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, interns, as well as persons with a contract of employment or employment relationship with a temporary agency, which are types of relationships where standard protections against unfair treatment are often difficult to apply. _________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 104 #

Proposal for a directive
Recital 28

Amendment 105 #

Proposal for a directive
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 ~~informa~~unsubstantiated rumours and hearsay. Protection should be given to individuals working at institutions w~~hich is already in the public domain or of unsubstantiated rumours and hearsay.~~ ithin 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 106 #

Proposal for a directive
Recital 30

Amendment 107 #

Proposal for a directive
Recital 31

Amendment 108 #

Proposal for a directive
Recital 33

Amendment 109 #

Proposal for a directive
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 110 #

Proposal for a directive
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 ~~able~~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 111 #

Proposal for a directive
Recital 40

(40) I~~t should be clear that, i~~n the case of private legal entities w~~hich do not provide for~~ithout appropriate internal reporting channels, reporting persons ~~should~~must be able to report directly externally to the competent authorities and such persons should enjoy the protection against retaliation provided by this Directive.

Amendment 112 #

Proposal for a directive
Recital 42

Amendment 113 #

Proposal for a directive
Recital 43

Amendment 114 #

Proposal for a directive
Recital 44

Amendment 115 #

Proposal for a directive
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 wilful 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 116 #

Proposal for a directive
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 117 #

Proposal for a directive
Recital 48

Amendment 118 #

Proposal for a directive
Recital 48 a (new)

(48a) In all cases, the reporting person should be informed of the investigation’s progress and should be able to access the draft report at least once so as to be able to revise it, comment on it and correct it if necessary, albeit with no obligation to do so. These comments must be incorporated and taken into account in the monitoring of the investigation. The reporting person should be informed of the investigation's outcome and should be able to revise and comment on the final report of the investigation. These comments must be included in the final report.

Amendment 119 #

Proposal for a directive
Recital 49

(49) LAlong with the very real and very reasonable fear of retaliation, lack of confidence in the ~~useful~~effectiveness of reporting is one of the main factors discouraging potential whistleblowers. This warrants imposing a clear obligation on competent authorities to diligently follow-up on the reports received, and, within a reasonable timeframe, give feedback to the reporting persons about the action envisaged or taken as follow-up (for instance, closure based on lack of sufficient evidence or other grounds, launch of an investigation and possibly its findings and/or measures taken to address the issue raised; referral to another authority competent to give follow- up) to the extent that such information would not prejudice the investigation or the rights of the concerned persons.

Amendment 120 #

Proposal for a directive
Recital 57

Amendment 121 #

Proposal for a directive
Recital 58

(58) Protection of personal data of the reporting and concerned person 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 and relevant bodies, offices or agencies of the Union 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 122 #

Proposal for a directive
Recital 58

Amendment 123 #

Proposal for a directive
Recital 59

Amendment 124 #

Proposal for a directive
Recital 60

(60) To enjoy protection, the reporting persons should reasonably believe, in light of the circumstances and the information available to them at the time of the reporting, that the matters reported by them are true. This reasonable belief sh~~ould~~all be presumed unless and until proven otherwise. This is an essential safeguard against malicious and frivolous or abusive reports, ensuring that those who deliberately and knowingly report wrong or misleading information do not enjoy protection. At the same time, it ensures that protection is not lost where the reporting person made an inaccurate report in honest error. In a similar vein, reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.

Amendment 125 #

Proposal for a directive
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 126 #

Proposal for a directive
Recital 62

Amendment 127 #

Proposal for a directive
Recital 62

Amendment 128 #

Proposal for a directive
Recital 62

Amendment 129 #

Proposal for a directive
Recital 63

Amendment 130 #

Proposal for a directive
Recital 63

(63) In other cases, internal channels could not reasonably be expected to function properly, for instance, where the reporting persons have valid reasons to believe that they would suffer retaliation in connection with the reporting; where they believe the internal channels lack independence; that their confidentiality would not be protected; that the ultimate responsibility holder within the work- related context is involved in the breach; that the breach might be concealed; that evidence may be concealed or destroyed; that the effectiveness of investigative actions by competent authorities might be jeopardised or that urgent action is required (for instance because of an imminent risk of a substantial and specific danger to the life, health and safety of persons, or to the environment. In all such cases, persons reporting externally to the competent authorities and, where relevant, to bodies, offices or agencies of the Union shall be protected. Moreover, protection is also to be granted in cases where Union legislation allows for the reporting person to report directly to the competent national authorities or bodies, offices or agencies of the Union, for example in the context of fraud against the Union budget, prevention and detection of money laundering and terrorist financing or in the area of financial services.

Amendment 131 #

Proposal for a directive
Recital 63

(63) In ~~other~~some cases, internal channels could not reasonably be expected to function properly, for instance, where the reporting persons have valid reasons to believe that they would suffer retaliation in connection with the reporting; that their confidentiality would not be protected; that the ultimate responsibility holder within the work-related context is involved in the breach; that the breach might be concealed; that evidence may be concealed or destroyed; that the effectiveness of investigative actions by competent authorities might be jeopardised or that urgent action is required (for instance because of an imminent risk of a substantial and specific danger to the life, health and safety of persons, or to the environment. In all such cases, persons reporting externally to the competent authorities and, where relevant, to bodies, offices or agencies of the Union shall be protected. Moreover, protection is also to be granted in cases where Union legislation allows for the reporting person to report directly to the competent national authorities or bodies, offices or agencies of the Union, for example in the context of fraud against the Union budget, prevention and detection of money laundering and terrorist financing or in the area of financial services.

Amendment 132 #

Proposal for a directive
Recital 65

Amendment 133 #

Proposal for a directive
Recital 66

(66) Where retaliation occurs undeterred and unpunished, it has a chilling effect on potential whistleblowers. A clear prohibition of retaliation in law has an important dissuasive effect, ~~further~~and must be strengthened by provisions for personal liability and penalties for the perpetrators of retaliation., and for those in management positions who facilitate and/or ignore such retaliation;

Amendment 134 #

Proposal for a directive
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 CSOs 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 135 #

Proposal for a directive
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 and relevant bodies, offices or agencies of the Union should ensure that relevant information is provided in a user-friendly way and is easily accessible to the general public. 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 136 #

Proposal for a directive
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. 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 anonymously 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 137 #

Proposal for a directive
Recital 70

(70) Retaliatory measures are likely to be presented as being justified on grounds other than the reporting and it can be very difficult for reporting persons to prove the link between the two, whilst the perpetrators of retaliation may have greater power and resources to document the action taken and the reasoning. Therefore, once the reporting person demonstrates prima facie that he/she made a report or disclosure in line with this Directive and suffered a detriment, the burden of proof sh~~ould~~all shift to the person who took the detrimental action, who ~~should~~must then demonstrate that their the action taken was not linked in any way to the reporting or the disclosure.

Amendment 138 #

Proposal for a directive
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 revealing~~can 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 139 #

Proposal for a directive
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 140 #

Proposal for a directive
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 141 #

Proposal for a directive
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 142 #

Proposal for a directive
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 ~~further~~all 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 143 #

Proposal for a directive
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 144 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 145 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 146 #

Proposal for a directive
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 147 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

(ii) financial services, prevention of tax evasion, money laundering ~~and~~, terrorist financing; and financing of organized crime;

Amendment 148 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

(ii) financial services, prevention of money laundering and terrorist financing;, corruption and organised crime

Amendment 149 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point v

Amendment 150 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point viii

(viii) public health or public safety;

Amendment 151 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x a (new)

(xa) employment and working conditions;

Amendment 152 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x b (new)

(xb) tax fraud, tax evasion and tax optimisation

Amendment 153 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x c (new)

(xc) violations of human rights or of the rights enshrined in the European Charter of Fundamental Rights;

Amendment 154 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x d (new)

(xd) company law;

Amendment 155 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x e (new)

(xe) asylum and migration law

Amendment 156 #

Amendment 157 #

Proposal for a directive
Article 1 – paragraph 1 – point d

Amendment 158 #

Proposal for a directive
Article 1 – paragraph 1 – point d a (new)

(da) all the remaining sectors in which the public interest is harmed or there is a breach of EU law.

Amendment 159 #

Proposal for a directive
Article 1 – paragraph 2

Amendment 160 #

Proposal for a directive
Article 2 – paragraph 1 – point a

(a) persons having the status of worker, or former worker, with the meaning of Article 45 TFEU;

Amendment 161 #

Proposal for a directive
Article 2 – paragraph 1 – point d a (new)

(da) This Directive shall also apply to European Union staff members, as defined within the EU Staff Regulation;

Amendment 162 #

Proposal for a directive
Article 2 – paragraph 1 – point d a (new)

(da) any person fitting the descriptions in a-d presenting new information on a breach.

Amendment 163 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 164 #

Proposal for a directive
Article 2 – paragraph 2 a (new)

2a. This Directive shall also apply to legal and natural person associated with a reporting person if such person makes probable that he or she suffered a detriment due to his or her connection to a reporting person.

Amendment 165 #

Proposal for a directive
Article 2 – paragraph 2 b (new)

2b. This Directive shall also apply to legal and natural person who makes probable that he or she suffered a detriment due to the fact that he or she was believed to be a reporting person or an associated person.

Amendment 166 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

Amendment 167 #

Proposal for a directive
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 or in another organisation with which he or she is or was in contact through his or her work;~~and/or in the event of a serious, imminent threat or where there is a risk of irreversible damage to human life, the environment and/or public health

Amendment 168 #

Proposal for a directive
Article 3 – paragraph 1 – point 9

Amendment 169 #

Proposal for a directive
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 170 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

Amendment 171 #

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 172 #

Proposal for a directive
Article 4 – paragraph 1

Amendment 173 #

Proposal for a directive
Article 4 – paragraph 2

Amendment 174 #

Proposal for a directive
Article 4 – paragraph 3 – point c a (new)

(ca) private legal entities of any size whose conducted activities are likely to constitute a danger to the environment or to public health

Amendment 175 #

Proposal for a directive
Article 4 – paragraph 6 – point a a (new)

(aa) European Union institutions, agencies and bodies;

Amendment 176 #

(da) European Union institutions, agencies and bodies.

Amendment 177 #

Proposal for a directive
Article 5 – paragraph 1 – point a

(a) independent channels for receiving the reports which 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 178 #

Proposal for a directive
Article 5 – paragraph 1 – point b

(b) the designation of a specifically trained person or department competent for following up on the reports;

Amendment 179 #

Proposal for a directive
Article 5 – paragraph 1 – point c

Amendment 180 #

Proposal for a directive
Article 5 – paragraph 1 – point e a (new)

(ea) the prompt acknowledgement of receipt of written reports to the postal or electronic address indicated by the reporting person

Amendment 181 #

Proposal for a directive
Article 5 – paragraph 1 – point e a (new)

(ea) (f) the prompt acknowledgement of receipt of written reports to the postal or electronic address indicated by the reporting person

Amendment 182 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a

Amendment 183 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point b

Amendment 184 #

Proposal for a directive
Article 5 – paragraph 3 a (new)

Amendment 185 #

Proposal for a directive
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 186 #

Proposal for a directive
Article 6 – paragraph 2 – point b

(b) acknowledge receipt of the report within 5 working days, give feedback to the reporting person about the follow-up of the report within a reasonable timeframe not exceeding t~~hree months or six months in duly justified case~~wo months;

Amendment 187 #

Proposal for a directive
Article 6 – paragraph 4

Amendment 188 #

Proposal for a directive
Article 7 – paragraph 1 – point c a (new)

(ca) they guarantee free and independent advice and legal support for reporting persons and intermediaries.

Amendment 189 #

Proposal for a directive
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 190 #

Proposal for a directive
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 191 #

Proposal for a directive
Article 8 – paragraph 1

Amendment 192 #

Proposal for a directive
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.~~deleted

Amendment 193 #

Proposal for a directive
Article 13 – paragraph 1

Amendment 194 #

Proposal for a directive
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 195 #

Proposal for a directive
Article 13 – paragraph 2 – introductory part

Amendment 196 #

Proposal for a directive
Article 13 – paragraph 2 – point a

~~(a) he or she first reported internally but no appropriate action was taken in response to the report within the reasonable timeframe referred in Article 5;~~deleted

Amendment 197 #

Proposal for a directive
Article 13 – paragraph 2 – point b

~~(b) internal reporting channels were not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels;~~deleted

Amendment 198 #

Proposal for a directive
Article 13 – paragraph 2 – point c

~~(c) the use of internal reporting channels was not mandatory for the reporting person, in accordance with Article 4(2);~~deleted

Amendment 199 #

Proposal for a directive
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;~~deleted

Amendment 200 #

Proposal for a directive
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 201 #

Proposal for a directive
Article 13 – paragraph 2 – point e

~~(e) he or she had reasonable grounds to believe that the use of internal reporting channels could jeopardise the effectiveness of investigative actions by competent authorities;~~deleted

Amendment 202 #

Proposal for a directive
Article 13 – paragraph 2 – point f

~~(f) he or she was entitled to report directly through the external reporting channels to a competent authority by virtue of Union law.~~deleted

Amendment 203 #

Proposal for a directive
Article 13 – paragraph 3

3. A person reporting to relevant bodies, offices or agencies of the Union on breaches falling within the scope of this Directive shall qualify for protection as laid down in this Directive under the same conditions as a person who reported ~~externally~~ in accordance with the conditions set out in paragraph 21.

Amendment 204 #

Proposal for a directive
Article 13 – paragraph 4

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall qualify for protection under this Directive where: (a) and/or externally in accordance with Chapters II and III and paragraph 2 of this Article, but no appropriate action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); or (b) expected to use internal and/or external reporting channels due to imminent or manifest danger for the public interest, or to the particular circumstances of the case, or where there is a risk of irreversible damage.deleted he or she first reported internally he or she could not reasonably be

Amendment 205 #

Proposal for a directive
Article 13 – paragraph 4 a (new)

4a. 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 206 #

Proposal for a directive
Article 14 a (new)

Article 14a 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 207 #

Proposal for a directive
Article 15 – paragraph 2

2. Comprehensive and independent information and advice shall be easily accessible to the public, free of charge, on procedures and remedies available on protection against retaliation. This role should be independent and could be performed by civil society organisations and/or trade unions.

Amendment 208 #

Proposal for a directive
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 believe~~establishing that the ~~detriment was in retaliation for having~~or she made ~~the~~a 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 209 #

Proposal for a directive
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~~covering 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 210 #

Proposal for a directive
Article 15 – paragraph 7

Amendment 211 #

Proposal for a directive
Article 16 a (new)

Article 16a 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 212 #

Proposal for a directive
Article 17 – paragraph 1 – point d

(d) breach the duty of maintaining the confidentiality or the anonymity of the identity of reporting persons.

Amendment 213 #

Proposal for a directive
Article 17 – paragraph 1 – point d a (new)

(da) (e) do not fulfil their obligation to follow-up on a report; (f) do not fulfil their obligation to provide feedback to the reporting person about the follow-up to the report.

Amendment 214 #

Proposal for a directive
Article 17 – paragraph 1 – point d a (new)

(da) do not fulfil their obligation to follow- up on a report;

Amendment 215 #

Proposal for a directive
Article 17 – paragraph 1 – point d b (new)

(db) do not fulfil their obligation to provide feedback to the reporting person about the follow up to the report.

Amendment 216 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 217 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 218 #

Proposal for a directive
Article 17 a (new)

Amendment 219 #

Proposal for a directive
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 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 220 #

Proposal for a directive
Article 22 a (new)

Article 22a 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.

Amendment 221 #

Proposal for a directive
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 86 #

Proposal for a directive
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 ~~and~~, 325(4) and article 352, thereof and to the Treaty establishing the European Atomic Energy Community, and in particular Article 31 thereof,

Amendment 87 #

Gilles PARGNEAUX

Proposal for a directive
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 whistleblowers are often discouraged from reporting their concerns or suspicions for fear of retaliationpreventing, detecting and disclosing irregularities, fraud, corruption and other wrongdoing or breaches of the law both in the public and the private sectors. However, potential whistleblowers are often discouraged from reporting their concerns or suspicions for fear of retaliation or of being accused of unlawful acquisition, use or disclosure of trade secrets as defined in Directive (EU) 2016/943 of the European Parliament and of the Council.

Amendment 88 #

Proposal for a directive
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, misconduct 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 89 #

Proposal for a directive
Recital 3

Amendment 90 #

Proposal for a directive
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 91 #

Proposal for a directive
Recital 5

Amendment 92 #

Proposal for a directive
Recital 7 a (new)

(7a) It should be noted, however, that prior to the banking collapse in Ireland, a whistleblower from one particular bank reported personally to the then Regulator1, whose office was in the Central Bank, his serious concerns re major breeches of Financial Regulations; if acted on at the time, he claims this could have exposed what was happening right across the Irish banking sector; instead, there was no action taken and he was subsequently squeezed out of the industry; 1 https://www.irishtimes.com/business/finan cial-services/jonathan-sugarman-ireland- has-destroyed-the-lives-of-whistleblowers- 1.3047366

Amendment 93 #

Proposal for a directive
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, e.g. odometer fraud. Whistleblower protection should therefore be introduced in relation to relevant Union rules adopted pursuant to Articles 114, 168 and 169 TFEU.

Amendment 94 #

Proposal for a directive
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 95 #

Proposal for a directive
Recital 19

(19) Each time a new Union act for which whistleblower protection is relevant and which can contribute to more effective enforcement is adopted, consideration should be given to whether to amend the Annex to the present Directive in order to place it under its scope.

Amendment 96 #

Proposal for a directive
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 amend~~it should be added to the Annex to the present Directive in order to place it under its scope.

Amendment 97 #

Proposal for a directive
Recital 20

Amendment 98 #

Proposal for a directive
Recital 22

Amendment 99 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire ~~the~~ information ~~they report through their work-related activities and the~~and their decision to refpor~~e run the~~t it results in a risk of work-related or other retaliation (for instance, for breaching the duty of confidentiality or ~~loyalty~~EU 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.

source: 627.777

2018/09/18 LIBE 356 amendments...

Amendment 100 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
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. The staff serving in those agencies shall be specialized and have proper training and formation including on European and national data protection legislation.

Amendment 101 #

Proposal for a directive
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 102 #

Proposal for a directive
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, with the possible assistance of law enforcement agencies. 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 103 #

Proposal for a directive
Recital 39 a (new)

(39 a) Reporting persons should be allowed to freely choose the most appropriate channel of reporting and disclosure of information, be it internal or external, without any strict hierarchy among them.

Amendment 104 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Recital 40

(40) ~~It should be clear that, in the case of private legal entities which do not provide for internal reporting channels, r~~Reporting persons should be able to report ~~directly externally~~ to the competent authorities and ~~such persons~~ should enjoy the protection against retaliation provided by this Directive.

Amendment 105 #

Proposal for a directive
Recital 40

Amendment 106 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Recital 41

(41) To ensure in particular, the respect of the public procurement rules in the public sector, the obligation to put in place internal reporting channels should apply to all public legal entities, at local, regional ~~and~~, national ~~level, whilst being commensurate with their size~~and EU level. In cases where internal channels are not provided in small public entities, Member States ~~may~~should provide for internal reporting within a higher level in the administration (that is to say at regional or central level).

Amendment 107 #

Proposal for a directive
Recital 42

Amendment 108 #

Proposal for a directive
Recital 42

(42) Provided the confidentiality and anonymity 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 and anonymity of the identity of the reporting person.

Amendment 109 #

Proposal for a directive
Recital 42

Amendment 110 #

Proposal for a directive
Recital 42

(42) Provided the confidentiality or anonymity 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.

Amendment 111 #

Proposal for a directive
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, anonymity, data protection and secrecy. These can be media, external reporting platform providers, external counsel or auditors or trade union representatives.

Amendment 112 #

Proposal for a directive
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, anonymity, confidentiality, data protection and secrecy. These can be external reporting platform providers, external counsel or auditors or trade union representatives.

Amendment 113 #

Proposal for a directive
Recital 44

(44) Internal reporting procedures should enable private legal entities to receive and investigate in full confidentiality and with respect of anonymity, if appropriate, reports 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 114 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Recital 44 a (new)

(44 a) Respect for the confidentiality of the identity of the person issuing an alert or disclosure is an essential element in avoiding any self-censorship mechanism. This principle of confidentiality may be waived only in exceptional circumstances, (a) where the disclosure of information relating to the identity of the person issuing an alert or disclosure is a necessary and proportionate obligation required by Union or national law in the context of subsequent or ongoing investigations or judicial proceedings,(b) for the purpose of guaranteeing a right, such as the right of defence of the person concerned. In the event of a breach of the principle of confidentiality relating to the identity of the person who issued an alert or disclosure, appropriate sanctions should be provided for.

