Whistleblower policy

This Whistleblower Policy (the “Policy”) outlines how unethical, illegal, or fraudulent behavior should be reported and addressed. United Way Elgin Middlesex (United Way) is committed to complying with all applicable laws and maintaining the highest standards of ethical conduct in both business and personal practices.

This Policy applies to the Board Directors, Volunteers, Employees, and Sponsored Employees. The Policy establishes their responsibility to report any misconduct or suspected misconduct, including fraud or financial wrongdoing—either anonymously or openly. Importantly, this Policy ensures that anyone who reports concerns in good faith is protected from retaliation.

Members of the public are directed to our Complaints Policy.

 

Definitions

Whistleblower Anyone who makes protected disclosure about misconduct. This may include United Way stakeholders such as employees, volunteers, Board Members, donors, contractors / vendors, Sponsored Employees or members of the general public. The whistleblower’s role is to report concerns; they are not responsible for investigating the issue, determining facts or deciding what corrective actions should be taken.

 

Duty to Report

Board Directors, Volunteers, Employees, and Sponsored Employees have a responsibility to report misconduct or suspected misconduct. Examples of misconduct, i.e., Reportable Issues, may include but are not limited to:

Accounting and Auditing Matters

Misrepresenting financial records or transactions, such as misstating revenues, expenses, or assets, or conducting wrongful financial transactions.

Conflict of Interest

A situation in which personal interests interfere with responsibilities to United Way, e.g., inappropriate relationships with vendors, accepting bribes, misusing confidential information, or having a personal stake in a funded agency or agency that has applied for funding.

Disclosure of Confidential Information

Sharing United Way’s intellectual property or sensitive information, e.g., employee, donor, or business data without proper authorization.

Harassment or Discrimination

Unwelcome verbal or physical behaviour that violates United Way’s Harassment, Sexual Harassment and Discrimination Policy.

Misuse of Donor Trust

Using donated funds or goods dishonestly or for purposes other than what the donor intended or requested.

Fraud

Fraudulent handling of funds, e.g., bookkeeping errors, misapplication of funds, or mishandling of cash, payment details, or securities.

Falsification of Contracts, Reports or Records

Altering or forging contracts, reports, or records to gain unfair or misrepresent information.

Misconduct or Unethical Behaviour

Deliberate violation of law, standards, or professional ethics, including those set out by professional bodies, e.g., CPA Ontario, CFRE International, or the Law Society of Ontario.

Theft

Stealing or unlawfully taking property.

Policy Violations

Actions—intentional or accidental—that go against United Way’s policies, procedures, code of conduct or contractual obligations.

Unsafe Working Conditions

Failing to maintain a safe work environment, e.g., ignoring environmental damage or unsafe work activities, or poor workplace maintenance.

 

General Considerations

Integrity and Compliance

All Board Directors, Volunteers, Employees, and Sponsored Employees are expected to act with honesty and integrity and follow United Way’s policies and procedures.

Timeliness of Reporting

Allegations should be made as soon as possible—ideally within one (1) month of the incident or the date the individual became aware of it. In the case of multiple incidents, the report should be made within one (1) month of the most recent occurrence.

Investigation and Documentation

Every whistleblower concern will be investigated to assess its validity, significance. Appropriate action will be taken, and all reported incidents will be documented. Reports made in good faith will be reviewed and the outcomes shared with the Board of Directors during an in-camera meeting.

Confidentiality and Protection

All reports will be handled with care and confidentiality. The whistleblower’s identity will be protected, and anonymity is an option. Individuals who report concerns in good faith will not face retaliation or employment consequences. Anyone who retaliates against a whistleblower may be face disciplinary action.

 

Procedure

The Whistleblower Procedure is intended for serious or sensitive concerns related to the Reportable Issues listed above. Complaints must be made in good faith based on reasonable belief that a true violation has occurred. Personal disagreement or differences in management style are not covered unless they involve a breach of a Reportable Issue.

Receiving Complaints

• Complaints should be submitted to the President and Chief Executive Officer (CEO) who will report Whistleblower complaints to the Board Chair
  • • In the event that the complaint involves the President and CEO should be submitted to the Board Chair
    • In the event that the complaint involves the Board Chair, complaints should be submitted to the Vice Chair of the Board
• Upon receipt of the complaint, they will commence or oversee an investigation that is fair, timely and respectful of privacy.
• Investigations should generally be initiated within 15 business days depending on the nature of the complaint, an external investigator may be contracted to ensure impartiality.

