Title: Whistleblower Policy

General:

The United Way of Mesa County requires directors, officers and employees to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. As employees and representatives of the Organization, we must practice honesty and integrity in fulfilling our responsibilities and comply with all applicable laws and regulations.

Reporting Responsibility:

It is the responsibility of all directors, officers and employees to comply with the Code of Ethics and/or Handbook and to report violations or suspected violations in accordance with this Whistleblower Policy. Employees must comply with Policy 130 of the Employee Handbook, when reporting discrimination or harassment.

No Retaliation:

No trustee, officer or employee who in good faith reports a violation of the Code or Handbook shall suffer harassment, retaliation or adverse employment consequence. An employee who retaliates against someone who has reported a violation in good faith is subject to discipline up to and including termination of employment. This Whistleblower Policy is intended to encourage and enable employees and others to raise serious concerns within the Organization prior to seeking resolution outside the Organization.

Reporting Violations:

In most cases, the Executive Director is in the best position to address an area of concern. However, if you are not comfortable speaking with the Executive Director or you are not satisfied with the Executive Director’s response, you are encouraged to speak with the Compliance Officer. The Executive Director is required to report suspected violations of the Code of Conduct to the Organization’s Compliance Officer, who has specific and exclusive responsibility to investigate all reported violations of the Code. For suspected fraud, or when you are not satisfied or uncomfortable going to the Executive Director individuals should contact the Organization’s Compliance Officer directly. An anonymous third-party tip line is available for reporting if direct communication to the Executive Director or Compliance Officer is not possible or impractical. The telephone number and organization identification code will be posted in the organization’s office, on the organization’s website, and in the Employee Handbook and Board Handbook. Three contacts from the organization including the Executive Director, Compliance Officer, and a third board member appointed by the Board President will be alerted by the tip line of possible concerns. Employees must comply with Policy 130 of the Employee Handbook, when reporting discrimination or harassment.

Compliance Officer:

The Organization’s Compliance Officer is the Treasurer. The Organization’s Compliance Officer is responsible for investigating and resolving all reported complaints and allegations concerning violations of the Code and, at his/her discretion, shall advise the Executive Director and/or the finance committee. The Compliance Officer has direct access to the finance committee of the board of directors and is required to report to the finance committee at least annually on compliance activity.

Accounting and Auditing Matters:

The finance committee of the board of directors shall address all reported concerns or complaints regarding corporate accounting practices, internal controls or auditing. The Compliance Officer shall immediately notify the finance committee of any such complaint and work with the committee until the matter is resolved.

Acting in Good Faith:

Anyone filing a complaint concerning a violation or suspected violation of the Code must be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation of the Code. Any allegations that prove not to be substantiated and which prove to have been made maliciously or knowingly to be false will be viewed as a serious disciplinary offense.

Confidentiality:

Violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.

Handling of Reported Violations:

The Compliance Officer will notify the complainant (when known) and acknowledge receipt of the reported violation or suspected violation within five business days. All reports will be promptly investigated and appropriate corrective action will be taken if warranted by the investigation.

References: adapted from variety of sample policies from other small cities United Way organizations

Date Adopted: August 22, 2007

Board of Directors Last Review Date:

Revision Dates: August 11, 2020