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Sample Whistle Blower Policy

This document outlines a whistleblower policy and code of conduct for the SOAR HOA. [1] It establishes that employees must report any violations of the code of conduct and protects them from retaliation for good faith reports. [2] The policy details ethical standards for employees including honest conduct and compliance with laws. [3] It provides procedures for reporting violations to the compliance officer and maintaining confidentiality while investigations are conducted.

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73 views

Sample Whistle Blower Policy

This document outlines a whistleblower policy and code of conduct for the SOAR HOA. [1] It establishes that employees must report any violations of the code of conduct and protects them from retaliation for good faith reports. [2] The policy details ethical standards for employees including honest conduct and compliance with laws. [3] It provides procedures for reporting violations to the compliance officer and maintaining confidentiality while investigations are conducted.

Uploaded by

4geniecivil
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOC, PDF, TXT or read online on Scribd
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SOAR HOA

Settlement Outdoor & Aquatic Resort


Homeowners Association
Sample Whistleblower Policy

POLICY:

This association has adopted a Code of Conduct that requires directors, officers and employees
to observe high standards of business and personal ethics in the conduct of their duties and
responsibilities. It is the responsibility of all directors, officers and employees to report violations
or suspected violations of the Code In accordance with this Whistleblower Policy. No director,
officer or employee who in good faith reports a violation of the Code shall suffer harassment,
retaliation or adverse employment consequence.

Code of Conduct

The directors, officers and employees of this association are expected to adhere to high standards of
ethical conduct. Although it is impossible to describe all conduct that is to be addressed, this policy
specifically requires the following:

I. Honest and ethical conduct, including the ethical handling of actual or apparent conflicts of
interest between personal and professional relationship&
2. Full, fair, accurate, and timely disclosure of relevant facts in all reports and documents dealing
with matters of operation, governance and business administration.
3. Compliance with all applicable governmental laws, rules and regulations;
4. Prompt internal reporting of code violations to an appropriate person or persons within the
association.
5. Personal accountability for adherence to the Code.

Reporting Violations

Employees who suspect that the Code of Conduct has been violated shall report their concerns to
someone who can address them properly. In most cases, the President of the Board of Directors is in the
best position to address an area of concern. Where the reporter is not comfortable speaking with a
supervisor or is not satisfied with a supervisors response, he/she shall speak with someone in the
Human Resources Department, anyone in management, or the Compliance Officer directly. Supervisors
and managers shall report suspected violations to the Compliance Officer directly.

Compliance Officer

The Compliance Officer (President of the Board of Directors) is responsible for investigating and resolving
all reported complaints and allegations concerning suspected violations of the Code of Conduct. The
Compliance Officer shall advise the associations management and/or the audit committee when, in
his/her discretion, the complaint entails a significant risk to the association. The Compliance Officer shall
chair the audit committee of the board of directors and shall report to the audit committee at least annually
on compliance activity. In the event that a reported concern or complaint involves corporate accounting
practices, internal controls or auditing, the Compliance Officer shall immediately notify the audit
committee of the complaint and work with the committee until the matter is resolved.

Acting in Good Faith

Anyone who files a complaint concerning a suspected violation of the Code of Conduct must have
reasonable grounds for believing the information disclosed is true and correct. Unsubstantiated
allegations that prove to have been made maliciously or without factual basis will be viewed as a serious
disciplinary offense.

Confidentiality

Reports may be submitted on a confidential basis or anonymously. 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 five business days. All reports will be promptly investigated and appropriate
corrective action will be taken if warranted by the investigation.

No Retaliation

No director, officer or employee who in good faith reports a violation of the Code shall suffer harassment,
retaliation or adverse employment consequence.

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