Whistle Blower Policy


Executive Director Policy

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Compliance/Whistle-Blowing:

The Alliance for Astronomy believes strongly in the establishment of an environment characterized by strict conformance with the highest standards of accountability for administration, marketing and financial management. The Alliance’s administrative and board leadership are fully committed to the need to prevent and detect fraud, fiscal mismanagement and misappropriation of funds and therefore, to the development of a formal compliance program to ensure ongoing monitoring and conformance with all legal and regulatory requirements.

The agency is committed to the establishment, implementation and maintenance of a compliance policy that emphasizes 1) prevention of wrong doing – whether intentional or unintentional, 2) immediate reporting and investigation of questionable activities and practices without consequences to the reporting party, and 3) timely correction of any situation which puts the agency, its management or staff, funding sources or consumers at risk.

The aims and scope of this policy are:

  • to provide avenues to raise concerns and receive feedback on any action taken;

  • allows the matter to be taken further if receiving a dissatisfied response;

  • to provide protection from reprisals or victimization for whistle blowing in good faith.

This whistle blowing policy is intended to cover concerns that fall outside the scope of other procedures. That concern may be about something that:

  • is unlawful; or

  • is against the Alliance for Astronomy’s policies; or

  • amounts to improper conduct.

The policy also dictates that the organization will do its best to protect the identity of the individual raising a concern and who does not wish his/her name to be disclosed. It must be appreciated that the investigation process may reveal the source of the information and a statement by the accuser may be required as part of the evidence.

This policy encourages the accuser to put his/her name to the allegation. Concerns expressed anonymously are much less powerful, but they will be considered at the discretion of the Executive Director.

Untrue allegations are taken seriously. If an allegation is made in good faith, but it is not confirmed by investigation, no action will be taken. If, however, allegations that are malicious or made simply to cause anger, irritation or distress, legal action may be taken against the accuser.

Accordingly, it is the policy of Alliance that any member of the staff, volunteer, or member of the public may bring to the attention of the Executive Director any matter relating to the above concerns for proper behavior and the Executive Director will investigate such matters, take appropriate corrective action and report back to the person making the report as to the results of such investigation/actions.

Should the allegation of mis-conduct or other be about the actions of the Executive Director, the complainant shall address his/her concerns to any member of the Board of Directors who have their own explicit policy for prompt attention to such matters. Any complaints directed to the Board of Directors not involving actions or the Executive Director shall be referred to the Executive Director for disposition according to the previous paragraph.

Issued this 6th day of January, 2007

James M. Roe

Executive Director

James M. Roe
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