WHISTLEBLOWER POLICY

ARTICLE 1 – INTRODUCTION AND PURPOSE

The Lewin Fund to Fight Women’s Cancers requires its directors, officers, employees and volunteers to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. The purpose of this policy is to encourage and enable employees and volunteers of the Lewin Fund to report any action or suspected action taken within the Lewin Fund that is illegal, fraudulent or in violation of any adopted policy of the Lewin Fund, to a source within the Lewin Fund before turning to outside parties for resolution. This policy applies to any matter which is related to the Lewin Fund’s business and does not relate to private acts of an individual not connected to the business of the Lewin Fund. This policy is intended to supplement but not replace the Lewin Fund’s unlawful harassment and discrimination policy, “open door policy” and/or any other grievance procedure, and any applicable state and federal laws governing whistleblowing applicable to nonprofit and charitable organizations.

ARTICLE 2 – VIOLATIONS; REPORTING IN GOOD FAITH

All employees and volunteers of the Lewin Fund are encouraged to report any action or suspected action taken within the Lewin Fund that is illegal, fraudulent, or in violation of any adopted policy of the Lewin Fund (each, a “Violation”).  Anyone reporting a Violation must act in good faith, without malice to the Lewin Fund or any individual in the Lewin Fund and have reasonable grounds for believing that the information shared in the report indicates that a Violation has occurred. [Any report which the complainant has made maliciously or any report which the complainant has good reason to believe is false will be viewed as a serious disciplinary offense.⁸]

ARTICLE 3 – NO RETALIATION

No employee or volunteer who in good faith reports a Violation or cooperates in the investigation of a Violation shall suffer harassment, retaliation, or adverse employment or volunteer consequences. Any individual within the Lewin Fund who retaliates against another individual who in good faith has reported a Violation or has cooperated in the investigation of a Violation is subject to discipline, including termination of employment or volunteer status.

If an individual believes that someone who has made a report of a Violation or who has cooperated in the investigation of a Violation is suffering from harassment, retaliation, or other adverse employment or volunteer consequences, the individual should contact the Compliance Officer.

Any individual who reasonably believes he or she has been retaliated against in violation of this policy shall follow the same procedures as for filing a complaint (outlined in Article 4 below).

ARTICLE – REPORTING PROCESS

If an individual reasonably believes that a Violation has occurred, the individual is encouraged to share their questions, concerns, suggestions, or complaints with any person within the Lewin Fund who may be able to address them properly.

In most cases, the direct supervisor of an individual is the person best suited to address a concern. However, if an individual is not comfortable speaking with their supervisor or if they are not satisfied with the supervisor’s response, the individual is encouraged to speak directly to the Compliance Officer, [insert name of designated board member, i.e., the Chairperson of the Board, or other designated outside party to whom a report may be made] or anyone in management they feel comfortable approaching.

ARTICLE 5 – CONFIDENTIALITY

The Lewin Fund encourages anyone reporting a Violation to identify themselves when making a report in order to facilitate the investigation of the Violation. However, reports may be submitted on a confidential basis by the complainant or may be submitted anonymously by [insert procedure for reporting anonymous Violations, e.g., filling out a reporting form and depositing the form in a designated drop box]. Reports of Violations or suspected Violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation, to comply with all applicable laws, and to cooperate with law enforcement authorities. Furthermore, the Lewin Fund will explore anonymous allegations to the extent possible, but will weigh the prudence of continuing such investigations against the likelihood of confirming the alleged facts or circumstances from attributable sources.

ARTICLE 6 – COMPLIANCE OFFICER; HANDLING REPORTED VIOLATIONS

The supervisor, manager, or board member who receives a report of a Violation from the complainant is required to notify the Compliance Officer of that report, except as provided below with respect to a report relating to the Compliance Officer. The Compliance Officer will notify the complainant and acknowledge receipt of a report of Violation within [five to ten] business days, but only to the extent that the complainant’s identity is disclosed or a return address is provided. 

The Compliance Officer, or their designee, is responsible for promptly investigating all reported Violations and for causing appropriate corrective action  to be taken if warranted by the investigation. The complainant will be notified about what actions will be taken, to the extent reasonably possible and consistent with any privacy or confidentiality limitations. If no further action or investigation is to follow, an explanation for the decision will be given to the complainant. [Insert any additional review procedures.]

In the event the Compliance Officer is suspected of having committed a Violation, then the Violation will be reported to [insert designated officer, e.g., the Chief Financial Officer] and the Violation will be investigated by [designated officer] under close supervision of the Board of Directors.

Compliance Officer:  [Name and contact information]

ARTICLE 7 – ACCOUNTING AND AUDITING MATTERS; REPORTS

The [insert designated body responsible for addressing any accounting or auditing matters, e.g., the executive committee, the audit committee, etc.] is responsible for addressing all reported concerns or complaints of Violations relating to corporate accounting practices, internal controls, or auditing. Therefore, the Compliance Officer must immediately notify the [designated body] of any such concern or complaint.²⁰

In addition, the Compliance Officer will advise the [Executive Director/Board President] and/or the [designated body] of any other reported Violations, the current status of the investigation, and the outcome or corrective action taken at the conclusion of the investigation.

Adopted by the Board of Directors at its Meeting on ____________________.²¹

My signature below indicates my receipt and understanding of this policy. I also verify that I have been provided with the opportunity to ask questions about the policy.

 

______________________________________________                        Date: _________________

 

Name: _______________________________________