Heartland
United Way (HUW) is committed to the highest ethical standards.
Based on the unique trust placed in HUW to serve the public
good, we have a special obligation to act ethically. The
Code of Ethics is based on our mission and guided by our
fundamental core values: Integrity, Impact, Volunteerism,
Inclusiveness and Leadership.
The
success of the United Way system and our reputation depend
upon the ethical conduct of everyone affiliated with our
organization. Board members, volunteers, staff and representatives
set an example for each other and for partner agencies,
by their pursuit of excellence in high standards of performance,
professionalism and ethical conduct.
We
are mindful that these core values must be clearly articulated,
communicated and continuously reinforced. In addition,
more 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 of Ethics values
communicate key guidelines and will assist HUW Board members,
staff, volunteers and representatives in making good decisions
that are ethical and in accordance with applicable legal
requirements.
PERSONAL
AND PROFESSIONAL INTEGRITY:
A personal commitment to integrity in all circumstances
benefits each individual, as well as the organization.
We therefore:
• Strive to meet the highest standards of performance,
quality, service and achievement in working towards the
HUW mission.
• Communicate honestly and openly and avoid misrepresentation.
• Promote a working environment where honesty, open
communication and minority opinions are valued.
• Exhibit respect and fairness toward all those
with whom we come into contact.
ACCOUNTABILITY:
HUW is responsible to its stakeholders, which include
partner agencies, donors and others in the community who
have placed faith in HUW. To uphold this trust we:
• Promote good stewardship of HUW resources, including
donations, grants and other contributions that are used
to pay for community program services, fundraising expenses
and operating expenses.
• Refrain from using organizational resources for
non-HUW purposes.
• Observe and comply with all laws and regulations
affecting HUW as a non-profit entity.
SOLICITATIONS & VOLUNTARY GIVING: The most responsive contributors
are those who have the opportunity to become informed
and involved. We therefore:
• Promote voluntary giving in dealing with donors
and vendors.
• Refrain from any use of coercion in fundraising
activities, including predicating
professional advancement on the response to solicitations.
DIVERSITY & EQUAL OPPORTUNITY: HUW
is an equal opportunity employer and is committed to the
principle of diversity. We therefore:
• Value, champion and embrace diversity in all aspects
of HUW activities and respect others without regard to
race, color religion, creed, age, gender, national origin
or ancestry, marital status, veteran status, sexual orientation
or status as a qualified disabled or handicapped individual.
• Support affirmative action and equal opportunity
programs.
• Refuse to engage in or tolerate in any form of
discrimination or harassment.
CONFLICTS
OF INTEREST: To avoid any conflict of interest
or the appearance of a conflict of interest which could
tarnish the reputation of HUW or undermine the public's
trust, HUW Board members, staff, volunteers, and representatives
should:
• Avoid any activity or outside interest which conflicts
or appears to conflict with the best interest of HUW,
including involvement with a current or potential HUW
vendor, grantee or competing organization unless disclosed
to and deemed to be appropriate by the decision-making
body who will take the matter to the Board.
• Ensure that outside employment and other activities
do not adversely affect the performance of their HUW duties
or the achievement of HUW's mission.
• Ensure that travel, entertainment and related
expenses are incurred on a basis consistent with the mission
of HUW and not for personal gain or interest.
• Decline any gift, gratuity or favor in the performance
of HUW duties except for promotional items of nominal
value (under $50). Declines the offer of any food, transportation,
lodging or entertainment unless directly related to HUW
business.
• Refrain from influencing the selection of staff,
consultants or vendors who are relatives or personal friends
or affiliated with or employed by a person with whom they
have a relationship that might give the appearance of
partiality.
• Loans to non-profit executives and volunteers
are prohibited.
HUW
VOLUNTEERS:
• Should not knowingly take any action or make any
statement intended to influence the conduct of HUW in
such a way as to confer any financial benefit on themselves,
their immediate family members or any organization in
which they or their immediate family members have a significant
interest as stakeholders, directors or officers.
• Should disclose all known conflicts or potential
conflicts of interest in any matter to the President or
Board President who will take the matter to the Executive
Committee or Board. Board members will make their disclosure
to the Board, or to the chair of any committee upon which
they serve.
