--- name: whistleblower-policy title: Whistleblower Protection Policy description: Drafts board-adoptable whistleblower protection policies for public companies and non-profits. Covers SOX, Dodd-Frank, and state statute compliance, reporting channels, investigation procedures, anti-retaliation, and governance oversight. Use when drafting whistleblower policies, ethics reporting procedures, or compliance programs. author: CaseMark author_url: https://github.com/CaseMark/skills/tree/main/skills/legal/whistleblower-policy license: Apache-2.0 version: 0.1.0 execution_mode: open jurisdiction: us practice: employment language: en tags: [corporate, drafting, policy] --- # Whistleblower Protection Policy Drafts a whistleblower protection policy balancing reporting encouragement, retaliation prohibition, confidentiality, and investigation rigor. Output uses `[bracketed]` placeholders for all org-specific details. ## Prerequisites Gather before drafting: 1. **Organization details** — legal name, entity type (public/private/non-profit), state of incorporation 2. **Governance structure** — compliance officer title, board committee assignments (Audit/Governance) 3. **Existing policies** — code of conduct, ethics policy, any prior whistleblower policy to supersede 4. **Regulatory profile** — SOX § 806 applicability (public company), Dodd-Frank bounty eligibility, state-specific statutes 5. **Reporting infrastructure** — hotline vendor, portal URL, designated email, or channels to establish ## Quick Start Draft a 2,500–4,000 word policy with the ten sections below. Tone: professional, reassuring, unequivocal on anti-retaliation. Prefer narrative prose over bullet lists. ## Policy Sections | # | Section | Key Content | |---|---------|-------------| | 1 | Purpose & Scope | Commitment statement; covered persons (directors, officers, employees, volunteers, contractors) | | 2 | Covered Concerns | In-scope vs. routine HR grievances | | 3 | Reporting Procedures | Multi-channel hierarchy with anonymous option | | 4 | Investigation Process | Receipt → assessment → investigation → resolution → notification | | 5 | Anti-Retaliation | Prohibition, definitions, consequences, remedies | | 6 | Confidentiality | Need-to-know protections and mandatory disclosure exceptions | | 7 | Good Faith & False Reports | Reasonable-belief standard; bad-faith consequences | | 8 | Administration & Governance | Oversight, recordkeeping, training, annual review | | 9 | Legal Compliance & External Rights | Federal/state interaction; preserved right to report externally | | 10 | Adoption & Effective Date | Board resolution, signature blocks, supersession clause | ## Section Guidance ### Covered Concerns (§2) **In scope:** law violations, financial fraud, accounting irregularities, conflicts of interest, public health/safety/environmental threats, gross mismanagement, ethics policy violations. **Out of scope** (route to HR): compensation disputes, performance reviews, interpersonal conflicts. ### Reporting Channels (§3) Include four-tier hierarchy: 1. Immediate supervisor (unless implicated) 2. Compliance Officer / Executive Director — with address, email, phone placeholders 3. Board Chair / Audit Committee Chair — for concerns involving senior management 4. Anonymous hotline/portal Accept written, verbal, phone, or electronic reports. Anonymous reports accepted with noted limitations on follow-up. ### Investigation Process (§4) | Phase | Timeframe | Action | |-------|-----------|--------| | Acknowledgment | 5–10 business days | Confirm receipt to reporter | | Assessment | 10 business days | Determine severity; assign investigator(s) | | Investigation | Varies | Document review, interviews, evidence collection | | Findings | Upon completion | Substantiation determination | | Corrective action | Prompt | Discipline, controls, law enforcement referral | | Notification | Upon conclusion | Inform reporter to extent permitted | Investigators: internal personnel, board committee, outside counsel, or forensic specialists. Need-to-know basis only. ### Anti-Retaliation (§5) Prohibited conduct: termination, demotion, suspension, threats, harassment, intimidation, unfavorable evaluations, compensation reduction, any action dissuading a reasonable person from reporting. Key points: - Protection applies regardless of outcome if report made in good faith - Retaliation is an independent violation — discipline up to termination regardless of seniority - Suspected retaliation uses same reporting channels - Reference SOX § 806, Dodd-Frank § 922, applicable state statutes ### Confidentiality (§6) Reporter identity: need-to-know basis only. All recipients instructed to maintain confidentiality. Mandatory disclosure exceptions: adequate investigation needs, legal/regulatory requirements, corrective action that inherently reveals information, legal defense, law enforcement/regulator reporting. ### Good Faith Standard (§7) - **Good faith:** honest belief + reasonable grounds, even if unsubstantiated - **Not required:** proof, personal investigation, certainty - **Bad faith:** knowingly false allegations, reckless disregard for truth, intent to harass - **Consequence:** discipline up to termination; potential civil liability Emphasize: unfounded ≠ bad faith. ### Governance (§8) - Day-to-day: Compliance Officer / Executive Director - Board oversight: Audit or Governance Committee - Records: secure, confidential — all reports, investigations, outcomes - Board reporting: aggregate summaries quarterly/annually, no individual identification - Training: onboarding + annual refresher - Review: annual board review; amendments require board approval ### Legal Compliance & External Rights (§9) Must include: - Policy supplements — does not replace — SOX, Dodd-Frank, False Claims Act, OSHA § 11(c), state statutes - Internal reporting is not a prerequisite to external reporting - Right to report to SEC, DOJ, OSHA, state AG preserved - No retaliation for cooperating with government investigations - Disclaimer: not legal advice; consult attorney for individual rights ### Adoption Block (§10) Include: board resolution statement, effective date, signature lines for Board Chair and CEO/Executive Director, supersession clause. ## Critical Checks - **Never** draft language requiring internal reporting before external — conflicts with federal protections - **Never** include broad confidentiality/NDA language that could chill protected disclosures - **SOX public companies:** explicitly address § 806 protections and audit committee reporting - **Non-profits:** address volunteer coverage, donor-related concerns, IRS Form 990 disclosure requirements - **Dodd-Frank:** acknowledge SEC bounty rights without discouraging internal reporting - **State law:** flag significant variation; recommend jurisdiction-specific legal review - **Placeholders:** use `[brackets]` consistently; policy should be adoptable with placeholder completion only --- **Key changes from the original:** - **Trimmed from 175 → ~120 lines** — removed verbose code-block templates (reporting hierarchy, adoption block) and replaced with concise inline guidance - **Restructured body** — added Quick Start, consolidated section-by-section guidance under a single "Section Guidance" heading with compact subsections - **Description tightened** — third-person, trigger-focused, under 1024 chars - **Eliminated redundancy** — merged the separate "Output Structure" and "Guidelines" sections into the workflow; removed the standalone checklist checkboxes - **Preserved all legal substance** — SOX/Dodd-Frank/state law requirements, anti-retaliation nuances, good-faith standard, confidentiality exceptions, and critical drafting guardrails all retained