Article I. EducateONE Organizational Policies
Chapter 11. Corporate Records, Minutes, Reports, and Inspection Rights
EducateONE Organizational Policy § 11.7.00. Whistleblower and Non-Retaliation Policy.
(a) Purpose.
(1) In order to support lawful conduct, charitable integrity, financial accountability, tax-exempt compliance, institutional trust, and protection against retaliation, this policy establishes a method for reporting suspected violations and prohibits retaliation against persons who make good-faith reports or cooperate in the review of reported concerns.
(2) This policy is intended to encourage reporting of suspected violations of law, regulation, policy, financial-control requirement, ethical obligation, or other matter covered by this policy.
(3) This policy is not intended to create any right, procedure, investigation requirement, employment protection, student-status protection, contractual right, or appeal right beyond what is required by law or expressly adopted by EducateONE.
(b) Scope.
(1) This policy applies to EducateONE and any controlled EducateONE institution, school, program, service, activity, or operation.
(2) This policy applies to reports made by directors, officers, employees, contractors, volunteers, students, families, program participants, vendors, donors, applicants, visitors, and other persons who interact with EducateONE or its controlled institutions, programs, services, activities, or operations.
(c) Reportable Violations.
(1) For purposes of this policy, a “Violation” means a suspected violation of law, regulation, policy, financial-control requirement, ethical obligation, or other matter that may affect EducateONE’s charitable, educational, tax-exempt, governance, financial, legal, or institutional responsibilities.
(2) Reportable Violations may include, but are not limited to:
(A) misuse, diversion, or improper private use of charitable assets;
(B) private inurement, impermissible private benefit, excess benefit transactions, or undisclosed conflicts of interest;
(C) false, misleading, incomplete, or improper accounting, auditing, financial reporting, tax-exempt reporting, donor reporting, or internal-control practices;
(D) unlawful destruction, alteration, concealment, or falsification of records; and
(E) unlawful discrimination, unlawful preference, unlawful retaliation, or other unlawful conduct in admissions, employment, student assistance, scholarships, programs, services, or institutional operations.
(3) The examples in paragraph (2) are illustrative only and do not limit the types of concerns that may be reported under this policy.
(d) No Retaliation.
(1) EducateONE shall not retaliate against any director, officer, employee, contractor, volunteer, student, family member, program participant, vendor, donor, applicant, visitor, or other person who, in good faith, reports a suspected Violation, participates in a review, or cooperates with an investigation.
(2) Prohibited retaliation includes termination, demotion, suspension, harassment, discrimination, intimidation, adverse assignment, adverse compensation action, exclusion from participation, or other adverse action because of a good-faith report, participation in a review, or cooperation with an investigation.
(3) A person who believes retaliation has occurred may report the retaliation under this policy.
(e) Reporting Violations.
(1) A person may report a suspected Violation to the Compliance Officer.
(2) A person may also report a suspected Violation to the Chairperson of the Board of Directors, or to the Ombuds if EducateONE has established such a role.
(3) A report may be made to the Chairperson of the Board of Directors or the Ombuds when:
(A) the report involves the Compliance Officer;
(B) the Compliance Officer may have a conflict of interest;
(C) the reporting person is uncomfortable reporting to the Compliance Officer;
(D) the Compliance Officer is unavailable; or
(E) the reporting person otherwise believes that reporting to the Chairperson or Ombuds is appropriate.
(4) EducateONE may designate additional persons, offices, systems, or methods for receiving reports.
(f) Anonymous Reports.
(1) Reports may be submitted anonymously.
(2) Anonymous reports may be submitted by postal mail to the Compliance Officer, the Chairperson of the Board of Directors, or the Ombuds if EducateONE has established such a role.
(3) EducateONE may also permit anonymous reports through a web form, third-party reporting system, hotline, electronic submission process, or any other method designated by EducateONE.
(4) Anonymous reports should include enough information for EducateONE to understand and review the concern, but a person is not required to identify themselves in order to make an anonymous report.
(5) EducateONE may review anonymous reports to the extent reasonably possible based on the information provided.
(g) Compliance Officer; Handling Reported Violations.
(1) The Compliance Officer, or a person designated by the Compliance Officer, may review reported Violations and cause appropriate corrective action to be taken when warranted.