Amendment 115 #

Proposal for a directive
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 116 #

Proposal for a directive
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 117 #

Proposal for a directive
Recital 48

Amendment 118 #

Proposal for a directive
Recital 48

(48) Effective detection and prevention of breaches of Union law requires ensuring that potential whistleblowers can easily and in anonymity and full confidentiality 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 119 #

Proposal for a directive
Recital 48

(48) Effective detection and prevention of breaches of Union law requires ensuring that potential whistleblowers can easily, andonymously or in full confidentiality, 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 120 #

Proposal for a directive
Recital 50

(50) Follow up and feedback should take place within a reasonable timeframe; this is warranted by the need to promptly address the problem that may be the subject of the report~~, as well as to avoid unnecessary public disclosures~~. Such timeframe should not exceed three months, but could be extended to six months, where necessary due to the specific circumstances of the case, in particular the nature and complexity of the subject of the report, which may require a lengthy investigation.

Amendment 121 #

Proposal for a directive
Recital 52

(52) In order to allow for effective communication with their dedicated staff, it is necessary that the competent authorities have in place and use specific, independent channels, separate from their normal public complaints systems, that should be user- friendly and allow for written and oral, as well as electronic and non-electronic reporting.

Amendment 122 #

Proposal for a directive
Recital 54

Amendment 123 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Recital 55

(55) Member States should ensure that competent authorities have in place adequate protection procedures for the processing of reports of infringements and for the protection of the personal data of the persons referred to in the report. Such procedures should ensure that the identity and anonymity of every reporting person, concerned person, and third persons referred to in the report (e.g. witnesses or colleagues) is protected at all stages of the procedure. This obligation should be without prejudice to the necessity and proportionality of the obligation to disclose information when this is required by Union or national law and subject to appropriate safeguards under such laws, including in the context of investigations or judicial proceedings or to safeguard the freedoms of others, including the rights of defence of the concerned person.

Amendment 124 #

Proposal for a directive
Recital 57

Amendment 125 #

Proposal for a directive
Recital 58

(58) Protection of personal data of the reporting and concerned person, as well as confidentiality of information, is crucial in order to avoid unfair treatment, any harassment or intimidation, 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 126 #

Proposal for a directive
Recital 59

(59) The regular review of the procedures of competent authorities and the exchange of good practices between them, including recommendations by civil society organisations, should guarantee that those procedures are adequate and thus serving their purpose.

Amendment 127 #

Proposal for a directive
Recital 59

Amendment 128 #

Proposal for a directive
Recital 60

(60) The reporting persons should enjoy the protection of this Directive when they turn to one of the internal or external reporting channels, with no mandatory hierarchy, or when they exercise their right to disclose information publicly to a journalist or a civil society organisation. To enjoy protection, the reporting persons should reasonably believe, in light of the circumstances and the information available to them at the time of the reporting, that the matters reported by them are true. This reasonable belief should be presumed unless and until proven otherwise. ~~This is an essential safeguard against malicious and frivolous or abusive reports, ensuring that those who deliberately and knowingly report wrong or misleading information do not enjoy protection.~~ At the same time, it ensures that protection is not lost where the reporting person made an inaccurate report in honest error. In a similar vein, reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.

Amendment 129 #

Proposal for a directive
Recital 60

(60) To enjoy protection, the reporting persons should reasonably believe, in light of the circumstances and the information available to them at the time of the reporting, that the matters reported by them are true. This reasonable belief should be presumed unless and until proven otherwise. This is an essential safeguard against malicious and frivolous or abusive reports, ensuring that those who deliberately and knowingly report wrong or misleading information do not enjoy protection. At the same time, it ensures that protection is not lost where the reporting person made an inaccurate report in ~~honest error~~good faith. In a similar vein, reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.

Amendment 130 #

Proposal for a directive
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, it 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.deleted

Amendment 131 #

Proposal for a directive
Recital 61

(61) The ~~requirement of a tiered use of reporting channels, as a general rule, i~~use of the different reporting channels 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 ~~exception~~rules to its application are necessary, allowing the reporting person to choose the most appropriate channel depending on the individual circumstances of the case. Moreover, it 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 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.. One of the criteria for determining

Amendment 132 #

Proposal for a directive
Recital 62

Amendment 133 #

Proposal for a directive
Recital 62

(62) ~~As a rule, r~~Reporting persons ~~should~~can first use the internal channels at their disposal and report to their employer. However, it may be the case that internal channels do not exist (in case of entities which are not under an obligation to establish such channels by virtue of this Directive or applicable national law) or that their use is not mandatory (which may be the case for persons who are not in an employment relationship), or that they were used but did not function properly (for instance the report was not dealt with diligently or within a reasonable timeframe, or no action was taken to address the breach of law despite the positive results of the enquiry).

Amendment 134 #

Proposal for a directive
Recital 63

Amendment 135 #

Proposal for a directive
Recital 63

(63) In other cases, internal channels could not reasonably be expected to function properly, for instance, where the reporting persons have valid reasons to believe that they would suffer retaliation in connection with the reporting; that their confidentiality would not be protected or their anonymous report would not be investigated; that the ultimate responsibility holder within the work- related context is involved in the breach; that the breach might be concealed; that evidence may be concealed or destroyed; that the effectiveness of investigative actions by competent authorities might be jeopardised or that urgent action is required (for instance because of an imminent risk of a substantial and specific danger to the life, health and safety of persons, or to the environment. In all such cases, persons reporting externally to the competent authorities and, where relevant, to bodies, offices or agencies of the Union shall be protected and anonymous reports shall be investigated upon, if well evidenced. Moreover, protection is also to be granted in cases where Union legislation allows for the reporting person to report directly to the competent national authorities or bodies, offices or agencies of the Union, for example in the context of fraud against the Union budget, prevention and detection of money laundering and terrorist financing or in the area of financial services.

Amendment 136 #

Proposal for a directive
Recital 64

(64) Persons making a public disclosure directly should alwayso qualify for protection in cases where a breach remains unaddressed (for example, it was not properly assessed or investigated or no remedial action was taken) despite having been reported internally and/or externally following a tiered use of available channels; or in, not only in the cases where reporting persons have valid reasons to believe that there is collusion between the perpetrator of the breach and the competent authority is reasonably suspected , that evidence may be concealed or destroyed, or that the effectiveness of investigative actions by competent authorities might be jeopardised; or in cases of imminent and manifest danger for the public interest, or where there is a risk of irreversible damage, including, inter alia, harm to physical integrity.

Amendment 137 #

Proposal for a directive
Recital 64

(64) Persons making a public disclosure directly should also qualify for protection where the public has an overriding interest in being informed directly or in cases where a breach remains unaddressed (for example, it was not properly assessed or investigated or no remedial action was taken) despite having been reported internally and/or externally following a tiered use of available channels; or in cases where reporting persons have valid reasons to believe that there is collusion between the perpetrator of the breach and the competent authority is reasonably suspected , that evidence may be concealed or destroyed, or that the effectiveness of investigative actions by competent authorities might be jeopardised; or in cases of imminent and manifest danger for the public interest, or where there is a risk of irreversible damage, including, inter alia, harm to physical integrity.

Amendment 138 #

Proposal for a directive
Recital 65

Amendment 139 #

Proposal for a directive
Recital 65

(65) Reporting persons and intermediaries 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. 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. Protection should also be afforded in case of direct and/or indirect retaliation taken by third parties.

Amendment 140 #

Proposal for a directive
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 should 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 141 #

Proposal for a directive
Recital 69

(69) It should not be possible to waive the rights and obligations established by this Directive by contractual means. Individuals’ legal or contractual obligations, such as loyalty clauses in contracts or confidentiality/non-disclosure agreements, cannot be relied on to preclude ~~worker~~individuals from reporting, to deny protection or to penalise them for having done so. At the same time, this Directive should not affect the protection of legal and other professional privilege as provided for under national law.

Amendment 142 #

Proposal for a directive
Recital 70

(70) Retaliatory measures are likely to be presented as being justified on grounds other than the reporting and it can be very difficult for reporting persons to prove the link between the two, whilst the perpetrators of retaliation may have greater power and resources to document the action taken and the reasoning. Therefore, once the reporting person demonstrates prima facie that he/she made a report or disclosure in line with this Directive and suffered a detriment, Member States can decide to shift the burden of proof ~~should shift~~ to the person who took the detrimental action, who should then demonstrate that their the action taken was not linked in any way to the reporting or the disclosure.

Amendment 143 #

Proposal for a directive
Recital 71

(71) Beyond an explicit prohibition of retaliation provided in law, it is crucial that reporting persons who do suffer retaliation have access to legal remedies. The appropriate remedy in each case will be determined by the kind of retaliation suffered. It may take the form of actions for reinstatement (for instance, in case of dismissal, transfer or demotion, or of withholding of training or promotion) or for restauration of a cancelled permit, licence or contract; compensation for actual and future financial losses (for lost past wages, but also for future loss of income, costs linked to a change of occupation); compensation for other economic damage such as legal expenses and costs of medical and psychological treatment, and for intangible damage (pain and suffering).

Amendment 144 #

Proposal for a directive
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. 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, in case the alleged acquisition, use or disclosure of the trade secret was carried out for revealing misconduct, wrongdoing or illegal activity, provided that the respondent acted for the purpose of protecting the general public interestThe protection of whistleblowers provided for in this Directive should prevail over Directive (EU) 2016/943 of the European Parliament and of the Council58 and therefore whistleblowers meeting the requirements of this Directive should be exempted from the civil redress measures, procedures and remedies provided for in Directive (EU) 2016/943. 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 145 #

Proposal for a directive
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 146 #

Proposal for a directive
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,~~ 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 147 #

Proposal for a directive
Recital 77

Amendment 148 #

Proposal for a directive
Recital 77 a (new)

(77 a) Following an individual assessment, any third country national who reports information falling within the scope of this directive and suffers from a well-founded fear of persecution or would face a real risk of suffering serious harm because of the report and is unable or, owing to such fear, is unwilling to avail himself or herself of the protection of his or her country of residence, can be considered as qualifying as a refugee or beneficiary of subsidiary protection in accordance with Directive 2011/95/EU.

Amendment 149 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
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 150 #

Proposal for a directive
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 80

Amendment 152 #

Proposal for a directive
Recital 81

(81) In accordance with Article 26(2) TFEU, the internal market needs to comprise an area without internal frontiers in which the free and safe movement of goods and services is ensured. The internal market should provide Union citizens with added value in the form of better quality and safety of goods and services, ensuring high standards of public health and environmental protection as well as free movement of personal data. Thus, Article 114 TFEU is the appropriate legal basis to adopt the measures necessary for the establishment and functioning of the internal market. In addition to Article 114 TFEU, this Directive should have additional specific legal bases in order to cover the fields that rely on Articles 9, 10, 11, 12, 15, 16, 33, 43, 50, 53(1), 62, 91, 100, 103, 109, 168, 169, 207 and ~~207~~352 TFEU and Article 31 of the Euratom Treaty for the adoption of Union measures. Since this Directive also aims at better protecting the financial interests of the Union, Article 325(4) TFEU should be included as a legal basis.

Amendment 153 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Recital 82

Amendment 154 #

Proposal for a directive
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 ~~further~~all 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 155 #

Proposal for a directive
Recital 83

(83) Whenever subsequent EU legislation ~~relevant for this Directive is adopted, it should specify where appropriate that this Directive will apply. Where necessary, Article 1 and the Annex should be amended~~is adopted, it should fall under the scope of this Directive.

Amendment 156 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Recital 84

(84) The objective of this Directive, namely to strengthen enforcement in certain policy areas and acts where misconduct or wrongdoing or 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 157 #

Proposal for a directive
Recital 84

Amendment 158 #

Proposal for a directive
Recital 84

Amendment 159 #

Proposal for a directive
Recital 85

(85) This Directive respects fundamental rights and ~~observes~~ the principles recognised in particular by the Charter of Fundamental Rights of the European Union. Accordingly, this Directive must be implemented in accordance with those rights and principles~~. In particular, this Directive seeks to~~ by ensureing full respect for, inter alia, freedom of expression and information, the right to protection of personal data, the freedom to conduct a business, the right to a high level of consumer protection, the right to fair and just working conditions, the right to a high level of human health protection, the right to a high level of environmental protection, the right to good administration, the right to an effective remedy and the rights of the defence.

Amendment 160 #

Proposal for a directive
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 which cause threats or serious harm to the following public interest:

Amendment 161 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

1. With a view to enhancing the enforcement of Union as well as national law and policies in specific areas, this Directive lays down common minimum standards for the protection of persons reporting on ~~the following~~misconduct of public interest, unlawful activities or abuse of law:

Amendment 162 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 163 #

Proposal for a directive
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 ~~unlawfu~~illegal activities or abuse of law:

Amendment 164 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 1 – paragraph 1 – introductory part

1. With a view to ensuring and 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 165 #

Proposal for a directive
Article 1 – paragraph 1 – introductory part

Amendment 166 #

Proposal for a directive
Article 1 – paragraph 1 – point a

a) breaches falling within the scope of the Union acts set out in the Annex (Part I and Part II) as regards the following areas: (i) public procurement; (ii) financial services, prevention of money laundering and terrorist financing; (iii) product safety; (iv) transport safety; (v) protection of the environment; (vi) nuclear safety; (vii) food and feed safety, animal health and welfare; (viii) public health; (ix) consumer protection; (x) protection of privacy and personal data, and security of network and information systems.deleted

Amendment 167 #

Proposal for a directive
Article 1 – paragraph 1 – point a – introductory part

a) breaches falling within the scope of the Union acts ~~set out~~included, but not limited to, in the Annex (Part I and Part II) as regards, inter alia, the following areas:

Amendment 168 #

Proposal for a directive
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 169 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point ii

(ii) financial services, prevention of corruption, tax evasion, tax avoidance money laundering and terrorist financing;

Amendment 170 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x a (new)

(x a) employment and working conditions

Amendment 171 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x b (new)

(x b) tax fraud, tax evasion and tax optimisation

Amendment 172 #

Proposal for a directive
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 173 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x d (new)

(x d) company law

Amendment 174 #

Proposal for a directive
Article 1 – paragraph 1 – point a – point x e (new)

(x e) asylum and migration law

Amendment 175 #

Proposal for a directive
Article 1 – paragraph 1 – point b

Amendment 176 #

Proposal for a directive
Article 1 – paragraph 1 – point d

Amendment 177 #

Proposal for a directive
Article 1 – paragraph 1 – point d a (new)

d a) breaches related to national security (i.e. State security), defence, public security, and the prevention, investigation, detection and prosecution of criminal offences.

Amendment 178 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 1 – paragraph 1 – point d a (new)

d a) breaches of the fundamental rights and freedoms enshrined in the Charter of fundamental rights of the European Union.

Amendment 179 #

Proposal for a directive
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 180 #

Proposal for a directive
Article 1 – paragraph 2

Amendment 181 #

Proposal for a directive
Article 1 – paragraph 2 a (new)

2 a. This Directive shall not infringe military secrecy, medical secrecy and lawyer-client privilege.

Amendment 182 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons acting in a disinterested manner, having had personal knowledge of the information and working in the private or public sector who acquired information on breaches in a work-related context including, at least, the following:

Amendment 183 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

Amendment 184 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons ~~working~~ in the private or public sector who acquired information on breaches ~~in a work-related context~~ including, at least, the following:

Amendment 185 #

Proposal for a directive
Article 2 – paragraph 1 – introductory part

1. This Directive shall apply to reporting persons working in the private or public sector who acquired information on breaches ~~in a work-related context~~ including, at least, the following:

Amendment 186 #

Proposal for a directive
Article 2 – paragraph 1 – point a

a) persons having or have had the status of worker, with the meaning of Article 45 TFEU, including persons having the status of civil servants;

Amendment 187 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 2 – paragraph 1 – point a

a) persons having the status of worker, with the meaning of Article 45 TFEU, regardless of whether they are paid or unpaid;

Amendment 188 #

Proposal for a directive
Article 2 – paragraph 1 – point a

a) persons having the status of worker, or former worker, with the meaning of Article 45 TFEU;

Amendment 189 #

Proposal for a directive
Article 2 – paragraph 1 – point a

a) persons having the status of worker, and former worker with the meaning of Article 45 TFEU;

Amendment 190 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 2 – paragraph 1 – point a

a) persons having the status of ~~worker, with the meaning of Article 45 TFEU~~employee;

Amendment 191 #

Proposal for a directive
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 192 #

Proposal for a directive
Article 2 – paragraph 1 – point d a (new)

d a) Consultants, trainees, student workers, temporary workers and former employees.

Amendment 193 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 2 – paragraph 1 – subparagraph 1 (new)

e) persons who are or were in contact with organisations.

Amendment 194 #

Proposal for a directive
Article 2 – paragraph 1 – point d a (new)

d a) investigative journalists.

Amendment 195 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 2 – paragraph 2

Amendment 196 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 197 #

Proposal for a directive
Article 2 – paragraph 2

Amendment 198 #

Proposal for a directive
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 199 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 2 – paragraph 2 a (new)

2 a. This Directive shall also apply to persons facilitating the reporting such as intermediaries and any natural or legal person who is regularly or professionally engaged in the collection and dissemination of information to the public via any means of mass communication.

Amendment 200 #

Proposal for a directive
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 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
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 202 #

Proposal for a directive
Article 2 – paragraph 2 b (new)

2 b. This Directive shall apply to officials as well as to other employees and interns working within the institutions, agencies and bodies of the European Union.

Amendment 203 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or potential unlawful activities or abuse of ~~law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex~~Union law;

Amendment 204 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means ~~actual or potential unlawful activities~~unlawful activities which are actual or very likely to occur, or abuse of law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex;

Amendment 205 #

Proposal for a directive
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 206 #

Proposal for a directive
Article 3 – paragraph 1 – point 1

(1) ‘breaches’ means actual or potential ~~unlawfu~~illegal activities or abuse of law relating to the Union acts and areas falling within the scope referred to in Article 1 and in the Annex;

Amendment 207 #

Proposal for a directive
Article 3 – paragraph 1 – point 2

(2) ‘~~unlawfu~~illegal activities’ means acts or omissions contrary to Union law;

Amendment 208 #

Proposal for a directive
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 209 #

Proposal for a directive
Article 3 – paragraph 1 – point 3

(3) ‘abuse of law’ means acts or omissions falling within the scope of Union, a serious threat or damage to the general interest law which do not appear to be ~~unlawfu~~illegal in formal terms but defeat the object or the purpose pursued by the applicable rules;

Amendment 210 #

Proposal for a directive
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, or distort, the object or the purpose pursued by the applicable rules;

Amendment 211 #

Proposal for a directive
Article 3 – paragraph 1 – point 5

Amendment 212 #

Proposal for a directive
Article 3 – paragraph 1 – point 5

Amendment 213 #

Proposal for a directive
Article 3 – paragraph 1 – point 5

Amendment 214 #

Proposal for a directive
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 215 #

Proposal for a directive
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 216 #

Proposal for a directive
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 activities;, i.e. who reveals or reports, in a disinterested and good faith, a fact of which he has personal knowledge and which constitutes: - a crime or misdemeanor; - a serious and manifest violation of a regularly ratified or approved international commitment by the European Union or a unilateral act of an international organisation taken on the basis of such a commitment, and the laws and regulations; - a threat or serious prejudice to the public interest.

Amendment 217 #

Proposal for a directive
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 activities~~;

Amendment 218 #

Proposal for a directive
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 219 #

Proposal for a directive
Article 3 – paragraph 1 – point 9

(9) ‘reporting person’ means a natural or legal person who reports or discloses in good faith information on breaches acquired in the context of his or her work- related activities;

Amendment 220 #

Proposal for a directive
Article 3 – paragraph 1 – point 9 a (new)

(9 a) ‘intermediary’ means a natural or legal person who facilitates the report or disclosure;

Amendment 221 #

Proposal for a directive
Article 3 – paragraph 1 – point 10

(10) ‘work-related context’ means current or past work activities in the public or private sector through which, irrespective of their nature, persons may acquire information on breaches ~~and within which these persons may suffer retaliation if they report them~~.

