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Policies and Finance United Way of Greater Stark County provides the most efficient and effective way to give back to the community. Provided on this web site is financial spending information through our Annual Report, as well as several policies that donors may find useful. For further questions about United Way policies or finances, please contact our offices at 330-491-0445. Code of Ethics UNITED WAY OF GREATER STARK COUNTY United Way of Greater Stark County (UWGSC) is committed to the highest ethical standards. Based upon the unique trust placed in UWGSC to serve the public good, we have a special obligation to act ethically. The success of the United Way, and our reputation, depend upon the ethical conduct of everyone affiliated with UWGSC. Volunteers and staff set an example for each other by their pursuit of excellence in high standards of performance, professionalism, and ethical conduct. The UWGSC Code of Ethics (Code) is based upon our mission and guided by our fundamental values of public trust, maximizing impact, open participation, ethical conduct, fulfilling commitments, partnership and collaboration. Detailed policies, guidelines, explanations, definitions and examples are often needed to bring these values into actual practice. While no document can anticipate all of the challenges that may arise, the Code communicates key principles and will assist UWGSC volunteers and staff in making good decisions that are ethical and in accordance with applicable legal requirements. All are encouraged to discuss any good decisions or any questions or concerns they have with a supervisor, the UWGSC President or the United Way Ethics Officer. 1. PERSONAL AND PROFESSIONAL COMMITMENT: A personal and professional commitment to integrity, honor and courtesy in all circumstances of performance and communications that will benefit each individual as well as the organization. 2. ACCOUNTABILITY: UWGSC is responsible to its members which include donors, volunteers, United Way Service Providers, their clients and others who have placed faith in UWGSC to be good stewards of UWGSC finances, resources and services and shall make every effort to comply with all laws and regulations affecting UWGSC. 3. SOLICITATION AND VOLUNTARY GIVING: The most responsive contributors are those who have the voluntary opportunity to become informed and involved. UWGSC, therefore, will refrain from any use of improper, deceptive or coercive fundraising activities. 4. DIVERSITY AND EQUAL OPPORTUNITY: UWGSC is an equal opportunity employer and is committed to comply with all state and federal laws and regulations related thereto. 5. CONFLICTS OF INTEREST: UWGSC volunteers and staff shall avoid any conflict of interest or the appearance of a conflict of interest which would adversely affect the reputation of UWGSC or undermine the public’s trust, and shall disclose all known conflicts or potential conflicts of interest in any matter before the Board of Directors or a committee on which they may serve, and shall abstain from voting on any such conflict of interest. UWGSC volunteers and staff shall in no way receive personal benefits from decisions made by UWGSC. Employees must avoid appointments, including fiduciary appointments, which may harm United Way, conflict with the performance of their duties for United Way or otherwise interfere with their employment relationship with United Way. In the case of UWGSC employees, all fiduciary, community, and other appointments, except those on behalf of the employee’s immediate family members, must be approved by the employee’s supervisor prior to the employee’s acceptance of the appointment. Additionally, employees shall not utter, publish or permit themselves to be associated with any public or private statement or engage in any activity, whether or not on United Way time, which could reflect negatively on United Way, as solely determined by the United Way Board of Directors. 6. DISCLOSURE OF CONFLICTS OF INTEREST: UWGSC volunteers and staff shall disclose any possible conflict of interest. In the course of meetings and activities, staff and volunteers shall disclose any interest in a transaction or decision where the individual’s personal, business, employer, family, not-for-profit affiliation or close associates will receive a benefit or gain. After disclosure, volunteers will be permitted to participate in the discussion, but will not be permitted to vote on the question. Volunteers shall leave the room for the vote if the individual so desires. Staff, Board of Directors, Officers and volunteers making funding decisions, must disclose in writing any possible conflicts and sign that they have reviewed the Code of Ethics annually. 7. USE OF ASSETS: UWGSC volunteers and staff shall not use United Way assets for personal or professional gain. These assets include, but are not limited to, copiers, printers, donor data, automobile(s), facilities, computers, United Way’s Internet connection, phones, cellular phones, office supplies, cash or investments, credit cards or bank accounts. 