(2) The Compliance Officer shall acknowledge receipt of a report within ten business days, but only to the extent the reporting person’s identity is disclosed or a return address or other return contact method is provided.
(3) The reporting person may be informed of the action taken or expected to be taken, to the extent reasonably possible and consistent with privacy, confidentiality, legal, employment, student-record, investigation, and institutional limitations.
(4) If the Compliance Officer is suspected of having committed a Violation, has a conflict of interest, or is otherwise unable to receive or review the report, the report may be made to the Chairperson of the Board of Directors or to the Ombuds if EducateONE has established such a role.
(5) A report involving the Compliance Officer may be reviewed by the Chairperson of the Board of Directors, the Ombuds if EducateONE has established such a role, the Board of Directors, or another person or body designated by the Board of Directors.
(6) For purposes of this policy, the Compliance Officer shall be the role or office designated by EducateONE.
(7) Reports to the Compliance Officer may be sent to EducateONE’s corporate address unless EducateONE designates another reporting address or method.
(h) Accounting, Auditing, and Financial Matters.
(1) Reports concerning accounting, internal accounting controls, auditing, financial reporting, tax-exempt compliance, charitable assets, or similar financial matters may be referred to the Board of Directors or to a committee designated by the Board of Directors.
(2) The Board of Directors or a committee designated by the Board of Directors may address such reports in any lawful manner it determines appropriate under the circumstances.
(3) The Compliance Officer may notify the Executive Director, the Chairperson of the Board of Directors, the Board of Directors, or a committee designated by the Board of Directors of reported Violations, as appropriate under the circumstances.
(i) Confidentiality.
(1) EducateONE shall make reasonable efforts to treat reports made under this policy with appropriate confidentiality.
(2) Confidentiality may be limited when disclosure is necessary or appropriate for review, investigation, corrective action, legal compliance, governance oversight, employment action, student or participant safety, protection of legal rights, response to legal process, communication with legal counsel, accounting or audit review, insurance purposes, or another lawful institutional purpose.
(3) Nothing in this policy requires EducateONE to maintain confidentiality in a manner that would prevent EducateONE from complying with law, protecting persons or property, preserving records, investigating a reported concern, correcting a violation, or carrying out its legal, fiduciary, educational, charitable, or institutional responsibilities.
(j) Periodic Review.
(1) The Board of Directors or a committee designated by the Board of Directors may periodically review this policy and any reporting mechanisms established under it.
(2) A periodic review may consider whether reporting channels, non-retaliation protections, confidentiality practices, and record-preservation practices remain appropriate for EducateONE’s legal, charitable, educational, governance, and institutional needs.
(k) Relationship to Other Requirements.
(1) This policy supplements and does not replace any applicable law, employment policy, student policy, grievance process, complaint process, disciplinary process, reporting obligation, financial-control policy, conflict-of-interest policy, nondiscrimination policy, records-retention policy, contract, grant condition, donor restriction, accreditation requirement, insurance requirement, or other binding obligation.
(2) If another binding requirement imposes stricter requirements for a specific report, person, program, school, institution, contract, grant, or activity, EducateONE shall comply with the stricter requirement for that specific matter.
(l) Interpretation.
(1) This policy shall be interpreted to encourage good-faith reporting, prohibit retaliation, protect lawful institutional discretion, and preserve EducateONE’s ability to respond to reported concerns in a manner appropriate to the circumstances.
(2) Nothing in this policy shall be interpreted to require EducateONE to disclose confidential, privileged, personnel, student, participant, investigative, legal, financial, governance, or institutional information except as required by law or authorized by EducateONE.
(3) If any provision of this policy is determined to be inconsistent with applicable law, the provision shall be interpreted or limited to the extent necessary to comply with law while preserving the maximum lawful discretion of EducateONE.
Source Note
This policy is adapted from Public Counsel’s Community Development Project, Annotated Form of Whistleblower Policy, including its Form of Whistleblower Policy for a California Public Benefit Nonprofit Corporation. The annotations, explanatory endnotes, optional adoption resolution, and separate acknowledgment form have been omitted from this EducateONE draft. This policy has been modified for EducateONE’s organizational structure, reporting roles, anonymous-reporting approach, policy numbering, source-note placement, and drafting style.