Amendment 222 #

Proposal for a directive
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 and causes or may cause unjustified detriment to the reporting person, in good faith, reflecting a serious threat or injury to the public interest;

Amendment 223 #

Proposal for a directive
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 and~~ causes or may cause unjustified detriment to the reporting person, to his or her colleagues, relatives, personal contacts and to persons facilitating the reporting and disclosure;

Amendment 224 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 3 – paragraph 1 – point 12

(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal oreporting, external reporting ~~which occurs in a work-related context and~~or disclosure and which causes or may cause unjustified detriment to the reporting person, suspected reporting person or their family members, relatives and facilitators;

Amendment 225 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

Amendment 226 #

Proposal for a directive
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 linked to a work-related context and causes or may cause unjustified detriment to the reporting person;

Amendment 227 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

Amendment 228 #

Proposal for a directive
Article 3 – paragraph 1 – point 13

Amendment 229 #

Proposal for a directive
Article 3 – paragraph 1 – point 14

(14) ‘competent authority’ means any ~~national~~legally 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. These include but are not limited to: a) Competent agencies; b) Law enforcement, including investigative authorities, such as police and prosecution authorities; c) Oversight agencies including for example inspection bodies and state auditors; d) Elected officials including Members of Parliament, parliamentary committees; or e) Any other specialised agencies or commissions, such as ombudspersons, data protection authorities or any other body established to receive complaints.

Amendment 230 #

Proposal for a directive
Article 3 – paragraph 1 – point 14

(14) ‘competent authority’ means any ~~national~~independent 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 231 #

Proposal for a directive
Article 3 – paragraph 1 – point 14 a (new)

(14 a) ‘personal information’ means any information relating to an identified or identifiable natural person (‘data subject’); an identifiable natural person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person, in accordance with Regulation (EU) 2016/679;

Amendment 232 #

Proposal for a directive
Article 3 – paragraph 1 – point 14 b (new)

(14 b) ‘processing’ means any operation or set of operations which is performed on personal data or onsets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction, in accordance with Regulation (EU)2016/679;

Amendment 233 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
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, following consultations with social partners~~, if appropriate~~ and civil society organisations. As laid down in Articles 22a, 22b and 22c of Regulation No. 31(EEC), 11 (EAEC), the obligation to establish channels and procedures for reporting and following up on reports shall apply also to European Union institutions, agencies and bodies.

Amendment 234 #

Proposal for a directive
Article 4 – paragraph 1

Amendment 235 #

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity. They may allow for reporting by other persons who are in contact with the entity in the context of their ~~work-related~~ activities, referred to in Article 2(1)(b), (c) and (d)~~, but the use of internal channels for reporting shall not be mandatory for these categories of persons~~.

Amendment 236 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 4 – paragraph 3 – point c

c) private legal entities of any size operating in the area of financial services or vulnerable to money laundering or terrorist financing, as regulated under ~~the~~ Union ~~acts referred to in the Annex.~~law;

Amendment 237 #

Proposal for a directive
Article 4 – paragraph 6 – point a a (new)

a a) European Union Institutions, Agencies and bodies;

Amendment 238 #

Proposal for a directive
Article 4 – paragraph 6 – point a a (new)

a a) European Union institutions, agencies and bodies;

Amendment 239 #

Proposal for a directive
Article 4 – paragraph 6 – point c

c) municipalities ~~with more than 10 000 inhabitants~~;

Amendment 240 #

Proposal for a directive
Article 4 – paragraph 6 – point d a (new)

d a) European Union institutions, bodies, offices and agencies set up by, or on the basis of, the Treaty on European Union, the Treaty on the Functioning of the European Union or the Euratom Treaty;

Amendment 241 #

Proposal for a directive
Article 5 – paragraph 1 – point a

a) channels for receiving the reports which are designed, set up and operated in a manner that ensures the confidentiality of the identity of the reporting person, allows for anonymous disclosures through the use of appropriate IT systems and prevents access to non-authorised staff members;

Amendment 242 #

Proposal for a directive
Article 5 – paragraph 1 – point b

b) the designation of a person or, department or trade union representative competent for following up on the reports;

Amendment 243 #

Proposal for a directive
Article 5 – paragraph 1 – point b a (new)

b a) a confidential notification of the receipt of the alert to the person issuing the alert within seven days of receipt;

Amendment 244 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding three months following the report, to provide feedback to the reporting person about the follow-up to the report. This timeframe could if necessary be extended to six months due to the particular circumstances of the case, notably the nature and complexity of the reporting, which could require a lengthy investigation;

Amendment 245 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding ~~three months following the report~~a period of between one and three months from the date of notification, to provide feedback to the reporting person about the follow-up to the report;

Amendment 246 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding ~~three month~~60 days following the report, to provide feedback to the reporting person about the follow-up to the report;

Amendment 247 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding ~~three month~~30 days following the report, to provide feedback to the reporting person about the follow-up to the report;

Amendment 248 #

Proposal for a directive
Article 5 – paragraph 1 – point e

e) clear, transparent and easily accessible information regarding the procedures and information on how and under what conditions reports can be made externally to competent authorities pursuant to Article 13(2) and, where relevant, to bodies, offices or agencies of the Union.

Amendment 249 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
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 250 #

Proposal for a directive
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 251 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a

Amendment 252 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a

Amendment 253 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point a a (new)

(a a) oral report through telephone lines, whether recorded or unrecorded;

Amendment 254 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point b

Amendment 255 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point b a (new)

(b a) Reporting channels, including digital mechanisms, and institutional arrangements shall provide for safe, secure, confidential and anonymous disclosures.

Amendment 256 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO

Proposal for a directive
Article 6 – paragraph 1

1. Member States shall designate the authorities competent to receive and handle reports. This includes designating specific, independent competent authorities entitled to receive and proceed reports on classified or sensitive information.

Amendment 257 #

Proposal for a directive
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 258 #

Proposal for a directive
Article 6 – paragraph 2 – point a

Amendment 259 #

Proposal for a directive
Article 6 – paragraph 2 – point a

a) establish independent and autonomous external reporting channels, which are both secure and ensure confidentiality, or anonymity for receiving and handling information provided by the reporting person or intermediaries;

Amendment 260 #

Proposal for a directive
Article 6 – paragraph 2 – point a

a) establish independent and autonomous external reporting channels, which are ~~both~~ secure ~~and~~, ensure confidentiality and allow for anonymous disclosures, for receiving and ~~handl~~processing information provided by the reporting person;

Amendment 261 #

Proposal for a directive
Article 6 – paragraph 2 – point b

Amendment 262 #

Proposal for a directive
Article 6 – paragraph 2 – point b

b) give feedback to the reporting person or intermediaries about the follow- up of the report within a reasonable timeframe not exceeding three months or six months in duly justified cases;

Amendment 263 #

Proposal for a directive
Article 6 – paragraph 2 – point b

b) give feedback to the reporting person about the follow-up of the report within a reasonable timeframe not exceeding ~~three month~~60 days or ~~six~~120 months in duly justified cases;

Amendment 264 #

Proposal for a directive
Article 6 – paragraph 2 – point c

c) transmit, while further ensuring confidentiality and/or anonymity of the reporting person, the information contained in the report to competent bodies, offices or agencies of the Union, as appropriate, for further investigation, where provided for under national or Union law.

Amendment 265 #

Proposal for a directive
Article 6 – paragraph 2 a (new)

2 a. Reporting channels, including digital mechanisms, and institutional arrangements shall provide for safe, secure, confidential and anonymous disclosures.

Amendment 266 #

Proposal for a directive
Article 6 – paragraph 4

Amendment 267 #

Proposal for a directive
Article 6 – paragraph 4

Amendment 268 #

Proposal for a directive
Article 7 – title

7 ~~Design~~Structure and functioning of external reporting channels

Amendment 269 #

Proposal for a directive
Article 7 – paragraph 1 – point b

b) they are designed, set up and operated in a manner that ensures the completeness, integrity and confidentiality of the information, including the identity of both the reporting person and the concerned person and prevents access to non-authorised staff members of the competent authority;

Amendment 270 #

Proposal for a directive
Article 7 – paragraph 1 – point b

b) they are designed, set up and operated in a manner that ensures the completeness, integrity and confidentiality of the information ~~and~~, prevents access to non- authorised staff members of the competent authority and protects the identity of the reporting persons and of the intermediaries;

Amendment 271 #

Proposal for a directive
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 272 #

Proposal for a directive
Article 7 – paragraph 2 – point a

a) written report in electronic or paper format, including options for anonymous disclosures, as well as disclosures employing cryptographic methods;

Amendment 273 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 7 – paragraph 2 – point c

Amendment 274 #

Proposal for a directive
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 275 #

Proposal for a directive
Article 7 – paragraph 4

4. Member States and EU institutions, agencies and 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 276 #

Proposal for a directive
Article 8 – paragraph 2 – point c

c) maintaining contact with the reporting person ~~for the purpose of informing the reporting person~~and, whenever relevant, with those persons facilitating the reporting, such as intermediaries and investigative journalists, for the purpose of informing them of the progress and the outcome of the investigation.

Amendment 277 #

Proposal for a directive
Article 9 – paragraph 1 – point a

a) the manner in which the competent authority may require the reporting person or the intermediary to clarify the information reported or to provide additional information that is available to the reporting person;

Amendment 278 #

Proposal for a directive
Article 9 – paragraph 1 – point a a (new)

a a) a confidential notification of the receipt of the alert to the person issuing the alert within seven days of receipt;

Amendment 279 #

Proposal for a directive
Article 9 – paragraph 1 – point b

b) a reasonable timeframe, not exceeding ~~three months or six month~~60 days or 120 days in duly justified cases, for giving ~~feed-back~~updates to the reporting person ~~about the follow-up of the report and~~on the actual and forthcoming status as well as a description of the ~~type~~form and content of this feed-back;

Amendment 280 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 9 – paragraph 1 – point b

b) a reasonable timeframe, not exceeding three months or at most six months in duly justified cases, 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 281 #

Proposal for a directive
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 282 #

Proposal for a directive
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~~ and its conditions.

Amendment 283 #

Proposal for a directive
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 and a concerned person may be disclosed.

Amendment 284 #

Proposal for a directive
Article 9 – paragraph 1 – point c

c) the confidentiality ~~regime~~measures applicable to reports, including a detailed description of the circumstances under which the confidential data of a reporting person may be disclosed.

Amendment 285 #

Proposal for a directive
Article 9 – paragraph 2

2. The detailed description referred to in point (c) of paragraph 1 shall include the exceptional cases in which confidentiality of personal data may not be ensured, including 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.deleted

Amendment 286 #

Proposal for a directive
Article 9 – paragraph 2

2. The detailed description referred to in point (c) of paragraph 1 shall include the exceptional cases in which confidentiality of personal data may ~~not be ensur~~be breached, including 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.

Amendment 287 #

Proposal for a directive
Article 9 – paragraph 3

~~3. The detailed description referred to in point (c) of paragraph 1 must be written in clear and easy to understand language and be easily accessible to the reporting persons.~~deleted

Amendment 288 #

Proposal for a directive
Article 10 – paragraph 1 – introductory part

Member States shall ensure that competent authorities publish on their websites in at least two official languages of the European Union in a separate, easily identifiable and accessible section at least the following information:

Amendment 289 #

Proposal for a directive
Article 10 – paragraph 1 – point a

a) the conditions under which reporting persons or intermediaries qualify for protection under this Directive;

Amendment 290 #

Proposal for a directive
Article 10 – paragraph 1 – point d

d) the confidentiality regime applicable to reports, and in particular the information in relation to the processing of personal data in accordance with Article 5 and Article 13 of Regulation (EU) 2016/679, Article 13 of Directive (EU) 2016/680 and Article 11 of Regulation (EC) 45/2001, as applicable.

Amendment 291 #

Proposal for a directive
Article 10 – paragraph 1 – point g

g) a statement clearly explaining that persons making information available to the competent authority in accordance with this Directive are not considered to be infringing any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and are not to be involved in liability of any kind related to such disclosure. This statement however mentions three exceptions to this principle allow Member States to protect protected secrets on the basis of constitutional and conventional principles: (a) Secrets of national defence, (b) Secrets of the relationship between a lawyer and his client, (c) and medical confidentiality.

Amendment 292 #

Proposal for a directive
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 293 #

Proposal for a directive
Article 11 – paragraph 1

1. Member States shall ensure that competent authorities keep records of every report received. The records may be used only for the purpose referred to in Article 1 and shall be deleted as soon as the follow-up procedure is completed and closed. Records may be kept longer if they are required for monitoring procedures that are already under way.

Amendment 294 #

Proposal for a directive
Article 11 – paragraph 1

1. Member States shall ensure that competent authorities keep records of every report received. The reports will be stored only for as long as it is deemed necessary and proportionate after which they will be deleted.

Amendment 295 #

Proposal for a directive
Article 11 – paragraph 1

1. Member States shall ensure that competent authorities keep records of every report received for no longer that is necessary and proportionate for the reporting procedure.

Amendment 296 #

Proposal for a directive
Article 11 – paragraph 1

1. Member States shall ensure that competent authorities keep records of every report received while fully respecting Regulation (EU) 2016/679.

Amendment 297 #

Proposal for a directive
Article 11 – paragraph 2

2. Competent authorities shall promptly acknowledge the receipt of written reports to the postal or electronic address indicated by the reporting person~~, unless the reporting person~~ or the intermediary, unless they explicitly requested otherwise or the competent authority reasonably believes that acknowledging receipt of a written report would jeopardise the protection of the reporting person’s or intermediaries' identity.

Amendment 298 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 1 – introductory part

Where a recorded telephone line is used for reporting, subject to the consent of the reporting person or the intermediary, the competent authority shall have the right to document the oral reporting in one of the following ways:

Amendment 299 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 1 – introductory part

Where a recorded telephone line is used for reporting, subject to the consent of the reporting person, the competent authority shall ~~have the right to~~ document the oral reporting in one of the following ways:

Amendment 300 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 2

The competent authority shall offer the possibility to the reporting person or the intermediary to check, rectify and agree the transcript of the call by signing it.

Amendment 301 #

Proposal for a directive
Article 11 – paragraph 4

4. Where an unrecorded telephone line is used for reporting, the competent authority shall have the right to document the oral reporting in the form of accurate minutes of the conversation prepared by the dedicated staff members. The competent authority shall offer the possibility to the reporting person or the intermediary to check, rectify and agree with the minutes of the call by signing them.

Amendment 302 #

Proposal for a directive
Article 11 – paragraph 4

4. Where an unrecorded telephone line is used for reporting, the competent authority shall ~~have the right to~~ document the oral reporting in the form of accurate minutes of the conversation prepared by the dedicated staff members. The competent authority shall offer the possibility to the reporting person to check, rectify and agree with the minutes of the call by signing them.

Amendment 303 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 1 – introductory part

Where a person requests a meeting with the dedicated staff members of the competent authority for reporting according to Article 7(2)(c), competent authorities shall ensure, subject to the consent of the reporting person or the intermediary, that complete and accurate records of the meeting are kept in a durable and retrievable form. A competent authority shall have the right to document the records of the meeting in one of the following ways:

Amendment 304 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 1 a (new)

If the circumstances described in the point (c) of paragraph 1 of Article 9 take place, the competent authority shall send to the reporting person a justification in written form, on which grounds the competent authority believes that the confidential data should be disclosed. The competent authority shall offer the possibility to the reporting person to check, rectify and agree if these circumstances take place.

Amendment 305 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 1 a (new)

All reports are subject to the processing of personal data in accordance with Article 5 and Article 13 of Regulation (EU) 2016/679, Article 13 of Directive (EU) 2016/680 and Article 11 of Regulation (EC) 45/2001.

Amendment 306 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 2

The competent authority shall offer the possibility to the reporting person or the intermediary to check, rectify and agree with the minutes of the meeting by signing them.

Amendment 307 #

Proposal for a directive
Article 13 – title

Conditions for the protection of reporting persons and intermediaries

Amendment 308 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
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, he or she has acted in good faith and that this information falls within the scope of this Directive.

Amendment 309 #

Proposal for a directive
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 310 #

Proposal for a directive
Article 13 – paragraph 1

1. A reporting person or the intermediary 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 311 #

Proposal for a directive
Article 13 – paragraph 2

Amendment 312 #

Proposal for a directive
Article 13 – paragraph 2 – introductory part

2. A person reporting externally or internally shall qualify for protection under this Directive ~~where one of the following conditions is fulfilled :~~.

Amendment 313 #

Proposal for a directive
Article 13 – paragraph 2 – point a

~~a) he or she first reported internally but no appropriate action was taken in response to the report within the reasonable timeframe referred in Article 5;~~deleted

Amendment 314 #

Proposal for a directive
Article 13 – paragraph 2 – point b

~~b) internal reporting channels were not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels;~~deleted

Amendment 315 #

Proposal for a directive
Article 13 – paragraph 2 – point c

~~c) the use of internal reporting channels was not mandatory for the reporting person, in accordance with Article 4(2);~~deleted

Amendment 316 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
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;~~eleted

Amendment 317 #

Proposal for a directive
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 318 #

Proposal for a directive
Article 13 – paragraph 2 – point e

~~e) he or she had reasonable grounds to believe that the use of internal reporting channels could jeopardise the effectiveness of investigative actions by competent authorities;~~deleted

Amendment 319 #

Proposal for a directive
Article 13 – paragraph 2 – point e

e) he or she had reasonable grounds to believe that the use of internal reporting channels could ~~jeopardise~~result in retaliation or jeopardise the effectiveness of investigative actions by competent authorities or when use of the internal channel has previously resulted in retaliation or jeopardised the effectiveness of investigative actions by competent authorities;

Amendment 320 #

Proposal for a directive
Article 13 – paragraph 2 – point f

~~f) he or she was entitled to report directly through the external reporting channels to a competent authority by virtue of Union law.~~deleted

Amendment 321 #

Proposal for a directive
Article 13 – paragraph 3

3. A person reporting to relevant bodies, offices, elected officials or agencies of the Union on breaches falling within the scope of this Directive shall qualify for protection as laid down in this Directive under the same conditions as a person who reported ~~externally~~ in accordance with the conditions set out in paragraph 21).

Amendment 322 #

Proposal for a directive
Article 13 – paragraph 3

3. A person reporting to relevant bodies, offices or agencies of the Union on breaches falling within the scope of this Directive shall qualify for protection as laid down in this Directive under the same conditions as a person who reported ~~externally~~ in accordance with the conditions set out in paragraph 21.

Amendment 323 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 13 – paragraph 4 – introductory part

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall qualify for protection under this Directive where one of the following conditions is fulfilled:

Amendment 324 #

Proposal for a directive
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 325 #

Proposal for a directive
Article 13 – paragraph 4 – introductory part

Amendment 326 #

Proposal for a directive
Article 13 – paragraph 4 – introductory part

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall qualify for protection under this Directive ~~where:~~.

Amendment 327 #

Proposal for a directive
Article 13 – paragraph 4 – point a

a) he or she first reported internally and/or externally in accordance with Chapters II and III and paragraph 2 of this Article, but no appropriate action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); ordeleted

Amendment 328 #

Proposal for a directive
Article 13 – paragraph 4 – point a

Amendment 329 #

Proposal for a directive
Article 13 – paragraph 4 – point a

a) he or she first reported internally and/or externally in accordance with Chapters II and III and paragraph 21 of this Article, but no appropriate action was taken in response to the report within the timeframe referred to in Articles 5(1)(d)6(2)(b) and 9(1)(b); or

Amendment 33 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Title 1

Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the protection of persons reporting on breaches of ~~Union law~~law, misconduct or wrongdoing

Amendment 330 #

Proposal for a directive
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 331 #

Proposal for a directive
Article 13 – paragraph 4 – point b

b) he or she could not reasonably be expected to use internal and/or external reporting channels due to imminent or manifest danger for the public interest, or to the particular circumstances of the case, or where there is a risk of irreversible damage.deleted

Amendment 332 #

Proposal for a directive
Article 13 – paragraph 4 – point b

b) he or she could not reasonably be expected to use internal and/or external reporting channels due to imminent or manifest danger for the public interest, urgent threat to public health, safety or the environment or to the particular circumstances of the case, or where there is a risk of irreversible damage.;

Amendment 333 #

Proposal for a directive
Article 13 – paragraph 4 – point b

b) he or she could not reasonably be expected to use internal and/or external reporting channels due to ~~imminent or manifest danger for the public interest,~~a risk of collusion or cover-up or to the particular circumstances of the case, or where there is a risk of ~~irreversible~~significant damage.

