OTW Whistleblower Protection Policy

Article I: Introduction

The Organization for Transformative Works (OTW) requires Board members, Officers, Chairs, Leads, and volunteers to observe high standards of business and ethical conduct, and comply with the Code of Conduct for the duration of their duties and responsibilities. As representatives of the OTW, all volunteers must practice honesty and integrity in fulfilling their responsibilities while also complying with all applicable laws and regulations.

This Whistleblower Policy applies to all OTW volunteers, including Board members, Officers, Chairs, and Leads. It does not apply to those who are not OTW volunteers, including but not limited to employees, independent contractors, and external vendors.

Article II: Reporting Responsibility

This Whistleblower Policy is intended to encourage and enable volunteers affiliated with the OTW to raise serious concerns via available means when necessary – including but not limited to the methods outlined in How to Give Feedback or Report a Grievance and Making a Formal Complaint About a Board Director – so that the OTW can address and correct inappropriate conduct and actions.

It is the responsibility of all Board members, Officers, Chairs, Leads, and volunteers to report concerns about violations of OTW’s Code of Conduct, Confidentiality Policies, Committee Policies, or suspected violations of laws and/or regulations that govern the OTW’s operations.

Article III: Acting in Good Faith

Anyone making a written 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 punishable offense under the Code of Conduct.

Article IV: No Retaliation

It is contrary to the values of the OTW for anyone to retaliate against any volunteer, Lead, Chair, Board member or Board Officer who—in good faith—reports:

  • violations of the OTW’s Policies;
  • suspected violations of applicable law such as discrimination or fraud;
  • suspected violations of any regulation governing the operations of the OTW.

Any Board members, Officers, Chairs, Leads, and volunteers who retaliate against someone who has reported a suspected violation in good faith are subject to discipline up to and including termination of their position or affiliation with the OTW.

Any individual who reasonably believes that they have been retaliated against in violation of this policy can report it following the procedures outlined in Article V below.

Article V: Reporting Procedure

The OTW has an open door policy: volunteers are encouraged to share their questions, concerns, suggestions, or complaints with their Chair(s) and/or Lead(s). If you are not comfortable speaking with your Chair/Lead or you are not satisfied with your Chair/Lead’s response, you are encouraged to make a report using one of the other options listed in How to Give Feedback or Report a Grievance or Making a Formal Complaint About a Board Director.

All volunteers in supervisory positions within the OTW, including Board members, Chairs, and Leads, are required to report complaints or concerns regarding violations of OTW policies, or violations of law, to the Internal Complaints and Conflict Resolution (ICCR) subcommittee—the only internal body with the authority to investigate complaints and concerns. Volunteers with concerns or complaints may also submit their concerns in writing directly to their Leads, Chairs, the Board or an individual Board member, or ICCR.

Article VI: Accounting and Auditing Matters

The ICCR Lead shall immediately notify the Treasurer and the Board of any concerns or complaints regarding the OTW’s accounting policies and practices, financial internal controls, or the annual audit report, unless ICCR is legally restricted from doing so or if notifying them could impede an ongoing investigation.

In addition to working with the Finance Committee, ICCR has the authority to involve internal and external consultation. This can include working with the Legal committee or external auditors to address the matter at hand until it is fully investigated and resolved.

Article VII: Confidentiality

Violations or suspected violations may be submitted on a confidential basis by the complainant. Confidential reports of violations or suspected violations will be kept confidential to the fullest extent possible, consistent with applicable law and the need to conduct an adequate investigation.

Article VIII: Internal Complaint and Conflict Resolution Subcommittee

The ICCR subcommittee is responsible for ensuring that all complaints about internal violations with the exception of complaints about work performance are investigated and resolved. This includes but is not limited to violations of OTW’s Code of Conduct, Confidentiality Policies, Committee Policies, and suspected violations of law or regulations.

In consultation with Legal, ICCR will inform the Board of Directors about any violations of applicable laws and will report at least annually to the Finance Committee Chair(s) on compliance activities related to accounting or suspected financial misconduct. This is unless ICCR is legally restricted from doing so or if notifying the Legal, the Board and/or the Finance Chair(s) could impede an ongoing investigation.

Article IX: Handling of Reported Violations

ICCR will notify the volunteer who submitted a complaint and acknowledge receipt of the reported violation or suspected violation. All reports will be investigated and appropriate corrective action will be taken as determined by the investigation.

To better understand and investigate a misconduct report or mediate an internal conflict, ICCR has gathered as many hypothetical situations as possible and categorized them under four groups:

  • Category 1: Undirected volunteer misconduct
  • Category 2: Directed volunteer misconduct & volunteer-volunteer conflict
  • Category 3: Board/Chair/Lead misconduct (directed and undirected) & Board/Chair/Lead-volunteer or Board/Chair/Lead-Board/Chair/Lead conflict
  • Category 4: Confidentiality breach

Directed misconduct refers to misconduct that is targeted at a specific individual or group of individuals. Undirected misconduct refers to misconduct that does not specifically target another volunteer or group of individuals but still represents a violation of OTW policy. Confidentiality breach refers to a violation of a signed confidentiality policy or other policy relating to the sharing of information, such as the Code of Conduct or Speaking About the OTW in Public policies. To learn more about the distinctions between these categories of misconduct, refer to Complaint and Conflict Categories.

Depending on the type of misconduct, as well as its number of occurrences, a specific process will be followed by ICCR to investigate and resolve the case. If there is any concern that the allegations amount to a violation of applicable law by the OTW, the Legal Committee will be consulted during the investigation at ICCR’s discretion.

Effective Date and Policy Review

This policy was reviewed by OTW Legal and approved by the Board after a unanimous vote on August 25, 2024. The policy will be reviewed and updated by ICCR in consultation with OTW Legal as needed, with reviews occurring no less than once every two years.

Proposed amendments must be submitted to, and approved by, the OTW Board of Directors, after a minimum period of 2 weeks for OTW-wide feedback.