CONFIDENTIALITY & PRIVACY: Confidentiality is a hallmark
of professionalism. Therefore, we should:
• Ensure that any information which is confidential,
privileged or nonpublic is not disclosed inappropriately.
• Respect the privacy rights of all individuals
in the performance of their HUW duties.
POLITICAL CONTRIBUTIONS:
HUW encourages individual participation in civic affairs.
However, as a charitable organization, HUW may not make
contributions to any candidate for public office or political
committee and may not intervene in any political campaign
on behalf of or in opposition to any candidate for public
office. We therefore:
• Refrain from making any contributions to any candidate
for public office or political committee on behalf of
HUW.
• Refrain from making any contributions to any candidate
for public office or political committee in a manner that
may create the appearance that the contribution is on
behalf of HUW.
• Refrain from using any HUW organizational financial
resources, facilities or personnel to endorse or oppose
a candidate for public office.
• Clearly communicate that we are not acting on
behalf of the HUW organization. If we are identified as
an official of HUW while engaging in political activities
we are doing so as an individual.
• Refrain from engaging in political activities
in a manner that may create the appearance that such activity
is by or on behalf of HUW.
GUIDANCE & DISCLOSURE: Board members, staff, volunteers
and representatives are encouraged to seek guidance from
the Executive Committee concerning the interpretation
or application of this Code of Ethics. Any known or possible
breaches of the Code of Ethics should be disclosed. Reports
of possible breaches will be handled in the following
manner:
• All reports of possible breaches will be treated
in confidence to the extent that the organization's duty
to investigate and the law will allow. If confidentiality
cannot be maintained, the individual disclosing the possible
breach will be notified.
• All reported breaches will be investigated and,
if needed, appropriate action taken based upon the policies
of the organization.
• Retaliation against a person who suspects, and
in good faith, reports a breach will itself be treated
as a separate breach of the Code.
• HUW affirms prompt and fair resolution of all
reported breaches.
WHISTLEBLOWER POLICY
General
Heartland United Way’s Code of Ethics and Conduct (“Code”) 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 the Heartland United Way, we must practice honesty and integrity in fulfilling our responsibilities and comply with all applicable laws and regulations.
Reporting Responsibility
It is the responsibility of all directors, officers and employees to comply with the Code and to report violations or suspected violations in accordance with this Whistleblower Policy.
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. 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. This Whistleblower Policy is intended to encourage and enable employees and others to raise serious concerns within the Heartland United Way prior to seeking resolution outside the Organization.
Reporting Violations
The Code addresses the Heartland United Way’s open door policy and suggests that employees share their questions, concerns, suggestions or complaints with someone who can address them properly. In most cases, an employee’s supervisor is in the best position to address an area of concern. However, if you are not comfortable speaking with your supervisor or you are not satisfied with your supervisor’s response, you are encouraged to speak with someone on the Executive Committee or anyone in management whom you are comfortable in approaching. Supervisors and managers are required to report suspected violations of the Code of Conduct to the Heartland United Way’s Board Treasurer, who has specific and exclusive responsibility to investigate all reported violations. For suspected fraud, or when you are not satisfied or uncomfortable with following the United Way’s open door policy, individuals should contact the Heartland United Way Board Treasurer directly.
Compliance Officer
The Heartland United Way’s Compliance Officer (Board Treasurer) is responsible for investigating and resolving all reported complaints and allegations concerning violations of the Code and, at his/her discretion, shall advise the President of the Heartland United Way and/or the Finance committee. The Compliance Officer has direct access to the Finance committee of the board of directors and is required to report to the Finance committee at least annually on compliance activity. The Organization’s Compliance Officer is the chair of the Finance committee.
Accounting and Auditing Matters
The Finance committee of the board of directors shall address all reported concerns or complaints regarding corporate accounting practices, internal controls or auditing. The Compliance Officer shall immediately notify the Finance & Executive committees of any such complaint and work with the committee until the matter is resolved.
Acting in Good Faith
Anyone filing a complaint concerning a violation or suspected violation of the Code must be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation of the Code. 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.
Confidentiality
Violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted 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.
Questions, comments or ethics reporting should be directed
to Heartland United Way's Ethics Officer, Doug Fargo
at: dfargo@globalindinc.com