Amendment 334 #

Proposal for a directive
Article 13 – paragraph 4 – point b a (new)

b a) internal or external reporting channels were not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels;

Amendment 335 #

Proposal for a directive
Article 13 – paragraph 4 – point b a (new)

b a) Any failure to follow the adequate reporting procedures constitutes grounds for the invalidation of the reporting and for the denial of the qualification for protection

Amendment 336 #

Proposal for a directive
Article 13 – paragraph 4 – subparagraph 1 (new)

c) where the public has an overriding interest in being informed directly.

Amendment 337 #

Proposal for a directive
Article 13 – paragraph 4 – point b b (new)

b b) he or she could not reasonably be expected to use internal or external reporting channels in light of the subject- matter of the report;

Amendment 338 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 13 – paragraph 4 – point b c (new)

b c) he or she had reasonable grounds to believe that the use of internal and external reporting channels could jeopardise the effectiveness of investigative actions by competent authorities.

Amendment 339 #

Proposal for a directive
Article 14 – title

14 Prohibition of retaliation against reporting persons and investigative journalists

Amendment 34 #

Proposal for a directive
Citation 1

Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 9, 10, 11, 12, 15, 16, 33, 43, 50, 53(1), 62, 91, 100, 103, 109, 114, 168, 169, 192, 207, 325(4) and 352~~5(4)~~ thereof and to the Treaty establishing the European Atomic Energy Community, and in particular Article 31 thereof,

Amendment 340 #

Proposal for a directive
Article 14 – title

Prohibition of retaliation against reporting persons and intermediaries

Amendment 341 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 14 – paragraph 1 – introductory part

Member States shall take the necessary measures to prohibit any form of retaliation, whether direct or indirect, against reporting persons, intermediaries and relatives of the reporting person meeting the conditions set out in Article 13, including in particular in the form of:

Amendment 342 #

Proposal for a directive
Article 14 – paragraph 1 – point g

g) coercion, intimidation, harassment or ostracism at the workplace, in public or private life;

Amendment 343 #

Proposal for a directive
Article 14 – paragraph 1 – point g

g) coercion, intimidation, physical and verbal violence, harassment or ostracism ~~at the workplace~~;

Amendment 344 #

Proposal for a directive
Article 14 – paragraph 1 – point g

g) coercion, intimidation, harassment ~~or ostracism at the workplace~~, discrimination or ostracism;

Amendment 345 #

Proposal for a directive
Article 14 – paragraph 1 – point g

g) coercion, intimidation, harassment or ostracism ~~at the workplace~~;

Amendment 346 #

Proposal for a directive
Article 14 – paragraph 1 – point i

i) failure to convert an internship or a temporary employment contract into a permanent one;

Amendment 347 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 14 – paragraph 1 – point k

k) damage, including to the person’s reputation and particularly on social media, or financial loss, including loss of business and loss of income;

Amendment 348 #

Proposal for a directive
Article 14 – paragraph 1 – point k a (new)

k a) abusive suing and disproportionate financial claims;

Amendment 349 #

Proposal for a directive
Article 14 – paragraph 1 – point n a (new)

n a) legal actions aimed to shut down critical speech by intimidating critics into silence and draining their resources.

Amendment 35 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Citation 6 a (new)

Having regard to the Charter of Fundamental Rights of the European Union,

Amendment 350 #

Proposal for a directive
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 351 #

Proposal for a directive
Article 15 – title

Measures for the protection of reporting persons and intermediaries against retaliation

Amendment 352 #

Proposal for a directive
Article 15 – paragraph 1

1. Member States shall take the 1. necessary measures to ensure the protection of reporting persons and intermediaries meeting the conditions set out in Article 13 against retaliation. Such measures shall include, in particular, those set out in paragraphs 2 to 8.

Amendment 353 #

Proposal for a directive
Article 15 – paragraph 2

2. Comprehensive and independent information and advice shall be easily accessible to the public, free of charge, on procedures and remedies available on protection against retaliation in at least two official languages of the European Union. This independent role could be performed, for example, by civil society organisations and/or trade unions.

Amendment 354 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 15 – paragraph 3

3. Reporting persons and intermediaries 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 355 #

Proposal for a directive
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 356 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 15 – paragraph 4

4. Persons reporting externally to competent authorities or making a public disclosure in accordance with this Directive shall not be considered to have breached any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and incur liability of any kind in respect of such disclosure. However, three exceptions to this principle allow Member States to protect protected secrets on the basis of constitutional and conventional principles: (a) Secrets of national defence, (b) Secrets of the relationship between a lawyer and his client, (c) and medical confidentiality.

Amendment 357 #

Proposal for a directive
Article 15 – paragraph 5

Amendment 358 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 15 – paragraph 6

6. Reporting persons and intermediaries 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~~covering 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 lost past, present, or future earnings and status; e) compensation for pain and suffering; f) compensation for economic losses particularly in the case of dismissal; g) compensation for other economic damage such as legal expenses and costs of medical treatment, for psycho-social and non-material damage; h) interim relief pending the resolution of legal proceedings.

Amendment 359 #

Proposal for a directive
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~~covering 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 36 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Citation 6 b (new)

Having regard to the European Parliament resolution of 14 February 2017 on the role of whistleblowers in the protection of EU’s financial interests,

Amendment 360 #

Proposal for a directive
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 361 #

Proposal for a directive
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 may provide for further measures of legal and financial assistance and support for reporting persons in the framework of legal proceedings, including legal advice from a lawyer, trade union representative or other relevant person or body. _________________ 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 362 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
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 may provide for further measures of legal, social 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 363 #

Proposal for a directive
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 ~~may~~shall 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 364 #

Proposal for a directive
Article 15 – paragraph 8 a (new)

8 a. Member States shall ensure that, following an individual assessment, any third country national who reports information falling within the scope of this directive and suffers from a well- founded fear of persecution or would face a real risk of suffering serious harm because of the report and is unable or, owing to such fear, is unwilling to avail himself or herself of the protection of his or her country of residence, shall be considered as qualifying as a refugee beneficiary of subsidiary protection in accordance with Directive 2011/95/EU.

Amendment 365 #

Proposal for a directive
Article 15 a (new)

Article 15 a Whistleblowing Authorities 1) Member States shall designate one or several authorities responsible for the oversight and enforcement of the protection of persons reporting on breaches of Union law. 2) Member States shall ensure that the entity or entities mentioned in paragraph 1 are independent and have sufficient power and resources to operate effectively. 3) The entity or entities shall: a) Receive and diligently follow up on complaints of retaliation from reporting persons; b) Receive and diligently follow up on complaints of inappropriate follow-up of reports and disclosures; c) Provide advice and support to reporting persons and persons designated to receive reports; d) Publish procedural guidelines regarding the procedures for internal and external reporting and follow-up of reports as it considers appropriate; e) Monitor and review external reporting procedures; f) Collect and publish data and information regarding the protection of persons reporting on breaches of Union law, including statistics mentioned in article 21(2); g) Conduct public awareness programmes aimed at informing workers and the general public about the making of reports and disclosures.

Amendment 366 #

Proposal for a directive
Article 16 – paragraph 3 a (new)

3 a. The protection of the personal data of the concerned person is essential to avoid any unfair treatment or reputational harm following the public disclosure of personal data, in particular those revealing the identity of a concerned person. Consequently, the competent authorities should, in accordance 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, establish adequate procedures of data protection, in order to protect the reporting person, the concerned person as well as any other person targeted in the reporting. The authorities shall ensure a secured system among the competent authorities to allow the access to authorised persons only.

Amendment 367 #

Proposal for a directive
Article 16 – paragraph 3 b (new)

3 b. Any person affected by the reporting or the misleading or malicious disclosure should benefit from a legal protection, including the right to an effective remedy against an abusive reporting.

Amendment 368 #

Proposal for a directive
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 be fully respected.

Amendment 369 #

Proposal for a directive
Article 17 – paragraph 1 – introductory part

1. Member States shall provide for effective, proportionate and dissuasive appeals and/or penalties applicable to natural or legal persons that:

Amendment 37 #

Proposal for a directive
Citation 6 c (new)

Amendment 370 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 17 – paragraph 1 – point b

b) take retaliatory measures against reporting persons or intermediaries, also outside the work-related relation;

Amendment 371 #

Proposal for a directive
Article 17 – paragraph 1 – point b

b) take retaliatory measures against reporting persons or investigative journalists revealing wrondoing;

Amendment 372 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Article 17 – paragraph 1 – point c

c) bring vexatious proceedings against reporting persons or investigative journalists revealing wrongdoing;

Amendment 373 #

Proposal for a directive
Article 17 – paragraph 1 – point d

d) breach the duty of maintaining the confidentiality of the identity of reporting persons. without having obtained their consent;

Amendment 374 #

Proposal for a directive
Article 17 – paragraph 1 – point d

d) breach the duty of maintaining the confidentiality of the identity of reporting persons and concerned persons.

Amendment 375 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 17 – paragraph 1 – point d

d) breach the duty of maintaining the confidentiality or the anonymity of the identity of reporting persons.

Amendment 376 #

Proposal for a directive
Article 17 – paragraph 1 – point d a (new)

d a) do not fulfil their obligation to follow- up on a report;

Amendment 377 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
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)

d b) do not fulfil their obligation to provide feedback to the reporting person about the follow up to the report.

Amendment 379 #

Proposal for a directive
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 38 #

Proposal for a directive
Citation 6 d (new)

Having regard to the European Convention on Human Rights,

Amendment 380 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 381 #

Proposal for a directive
Article 17 – paragraph 2

2. Member States shall provide for effective, proportionate and dissuasive appeals and/or 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.

Amendment 382 #

Proposal for a directive
Article 18 – paragraph 1

Any processing of personal data carried out pursuant to this Directive, including the exchange or transmission of personal data by the competent authorities, shall be made in accordance with Regulation (EU) 2016/679 and Directive (EU) 2016/680. Any exchange or transmission of information by competent authorities at Union level should be undertaken in accordance with Regulation (EC) No 45/2001. Personal data which are not relevant for the handling of a specific case shall not be collected or, if accidentally collected, shall be immediately deleted.

Amendment 383 #

Proposal for a directive
Article 19 – paragraph 1

Member States may ~~introduce or re~~adopt or maintain provisions more favourable to the rights of ~~the reporting persons than those set out~~informants and the rights of persons concerned by the alert than those provided for in this Directive, without prejudice to Articles 16 and ~~Article 17(2)~~17(2), in order to enable Member States to provide effective guarantees of confidentiality.

Amendment 384 #

Proposal for a directive
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 385 #

Proposal for a directive
Article 21 – paragraph 2 – introductory part

2. Without prejudice to reporting obligations laid down in other Union legal acts, Member States shall, on an annual basis, submit the following statistics on the reports referred to in Chapter III to the Commission~~, if they are available at a central level in the Member State concerned~~:

Amendment 386 #

Proposal for a directive
Article 21 – paragraph 3

3. The Commission shall, by 15 May 2027, taking into account its report submitted pursuant to paragraph 1 and the Member States’ statistics submitted pursuant to paragraph 2, submit a report to the European Parliament and to the Council assessing the impact of national law transposing this Directive. The report shall evaluate the way in which this Directive has operated, the possible impact on fundamental rights such as privacy, the right to the presumption of innocence and the right to a fair trial, and consider the need for additional measures, including, where appropriate, amendments with a view to extending the scope of this Directive to further areas or Union acts.

Amendment 387 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Article 22 a (new)

Amendment 388 #

Proposal for a directive
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 39 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Recital 1

(1) Persons who work or worked for an organisation or are or were 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 andare often the first to know about threats, harm or criminal or illegal activities. By ‘blowing the whistle’ they play a key role in unveiling violations of fundamental rights and in safeguarding the welfare of society. Whistleblowers play a crucial role in unveiling wrongdoing or unethical and dishonest conduct to the public interest that is not unlawful. It is often difficult for them to assess the lawfulness of facts. Therefore according to the European Court of Human Rights the legal assessment is not the task of the whistleblowers.4 It ins s~~afeguarding the welfare of society~~ufficient that they act in good faith that the facts are correct. However, potential whistleblowers are often discouraged from reporting their concerns or suspicions for fear of retaliation. 4 ECHR, V. section, 27.07.2011 - 28274/08, Heinisch/Germany.

Amendment 40 #

Proposal for a directive
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 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 42 #

Proposal for a directive
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 and in protecting the fundamental right to freedom of expression and information. However, potential whistleblowers are often discouraged from reporting their concerns or suspicions for fear of retaliation.

Amendment 43 #

Proposal for a directive
Recital 1

Amendment 44 #

Proposal for a directive
Recital 1 a (new)

(1 a) Too broad a definition of whistle- blowers risks jeopardizing their effective protection;

Amendment 45 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Recital 2

(2) At Union level, reports by whistleblowers 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~~monitoring the correct application of Union law.

Amendment 46 #

Proposal for a directive
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 47 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches 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 channelsIf whistleblowers make a disclosure in the public interest, their effective protection from retaliation must be insured and effective internal and external reporting channels must be introduced.

Amendment 48 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Recital 3

(3) ~~In certain policy areas, b~~Breaches 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~~ and for the enjoyment of human rights and fundamental freedoms. Since whistleblowers are in a privileged position to disclose breaches, it is necessary to en~~hance enforcement by ensuring~~sure their effective protection ~~of whistleblowers~~ from retaliation and to introduc~~ing~~e effective and confidential reporting channels.

Amendment 49 #

Proposal for a directive
Recital 3

Amendment 50 #

Proposal for a directive
Recital 3

(3) In certain policy areas, breaches 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~~provide a minimum framework to strengthen law enforcement by ensuring effective protection of whistleblowers from retaliation and introducing effective reporting channels.

Amendment 51 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Recital 3

(3) ~~In certain policy areas, b~~Breaches 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~~to ensure that there are effective and confidential reporting channels.

Amendment 52 #

Proposal for a directive
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 53 #

Proposal for a directive
Recital 4

(4) Whistleblower protection currently provided in the European Union is fragmented across Member States and uneven across policy areas. ~~The consequences of breaches of Union law with cross-border dimension uncovered by whistleblowers illustrate how i~~Whistleblowers shall be protected if they disclose breaches of law or wrongdoing or misconduct in the public interest. Insufficient protection in one Member State 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 54 #

Proposal for a directive
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 to the public interestall Union and national laws and areas.

Amendment 55 #

Laura FERRARA, Fabio Massimo CASTALDO, Ignazio CORRAO

Proposal for a directive
Recital 5

(5) Accordingly, common minimum standards ensuring effective whistleblower protection should apply ~~in those~~to all EU 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~~a public interest may arise.

Amendment 56 #

Proposal for a directive
Recital 5

Amendment 57 #

Proposal for a directive
Recital 6

(6) Whistleblower protection is necessary to enhance the enforcement of Union law on public procurement. In addition to the need of preventing and detecting fraud and corruption in the context of the implementation of the EU budget, including procurement, it is necessary to tackle insufficient enforcement of rules on public procurement by national public authorities and certain public utility operators when purchasing goods, works and services. Breaches of such rules create distortions of competition, increase costs for doing business, ~~viol~~threaten the interests of investors and shareholders and, overall, lower attractiveness for investment and create an uneven level playing field for all businesses across Europe, thus affecting the ~~prope~~fair functioning of the internal market.

Amendment 58 #

Proposal for a directive
Recital 9

(9) The importance of whistleblower protection in terms of preventing and deterring breaches of Union rules on transport safety which can endanger human lives has been already acknowledged in sectorial Union instruments on aviation safety38 and maritime transport safety39 , which provide for tailored measures of protection to whistleblowers as well as specific reporting channels. These instruments also include the protection from retaliation of the workers reporting on their own honest mistakes (so called ‘just culture’). Inter alia it is necessary to complement the existing elements of whistleblower protection in these two sectors as well as to provide such protection to enhance the enforcement of safety standards for other transport modes, namely road and railway transport. _________________ 38 Regulation (EU) No 376/2014 of the European Parliament and of the Council, of 3 April 2014, on the reporting, analysis and follow-up of occurrences in civil aviation (OJ L 122, p. 18). 39 Directive 2013/54/EU, of the European Parliament and of the Council, of 20 November 2013, concerning certain flag State responsibilities for compliance with and enforcement of the Maritime Labour Convention (OJ L 329, p. 1), Directive 2009/16/EC of the European Parliament and of the Council, of 23 April 2009, on port State control (OJ L 131, p. 57).

Amendment 59 #

Proposal for a directive
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~~ as well as to prevent misuses of personal data and infringements of the Union data protection legislation. It helps protecting the fundamental rights to privacy and to the protection of personal data and 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 60 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
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 61 #

Proposal for a directive
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 is~~Investigative 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 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Recital 16

Amendment 63 #

Proposal for a directive
Recital 18 a (new)

(18 a) Whistleblowers who report misconduct and violations of labour and social law are key to ensuring safe and just workplaces. Breaches of rules in an organisation that are reported by persons who work or worked there or by persons who were in contact with it, shall be ensured full protection under this regulation.

Amendment 64 #

Proposal for a directive
Recital 19

Amendment 65 #

Proposal for a directive
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 amend~~it should be added to the Annex to the present Directive in order to place it under its scope.

Amendment 66 #

Proposal for a directive
Recital 20

(20) This Directive should be without prejudice to the protection afforded to employees when reporting on ~~breaches of Union employment~~misconduct or wrongdoing or on breaches of Union as well as national 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 67 #

Proposal for a directive
Recital 20

Amendment 68 #

Proposal for a directive
Recital 21

Amendment 69 #

Proposal for a directive
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 affect 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 70 #

Proposal for a directive
Recital 21 a (new)

(21 a) Persons who report information related to national security (i.e. State security), defence, public security, and the prevention, investigation, detection and prosecution of criminal offences are often met with severe penalties and prosecutions. Such persons may be members of the military or the security and intelligence community of the Member States, or any other persons having come across sensitive information. While it is necessary to protect national security and state secrets, there are often situations where reporting persons are the only way to uncover breaches of Union law and violations of fundamental rights by Member State authorities. Member States should therefore apply the protections offered by this Directive to persons reporting information linked to national security and other public security issues by drawing on the case-law of the European Court of Human Rights and on the principles developed by the Council of Europe in its 2014 Recommendation on Protection of Whistleblowers, in particular Principle 5, as well as on the Global Principles on National Security and the Right to Information (Tshwane Principles).

Amendment 71 #

Proposal for a directive
Recital 21 a (new)

(21 a) Reporting persons who, in view of an overriding and compelling public interest, disclose information regarding national security and other classified information which Union law or the laws, regulations or administrative provisions in force in the Member State concerned require to be protected from unauthorised access for security reasons, should enjoy the mechanisms of protection provided for in this Directive.

Amendment 72 #

Proposal for a directive
Recital 22

(22) Persons who report information 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 media freedom and pluralism.

Amendment 73 #

Proposal for a directive
Recital 22

(22) Persons who report information 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 f~~Freedom of expression, is essential in a democratic society. and 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 media freedom and pluralism.

Amendment 74 #

Proposal for a directive
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 75 #

Proposal for a directive
Recital 24

(24) Persons need specific legal protection where they acquire the information they report through their ~~work- related~~ activities and therefore run the risk of ~~work-related~~ retaliation (for instance, for breaching the duty of confidentiality or loyalty). 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 retaliation~~.

Amendment 76 #

Proposal for a directive
Recital 24

(24) Persons need ~~specific~~ legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation (for instance, for breaching the duty of confidentiality or loyalty). 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 retaliation.~~

Amendment 77 #

Proposal for a directive
Recital 24

(24) No employment relationship should restrict someone’s right to freedom of expression. Persons need specific legal protection where they acquire the information they report through their work- related activities and therefore run the risk of work-related retaliation ~~(for instance, for breaching the duty of confidentiality or loyalty)~~. 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 retaliation.~~

Amendment 78 #

Proposal for a directive
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 privileged 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 occurred.

Amendment 79 #

Proposal for a directive
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~~their activities (irrespective of the nature of these activities, whether they are paid or not), have privileged 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 occurred.