8. CONFIDENTIALITY AND PRIVACY: UWGSC volunteers and staff shall respect the privacy rights of all individuals and shall ensure that all information, which is privileged, remains so. 9. WHISTLER BLOWER PROTECTION: UWGSC recognizes that from time to time staff, volunteers or members of the public may be aggrieved over the actions of the United Way, a volunteer or staff member. UWGSC aims to resolve these grievances and has a series of internal policies and procedures designed to achieve satisfactory resolution. In addition, depending on the nature of the grievance or concern, an aggrieved person may lodge a complaint with the Better Business Bureau, The United Way of America or any other local, state or federal regulatory agency. In compliance with Sarbanes-Oxley Act of 2002 (codified at 18 U.S.C. § 1514A), UWGSC established procedures to facilitate the making of disclosures. This provides protection from retribution to persons who seek to make disclosures of wrong doing against a staff member, Officer, Board member or volunteer. This policy does not replace the existing grievance process. It is to be followed only if a staff member, volunteer or member of the public elects to make a disclosure of suspected or alleged corrupt or improper conduct and seeks protection under the Act. 10. ETHICAL MANAGEMENT PRACTICES: UWGSC strives for the highest ethical management. These include Board approved processes and procedures for the accuracy of the books, record retention, standards for expense reports, proper use of United Way assets and protecting proprietary information. 11. PUBLIC INFORMATION: The goal of UWGSC is full transparency of activity. Donors, volunteers or the general public may request and should receive promptly public information including the United Way’s IRS 990 form, Audited Financial Statement, list of Board of Directors, annual agency allocations, overhead percentage and cost deduction for designated funds. Individuals may request and should receive clarity of any information. UWGSC may protect proprietary information. 12. POLITICAL CONTRIBUTIONS: As a charitable corporation, UWGSC observes all federal and state laws and regulations related to political contributions. GUIDANCE AND DISCLOSURE UWGSC staff is encouraged to seek guidance from the Ethics Officer concerning the interpretation or application of this Code of Ethics. Any known or possible breach of the Code of Ethics should be disclosed. Staff should contact the Ethics Officer concerning any possible breach. The Code of Ethics is part of United Way’s personnel policies so that employees who violate the Code are subject to the disciplinary measures set forth in those policies up to and including termination. Volunteers should contact the United Way Ethics Officer, who is charged with investigating any breach of the Code and recommending appropriate action based upon the policies of the organization. UWGSC will provide prompt and fair resolution of all reported breaches. Bob Marks, Ethics Officer Diversity Statement UNITED WAY OF GREATER STARK COUNTY As a human services organization continuously seeking to deliver community impact and maintain quality service to our donors and clients, the United Way of Greater Stark County places high value on the concept of diversity. United Way of Greater Stark County values the uniqueness of the individual, the power of the collective good and the importance of communities. We promote a climate that welcomes, understands and respects the diversity of our clients, donors, staff, volunteers, agencies and community partners. Dimensions of diversity include but are not limited to race, ethnicity, cultural orientation, national origin, language, religious belief, disability, gender and age. United Way of Greater Stark County is committed to incorporating practices that enhance diversity into all areas of activity, including the recruitment and retention of staff and volunteers from diverse backgrounds. Staff and volunteers are supported through training to address the needs of all individuals and communities served. The Board of Directors and senior management team will provide leadership and collaborate with clients, donors, staff, volunteers, agencies and community partners to ensure an environment that values diversity.Equal Employment Opportunity It is the policy of the United Way of Greater Stark County to provide equal opportunity for all persons. Specifically, this policy means that no person in the employment of, or seeking employment with, the United Way of Greater Stark County shall be subject to adverse treatment because of race, color, religion, sex, age, national origin, physical or mental disabilities or veteran status. This Equal Employment Policy and Plan will be communicated to all relevant audiences. A copy of the Personnel Practices containing this policy will be given to each employee at the time of employment and will be discussed in the initial orientation of the employee. Notices of job vacancies, which appear in newspapers or other publications, will appear with the words, “an equal opportunity employer M/F/D/V” (minority/female/disabled/veteran). In addition, every effort will be made to notify all appropriate organizations, such as the Ohio Bureau of Employment Services, local social services agencies, colleges and universities, minority magazines, churches, sororities, fraternities, radio stations, etc. of job vacancies. Whistleblower Protection Policy UNITED WAY OF GREATER STARK COUNTY I. Policy The United Way of Greater Stark County (UWGSC) is committed to protecting employees, clients, donors, volunteers and applicants for employment from interference with making a protected disclosure or retaliation for having made a protected disclosure or for having refused an illegal order as defined in this policy. In compliance with Sarbanes-Oxley Act of 2002 (codified at 18 U.S.C. - 1514A), UWGSC established these procedures to facilitate the making of disclosures. This provides protection from retribution to persons who seek to make disclosures of wrong doing against a staff member, Officer, Board member or volunteer. This policy does not replace the existing grievance process. It is to be followed only if a staff member, volunteer, donor or member of the public elects to make a disclosure of suspected or alleged corrupt or improper conduct and seeks protection under the Act. Pursuant to this policy, individuals are forbidden from preventing or interfering with whistleblowers who make good faith disclosures of misconduct. Finally, UWGSC will exercise reasonable efforts to:
