NC-SWANA
WHISTLEBLOWER PROTECTION POLICY
ADM - 004
PURPOSE
This Policy is intended to encourage and enable any person Member of this organization to raise
serious concerns internally so that NC SWANA can address and correct inappropriate conduct and
actions.
SCOPE
This Whistleblower Protection Policy applies to all persons associated with NC-SWANA whom shall
be entitled to this protection.
REPORTING RESPONSIBILITY
It is the responsibility of all officers, directors, contract agents, and volunteers to report concerns about
violations of NC SWANA’s code of ethics or suspected violations of law or regulations that govern
NC SWANA’s operations.
NO RETALIATION
It is contrary to the values of NC SWANA for anyone to retaliate against any board member, officer,
contract agent, or volunteer who in good faith reports an ethics violation, or a suspected violation of
ethics, law, or regulation. A member who retaliates against someone who has reported a violation in
good faith is subject to discipline up to and including removal of director or officer from the Board;
termination of contract; and/or revocation of membership.
REPORTING PROCEDURE
NC SWANA has an open door policy and suggests that anyone associated with the organization share
their questions, concerns, suggestions or complaints with someone in a position to address an area of
concern; such as an officer or director of the Board of Directors. Concerns of inappropriate conduct
and actions will be taken to the Executive Committee for review and potential action. The Chapter
President will serve as the Organization’s Compliance Officer and has the responsibility to investigate
all reported violations. For concerns directly related to an officer of the Executive Committee; that
officer may be excused from discussions, investigations, and any actions arising from the findings of
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the complaint. For suspected fraud, or if complainant is not satisfied that the complaint has been
addressed properly, they should contact the Organization’s Compliance Officer Directly, in writing.
COMPLAINCE OFFICER
The NC SWANA Compliance Officer is responsible for ensuring that all complaints about unethical or
illegal conduct are investigated and resolved. The Compliance Officer will advise the Board of
Directors of all complaints and their resolution and will report at least annually to the Treasurer on
compliance activity relating to accounting or alleged financial improprieties.
ACCOUNTING AND AUDITING MATTERS
The Executive 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 Executive 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 must be acting in good faith
and have reasonable grounds for believing the information disclosed indicates a violation. 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 offence.
CONFIDENTIALITY
Violations or suspected violations may be submitted on a confidential basis by the complainant.
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 sender and acknowledge receipt of the reported violation or
suspected violation within ten business days. All reports will be promptly investigated and appropriate
corrective action will be taken if warranted by the investigation.
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APPROVAL:
________________________________________
________________________
PRESIDENT
DATE
________________________________________
_________________________
VICE PRESIDENT
DATE
________________________________________
_________________________
SECRETARY
DATE
________________________________________
_________________________
TREASURER
DATE
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