Amendment 80 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Recital 26

(26) Protection should, firstly, apply to persons having the status of 'workers', within the meaning of Article 45 TFEU, as interpreted by the Court of Justice of the European Union52 , i.e. persons who, for a certain period of time, perform services for and under the direction of another person, in return of which they receive remuneration. Protection should thus also be granted to workers in non-standard employment relationships, including part- time workers and fixed-term contract workers, as well as persons with a contract of employment or employment relationship with a temporary agency, which are types of relationships where standard protections against unfair treatment are often difficult to apply. Protection should thus also be granted to persons whose employment contract has ended either through for example retirement or end of contract and paid and unpaid trainees. Finally, protection should also be granted to civil servants. _________________ 52 Judgments of 3 July 1986, Lawrie-Blum, Case 66/85; 14 October 2010, Union Syndicale Solidaires Isère, Case C-428/09; 9 July 2015, Balkaya, Case C-229/14; 4 December 2014, FNV Kunsten, Case C- 413/13; and 17 November 2016, Ruhrlandklinik, Case C-216/15.

Amendment 81 #

Proposal for a directive
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 27

(27) Protection should also extend to people facilitating the reporting, intermediaries and investigative journalists, who disclose potential or occurred breach, as well as 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 also find themselves in a position of economic 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 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 83 #

Proposal for a directive
Recital 27 a (new)

(27 a) Protection should also extend to people facilitating the reporting, intermediaries, investigative journalists, civil society organisations who, through their activities, guarantee the effective disclosure of the potential or occurred breach.

Amendment 84 #

Proposal for a directive
Recital 27 b (new)

(27 b) Protection should also extend to any natural or legal person who is regularly or professionally engaged in the collection and dissemination of information to the public via any means of mass communication.

Amendment 85 #

Proposal for a directive
Recital 28

Amendment 86 #

Proposal for a directive
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 or for supporting whistleblowers reporting. 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.

Amendment 87 #

Proposal for a directive
Recital 28 a (new)

(28 a) Protection should be also afforded to all individuals working within all the institutions, bodies and agencies of the Union as well as to individuals working in the European entities located outside the Union territory. European Union institutions, agencies and bodies should adopt and implement internal rules protecting whistleblowers in accordance with Articles 22a, 22b and 22c of Regulation No 31 (EEC), 11 (EAEC), (‘the Staff Regulations’).

Amendment 88 #

Proposal for a directive
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 as well as, more generally, on any reprehensible act detrimental to the public interest.

Amendment 89 #

Proposal for a directive
Recital 29

Amendment 90 #

Proposal for a directive
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~~unsubstantiated rumours and hearsay. Protection should be given to individuals working in 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 91 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Recital 30

(30) Effective prevention of ~~breaches of Union~~misconduct or wrongdoing or of breaches of Union as well as national 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 30

Amendment 93 #

Proposal for a directive
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. Reporting persons should generally respect the hierarchy of reporting channels. Such a requirement is necessary to ensure that information reaches those who can contribute to a quick and efficient resolution of risks to the public interest, as well as to prevent any unjustified harm to reputation, resulting from public disclosure.

Amendment 94 #

Proposal for a directive
Recital 31

Amendment 95 #

Laura FERRARA, Ignazio CORRAO, Fabio Massimo CASTALDO

Proposal for a directive
Recital 31

Amendment 96 #

Proposal for a directive
Recital 31

Amendment 97 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Tomáš ZDECHOVSKÝ, Laima Liucija ANDRIKIENĖ

Proposal for a directive
Recital 32 a (new)

(32 a) Potential whistleblowers should be free to rely on the reporting channel of their choice, be it internal or external, or to decide to disclose information to the public domain, for example through the media, provided that the confidentiality and anonymity of their disclosure are fully safeguarded, that data protection is ensured and that the journalists, bloggers or media in general are never compelled to reveal the identity of their sources. Whistleblowers should be protected no matter what their choice of reporting channel is.

Amendment 98 #

Proposal for a directive
Recital 33

(33) Whistleblowers are, in particular, important sources for investigative journalists. Providing effective protection to whistleblowers ~~from retaliation~~as 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 #

Ignazio CORRAO, Laura FERRARA, Fabio Massimo CASTALDO, Laima Liucija ANDRIKIENĖ

Proposal for a directive
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.

source: 627.844

2018/09/26 JURI 279 amendments...

Amendment 300 #

Proposal for a directive
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 activities;, in other words someone who discloses or reports, impartially and in good faith, an action he or she was personally aware of, and which constitutes: - a crime or an offence; - a serious and flagrant breach of an international commitment that is regularly ratified or approved by the European Union, or of a unilateral act of an organisation based on this commitment, as well as legal and regulatory provisions; - a serious threat or serious harm to public interest.

Amendment 301 #

Proposal for a directive
Article 3 – paragraph 1 – point 9

Amendment 302 #

Proposal for a directive
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 activities~~;

Amendment 303 #

Proposal for a directive
Article 3 – paragraph 1 – point 9

9. ‘reporting person’ means a natural or legal person who reports or discloses information in good faith on breaches acquired in the context of his or her work- related activities;

Amendment 304 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 3 – paragraph 1 – point 9 a (new)

(9a) ‘facilitator’ means a natural or legal person who contributes to reporting; who assists or aids the reporting person.

Amendment 305 #

Proposal for a directive
Article 3 – paragraph 1 – point 10

Amendment 306 #

Proposal for a directive
Article 3 – paragraph 1 – point 10 a (new)

(10a) 'worker' means a natural person who for a certain period of time performs services for and under the direction of another person in return for remuneration;

Amendment 307 #

Proposal for a directive
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 and causes or may cause unjustified detriment to the reporting person acting in good faith who is reporting on a threat or serious harm to the public interest;

Amendment 308 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

Amendment 309 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

Amendment 310 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 3 – paragraph 1 – point 12

(12) ‘retaliation’ means any threatened or actual, direct or indirect act or omission, prompted by the internal or, external reporting or by disclosure, which occurs in a work-related context and causes or may cause unjustified detriment to the reporting person;

Amendment 311 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal or external reporting or by the public disclosure which occurs in a work- related context and causes or may cause unjustified detriment to the reporting person;

Amendment 312 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

Amendment 313 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

(12) ‘retaliation’ means any ~~threatened or~~ actual act or omission prompted by the internal or external reporting or disclosure which occurs in a work-related context and causes ~~or may cause~~ unjustified detriment to the reporting person;

Amendment 314 #

Proposal for a directive
Article 3 – paragraph 1 – point 12

(12) ‘retaliation’ means any threatened or actual act or omission prompted by the internal or external reporting or by disclosure, which occurs in a work-related context and causes or may cause unjustified detriment to the reporting person;

Amendment 315 #

Proposal for a directive
Article 3 – paragraph 1 – point 13

Amendment 316 #

Proposal for a directive
Article 3 – paragraph 1 – point 13

Amendment 317 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
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 their good faith and, where relevant, to address the breach reported, including actions such as internal enquiry, investigation, prosecution, action for recovery of funds and closure;

Amendment 318 #

Proposal for a directive
Article 3 – paragraph 1 – point 13 a (new)

(13a) ‘national authority’ means any national 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 319 #

Kostas CHRYSOGONOS, Stelios KOULOGLOU, Jiří MAŠTÁLKA

Proposal for a directive
Article 3 – paragraph 1 – point 13 b (new)

(13b) ‘OPLA’, the authority set up at European level to receive reports in accordance with Chapter III, and to carry out the functions provided for in this Directive;

Amendment 320 #

Proposal for a directive
Article 3 – paragraph 1 – point 13 c (new)

(13c) 'facilitator' means any natural or legal person who contributes to the report or assists a person reporting on breaches with his report.

Amendment 321 #

Proposal for a directive
Article 3 – paragraph 1 – point 14

Amendment 322 #

Proposal for a directive
Article 3 – paragraph 1 – point 14

Amendment 323 #

Proposal for a directive
Article 4 – title

~~Obligation to establish internal c~~Channels and procedures for reporting and follow-up of reports

Amendment 324 #

Kostas CHRYSOGONOS, Stelios KOULOGLOU, Jiří MAŠTÁLKA

Proposal for a directive
Article 4 – paragraph 1

1. Member States shall ensure that employer, and other legal entities in the private and ~~in the~~ public sector ~~establish internal channels and procedures for reporting and following up on reports, follow~~, to the extent the activities requires it, either makes sure that there are routines for such internal reporting referred to in this Directive on the protection of workers such as reporting con~~sultations with social partners, if appropriate~~ breaches or take other measures that facilitate such reporting.

Amendment 325 #

Proposal for a directive
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, following consultations ~~with social partners, if appropriate~~and negotiations with the worker representatives and/or the trade union and/or social partners.

Amendment 326 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity. They may allow for reporting by other persons who are in contact with the entity in the context of their work- related activities, referred to in Article 2(1)(b),(c) and (d), but the use of internal channels for reporting shall not be mandatory for these categories of persons.deleted

Amendment 327 #

Proposal for a directive
Article 4 – paragraph 2

Amendment 328 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity. They mayust allow for reporting by other persons who are in contact with the entity in the context of their work-related activities, referred to in Article 2(1)(b)~~,(c)~~ and (~~d), but the use of internal channels for reporting shall not be mandatory for these categories of persons~~c).

Amendment 329 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 4 – paragraph 2

2. Such channels and procedures shall allow for reporting by employees of the entity. They ~~may~~shall allow for reporting by other persons who are in contact with the entity in the context of their work-related activities, referred to in Article 2(1)(b), (c) and (d)~~, but the use of internal channels for reporting shall not be mandatory for these categories of persons~~.

Amendment 330 #

Proposal for a directive
Article 4 – paragraph 2 a (new)

2a. These reporting channels shall be clearly defined by the entity and easily accessible both within and from outside the entity. Such channels shall fully safeguard the anonymity of persons reporting on breaches or their facilitators, provided they wish to, as well as their personal data.

Amendment 331 #

Proposal for a directive
Article 4 – paragraph 3

3. The legal entities in the private sector referred to in paragraph 1 are the following: a) private legal entities with 50 or more employees; b) private legal entities with an annual business turnover or annual balance sheet total of EUR 10 million or more; c) private legal entities of any size operating in the area of financial services or vulnerable to money laundering or terrorist financing, as regulated under the Union acts referred to in the Annex.deleted

Amendment 332 #

Proposal for a directive
Article 4 – paragraph 3 – introductory part

(3) ~~The legal entities in the private sector referred to in paragraph 1 are the following:~~Paragraph 1 does not apply to micro, small or medium-sized enterprises in the sense of Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises1a. _________________ 1a Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, pp. 36-41)

Amendment 333 #

Proposal for a directive
Article 4 – paragraph 3 – point a

~~a) private legal entities with 50 or more employees;~~deleted

Amendment 334 #

Proposal for a directive
Article 4 – paragraph 3 – point b

~~(b) private legal entities with an annual business turnover or annual balance sheet total of EUR 10 million or more;~~deleted

Amendment 335 #

Proposal for a directive
Article 4 – paragraph 3 – point c

~~c) private legal entities of any size operating in the area of financial services or vulnerable to money laundering or terrorist financing, as regulated under the Union acts referred to in the Annex.~~deleted

Amendment 336 #

Proposal for a directive
Article 4 – paragraph 3 – point c a (new)

ca) private legal entities of any size whose conducted activities are likely to constitute a danger to the environment or to public health.

Amendment 337 #

Proposal for a directive
Article 4 – paragraph 4

(4) Following an appropriate risk assessment taking into account the nature of activities of the entities and the ensuing level of risk, Member States may require small private legal entities, as defined in Commission Recommendation of 6 May 200362, other than those referred to in paragraph 3(c) to establish internal reporting channels and procedures. _________________ 62 Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.05.2003, p. 36).deleted

Amendment 338 #

Proposal for a directive
Article 4 – paragraph 4

4. Following an appropriate risk assessment taking into account the nature of activities of the entities and the ensuing level of risk, Member States may require small private legal entities, as defined in Commission Recommendation of 6 May 200362 , other than those referred to in paragraph 3(c) to establish internal reporting channels and procedures. _________________ 62 Commission Recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises OJ L 124, 20.5.2003, p. 36.deleted

Amendment 339 #

Proposal for a directive
Article 4 – paragraph 5

(5) Any decision taken by a Member State pursuant to paragraph 4 shall be notified to the Commission, together with a justification and the criteria used in the risk assessment. The Commission shall communicate that decision to the other Member States.deleted

Amendment 340 #

Proposal for a directive
Article 4 – paragraph 5

Amendment 341 #

Proposal for a directive
Article 4 – paragraph 5

Amendment 342 #

Proposal for a directive
Article 4 – paragraph 6

(6) The legal entities in the public sector referred to in paragraph 1 shall be the following: a) state administration; b) regional administration and departments; c) municipalities with more than 10 000 inhabitants; d) other entities governed by public law.deleted

Amendment 343 #

Proposal for a directive
Article 4 – paragraph 6

6. The legal entities in the public sector referred to in paragraph 1 shall be the following: a) state administration; b) regional administration and departments; c) municipalities with more than 10 000 inhabitants; d) other entities governed by public law.deleted

Amendment 344 #

Proposal for a directive
Article 4 – paragraph 6 – point a

~~a) state administration;~~deleted

Amendment 345 #

Proposal for a directive
Article 4 – paragraph 6 – point b

~~b) regional administration and departments;~~deleted

Amendment 346 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 4 – paragraph 6 – point c

~~c) municipalities with more than 10 000 inhabitants;~~deleted

Amendment 347 #

Proposal for a directive
Article 4 – paragraph 6 – point c

c) municipalities ~~with more than 10 000 inhabitants~~;

Amendment 348 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 4 – paragraph 6 – point c a (new)

ca) European Union institutions, agencies and bodies.

Amendment 349 #

Proposal for a directive
Article 4 – paragraph 6 – point d

d~~) other entities governed by public law.~~eleted

Amendment 350 #

Proposal for a directive
Article 4 – paragraph 6 – point d a (new)

da) European Union institutions, agencies and bodies.

Amendment 351 #

Proposal for a directive
Article 5 – paragraph 1 – introductory part

1. The procedures for reporting and following-up of reports referred to in Article 4 ~~shall~~may include the following:

Amendment 352 #

Proposal for a directive
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 within 5 working days, that ensures the confidentiality or anonymity of the identity of the reporting person and prevents access to non-authorised staff members;. Recipients of disclosed information within the workplace shall include, but not be limited to: - Line-managers, superiors or representatives of the organisation; - Human resources, ethics officers, work councils or other bodies in charge of mediating conflicts at work, including conflicts of interest; - Internal financial oversight bodies within the organisation; - Disciplinary bodies within the organisation.

Amendment 353 #

Proposal for a directive
Article 5 – paragraph 1 – point a

a) channels for receiving the reports which are designed, set up and operated in a manner that ensures the confidentiality of the identity of the reporting person and the identity of the concerned person and prevents access to non-authorised staff members; .

Amendment 354 #

Proposal for a directive
Article 5 – paragraph 1 – point b

b) the designation of a person or department competent and impartial for following up on the reports;

Amendment 355 #

Proposal for a directive
Article 5 – paragraph 1 – point b a (new)

(ba) a confidential notification of receipt of the report to the reporting person within no more than seven days following receipt;

Amendment 356 #

Proposal for a directive
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 357 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding three months following the report, but could be extended to six months, where necessary due to the specific circumstances of the case, in particular the nature and complexity of the subject of the report, which may require a lengthy investigation, to provide feedback to the reporting person about ~~the~~ follow-up to the report;

Amendment 358 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE, Geoffroy DIDIER

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding three months or six months in duly justified cases following the report, to provide feedback to the reporting person about the follow-up to the report;

Amendment 359 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding a timeframe of between one month and three months following ~~the report~~notification, to provide feedback to the reporting person about the follow-up to the report;

Amendment 360 #

Proposal for a directive
Article 5 – paragraph 1 – point d

d) a reasonable timeframe, not exceeding ~~three month~~30 days following the report, to provide feedback to the reporting person about the follow-up to the report;

Amendment 361 #

da) 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, and that his/her comments must be included in the final report, and in the published version of the report, where applicable;

Amendment 362 #

Proposal for a directive
Article 5 – paragraph 1 – point e a (new)

ea) setting of a strict and clear hierarchy of channels and procedural steps.

Amendment 363 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE, Geoffroy DIDIER

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – introductory part

The channels provided for in point (a) of paragraph 1 shall allow for reporting ~~in all~~ of the following ways:

Amendment 364 #

Proposal for a directive
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 365 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
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, or;

Amendment 366 #

Proposal for a directive
Article 5 – paragraph 2 – subparagraph 1 – point b

Amendment 367 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 5 – paragraph 2 a (new)

2a. Reporting channels, including digital mechanisms, and institutional arrangements shall provide for safe, secure, confidential and anonymous disclosures.

Amendment 368 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
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, provided that impartiality and confidentiality safeguards are maintained. Additional persons may be designated as “trusted persons” from whom reporting persons and those considering reporting may seek confidential advice.

Amendment 369 #

Proposal for a directive
Article 5 – paragraph 3 a (new)

3a. It shall be ensured that a person considering reporting on breaches is protected to discuss, be accompanied and represented by his/her trade union and/or legal advisor, including throughout the internal process.

Amendment 370 #

Proposal for a directive
Article 5 – paragraph 3 a (new)

3a. It shall be ensured that a worker considering and/or making a report has the right to be represented by his/her trade union.

Amendment 371 #

Proposal for a directive
Article 6 – paragraph 1

1. Member States shall designate the authorities competent to receive ~~and~~, handle reports. and set the hierarchical procedural structure.

Amendment 372 #

Axel VOSS, Geoffroy DIDIER

Proposal for a directive
Article 6 – paragraph 1 – subparagraph 1 a (new)

Member States shall create an information centre that the reporting person can contact in order to see whether their report comes under the Directive's scope and whether it concerns a serious threat or serious harm to the public interest, and so his or her suspicions may be assessed.

Amendment 373 #

Proposal for a directive
Article 6 – paragraph 1 a (new)

1a. The Member States are creating a new information centre, which the informant can contact in order to get help in evaluating his/her suspicion.

Amendment 374 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 6 – paragraph 2 – point a

Amendment 375 #

Proposal for a directive
Article 6 – paragraph 2 – point b

Amendment 376 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 6 – paragraph 2 – point b a (new)

ba) 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 and, where relevant, take his/her comments into account.

Amendment 377 #

Proposal for a directive
Article 6 – paragraph 2 – point c a (new)

ca) guarantee free and independent advice and legal support for persons reporting on breaches, as well as for facilitators and intermediaries;

Amendment 378 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 6 – paragraph 2 – point c b (new)

cb) give 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 and, where relevant, take his/her comments into account;

Amendment 379 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 6 – paragraph 2 a (new)

2a. Reporting channels, including digital mechanisms, and institutional arrangements shall provide for safe, secure, confidential and anonymous disclosures.

Amendment 380 #

Proposal for a directive
Article 6 – paragraph 3 a (new)

3a. Member States shall ensure that the national authorities can take adequate remedial action.

Amendment 381 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 6 – paragraph 3 b (new)

3b. Member States shall ensure that the national authority publishes the final report, ensuring the reporting person's anonymity is maintained unless he/she requests otherwise, and that the national authority ensures this report contains the reporting person's comments as well as remedial action where appropriate.

Amendment 382 #

Proposal for a directive
Article 6 – paragraph 4

Amendment 383 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 6 – paragraph 4

Amendment 384 #

Proposal for a directive
Article 6 – paragraph 4

Amendment 385 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 6 a (new)

Article 6 a Whistleblower Protection Office (OPLA) 1. The Commission shall set up an independent European authority responsible for receiving and handling reports at EU level, and for guaranteeing the protection of whistleblowers. This authority is called the ‘Whistleblower Protection Office (OPLA)’. 2. OPLA: a) shall establish an independent, autonomous, secure and confidential reporting channel for receiving and handling information provided by the reporting person; b) shall inform the reporting person of follow up on the report in a reasonable timeframe; c) shall ensure the timely follow-up of reports and take appropriate action, and inform the whistleblower of this without delay and by any means; d) shall consult, at the end of the investigation, the competent EU bodies for further investigation and/or for follow up and remedial action as appropriate, as quickly as is reasonably possible; e) shall give 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, and, where appropriate, his/her comments must be taken into account; f) shall inform the reporting person of the outcome of the investigations within a reasonable timeframe, not exceeding three months, or six months in duly justified cases, after the report or the submission of the report to OPLA; g) shall set up and update a public register of all reports received, in compliance with confidentiality obligations, especially the reporting person's identity. 3. OPLA shall set up measures for legal support for whistleblowers throughout proceedings. 4. OPLA shall have a presence in all Member States via points of contact and reference persons. It shall also be accessible via a secure online platform. 5. OPLA shall monitor the implementation of this Directive by Member States by doing the following: a) it shall gather data on reports, investigations and their follow up, repeat breaches, poorly conducted investigations and remedial action taken by and in each Member State; b) it shall regularly issue recommendations to Member States and to private or public legal entities to improve its implementation; c) it shall cooperate with national authorities, social partners and civil society organisation involved in whistleblower protection through continuous dialogue. 6. OPLA may be consulted directly: a) by any individual protected by this Directive; b) by a national authority; c) by bodies responsible for internal reporting.