II. Definitions Adverse Action - any action taken or threatened by UWGSC or its employees, volunteers, Board of Directors or Officers that negatively affects the terms or conditions of the whistleblower-s status at the United Way, including, but not limited to: employment, promotion, agency allocation or service receipt. Allegation by Whistleblower - any disclosure, written or oral, to appropriate UWGSC Board of Directors, Officers, Ethics Officer or Committee, volunteers or Management Staff that the United Way or one of its employees, volunteers or Board Members has failed to respond adequately to an allegation of misconduct or has retaliated against or interfered with the individual who made an allegation of misconduct as defined in this policy. Conflict of Interest - a conflict of interest exists when any individual charged with the responsibility of processing or investigating an allegation of retaliation or interference related to a whistleblower complaint has a direct personal relationship with either the whistleblower or alleged retaliator. Direct personal relationship includes a relationship with a member of the immediate family; a direct employment relationship, or an employment relationship with a member of the immediate family (either currently, or in the past, directly supervised or was directly responsible to, the individual); or a financial relationship with the individual or a member of the immediate family. Good Faith Disclosure of Misconduct - a whistleblower allegation of misconduct made with a belief in the truth of the allegation based upon the facts. An allegation is not in good faith if made with reckless disregard or willful ignorance of facts that would disprove the allegation. Interference - any attempt by the UWGSC, or any person associated with the UWGSC, to prevent a whistleblower from reporting an allegation of misconduct, or to influence the nature of such a report. Misconduct - any activity in violation of any state, federal, local law or regulation or UWGSC policy undertaken by a UWGSC employee, volunteer, Officer or Board of Directors member, in the performance of the individual-s official duties, whether or not such action is within the scope of his or her relationship to or within the UWGSC. This includes but is not limited to, corruption, malfeasance, bribery, theft of UWGSC property, fraudulent claims, fraud, coercion, conversion, malicious prosecution, misuse of UWGSC property and facilities, or willful omission to perform duty. Retaliation - any adverse action or credible threat of an adverse action taken in response to a whistleblower-s good faith allegation of misconduct or cooperation with an investigation of an allegation by the UWGSC, or any employee, volunteer, Officer or Board of Director member or person under contract with the UWGSC. It does not include an investigation into the whistleblower-s alleged participation in the illegal conduct. I. Retaliation/Interference Reporting Process Filing a Report - Anyone may file a confidential report with the UWGSC-s Ethics Officer alleging retaliation or interference. Reports filed under this policy must be filed no later than 180 days from the date the whistleblower became aware, or should have become aware of the alleged adverse action. The complaint may be directly filed with the Federal Government or the State of Ohio also, though individuals are encouraged to contact the Ethics Officer. Contents of a Report - The report must be in writing and should include specific information and pertinent documentation supporting the whistleblower's allegation of retaliation. It should include:
Report Review and Acknowledgement to the Whistleblower - A) The Ethics Officer will respond to the whistleblower within 10 business days of receipt of the whistleblower's allegation. The Ethics Officer shall convene the Ethics Committee which will: 1. Review the allegation; 2. Determine whether an investigation is justified; 3. Notify the whistleblower in writing of the following: 1. The date the allegation was received by the Ethics Officer; 2. Whether the allegation is complete and provides sufficient information to permit an adequate investigation; 3. The mechanism for resolving the complaint of retaliation/interference, including the whistleblower-s rights, requirements, process of investigation, the composition of the investigation panel and possible consequences associated with this process. B) The whistleblower may, within 5 working days, raise concerns about the proposed resolution process. If this occurs, the Ethics Officer shall exercise reasonable efforts to address those concerns in administering a resolution process. C) If the whistleblower has not responded to the Ethics Officer notice of resolution process within 5 working days, the Ethics Officer will assume acceptance. D) The whistleblower must file any supporting documentation within 10 business days from the initiation of an