Pensions and Retirement Training Course on Whistleblowing and Incident Response

Module 1: Foundations of Whistleblowing in Pension Governance
Definition, principles, and objectives of whistleblowing
The role of whistleblowing in enhancing transparency and integrity
Ethical foundations and fiduciary responsibilities in pensions
Whistleblowing vs. internal grievance mechanisms
Global best practices and international standards (OECD, IOPS, G20)
The link between whistleblowing, governance, and public trust

Module 2: Legal and Regulatory Framework for Whistleblower Protection
National laws and international conventions on whistleblower rights
Compliance obligations for pension entities and trustees
Reporting obligations to regulators and supervisory authorities
Legal protections, confidentiality, and anonymity guarantees
Employer retaliation risks and mitigation strategies
Case law examples and regulatory enforcement trends

Module 3: Designing Effective Whistleblowing Frameworks
Elements of a sound whistleblowing policy
Establishing confidential and accessible reporting channels (hotlines, portals, ombuds)
Governance structure: roles of compliance, audit, HR, and the board
Procedures for reporting, assessing, and escalating incidents
Criteria for admissible and non-admissible complaints
Building trust and encouraging employee participation

Module 4: Incident Response, Investigation, and Corrective Action
Defining incidents: fraud, data breaches, misconduct, and regulatory violations
Steps in incident response planning and management
Setting up an incident response team (IRT) and defining roles
Investigation procedures, evidence gathering, and interview techniques
Maintaining confidentiality and integrity during investigations
Coordination between departments and communication with external stakeholders
Developing corrective action plans and reporting outcomes

Module 5: Practical Workshop, Case Studies, and Continuous Improvement
Case studies: Whistleblowing failures and successful responses in pension systems
Simulation: Handling a whistleblower report from receipt to resolution
Group exercise: Drafting a pension fund whistleblowing and incident response policy
Building a culture of openness, ethical conduct, and accountability
Using technology for whistleblowing management (digital hotlines, reporting dashboards)
Evaluating and improving whistleblowing programs through performance metrics
Course summary, feedback, and certification ceremony