Amendment 386 #

Proposal for a directive
Article 6 a (new)

Article 6 a Obligation to provide information The designated competent authorities shall provide clear information about the appropriate reporting channels and the scope of the Directive to any person requesting such an advice.

Amendment 387 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 7 – paragraph 1 – point a

a) they are separated from general communication channels of the competent authority, including those through which the competent authority communicates internally and with third parties in its ordinary course of business;deleted

Amendment 388 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 7 – paragraph 1 – point b

b) they are designed, set up and operated in a manner that ensures the completeness, integrity and confidentiality of the information, including the identity of the reporting person and the concerned individual, and prevents access to non- authorised staff members of the competent authority;

Amendment 389 #

Proposal for a directive
Article 7 – paragraph 1 – point c a (new)

ca) they guarantee free and independent advice and legal support for persons reporting on breaches, as well as for facilitators and intermediaries.

Amendment 390 #

Proposal for a directive
Article 7 – paragraph 1 – point c a (new)

ca) they guarantee free and independent advice and legal support for reporting persons and intermediaries.

Amendment 391 #

Proposal for a directive
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 392 #

Proposal for a directive
Article 7 – paragraph 2 a (new)

2a. Such channels shall safeguard the anonymity of the person reporting on breaches when he/she wishes to, as well as their personal data.

Amendment 393 #

Proposal for a directive
Article 7 – paragraph 4

Amendment 394 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 8 – paragraph 1

1. Member States shall ensure that competent authorities have staff members dedicated to handling reports. Dedicated staff members shall receive specific training for the purposes of handling reports. They shall analyse and interpret whether the report has serious implications for the public interest without prejudice to existing procedures in accordance with the Union acts listed in the annex (parts I and II).

Amendment 395 #

Proposal for a directive
Article 8 – paragraph 1

Amendment 396 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 8 – paragraph 1

Amendment 397 #

Proposal for a directive
Article 8 – paragraph 2 – point a

a) providing any interested person with information on the procedures for reporting in accordance with Article 6a;

Amendment 398 #

Proposal for a directive
Article 8 – paragraph 2 – point b

b) receiving and following-up reports, verifying whether the report comes under the scope of this Directive;

Amendment 399 #

Proposal for a directive
Article 9 – paragraph 1 – point a a (new)

aa) the way in which the competent authorities ensure the reporting person can revise, correct and comment on the report over the course of the investigation, without compelling him/her to do so, the fact that his/her comments are incorporated at the end of the investigation, as appropriate, and that he/she may comment on the final report, and that these comments are included in the final report and when it is published;

Amendment 400 #

Proposal for a directive
Article 9 – paragraph 1 – point a a (new)

(aa) a confidential notification of receipt of the report to the reporting person within no more than seven days following receipt;

Amendment 401 #

Proposal for a directive
Article 9 – paragraph 1 – point a b (new)

ab) due follow-up on the report by the designated person or department, including appropriate action as well as investigations into the subject of the reports, where necessary;

Amendment 402 #

Proposal for a directive
Article 9 – paragraph 1 – point b

b) a reasonable timeframe, not exceeding t~~hree~~wo months or ~~six~~four months in duly justified cases, 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 403 #

Proposal for a directive
Article 9 – paragraph 1 – point c

Amendment 404 #

Proposal for a directive
Article 9 – paragraph 1 – point c a (new)

ca) 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 and, where relevant, take his/her comments into account.

Amendment 405 #

Proposal for a directive
Article 10 – paragraph 1 – point a a (new)

aa) the rights associated with the protection of the reporting person in the context of this Directive, including the possibility for the reporting person to consult OPLA directly;

Amendment 406 #

Proposal for a directive
Article 10 – paragraph 1 – point b a (new)

ba) contacts from civil society organisations involved in the protection of persons reporting on breaches;

Amendment 407 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 10 – paragraph 1 – point g

g) a statement clearly explaining that persons making information available to the competent authority in accordance with this Directive are not considered to be infringing any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and are not to be involved in liability of any kind related to such disclosure. This statement does, however, specify three exceptions to this principle that allow Member States to safeguard secrets protected under conventional and constitutional principles: a) secrets of national defence, b) secrets concerning relations between a lawyer and his/her client, c) medical confidentiality.

Amendment 408 #

Proposal for a directive
Article 10 – paragraph 1 – point g

g) a statement clearly explaining that persons making information available to the competent authority in accordance with this Directive are not considered to be infringing any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and are not to be involved in liability of any kind related to such disclosure. , except if they are knowingly reporting wrong information or acting in breach of 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.

Amendment 409 #

Proposal for a directive
Article 10 – paragraph 1 – point g

g) a statement clearly explaining that ~~persons~~bona fide persons, disinterestedly making information available to the competent authority in accordance with this Directive are not considered to be infringing any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and are not to be involved in liability of any kind related to such disclosure.

Amendment 410 #

Proposal for a directive
Article 10 – paragraph 1 – point g

Amendment 411 #

Proposal for a directive
Article 10 – paragraph 1 – point g

g) a statement clearly explaining, without prejudice to Article 1(3), that persons making information available to the competent authority in accordance with this Directive are not considered to be infringing any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and are not to be involved in liability of any kind related to such disclosure.

Amendment 412 #

Proposal for a directive
Article 10 – paragraph 1 – point g a (new)

ga) access to reports and recommendations published by the competent authorities;

Amendment 413 #

Proposal for a directive
Article 10 – paragraph 1 – point g a (new)

ga) contact information of CSOs where legal advice can be obtained free of charge.

Amendment 414 #

Proposal for a directive
Article 10 – paragraph 1 – point g b (new)

gb) contact information of organisations where legal advice can be obtained free of charge;

Amendment 415 #

Proposal for a directive
Article 11 – paragraph 1

1. Member States shall ensure that competent authorities keep records of every report received, in compliance with all the rules regarding confidentiality and personal data protection.

Amendment 416 #

Amendment 417 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 1 – introductory part

Amendment 418 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 1 – introductory part

Where a recorded telephone line is used for reporting, subject to the consent of the reporting person, the competent authority ~~shall have the right to~~must document the oral reporting in one of the following ways:

Amendment 419 #

Proposal for a directive
Article 11 – paragraph 3 – subparagraph 2

The competent authorityies and the public and private legal entities shall offer the possibility to the reporting person to check, rectify and agree the transcript of the call by signing it.

Amendment 420 #

Proposal for a directive
Article 11 – paragraph 4

Amendment 421 #

Proposal for a directive
Article 11 – paragraph 4

4. Where an unrecorded telephone line is used for reporting, the competent authority ~~shall have the right to~~must document the oral reporting in the form of accurate minutes of the conversation prepared by the dedicated staff members. The competent authority shall offer the possibility to the reporting person to check, rectify and agree with the minutes of the call by signing them.

Amendment 422 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 1 – introductory part

Amendment 423 #

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 1 – point b

b) accurate minutes of the meeting prepared by the dedicated staff members of the competent authority and the private and public legal entities.

Amendment 424 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 11 – paragraph 5 – subparagraph 2

Amendment 425 #

Proposal for a directive
Article 13 – paragraph 1

1. A reporting person shall qualify for protection under this Directive from the moment that he/she consults internal or external reporting channels described in this Directive, provided he or she has reasonable grounds to believe that the information reported or disclosed was true at the time of reporting or disclosure and that this information falls within the scope of this Directive.

Amendment 426 #

Proposal for a directive
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 427 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 13 – paragraph 1

Amendment 428 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 13 – paragraph 1

Amendment 429 #

Proposal for a directive
Article 13 – paragraph 1

1. A person reporting ~~person~~internally or/and externally 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 430 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
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, that he or she acted in good faith and that this information falls within the scope of this Directive.

Amendment 431 #

Proposal for a directive
Article 13 – paragraph 1 a (new)

1a. A report should not be discarded because it was made anonymously and full protection should be granted to persons reporting on breaches, who have reported or disclosed information anonymously.

Amendment 432 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 13 – paragraph 1 a (new)

1a. Reporting persons should be entitled to protection under this Directive if they have reasonable grounds to believe that the information reported falls within its scope.

Amendment 433 #

Proposal for a directive
Article 13 – paragraph 2

Amendment 434 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 13 – paragraph 2

Amendment 435 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 13 – paragraph 2 – introductory part

Amendment 436 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 13 – paragraph 2 – point a

~~a) he or she first reported internally but no appropriate action was taken in response to the report within the reasonable timeframe referred in Article 5;~~deleted

Amendment 437 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 13 – paragraph 2 – point b

~~b) internal reporting channels were not available for the reporting person or the reporting person could not reasonably be expected to be aware of the availability of such channels;~~deleted

Amendment 438 #

Proposal for a directive
Article 13 – paragraph 2 – point b

b) internal reporting channels were not available for the reporting person or the reporting person ~~could not reasonably be expected to be aware of the availability of such channel~~does not have clear, accessible information on internal procedures;

Amendment 439 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 13 – paragraph 2 – point c

~~c) the use of internal reporting channels was not mandatory for the reporting person, in accordance with Article 4(2);~~deleted

Amendment 440 #

Proposal for a directive
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;~~eleted

Amendment 441 #

Geoffroy DIDIER, Francis ZAMMIT DIMECH

Proposal for a directive
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 442 #

Proposal for a directive
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~~where the reporting persons have valid reasons to believe they would be the victims of retaliation due to the report;

Amendment 443 #

Proposal for a directive
Article 13 – paragraph 2 – point e

~~e) he or she had reasonable grounds to believe that the use of internal reporting channels could jeopardise the effectiveness of investigative actions by competent authorities;~~deleted

Amendment 444 #

Proposal for a directive
Article 13 – paragraph 2 – point f

~~f) he or she was entitled to report directly through the external reporting channels to a competent authority by virtue of Union law.~~deleted

Amendment 445 #

Proposal for a directive
Article 13 – paragraph 3

Amendment 446 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 13 – paragraph 3

3. A person reporting to relevant bodies, offices or agencies of the Union on breaches falling within the scope of this Directive shall qualify for protection as laid down in this Directive ~~under the same conditions as a person who reported externally in accordance with the conditions set out in paragraph 2~~.

Amendment 447 #

Proposal for a directive
Article 13 – paragraph 3

3. A person reporting to relevant bodies, offices or agencies of the Union on breaches falling within the scope of this Directive shall qualify for protection as laid down in this Directive under the same conditions ~~as a person who reported externally in accordance with the conditions set out in paragraph 2~~.

Amendment 448 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Article 13 – paragraph 4

Amendment 449 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
Article 13 – paragraph 4

Amendment 450 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 13 – paragraph 4 – introductory part

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall qualify for protection under this Directive where: he or she first reported internally and/or externally in accordance with Chapters II and III and paragraph 2 of this Article, but: a) no appropriate action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); b) and there is immediate danger to life and health of individuals.

Amendment 451 #

Proposal for a directive
Article 13 – paragraph 4 – introductory part

4. A person publicly disclosing information on breaches falling within the scope of this Directive shall only qualify for protection under this Directive where:

Amendment 452 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 13 – paragraph 4 – point a

Amendment 453 #

Proposal for a directive
Article 13 – paragraph 4 – point a

Amendment 454 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 13 – paragraph 4 – point a

a) he or she first reported internally and/or externally in accordance with Chapters II and III and paragraph 2 of this Article, but no ~~appropriate~~ action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); and where the public interest is clearly threatened; or

Amendment 455 #

Proposal for a directive
Article 13 – paragraph 4 – point a

a) he or she first reported internally and/or externally in accordance with Chapters II and III ~~and paragraph 2 of this Article~~, but no appropriate action was taken in response to the report within the timeframe referred to in Articles 6(2)(b) and 9(1)(b); or

Amendment 456 #

Proposal for a directive
Article 13 – paragraph 4 – point a a (new)

aa) he or she shall not be deemed protected under this Directive, where he or she is not acting in good faith and purposefully using an external public channel to disseminate false information.

Amendment 457 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
Article 13 – paragraph 4 – point b

Amendment 458 #

Proposal for a directive
Article 13 – paragraph 4 – point b

b) he or she could not reasonably be expected to use internal and/or external reporting channels due to imminent or manifest danger for the public interest, ~~or to the particular circumstances of the case,~~ or where there is a risk of irreversible damage.

Amendment 459 #

Geoffroy DIDIER, Francis ZAMMIT DIMECH

Proposal for a directive
Article 13 – paragraph 4 – point b

b) he or she could not reasonably be expected to use internal and/or external reporting channels due to imminent orand manifest danger for the public interest, or to the particular circumstances of the case, or where there is a risk of irreversible damage.

Amendment 460 #

Proposal for a directive
Article 13 – paragraph 4 – point b – point i (new)

i) in cases where reporting persons have valid reasons to believe that there is collusion between the perpetrator of the breach and the competent authority is reasonably suspected, or that evidence may be concealed or destroyed;

Amendment 461 #

Geoffroy DIDIER, Francis ZAMMIT DIMECH

Proposal for a directive
Article 13 – paragraph 4 – point b – point ii (new)

ii) he or she acted in good faith and had reasonable grounds to believe the information reported was true at the time or reporting even if the judicial authorities subsequently decided the report did not concern a threat or serious harm to the public interest.

Amendment 462 #

Proposal for a directive
Article 13 – paragraph 4 – point b a (new)

(ba) Failure to comply with appropriate reporting procedures would be grounds to invalidate a report and to refuse to give protection.

Amendment 463 #

Proposal for a directive
Article 13 – paragraph 4 – point b a (new)

ba) where the public has an overriding interest in being informed directly;

Amendment 464 #

Proposal for a directive
Article 14 – paragraph 1 – introductory part

Member States shall take the necessary measures to prohibit any form of retaliation, whether direct or indirect, against reporting persons meeting the conditions set out in Article 13, or any kinds of actions, whether direct or indirect, that could chill whistleblowers from exercising the rights protected by this Directive, including in particular in the form of:

Amendment 465 #

Proposal for a directive
Article 14 – paragraph 1 – point g

g) coercion, intimidation, harassment ~~or ostracism at the workplace~~, discrimination or ostracism;

Amendment 466 #

Proposal for a directive
Article 14 – paragraph 1 – point k

k) damage, including to the person’s reputation, particularly on social media, or financial loss, including loss of business and loss of income;

Amendment 467 #

Proposal for a directive
Article 14 – paragraph 1 – point m

m) early termination or cancellation of contract for goods or services not covered by the provisions of the contract;

Amendment 468 #

Proposal for a directive
Article 14 – paragraph 1 – point n a (new)

na) physical, moral or financial pressure exerted on the persons protected by this Directive;

Amendment 469 #

Proposal for a directive
Article 14 – paragraph 1 – point n a (new)

na) mandatory psychiatric or medical referrals;

Amendment 470 #

Proposal for a directive
Article 14 – paragraph 1 – point n b (new)

nb) obstruction or cancellation of retirement benefits,

Amendment 471 #

Proposal for a directive
Article 14 – paragraph 1 – point n b (new)

nb) loss of benefits or status;

Amendment 472 #

Proposal for a directive
Article 14 – paragraph 1 – point n c (new)

nc) retaliatory investigations;

Amendment 473 #

Proposal for a directive
Article 14 – paragraph 1 – point n d (new)

n d) cancellation of duties;

Amendment 474 #

Proposal for a directive
Article 14 – paragraph 1 – point n e (new)

n e) suspension of revocation of security clearance;

Amendment 475 #

Proposal for a directive
Article 14 – paragraph 1 – point n f (new)

n f) obstruction or cancellation of retirement benefits;

Amendment 476 #

Proposal for a directive
Article 14 – paragraph 1 – point n g (new)

n g) failure by managers to make reasonable efforts to prevent retaliation;

Amendment 477 #

Proposal for a directive
Article 14 – paragraph 1 – point n h (new)

n h) initiation of retaliatory lawsuits or prosecutions;

Amendment 478 #

Proposal for a directive
Article 14 – paragraph 1 – point n i (new)

n i) wilful ignorance of the retaliation by a supervisor or supervisory body who are tasked with monitoring the protected person;

Amendment 479 #

Proposal for a directive
Article 14 – paragraph 1 – point n j (new)

n j) breaching the confidentiality and anonymity of the reporting person and other persons protected by this Directive;

Amendment 480 #

Proposal for a directive
Article 14 – paragraph 1 – point n k (new)

n k) denying the rights of defence, including excessive delays in the handling of cases within the place of work;

Amendment 481 #

Proposal for a directive
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 482 #

Proposal for a directive
Article 15 – paragraph 4

4. Persons reporting externally to competent authorities or making a public disclosure in accordance with this Directive shall not be considered to have breached any restriction on disclosure of information imposed by contract or by any legislative, regulatory or administrative provision, and incur liability of any kind in respect of such disclosure. However, three exceptions to this principle do allow Member States to safeguard secrets protected under conventional and constitutional principles: a) secrets of national defence, b) secrets concerning relations between a lawyer and his/her client, c) medical confidentiality.

Amendment 483 #

Proposal for a directive
Article 15 – paragraph 4

Amendment 484 #

Axel VOSS, Markus PIEPER, Markus FERBER, Sven SCHULZE

Proposal for a directive
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 believe that the detriment was in retaliation for having made the 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.deleted

Amendment 485 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 15 – paragraph 7

Amendment 486 #

Proposal for a directive
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 may provide for further measures of legal and financial assistance and support, including psychological, 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 487 #

Proposal for a directive
Article 15 – paragraph 8 a (new)

8a. Reporting persons shall have access to psychological support.

Amendment 488 #

Proposal for a directive
Article 15 a (new)

Article 15 a Reparation for damages Member States shall take the necessary measures to ensure full reparation for damages suffered by reporting persons meeting the conditions set out in Article 13. This reparation may take the following forms: a) reintegration b) restoration of a cancelled permit, licence or contract; c) compensation for actual or future financial losses; d) compensation for other economic damages or non-material damages.

Amendment 489 #

Proposal for a directive
Article 16 – paragraph 2

2. ~~Where the identity of the concerned persons is not known to the public, c~~Competent authorities shall ensure that their identity is protected for as long as the investigation is ongoing.

Amendment 490 #

Axel VOSS, Geoffroy DIDIER

Proposal for a directive
Article 16 – paragraph 3 a (new)

3a. Protecting the personal data of the concerned person 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. Consequently and in accordance with the provisions of Regulation (EU) 2016/679 on the protection of natural persons with regards to the processing of personal data and the free movement of this data, the competent authorities should set out appropriate data protection procedures that aim to protect the reporting person, the concerned person and any other person covered by the report. The authorities should also ensure the competent authorities have a secure system in place so that access is restricted to authorised personnel only.

Amendment 491 #

Proposal for a directive
Article 16 – paragraph 3 a (new)

3a. The protection of personal data of the concerned person is crucial in order to avoid unfair treatment or reputational damages due to the 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 (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 492 #

Proposal for a directive
Article 16 – paragraph 3 a (new)

3a. Pursuant to national law, concerned persons who suffer prejudice, whether directly or indirectly, as a consequence of the reporting or disclosure of misleading or inaccurate information can turn against the persons making malicious or abusive reports or disclosures, with all the consequences arising from application of the national law.

Amendment 493 #

Proposal for a directive
Article 16 – paragraph 3 b (new)

3b. Any person prejudiced by misleading or malicious reporting/disclosures should be given legal protection, including the right to an effective remedy against abusive reporting.