investigation. Notification of Whistleblower's Legal Rights - If the whistleblower declines the UWGSC's proposed process according to these Guidelines, he or she may pursue any other legal rights available for resolution of the retaliation complaint. Ethics Committee decision to implement an investigation does not bar the whistleblower from seeking redress against the UWGSC's decision under other provisions in this policy, under State law, institutional procedure, policy or agreement, or as otherwise provided by law. Notification to Appropriate Governmental Offices - The Ethics Officer will inform appropriate governmental offices of the receipt of a whistleblower's retaliation/interference allegation within 10 business days of receipt. IV. Interim Protections At any time before the merits of a whistleblower-s complaint have been fully resolved, the whistleblower may submit a written request to the Ethics Officer to take interim actions to protect the whistleblower against an existing adverse action or credible threat of same by the UWGSC, or a person associated with the UWGSC. Based on the available evidence, the Ethics Officer shall consult with appropriate staff to make a determination regarding the provision of interim protections. The Ethics Officer will then make a recommendation to the United Way President and Chairman of the Board regarding interim protective actions. The whistleblower will be informed of the decision in writing. Documentation underlying the decision shall become part of the record of the allegation. When the whistleblower allegation is fully resolved, any temporary measures taken to protect the whistleblower may be discontinued or replaced with permanent remedies. V. Resolving Allegations of Retaliation/Interference For each whistleblower allegation received, and judged by the Ethics Committee to require an investigation, the United Way will adhere to the investigation process described below for resolving the whistleblower complaint. Institutional Investigation A) Timeliness - An investigation of whistleblower retaliation shall be timely, objective and thorough. In most cases, the process should be completed within 180 days of the date the report is filed, unless the whistleblower agrees to an extension of time. B) Investigation Panel -The Ethics Committee will conduct the investigation. The investigation panel may include members from outside the UWGSC Board of Directors. No member shall have a personal or professional relationship causing a conflict of interest with the whistleblower or the alleged individual retaliator(s), and each shall be qualified to conduct a timely, objective and thorough investigation. The whistleblower will be provided an opportunity to review the membership of the investigation panel, and be afforded an opportunity to comment on it, with respect to any perceived conflicts of interest or bias among the panel-s members. C) Conduct of Panel - The investigation will include the collection and examination of all relevant evidence, including interviews with the whistleblower, the alleged retaliator(s), and any other individual(s) who can provide relevant and material information regarding the claimed retaliation. Individuals are expected to fully cooperate with the investigation. The investigation panel will use reasonable administrative means to obtain testimony, documents, and other materials relevant to the investigation. D) Confidentiality - The confidentiality of all participants in the investigation shall be maintained to the maximum extent possible throughout the investigation. E) Final Report from Panel - The conclusions of the investigation shall be documented in a written report from the investigative panel and made available to the whistleblower, the Ethics Officer, the President and Chairman of the Board of Trustees. The report shall include a detailed description of the investigative process, including findings of fact, a list of individuals interviewed, an analysis of the evidence, and recommendations. Record of the report will be maintained by the Ethics Officer and President in accordance with the UWGSC Records Retention Policy. F) Institutional Determination - Based upon this final report and a review of the evidence, the United Way Board of Directors will make a final institutional determination as to whether retaliation or interference occurred. VI. Sanctions for Retaliation/Interference If the Ethics Officer determines that retaliation or interference has occurred, he/she, with input from the Ethics Committee, shall also determine what remedies are appropriate to satisfy the UWGSC's obligation to protect the whistleblower. The Chairman of the Board of Directors, in consultation with the whistleblower and Ethics Officer, takes measures to protect or restore the whistleblower's position and reputation, including making any public or private statements, as appropriate. In addition, the Chairman of the Board of Directors may provide protection against further retaliation by monitoring or disciplining the retaliator. If, however, the Ethics Committee determines that an adverse action would have been taken relative to the whistleblower, even in the absence of the whistleblower's allegations or participation in the investigation, then no corrective action will be taken to adjust that adverse action. VII. Notice of Institutional Policy The UWGSC shall make this policy available to its staff, volunteers and donors by posting it on its website. Bob Marks, Ethics Officer
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