 

Investigation Process

• The investigation will include:
  • Interviews with the complainant, the respondent (the person alleged to have breached acceptable standards), and witnesses.
  • Review of documents, email, financial records, IT network activity, and other relevant information.
• All information handed confidentiality and documented.
• The Board will be informed that an investigation is in process during an in-camera meeting, but no details will be shared at that stage.

Reporting Findings

• Within thirty (30) business days from the conclusion of the investigation, the CEO or Board Chair will submit a written report the Board’s Executive Committee.
  • If the complaints is not supported by the evidence or outside the Policy’s scope:
  • The complaint will be dismissed
  • The complainant and respondent will be notified within 10 working days, including the reasons for the dismissal
  • The Board of Directors will be informed of the outcomes during an in-camera session, but corrective actions details will not be disclosed
  • Documentation will not be placed in respondent’s file

• If the complaint is supported by evidence:
  • The respondent will be notified within 10 business days
  • Disciplinary action, penalty, or sanction will be communicated and documented in the respondent’s file
  • Disciplinary action will take into consideration the context, severity and impact of the violation.
  • If deemed necessary, legal action will be taken.

False Accusations

Deliberate false accusations are taken seriously and may result in disciplinary action, including discharge from responsibilities or termination of employment. An unproven allegation does not automatically mean the complaint was false—it could mean there was lack of sufficient evidence or reflect a genuine concern that could not be substantiated.

Special Circumstances

In the event the complaint involves the CEO, the Board Chair will be the initial point of contact. An independent external investigator will be appointed to conduct the investigation and report findings to ensure impartiality.

Reporting of Misconduct

Initial Reporting Options

In most cases, concerns should be reported to the individual’s supervisor or volunteer lead who are in the best position to address them. If, however, individual is not comfortable doing so, they may approach the Executive Assistant and Human Resources Partner or any member of the Senior Management Team.

Escalation Path

If the concern involves a Senior Management Team member or the Executive Assistant and Human Resources Partner, it should be reported to the CEO. If the concern involved the CEO, it must be reported to the Board Chair.

Reporting for Volunteers

Volunteers can report suspected to misconduct to their Management lead, e.g., Board Chair, Senior Management Team member.

External Stakeholders

External stakeholders can report suspected misconduct by emailing whistleblower@unitedwayem.ca –a confidential address accessible only to the Board Chair.

Confidentiality and Anonymity

Anyone reporting misconduct may choose to disclose their identity but is not required to do so.

Confidentially will be maintained to the extent possible, while allowing for a proper review of investigation.

Acknowledgment of Complaint

If contact information is provided, acknowledgment of the report will be sent within 10 business days.

No Retaliation

United Way is committed to protecting individuals who file a complaint or participating in an investigation.

Retaliation against a complainant or witness is prohibited. Anyone found to have retaliated against an individual for reporting misconduct or participating in an investigation may face disciplinary action.

Retaliation includes but is not limited to:

• Adverse actions taken because a complaint has been filed or information provided.
• Pressure to ignore or not report misconduct.
• Encouragement of dishonestly or discouraging full cooperation in an investigation.

Reporting Retaliation

• Anyone who believes they have experience retaliation after reporting misconduct or participating in an investigation, should submit all relevant information and documentation to the investigation lead for review.
• If an investigation finds credible evidence of retaliation:
  • The findings will be reported to the CEO or Board Chair
  • Safeguards will be put into place to protect the complainant
  • Disciplinary or other corrective actions against the party responsible will be taken.

Appeals

If a complainant is not satisfied with the outcome of an investigation, they may submit an appeal to the Board Chair within 20 business days of receiving the written report. The Board of Director’s decision will be considered the final internal resolution.

Administration

This Policy will be communicated to all Board Directors, Volunteers, Employees, Volunteers and Sponsored Employees and made available on United Way’s website.

United Way reserves the right to change, modify or delete any portion of this Policy without advance notice.

External stakeholders can report suspected misconduct by emailing whistleblower@unitedwayem.ca –a confidential address accessible only to the Board Chair.