What is a Protected Disclosure?
A protected disclosure is defined in the 2014 Act as a disclosure of information which, in the reasonable belief of the worker, tends to show one or more relevant wrongdoings, which came to the attention of the worker in connection with the worker’s employment and is disclosed in the manner outlined in the 2014 Act. Making a protected disclosure is sometimes referred to as “whistleblowing”.
Scope
The Regulator of the National Lottery is prescribed by Statutory Instrument No 367 of 2020 – Protected Disclosures Act 2014 (Disclosure to Prescribed Persons) Order 2020 to receive protected disclosures under the Protected Disclosures Act 2014 (the “2014 Act”) from external workers that are not Regulator of the National Lottery workers.
Regulator of the National Lottery Commitment
The Regulator of the National Lottery is committed to the highest possible standards of openness, probity, and accountability. The Regulator of the National Lottery has a duty to conduct its affairs with propriety and has put in place a wide range of procedures and codes of practice to deliver on its commitments and to deter malpractice, abuse and/or wrongdoing. The Regulator of the National Lottery expects disclosers who have bona fide concerns about such malpractice to come forward and voice those concerns, without fear of reprisal.
How to make a protected disclosure to the Regulator of the National Lottery
To make a protected disclosure to the Regulator of the National Lottery, a worker must reasonably believe that the information disclosed, and any allegations contained in it, are substantially true and that the relevant wrongdoing is related to compliance by the operator of the National Lottery with the National Lottery Act 2013 (No. 13 of 2013) and the terms and conditions of the licence granted to the operator.
The information must be disclosed in the manner outlined in the 2014 Act and the disclosure should contain the following:
- Name and contact details (anonymous disclosures are accepted but are much less powerful and far less capable of being addressed).
- A statement that the disclosure is being made under the Protected Disclosures Act 2014.
- Name of any person or organisation involved.
- A detailed description and as much information as possible relating to the alleged wrongdoing, including dates that the alleged wrongdoing occurred or was identified on (if known), if it is still ongoing, whether it has been disclosed previously (and, if so, to whom and when) and any evidence that would help in assessing the disclosure.
All disclosures received will be taken seriously, dealt with on a confidential basis, and addressed appropriately.
Protected disclosures may be submitted to the Regulator of the National Lottery at this address:
Confidential – Legal and Compliance Department ONLY
Regulator of the National Lottery
5 George’s Dock
International Financial Services Centre
Dublin 1
D01 X8N7
Tel: (01) 872 7932
Email: protecteddisclosures@rnl.ie
The Process
Acknowledgement
Acknowledgement of receipt of a disclosure from external worker will issue in writing and within 7 calendar days of receipt of the disclosure.
Initial Assessment
The ORNL will carry out an initial assessment of all disclosures received, to determine if there is prima facie evidence that a relevant wrongdoing may have occurred and if it should be treated as a protected disclosure or otherwise.
The Legal and Compliance Department may, after an initial assessment decide that:
- there is no evidence of wrongdoing or that the wrongdoing is minor and does not require follow-up and can be closed;
- any information disclosed does not contain any new information as compared with a previous disclosure made by an external worker;
- the disclosure concerns matters that are not within the scope of the ORNL’s regulatory function under the 2013 Act and that it is necessary to refer the matter to another prescribed person or to the Protected Disclosures Commissioner; or
- a relevant wrongdoing may have occurred and appropriate action (e.g., an investigation) is necessary.
Investigation
If the Legal and Compliance Department deems that the disclosure warrants further investigation, they may then call on external expertise at their discretion in order to assist them. Where it is considered appropriate, the matters raised may be referred to external agencies to investigate, e.g., the Gardaí or through some other form of independent inquiry.
External workers may be called on to provide information relevant to the disclosure in order to assist in establishing further facts. Additionally, where appropriate, senior management at the ORNL may be asked to assist in the process. In certain circumstances, an external worker may be requested to respond, either in person or via an intermediary, to questions posed by a person who is subject to investigation.
Any investigation carried out by the ORNL will comply with the ORNL’s functions and powers under the National Lottery Act 2013.
Feedback
Feedback on disclosures - to keep external workers informed on the process and actions arising from a disclosure made by them and the reasons for such actions - will be provided to external workers as soon as is practicable and, in any event, no later than 3 months of acknowledgment of the receipt of the external worker’s disclosure.
An external worker may request (in writing) to be provided with further feedback on their disclosure at intervals of 3 months after the external worker has first been provided with feedback and until any procedure relating to their disclosure is closed.
All feedback received by an external worker will be treated confidentially.
The ORNL will endeavour to inform the external worker of the final outcome of the process, if appropriate, but will not provide an external worker with personal information relating to any other person (including any disciplinary sanction brought against that other person).
Supports
The ORNL has put in place appropriate supports for external workers who may wish to make a protected disclosure. Before making a disclosure, external workers may speak to their line manager, the Legal and Compliance Department or such other member of the staff appointed by the ORNL to assist the Legal and Compliance Department to receive assurances or ask questions ahead of making a disclosure.
External workers may also speak to the Legal and Compliance Department if they wish to secure information regarding where they can obtain independent advice (such as free helplines, legal advice centres and citizens advice centres) and support if they are considering making a disclosure or have made a disclosure.
The Office of the Protected Disclosures Commissioner provides sources of information and support: www.opdc.ie
Records
Records of all disclosures received by the ORNL, including the outcome of any disclosures, shall be retained in accordance with the ORNL’s Records Retention Policy. As such, records shall be maintained in a confidential and secure environment. Such records will be retained only for as long as is necessary and proportionate for the ORNL to ensure compliance with the legislation.
The Freedom of Information Act 2014 does not apply to a record relating to a protected disclosure made to the ORNL. Records concerning a public body’s general administration of its functions under the Act are subject to Freedom of Information, however.
Data Protection
Protected disclosures may involve the processing of personal data, including the personal details of the reporting person and potentially personal data regarding persons concerned or other third parties.
The ORNL has implemented a Data Protection Policy which sets out the circumstances in which the rights of individuals under the General Data Protection Regulation may be affected by the provisions of the Act. If an external worker wishes to seek further information on this policy, they can do so by contacting Cian O’Sullivan, Data Protection Officer at dpo@rnl.ie.