RIE requires directors, officers and employees to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. As employees and representatives of RIE, we must practice honesty and integrity in fulfilling our responsibilities and comply with all applicable laws and regulations.
This Whistleblower Protection Policy is intended to encourage and enable employees and others to raise serious concerns internally so that RIE can address and correct inappropriate conduct and actions. It is the responsibility of all board members, officers, employees and volunteers to report concerns about violations of RIE’s code of conduct or suspected violations of law or regulations that govern RIE.
It is contrary to the values of RIE for anyone to retaliate against any board member, officer, employee or volunteer who in good faith reports an ethics violation, or a suspected violation of law, such as a complaint of discrimination, or suspected fraud, or suspected violation of any regulation governing the operations of RIE. An employee who retaliates against someone who has reported a violation in good faith is subject to discipline up to and including termination of employment.
RIE has an open door policy and suggests that employees share their questions, concerns, suggestions or complaints with the CEO. If you are not comfortable speaking with the CEO or you are not satisfied with the CEO’s response, you are encouraged to speak with the Chair of the Board of Directors. Supervisors and managers are required to report complaints or concerns about suspected ethical and legal violations in writing to the RIE’s Compliance Officer, who has the responsibility to investigate all reported complaints. Employees with concerns or complaints may also submit their concerns in writing directly to their supervisor or the Board Chair or the Compliance Officer.
RIE’s Chair of the Governance Committee is the Compliance Officer. The 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 Chair of the Finance Committee on compliance activity relating to accounting or alleged financial improprieties.
RIE’s Compliance Officer will immediately notify the Finance Committee of any concerns or complaints regarding corporate accounting practices, internal controls or auditing and work with the committee until the matter is resolved.
Anyone filing 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 serious disciplinary offense.
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.
RIE’s Compliance Officer will notify the person who submitted a complaint and acknowledge receipt of the reported violation or suspected violation. All reports will be promptly investigated and appropriate corrective action will be taken if warranted by the investigation.