Amendment 494 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
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 495 #

Proposal for a directive
Article 17 – paragraph 1 – introductory part

1. Member States shall provide for remedies and/or effective, proportionate and dissuasive penalties applicable to natural or legal persons that:

Amendment 496 #

Proposal for a directive
Article 17 – paragraph 1 – point b

b) take retaliatory measures against reporting persons and against any natural or legal person associated with the activities protected by this Directive;

Amendment 497 #

Proposal for a directive
Article 17 – paragraph 1 – point d

d) breach the duty of maintaining the confidentiality of the identity of reporting persons, where certain confidentiality regimes, as set forth in this Directive, apply.

Amendment 498 #

Proposal for a directive
Article 17 – paragraph 1 – point d

d) breach the duty of maintaining the confidentiality of the identity of reporting persons and persons who are the subject of the report.

Amendment 499 #

Proposal for a directive
Article 17 – paragraph 1 – point d

d) breach the duty of maintaining the confidentiality or the anonymity of the identity of reporting persons.

Amendment 500 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 501 #

Axel VOSS, Markus FERBER, Markus PIEPER, Sven SCHULZE, Geoffroy DIDIER

Proposal for a directive
Article 17 – paragraph 2

2. Member States shall provide for effective, proportionate and dissuasive penalties applicable to the reporting and other persons making malicious or abusive reports or disclosures, including measures for compensating persons who have suffered damage from malicious or abusive reports or disclosures.

Amendment 502 #

Proposal for a directive
Article 17 – paragraph 2

Amendment 503 #

Jean-Marie CAVADA, Jens ROHDE, António MARINHO E PINTO

Proposal for a directive
Article 17 – paragraph 2

2. Member States shall provide for remedies and/or 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.

Amendment 504 #

Proposal for a directive
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 knowingly wrong, including measures for compensating persons who have suffered damage from malicious or abusive reports or disclosures.

Amendment 505 #

Pascal DURAND, Felix REDA, Max ANDERSSON, Heidi HAUTALA

Proposal for a directive
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 and may be subject to penalty or sanction.

Amendment 506 #

Jytte GUTELAND, Virginie ROZIÈRE

Proposal for a directive
Article 19 – title

More favourable treatment and non- regression clause

Amendment 507 #

Proposal for a directive
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)~~.

Amendment 508 #

Proposal for a directive
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.

Amendment 509 #

Proposal for a directive
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)~~.

Amendment 510 #

Proposal for a directive
Article 19 – paragraph 1

Member States may introduce or retain provisions more favourable to the rights of the reporting persons and the persons who are the subject of the report than those set out in this Directive, without prejudice to Article 16 and Article 17(2), to ensure Member States are able to provide genuine guarantees of confidentiality.

Amendment 511 #

Jytte GUTELAND, Virginie ROZIÈRE

Proposal for a directive
Article 19 – paragraph 1

Amendment 512 #

Proposal for a directive
Article 19 – paragraph 1 a (new)

The implementation of this Directive shall under no circumstances constitute valid grounds for reducing the general level of protection already afforded to the reporting persons in Member States when reporting on breaches outside as well as within the scope of this Directive as defined by Article 1.

Amendment 513 #

Proposal for a directive
Article 19 – paragraph 1 a (new)

Implementation of this Directive shall not constitute valid grounds for reducing the general level of protection already afforded to reporting persons within Member States and in the areas to which it applies.

Amendment 514 #

Proposal for a directive
Article 19 a (new)

Article 19a Non-regression clause 1. The implementation of this Directive shall under no circumstances constitute valid grounds for reducing the general level of protection already afforded when reporting on breaches other than those mentioned in Article 1. 2. This Directive is without prejudice to any other rights conferred on reporting persons by other legal acts of the Union.

Amendment 515 #

Proposal for a directive
Article 19 a (new)

Article 19 a Respect for social partners' autonomy This Directive shall be without prejudice to the autonomy of the social partners and their right to enter into collective agreements in accordance with national law, traditions and practices and while respecting the provisions of the Treaty.

Amendment 516 #

Proposal for a directive
Article 20 – paragraph 2 a (new)

2a. When transposing this directive Member States may consider the establishment of an independent whistleblower protection authority.

Amendment 517 #

Proposal for a directive
Article 20 a (new)

Article 20 a Non-regression clause 1. The implementation of this Directive shall under no circumstances constitute valid grounds for reducing the general level of protection already afforded when reporting on breaches other than those mentioned in Article 1. 2. This Directive is without prejudice to any other rights conferred on reporting persons by other legal acts of the Union.

Amendment 518 #

Proposal for a directive
Annex I

~~[...]~~deleted

Amendment 519 #

Proposal for a directive
Annex I – part I

~~[...]~~deleted

Amendment 520 #

Proposal for a directive
Annex I – part I – point A

A Article 1(a)(i) – public procurement: 1. Procedures for procurement relating to supplies contracts for defence products and supplies and services contracts for water, energy, transport and postal services and any other contract or service as regulated under Union legislation: (i) Directive 2014/23/EU of the European Parliament and of the Council of 26 February 2014 on the award of concession contracts (OJ L 94, 28.3.2014, p. 1); (ii) Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65); (iii) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.3.2014, p. 243); (iv) Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.8.2009, p. 76). 2. Review procedures regulated by: (i) Council Directive 92/13/EEC of 25 February 1992 coordinating the laws, regulations and administrative provisions relating to the application of Community rules on the procurement procedures of entities operating in the water, energy, transport and telecommunications sectors (OJ L 76, 23.3.1992, p. 14); (ii) Council Directive 89/665/EEC of 21 December 1989 on the coordination of the laws, regulations and administrative provisions relating to the application of review procedures to the award of public supply and public works contracts (OJ L 395, 30.12.1989, p. 33).deleted

Amendment 521 #

Proposal for a directive
Annex I – part I – point A – point 1

1. Procedures for procurement relating to supplies contracts for defence products and supplies and services contracts for water, energy, transport and postal services and any other contract or service as regulated under Union legislation: (i) Directive 2014/23/EU of the European Parliament and of the Council of 26 February 2014 on the award of concession contracts (OJ L 94, 28.3.2014, p. 1); (ii) Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65); (iii) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.3.2014, p. 243); (iv) Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.8.2009, p. 76).deleted

Amendment 522 #

Proposal for a directive
Annex I – part I – point A – point 1 – point i

~~(i) Directive 2014/23/EU of the European Parliament and of the Council of 26 February 2014 on the award of concession contracts (OJ L 94, 28.3.2014, p. 1);~~deleted

Amendment 523 #

Proposal for a directive
Annex I – part I – point A – point 1 – point ii

~~(ii) Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65);~~deleted

Amendment 524 #

Proposal for a directive
Annex I – part I – point A – point 1 – point iii

(iii) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.3.2014, p. 243);deleted

Amendment 525 #

Proposal for a directive
Annex I – part I – point A – point 1 – point iv

(iv) Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.8.2009, p. 76).deleted

Amendment 526 #

Proposal for a directive
Annex I – part I – point A – point 2

2. Review procedures regulated by: (i) Council Directive 92/13/EEC of 25 February 1992 coordinating the laws, regulations and administrative provisions relating to the application of Community rules on the procurement procedures of entities operating in the water, energy, transport and telecommunications sectors (OJ L 76, 23.3.1992, p. 14); (ii) Council Directive 89/665/EEC of 21 December 1989 on the coordination of the laws, regulations and administrative provisions relating to the application of review procedures to the award of public supply and public works contracts (OJ L 395, 30.12.1989, p. 33).deleted

Amendment 527 #

Proposal for a directive
Annex I – part I – point A – point 2 – introductory part

2. Review procedures regulated in particular by:

Amendment 528 #

(i) Council Directive 92/13/EEC of 25 February 1992 coordinating the laws, regulations and administrative provisions relating to the application of Community rules on the procurement procedures of entities operating in the water, energy, transport and telecommunications sectors (OJ L 76, 23.3.1992, p. 14);deleted

Amendment 529 #

Proposal for a directive
Annex I – part I – point A – point 2 – point ii

(ii) Council Directive 89/665/EEC of 21 December 1989 on the coordination of the laws, regulations and administrative provisions relating to the application of review procedures to the award of public supply and public works contracts (OJ L 395, 30.12.1989, p. 33).deleted

Amendment 530 #

Proposal for a directive
Annex I – part I – point B

~~[...]~~deleted

Amendment 531 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – introductory part

~~[...]~~deleted

Amendment 532 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – introductory part

Amendment 533 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point i

(i) Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC (OJ L 267, 10.10.2009, p. 7);deleted

Amendment 534 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point ii

(ii) Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (OJ L 174, 1.7.2011, p. 1);deleted

Amendment 535 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point iii

~~(iii) Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps (OJ L 86, 24.3.2012, p. 1);~~deleted

Amendment 536 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point iv

~~(iv) Regulation (EU) No 345/2013 of the European Parliament and of the Council of 17 April 2013 on European venture capital funds (OJ L 115, 25.4.2013, p. 1);~~deleted

Amendment 537 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point v

~~(v) Regulation (EU) No 346/2013 of the European Parliament and of the Council of 17 April 2013 on European social entrepreneurship fund (OJ L 115, 25.4.2013, p. 18);~~deleted

Amendment 538 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point vi

(vi) Directive 2014/17/EU of the European Parliament and of the Council of 4 February 2014 on credit agreements for consumers relating to residential immovable property and amending Directives 2008/48/EC and 2013/36/EU and Regulation (EU) No 1093/2010 (OJ L 60, 28.2.2014, p. 34);deleted

Amendment 539 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point vii

(vii) Regulation (EU) No 537/2014 of the European Parliament and of the Council of 16 April 2014 on specific requirements regarding statutory audit of public-interest entities and repealing Commission Decision 2005/909/EC (OJ L 158, 27.5.2014, p. 77);deleted

Amendment 540 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point viii

(viii) Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (OJ L 173, 12.6.2014, p. 84);deleted

Amendment 541 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point ix

(ix) Directive 2015/2366/EU of the European Parliament and of the Council of 25 November 2015 on payment services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation (EU) No 1093/2010, and repealing Directive 2007/64/EC (OJ L 337, 23.12.2015, p. 35);deleted

Amendment 542 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point x

~~(x) Directive 2004/25/EC of the European Parliament and of the Council of 21 April 2004 on takeover bids (OJ L 142, 30.4.2004, p. 12);~~deleted

Amendment 543 #

Proposal for a directive
Annex I – part I – point B – paragraph 1 – point xi

~~(xi) Directive 2007/36/EC of the European Parliament and of the Council of 11 July 2007 on the exercise of certain rights of shareholders in listed companies (OJ L 184, 14.7.2007, p. 17).~~deleted

Amendment 544 #

Proposal for a directive
Annex I – part I – point C

C Article 1(a)(iii) – product safety: 1. General safety requirements of products placed in the Union market as defined and regulated by: (i) Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001 on general product safety (OJ L 11, 15.1.2002, p. 4); (ii) Union harmonisation legislation concerning manufactured products other than food, feed, medicinal products for human and veterinary use, living plants and animals, products of human origin and products of plants and animals relating directly to their future reproduction as listed in the Regulation XX laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation64 ; (iii) Directive 2007/46/EC of the European Parliament and of the Council of 5 September 2007 establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles (Framework Directive) (OJ L 263, 9.10.2007, p. 1). 2. Marketing and use of sensitive and dangerous products, as regulated by: (i) Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community (OJ L 146, 10.06.2009, p. 1); (ii) Council Directive 91/477/EEC of 18 June 1991 on control of the acquisition and possession of weapons (OJ L 256, 13.9.1991, p. 51); (iii) Regulation (EU) No 258/2012 of the European Parliament and of the Council of 14 March 2012 implementing Article 10 of the United Nations’ Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the United Nations Convention against Transnational Organised Crime (UN Firearms Protocol), and establishing export authorisation, and import and transit measures for firearms, their parts and components and ammunition (OJ L 94, 30.3.2012, p. 1); (iv) Regulation (EU) No 98/2013 of 15 January 2013 on the marketing and use of explosives precursors (OJ L 39, 9.2.2013, p. 1). _________________ 64 2017/0353 (COD) - This is currently a Proposal for a Regulation laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation on products and amending Regulations (EU) No 305/2011, (EU) No 528/2012, (EU) 2016/424, (EU) 2016/425, (EU) 2016/426 and (EU) 2017/1369 of the European Parliament and of the Council, and Directives 2004/42/EC, 2009/48/EC, 2010/35/EU, 2013/29/EU, 2013/53/EU, 2014/28/EU, 2014/29/EU, 2014/30/EU, 2014/31/EU, 2014/32/EU, 2014/33/EU, 2014/34/EU, 2014/35/EU, 2014/53/EU, 2014/68/EU and 2014/90/EU of the European Parliament and of the Council containing a definition of “EU harmonised legislation” and listing in the Annex with all the harmonised legislation and refer to “harmonised products” in general terms.deleted

Amendment 545 #

Proposal for a directive
Annex I – part I – point C – point 1

1. General safety requirements of products placed in the Union market as defined and regulated by: (i) Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001 on general product safety (OJ L 11, 15.1.2002, p. 4); (ii) Union harmonisation legislation concerning manufactured products other than food, feed, medicinal products for human and veterinary use, living plants and animals, products of human origin and products of plants and animals relating directly to their future reproduction as listed in the Regulation XX laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation64 ; (iii) Directive 2007/46/EC of the European Parliament and of the Council of 5 September 2007 establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles (Framework Directive) (OJ L 263, 9.10.2007, p. 1). _________________ 64 2017/0353 (COD) - This is currently a Proposal for a Regulation laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation on products and amending Regulations (EU) No 305/2011, (EU) No 528/2012, (EU) 2016/424, (EU) 2016/425, (EU) 2016/426 and (EU) 2017/1369 of the European Parliament and of the Council, and Directives 2004/42/EC, 2009/48/EC, 2010/35/EU, 2013/29/EU, 2013/53/EU, 2014/28/EU, 2014/29/EU, 2014/30/EU, 2014/31/EU, 2014/32/EU, 2014/33/EU, 2014/34/EU, 2014/35/EU, 2014/53/EU, 2014/68/EU and 2014/90/EU of the European Parliament and of the Council containing a definition of “EU harmonised legislation” and listing in the Annex with all the harmonised legislation and refer to “harmonised products” in general terms.deleted

Amendment 546 #

Proposal for a directive
Annex I – part I – point C – point 1 – introductory part

1. General safety requirements of products placed in the Union market as defined and regulated in particular by:

Amendment 547 #

Proposal for a directive
Annex I – part I – point C – point 1 – point ii

(ii) Union harmonisation legislation concerning manufactured products other than food, feed, medicinal products for human and veterinary use, living plants and animals, products of human origin and products of plants and animals relating directly to their future reproduction as listed in the Regulation XX laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation64 ; _________________ 64 2017/0353 (COD) - This is currently a Proposal for a Regulation laying down rules and procedures for compliance with and enforcement of Union harmonisation legislation on products and amending Regulations (EU) No 305/2011, (EU) No 528/2012, (EU) 2016/424, (EU) 2016/425, (EU) 2016/426 and (EU) 2017/1369 of the European Parliament and of the Council, and Directives 2004/42/EC, 2009/48/EC, 2010/35/EU, 2013/29/EU, 2013/53/EU, 2014/28/EU, 2014/29/EU, 2014/30/EU, 2014/31/EU, 2014/32/EU, 2014/33/EU, 2014/34/EU, 2014/35/EU, 2014/53/EU, 2014/68/EU and 2014/90/EU of the European Parliament and of the Council containing a definition of “EU harmonised legislation” and listing in the Annex with all the harmonised legislation and refer to “harmonised products” in general terms.deleted

Amendment 548 #

Proposal for a directive
Annex I – part I – point C – point 1 – point iii

(iii) Directive 2007/46/EC of the European Parliament and of the Council of 5 September 2007 establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles (Framework Directive) (OJ L 263, 9.10.2007, p. 1).deleted

Amendment 549 #

Proposal for a directive
Annex I – part I – point C – point 2

2. Marketing and use of sensitive and dangerous products, as regulated by: (i) Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of transfers of defence-related products within the Community (OJ L 146, 10.06.2009, p. 1); (ii) Council Directive 91/477/EEC of 18 June 1991 on control of the acquisition and possession of weapons (OJ L 256, 13.9.1991, p. 51); (iii) Regulation (EU) No 258/2012 of the European Parliament and of the Council of 14 March 2012 implementing Article 10 of the United Nations’ Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the United Nations Convention against Transnational Organised Crime (UN Firearms Protocol), and establishing export authorisation, and import and transit measures for firearms, their parts and components and ammunition (OJ L 94, 30.3.2012, p. 1); (iv) Regulation (EU) No 98/2013 of 15 January 2013 on the marketing and use of explosives precursors (OJ L 39, 9.2.2013, p. 1).deleted

Amendment 550 #

Proposal for a directive
Annex I – part I – point C – point 2 – introductory part

2. Marketing and use of sensitive and dangerous products, as regulated in particular by:

Amendment 551 #

Proposal for a directive
Annex I – part I – point D

D Article 1(a)(iv) – transport safety: 1. Safety requirements in the railway sector as regulated by Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety (OJ L 138, 26.5.2016, p. 102). 2. Safety requirements in the civil aviation sector as regulated by Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC (OJ L 295, 12.11.2010, p. 35). 3. Safety requirements in the road sector as regulated by: (i) Directive 2008/96/EC of the European Parliament and of the Council of 19 November 2008 on road infrastructure safety management (OJ L 319, 29.11.2008, p. 59); (ii) Directive 2004/54/EC of the European Parliament and of the Council of 29 April 2004 on minimum safety requirements for tunnels in the Trans-European Road Network (OJ L 167, 30.4.2004, p. 39). 4. Safety requirements in the maritime sector as regulated by: (i) Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations (Recast) (OJ L 131, 28.5.2009, p. 11); (ii) Regulation (EC) 392/2009 of the European Parliament and of the Council of 23 April 2009 on the liability of carriers of passengers by sea in the event of accidents (OJ L 131, 28.5.2009, p. 24); (iii) Directive 2014/90/EU of the European Parliament and of the Council of 23 July 2014 on marine equipment and repealing Council Directive 96/98/EC (OJ L 257, 28.8.2014, p. 146); (iv) Directive 2009/18/EC of the European Parliament and of the Council of 23 April 2009 establishing the fundamental principles governing the investigation of accidents in the maritime transport sector and amending Council Directive 1999/35/EC and Directive 2002/59/EC (OJ L 131, 28.5.2009, p. 114); (v) Directive 2008/106/EC of the European Parliament and of the Council of 19 November 2008 on the minimum level of training of seafarers (OJ L 323, 3.12.2008, p. 33); (vi) Directive 98/41/EC of 18 June 1998 on the registration of persons sailing on board passenger ships operating to or from ports of the Member States of the Community (OJ L 188, 2.7.1998, p.35); (vii) Directive 2001/96/EC of the European Parliament and of the Council of 4 December 2001 establishing harmonised requirements and procedures for the safe loading and unloading of bulk carriers (OJ L 13, 16.1.2002, p. 9).deleted

Amendment 552 #

Proposal for a directive
Annex I – part I – point D – point 1

~~1. Safety requirements in the railway sector as regulated by Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety (OJ L 138, 26.5.2016, p. 102).~~deleted

Amendment 553 #

Proposal for a directive
Annex I – part I – point D – point 2

2. Safety requirements in the civil aviation sector as regulated by Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC (OJ L 295, 12.11.2010, p. 35).deleted

Amendment 554 #

Proposal for a directive
Annex I – part I – point D – point 3

3. Safety requirements in the road sector as regulated by: (i) Directive 2008/96/EC of the European Parliament and of the Council of 19 November 2008 on road infrastructure safety management (OJ L 319, 29.11.2008, p. 59); (ii) Directive 2004/54/EC of the European Parliament and of the Council of 29 April 2004 on minimum safety requirements for tunnels in the Trans-European Road Network (OJ L 167, 30.4.2004, p. 39).deleted

Amendment 555 #

Proposal for a directive
Annex I – part I – point D – point 3 – introductory part

3. Safety requirements in the road sector as regulated in particular by:

Amendment 556 #

Proposal for a directive
Annex I – part I – point D – point 4

4. Safety requirements in the maritime sector as regulated by: (i) Regulation (EC) No 391/2009 of the European Parliament and of the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations (Recast) (OJ L 131, 28.5.2009, p. 11); (ii) Regulation (EC) 392/2009 of the European Parliament and of the Council of 23 April 2009 on the liability of carriers of passengers by sea in the event of accidents (OJ L 131, 28.5.2009, p. 24); (iii) Directive 2014/90/EU of the European Parliament and of the Council of 23 July 2014 on marine equipment and repealing Council Directive 96/98/EC (OJ L 257, 28.8.2014, p. 146); (iv) Directive 2009/18/EC of the European Parliament and of the Council of 23 April 2009 establishing the fundamental principles governing the investigation of accidents in the maritime transport sector and amending Council Directive 1999/35/EC and Directive 2002/59/EC (OJ L 131, 28.5.2009, p. 114); (v) Directive 2008/106/EC of the European Parliament and of the Council of 19 November 2008 on the minimum level of training of seafarers (OJ L 323, 3.12.2008, p. 33); (vi) Directive 98/41/EC of 18 June 1998 on the registration of persons sailing on board passenger ships operating to or from ports of the Member States of the Community (OJ L 188, 2.7.1998, p.35); (vii) Directive 2001/96/EC of the European Parliament and of the Council of 4 December 2001 establishing harmonised requirements and procedures for the safe loading and unloading of bulk carriers (OJ L 13, 16.1.2002, p. 9).deleted

Amendment 557 #

Proposal for a directive
Annex I – part I – point D – point 4 – introductory part

4. Safety requirements in the maritime sector as regulated in particular by:

Amendment 558 #

Proposal for a directive
Annex I – part I – point E

E Article 1(a)(v) – protection of the environment: (i) Any criminal offence against the protection of the environment as regulated by Directive 2008/99/EC of the European Parliament and of the Council of 19 November 2008 on the protection of the environment through criminal law (OJ L 328, 6.12.2008, p. 28) or any unlawful conduct infringing the legislation set out in the Annexes of the Directive 2008/99/EC; (ii) Directive (EC) 2004/35 of the European Parliament and of the Council of 21 April 2004 on environmental liability with regard to the prevention and remedying of environmental damage (OJ L 143, 30.4.2004, p. 56); (iii) Regulation of (EU) 995/2010 of the European Parliament and of the Council of 20 October 2010 laying down the obligations of operators who place timber and timber products on the market (OJ L 295, 12.11.2010, p. 23); (iv) Directive 2009/123/EC of the European Parliament and of the Council of 21 October 2009 amending Directive 2005/35/EC on ship-source pollution and on the introduction of penalties for infringements (OJ L 280, 27.10.2009, p. 52); (v) Regulation (EU) 2015/757 of the European Parliament and of the Council of 29 April 2015 on the monitoring, reporting and verification of carbon dioxide emissions from maritime transport, and amending Directive 2009/16/EC (OJ L 123, 19.5.2015, p. 55); (vi) Regulation (EU) No 1257/2013 of the European Parliament and of the Council of 20 November 2013 on ship recycling and amending Regulation (EC) No 1013/2006 and Directive 2009/16/EC (OJ L 330, 10.12.2013, p. 1); (vii) Regulation (EU) No 649/2012 of the European Parliament and of the Council of 4 July 2012 concerning the export and import of hazardous chemicals (OJ L 201, 27.7.2012, p. 60); (viii) Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (OJ L 396, 30.12.2006, p.1); (ix) Directive (EU) 2015/2193 of the European Parliament and of the Council of 25 November 2015 on the limitation of emissions of certain pollutants into the air from medium combustion plants (OJ L 313, 28.11.2015, p. 1).deleted

Amendment 559 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Annex I – part I – point E – title

Amendment 560 #

Proposal for a directive
Annex I – part I – point E a (new)

Amendment 561 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Annex I – part I – point E b (new)

Amendment 562 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Annex I – part I – point E c (new)

Ec Provisions on chemicals, including: (i) Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (OJ L 396, 30.12.2006, p. 1).

Amendment 563 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

F Article 1(a)(vi) – nuclear safety Rules on nuclear safety as regulated by: (i) Council Directive 2009/71/Euratom of 25 June 2009 establishing a Community framework for the nuclear safety of nuclear installations (OJ L 172, 2.7.2009, p. 18); (ii) Council Directive 2013/51/Euratom of 22 October 2013 laying down requirements for the protection of the health of the general public with regard to radioactive substances in water intended for human consumption (OJ L 296, 7.11.2013, p. 12); (iii) Council Directive 2013/59/Euratom of 5 December 2013 laying down basic safety standards for protection against the dangers arising from exposure to ionising radiation, and repealing Directives 89/618/Euratom, 90/641/Euratom, 96/29/Euratom, 97/43/Euratom and 2003/122/Euratom (OJ L 13, 17.1.2014, p. 1); (iv) Council Directive 2011/70/Euratom of 19 July 2011 establishing a Community framework for the responsible and safe management of spent fuel and radioactive waste (OJ L 199, 2.8.2011, p. 48); (v) Council Directive 2006/117/Euratom of 20 November 2006 on the supervision and control of shipments of radioactive waste and spent fuel (OJ L 337, 5.12.2006, p. 21).deleted

Amendment 564 #

Rules on nuclear safety as regulated in particular by:

Amendment 565 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Annex I – part I – point G

G Article 1(a)(vii) – food and feed safety, animal health and animal welfare: 1. Union food and feed law governed by the general principles and requirements as defined by Regulation (EC) No 178/2002 of the European Parliament and of the Council of 28 January 2002 laying down the general principles and requirements of food law, establishing the European Food Safety Authority and laying down procedures in matters of food safety (OJ L 31, 1.2.2002, p. 1). 2. Animal health as regulated by Regulation (EU) 2016/429 of the European Parliament and of the Council of 9 March 2016 on transmissible animal diseases and amending and repealing certain acts in the area of animal health (‘Animal Health Law’) (OJ L 84, 31.3.2016, p. 1). 3. Regulation (EU) 2017/625 of the European Parliament and of the Council of 15 March 2017 on official controls and other official activities performed to ensure the application of food and feed law, rules on animal health and welfare, plant health and plant protection products, amending Regulations (EC) No 999/2001, (EC) No 396/2005, (EC) No 1069/2009, (EC) No 1107/2009, (EU) No 1151/2012, (EU) No 652/2014, (EU) 2016/429 and (EU) 2016/2031 of the European Parliament and of the Council, Council Regulations (EC) No 1/2005 and (EC) No 1099/2009 and Council Directives 98/58/EC, 1999/74/EC, 2007/43/EC, 2008/119/EC and 2008/120/EC, and repealing Regulations (EC) No 854/2004 and (EC) No 882/2004 of the European Parliament and of the Council, Council Directives 89/608/EEC, 89/662/EEC, 90/425/EEC, 91/496/EEC, 96/23/EC, 96/93/EC and 97/78/EC and Council Decision 92/438/EEC (Official Controls Regulation) (OJ L 95, 7.4.2017, p. 1). 4. Protection of animal welfare as regulated by: (i) Council Directive 98/58/EC of 20 July 1998 concerning the protection of animals kept for farming purposes (OJ L 221, 8.8.1998, p. 23); (ii) Council Regulation (EC) No 1/2005 of 22 December 2004 on the protection of animals during transport and related operations and amending Directives 64/432/EEC and 93/119/EC and Regulation (EC) No 1255/97 (OJ L 3, 5.1.2005, p. 1); (iii) Council Regulation (EC) No 1099/2009 of 24 September 2009 on the protection of animals at the time of killing (OJ L 303, 18.11.2009, p. 1).deleted

Amendment 566 #

Proposal for a directive
Annex I – part I – point G – point 4 – introductory part

4. Protection of animal welfare as regulated in particular by:

Amendment 567 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Annex I – part I – point H

~~[...]~~deleted

Amendment 568 #

Proposal for a directive
Annex I – part I – point H – point 1 – introductory part

1. Measures setting high standards of quality and safety of organs and substances of human origin, as regulated in particular by:

Amendment 569 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Annex I – part I – point H – point 2 – introductory part

2. Measures setting high standards of quality and safety for medicinal products and devices of medical use as regulated in particular by:

Amendment 570 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Annex I – part I – point I

I Article 1(a)(ix) – consumer protection: Consumer rights and consumer protection as regulated by: (i) Directive 98/6/EC of the European Parliament and of the Council of 16 February 1998 on consumer protection in the indication of the prices of products offered to consumers (OJ L 80, 18.3.1998, p. 27); (ii) Directive 1999/44/EC of the European Parliament and of the Council of 25 May 1999 on certain aspects of the sale of consumer goods and associated guarantees (OJ L 171, 7.7.1999, p. 12); (iii) Directive 2002/65/EC of the European Parliament and of the Council of 23 September 2002 concerning the distance marketing of consumer financial services and amending Council Directive 90/619/EEC and Directives 97/7/EC and 98/27/EC (OJ L 271, 9.10.2002, p. 16); (iv) Directive 2005/29/EC of the European Parliament and of the Council of 11 May 2005 concerning unfair business-to- consumer commercial practices in the internal market and amending Council Directive 84/450/EEC, Directives 97/7/EC, 98/27/EC and 2002/65/EC of the European Parliament and of the Council and Regulation (EC) No 2006/2004 of the European Parliament and of the Council (‘Unfair Commercial Practices Directive’) (OJ L 149, 11.6.2005, p. 22); (v) Directive 2008/48/EC of the European Parliament and of the Council of 23 April 2008 on credit agreements for consumers and repealing Council Directive 87/102/EEC (OJ L 133, 22.5.2008, p. 66); (vi) Directive 2011/83/EU of the European Parliament and of the Council of 25 October 2011 on consumer rights, amending Council Directive 93/13/EEC and Directive 1999/44/EC of the European Parliament and of the Council and repealing Council Directive 85/577/EEC and Directive 97/7/EC of the European Parliament and of the Council (OJ L 304, 22.11.2011, p. 64); (vii) Directive 2014/92/EU of the European Parliament and of the Council of 23 July 2014 on the comparability of fees related to payment accounts, payment account switching and access to payment accounts with basic features (OJ L 257, 28.8.2014, p. 214).deleted

Amendment 571 #

Proposal for a directive
Annex I – part I – point I – paragraph 1 – introductory part

Consumer rights and consumer protection as regulated in particular by:

Amendment 572 #

Kostas CHRYSOGONOS, Jiří MAŠTÁLKA, Stelios KOULOGLOU

Proposal for a directive
Annex I – part I – point J

J Article 1(a)(x) –protection of privacy and personal data, and security of network and information systems: (i) Directive 2002/58/EC of the European Parliament and of the Council concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications) (OJ L 201, 31.7.2002, p. 37); (ii) Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1); (iii) 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 (OJ L 194, 19.7.2016, p. 1).deleted

Amendment 573 #

Proposal for a directive
Annex I – part I – point J a (new)

Ja Article 1 (a) (xi) - (xi) employment and working conditions 1. Employment legislation of the European Union, as regulated in particular by: (i) Council Directive 79/7/EEC of 19 December 1978 on the progressive implementation of the principle of equal treatment for men and women in matters of social security (OJ L 6, 10.1.1979,p. 24); (ii) Council Directive91/533/EEC of 14 October 1991 on an employer's obligation to inform employees of the conditions applicable to the contract or employment relationship (OJ L288, 18.10.1991, p. 32); (iii) Council Directive91/383/EEC of 25 June 1991 supplementing the measures to encourage improvements in the safety and health at work of workers with a fixed- duration employment relationship or a temporary employment relationship (OJ L 206, 29.7.1991, p.19); (iv) Council Directive 94/33/EC of 22 June 1994 on the protection of young people at work (OJ L 216, 20.8.1994,p. 12); (v) Council Directive 98/59/EC on the approximation of the laws of the Member States relating to collective redundancies (OJ L 225, 12.8.1998, p. 16); (vi) Council Directive 98/49/EC of 29 June 1998 on safeguarding the supplementary pension rights of employed and self-employed persons moving within the Community (OJ L 209, 25.7.1998, p.46); (vii) Council Directive 2000/78/EC of 27 November 2000 establishing a general framework for equal treatment in employment and occupation (OJ L 303, 2.12.2000, p. 16); (viii) Council Directive 2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin (OJ L 180, 19.7.2000,p. 22); (ix) Council Directive 2000/79/EC of 27 November 2000 concerning the European Agreement on the Organisation of Working Time of Mobile Workers in Civil Aviation concluded by the Association of European Airlines (AEA), the European Transport Workers' Federation (ETF), the European Cockpit Association (ECA), the European Regions Airline Association (ERA) and the International Air Carrier Association (IACA)(OJ L 302, 1.12.2000, p. 57); (x) Council Directive 2001/23/EC of 12 March 2001 on the approximation of the laws of the Member States relating to the safeguarding of employees' rights in the event of transfers of undertakings, businesses or parts of undertakings or businesses (OJ L 82,22.3.2001, p. 16); (xi) Directive 2003/41/EC of the European Parliament and of the Council of 3 June 2003 on the activities and supervision of institutions for occupational retirement provision (OJ L 235,23.9.2003, p. 10); (xii) Directive 2004/113/EC of13 December 2004 implementing the principle of equal treatment between men and women in the access to and supply of goods and services (OJ L 373, 21.12.2004,p. 37); (xiii) Directive 2003/88/EC of the European Parliament and of the Council of 4 November 2003 concerning certain aspects of the organisation of working time (OJ L 299, 18.11.2003, p. 9); (xiv) Directive 2006/54/EC of the European Parliament and of the Council of 5 July 2006 on the implementation of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation (OJ L 204, 26.7.2006, p. 23); (xv) Directive 2008/94/EC of the European Parliament and of the Council of 22 October 2008 on the protection of employees in the event of the insolvency of their employer (OJ L 283,28.10.2008, p. 36); (xvi) Directive 2010/41/EU of the European Parliament and of the Council of 7 July 2010 on the application of the principle of equal treatment between men and women engaged in an activity in a self-employed capacity and repealing Council Directive 86/613/EEC (OJ L180, 15.7.2010, p. 1); (xvii) Directive 2014/54/EU of the European Parliament and of the Council of 16 April 2014 on measures facilitating the exercise of rights conferred on workers in the context of freedom of movement for workers (OJ L 128, 30.4.2014, p. 8); (xviii) Directive 2014/67/EU of the European Parliament and of the Council of 15 May 2014 on the enforcement of Directive 96/71/EC concerning the posting of workers in the framework of the provision of services and amending Regulation (EU) No 1024/2012 on administrative cooperation through the Internal Market Information System (‘the IMI Regulation’) (OJ L 159, 28.5.2014, p. 11); (xix) Directive 2014/50/EU of the European Parliament and of the Council of 16 April 2014 on minimum requirements for enhancing worker mobility between Member States by improving the acquisition and preservation of supplementary pension rights (OJ L 128,30.4.2014, p. 1); (xx) Regulation (EC) No 450/2003 of the European Parliament and of the Council of 27 February 2003concerning the labour cost index (OJ L 69, 13.3.2003, p. 1); (xxi) Regulation (EC) No 1071/2009 of the European Parliament and of the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC (OJ L 300, 14.11.2009, p. 51); (xxii) Regulation (EC) No987/2009 of the European Parliament and of the Council of 16 September 2009laying down the procedure for implementing Regulation (EC) No 883/2004 on the coordination of social security systems (OJ L 284, 30.10.2009, p. 1); (xxiii) Regulation (EU) No492/2011 of the European Parliament and of the Council of 5 April 2011 on freedom of movement for workers within the Union (OJ L 141, 27.5.2011, p. 1.); (xxiv) Regulation (EU) No223/2014 of the European Parliament and of the Council of 11 March 2014 on the Fund for European Aid to the Most Deprived (OJ L 72, 12.3.2014, p. 1); (xxv) Regulation (EU) 2015/848 of the European Parliament and of the Council of 20 May 2015 on insolvency proceedings (OJ L 141, 5.6.2015, p. 19); 2. Working conditions, as regulated in particular by: (i) all individual Directives within the meaning of Article 16(1) of Directive 89/391/EEC; (ii) Council Directive 92/29/EEC of 31 March 1992 on the minimum safety and health requirements for improved medical treatment on board vessels (OJ L 113, 30.4.1992, p. 19); (iii) Directive 2001/95/EC of 3December 2001 on general product safety (OJ L 11, 15.01.2002, p. 4); (iv) Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC (OJ L 157, 9.6.2006, p. 24); (v) Commission Directive 2006/15/EC of 7 February 2006 establishing a second list of indicative occupational exposure limit values in implementation of Council Directive 98/24/EC and amending Directives 91/322/EEC and 2000/39/EC (OJ L 38, 9.2.2006,p. 36); (vi) Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the in land transport of dangerous goods (OJ L 260, 30.9.2008, p. 13); (vii) Directive 2009/104/EC of the European Parliament and of the Council of 16 September 2009 concerning the minimum safety and health requirements for the use of work equipment by workers at work (second individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) (OJ L 260, 3.10.2009, p. 5); (viii) Directive 2009/148/EC of the European Parliament and of the Council of 30 November 2009 on the protection of workers from the risks related to exposure to asbestos at work(OJ L 330, 16.12.2009, p. 28); (ix) Regulation (EC) No 1338/2008 of the European Parliament and of the Council of 16 December 2008 on Community statistics on public health and health and safety at work (OJ L 354, 31.12.2008, p. 70).

Amendment 574 #

Proposal for a directive
Annex I – part I – point J a (new)

Ja Article 1(a) (xa) - workers' right 1. Rules regarding health and safety at work (i) Council Directive 89/391/EEC of 12 June 1989 on the introduction of measures to encourage improvements in the safety and health of workers at work (OJ L 183, 29.6.1989, p. 1–8) (ii) Council Directive 91/383/EEC of 25 June 1991 supplementing the measures to encourage improvements in the safety and health at work of workers with a fixed- duration employment relationship or a temporary employment relationship (OJ L 206, 29.7.1991, p. 19–21) 2. Rules regarding working condition (i) Directive 2008/94/EC of the European Parliament and of the Council of 22 October 2008 on the protection of employees in the event of the insolvency of their employer (Codified version) (Text with EEA relevance) (OJ L 283, 28.10.2008, p. 36–42) (ii) Directive 2009/38/EC of the European Parliament and of the Council of 6 May 2009 on the establishment of a European Works Council or a procedure in Community-scale undertakings and Community-scale groups of undertakings for the purposes of informing and consulting employees (OJ L 122, 16.5.2009, p. 28–44) (iii)Directive 2008/104/EC of the European Parliament and of the Council of 19 November 2008 on temporary agency work (OJ L 327, 5.12.2008, p. 9– 14 ) 3. Rules regarding information and consultation of the workers (i) Council Directive 91/533/EEC of 14 October 1991 on an employer's obligation to inform employees of the conditions applicable to the contract or employment relationship (OJ L 288, 18.10.1991, p. 32– 35) (ii) Council Directive 98/59/EC of 20 July 1998 on the approximation of the laws of the Member States relating to collective redundancies (OJ L 225, 12.8.1998, p. 16– 21) (iii) Directive 2002/14/EC of the European Parliament and of the Council of 11 March 2002 establishing a general framework for informing and consulting employees in the European Community - Joint declaration of the European Parliament, the Council and the Commission on employee representation (OJ L 80, 23.3.2002, p. 29–34) (iv) Council Directive 94/33/EC of 22 June 1994 on the protection of young people at work (OJ L 216, 20.8.1994, p. 12–20) (v) Directive 2003/88/EC of the European Parliament and of the Council of 4 November 2003 concerning certain aspects of the organisation of working time (OJ L 299, 18.11.2003, p. 9–19)

Amendment 575 #

Proposal for a directive
Annex I – part II

~~[...]~~deleted

Amendment 576 #

Proposal for a directive
Annex I – part II – point A

~~[...]~~deleted

Amendment 577 #

Proposal for a directive
Annex I – part II – point B

B Article 1(a)(iv) – transport safety: (i) Regulation (EU) No 376/2014 of the European Parliament and of the Council of 3 April 2014 on the reporting, analysis and follow-up of occurrences in civil aviation amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive 2003/42/EC of the European Parliament and of the Council and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007 (OJ L 122, 24.4.2014, p. 18); (ii) Directive 2013/54/EU of the European Parliament and of the Council of 20 November 2013 concerning certain flag State responsibilities for compliance with and enforcement of the Maritime Labour Convention, 2006 (OJ L 329, 10.12.2013, p. 1); (iii) Directive 2009/16/EC of the European Parliament and of the Council of 23 April 2009 on port State control (OJ L 131, 28.5.2009, p. 57).deleted

Amendment 578 #