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  • Whistleblower Policy

The Marine Mammal Center's Whistleblower Policy

The Marine Mammal Center maintains the highest standards of conduct, safety, competence and ethics.

I. Purpose

The purpose of this Whistleblower Policy (the “Policy”) is to ensure that The Marine Mammal Center maintains the highest standards of conduct, safety, competence and ethics. This Policy is designed to encourage employees and volunteers to notify The Marine Mammal Center’s management of potential misconduct, including, but not limited to:

  • Violations of local, state or federal law;
  • Misappropriation or other improper or unauthorized use of The Marine Mammal Center’s resources;
  • Unsafe conditions or work practices;
  • Waste and inefficiency; and
  • Other dishonest or fraudulent conduct.

This Policy provides a procedure for reporting such suspected conduct (i.e. for acting as a whistleblower), and prohibits retaliation against anyone who, in good faith, reports such conduct. The Marine Mammal Center will promptly and thoroughly investigate all whistleblower reports, and will take corrective action as deemed necessary and/or appropriate. Such corrective action may include disciplinary action, up to and including termination of employment or volunteer services and/or civil or criminal prosecution when warranted.

II. Confidentiality

Reports of violations or suspected violations of The Marine Mammal Center’s standards may be sent to the email address whistleblowerpolicy@tmmc.org and will be kept confidential to the extent possible, consistent with the need to conduct a thorough investigation. In addition, individuals may report suspected misconduct anonymously by submitting a letter to either the Chief Human Resources Officer, Chief Executive Officer or Chief Financial Officer (the “Compliance Officer(s)”) at The Marine Mammal Center, 2000 Bunker Road, Fort Cronkhite, Sausalito, CA 94965, except in the case of complaints regarding safety or harassment where reporting anonymously is not feasible. If a complaint involves one of the Compliance Officers, such letter may be submitted to either (a) one of the other two Compliance Officers; or (b) the Chairperson of the Board of Directors of The Marine Mammal Center, as necessary. While anonymous reporting is acceptable, The Marine Mammal Center encourages and prefers direct reporting in order to facilitate the collection of such additional information as may be necessary to conduct an effective investigation.

III. No Retaliation

The Marine Mammal Center prohibits retaliation against any employee or volunteer who, in good faith and based on reasonable grounds, reports a concern or participates in an investigation pursuant to this Policy. Retaliation includes action taken in response to the whistleblower’s complaint with the intent or effect of adversely affecting the terms or conditions of the whistleblower’s employment, including but not limited to, threats of physical harm, termination of employment, imposition of punitive work assignments and adverse adjustments to salary, wages or, in the case of volunteers only, schedule.

The Marine Mammal Center will use its best efforts to protect whistleblowers against any such retaliation. If The Marine Mammal Center determines that an individual has retaliated against an employee or volunteer in violation of this Policy, that individual will be subject to disciplinary action, up to and including termination of employment or volunteer services.

Whistleblowers or participants in an investigation of misconduct under this Policy who believe that they have been retaliated against may file a written complaint with a Compliance Officer. Any complaint of retaliation will be promptly investigated and appropriate corrective measures will be taken if it is substantiated.

The protection from retaliation is not intended to prohibit managers or supervisors from taking any adverse employment action, including disciplinary action or termination, when it is warranted based on an employee’s job performance or conduct, nor is it intended to prohibit action by the person who manages a volunteer for the misconduct or inappropriate action of the volunteer.

IV. How to Report Concerns

A. Employees

Employees who become aware of misconduct are encouraged to share their concerns or complaints with someone who can address them properly and promptly. In most cases, an employee’s immediate supervisor will be in the best position to address such concerns. However, if an individual is not comfortable speaking with their supervisor, or the supervisor is a subject of the concern, or if an individual is not satisfied with the supervisor’s response and continues to have reasonable grounds to believe the concern is valid and has not been appropriately addressed, the individual is encouraged to speak with one of the Compliance Officers. If the individual is uncomfortable speaking with a Compliance Officer, or one of the Compliance Officers is a subject of the concern or has not appropriately or timely addressed the concern, the individual should contact one of the other two Compliance Officers. If the employee is uncomfortable raising the issue with any of the Compliance Officers, or the Compliance Officers are the subject of the concern, or have failed to adequately or in a timely manner address the concern, the employee may report the concern to the Chairperson of the Board of Directors.

B. Volunteers

A volunteer who observes or obtains information about possible misconduct by an employee or other volunteer is encouraged to report their concerns to the manager of their volunteer role. If the concerns involve the manager or are not addressed in an appropriate or timely manner, the volunteer should report their concern directly to the Volunteer Engagement Manager. If the concerns involve the Volunteer Engagement Manager or are not addressed in an appropriate or timely manner, the volunteer should directly contact the Human Resources department.

Individuals are encouraged to report their concerns orally so that The Marine Mammal Center’s representative receiving the information can ask questions in order to ensure that the concern is fully understood. If the concern is communicated in writing, the individual should provide as much detail as possible regarding the concern or be available for follow up. Failure to provide a complete and accurate description of a concern may impair The Marine Mammal Center’s ability to conduct a thorough investigation.

Anyone reporting a concern must act in good faith and have reasonable grounds for believing the information disclosed indicates a significant improper accounting or auditing practice, a serious safety concern, significant waste or inefficiency in The Marine Mammal Center’s operations, a violation of law or other improper or unauthorized act that may have serious consequences to The Marine Mammal Center. Allegations that are knowingly false or made with reckless disregard for their truth or falsity, that prove to be unsubstantiated, and that prove to have been made maliciously or recklessly will be viewed as a serious offense and may result in disciplinary action, up to and including termination of employment or voluntary services.

The Compliance Officers shall have exclusive responsibility for overseeing investigations of all concerns, except those involving all Compliance Officers, in which case the Chairperson of the Board of Directors or their designee shall serve as the Compliance Officer.

C. External Reporting

This Policy is intended to encourage and enable employees, volunteers and others to raise serious concerns within The Marine Mammal Center prior to seeking resolution outside The Marine Mammal Center. If an individual believes that their concern should be addressed outside The Marine Mammal Center, the individual may report the concern to: California State Attorney General’s Whistleblower Hotline at (800) 952-5225

V. Internal Handling of Reported Violations

The Compliance Officer receiving the report shall immediately notify the Chairperson of the Board of Directors, the Chair of the Board’s Audit Committee and the other Compliance Officers of any internal report. In the event that one of the Compliance Officers is the subject of the report, that person need not be notified of any internal report. The Compliance Officer shall notify the sender and acknowledge receipt of the concern within a reasonable period of time, generally not more than five (5) business days, except when the report is submitted anonymously. The Compliance Officer(s), or a designated investigator, will interview all appropriate witnesses and review all appropriate documentation or other evidence. The Board’s Audit Committee shall address all reported concerns regarding The Marine Mammal Center’s accounting practices, internal controls or auditing. The Compliance Officer(s) shall work with the Audit Committee until the matter is resolved. This may include making appropriate recommendations to the Board of Directors. Other types of concerns will be promptly investigated by The Marine Mammal Center’s management, in coordination with the Compliance Officer(s), and, as appropriate, outside legal counsel. The Compliance Officer(s), in consultation with the Board of Directors (or such members of the Board as may be designated by the Chairperson), has the authority to retain outside legal counsel, accountants, private investigators, or any other resource deemed necessary to conduct a complete investigation of the allegations.

Whistleblowing complaints will be handled with sensitivity, discretion and confidentiality to the extent allowed by the concern’s circumstances and the law. Generally this means that whistleblower complaints will only be shared with (a) those within The Marine Mammal Center who need to know so that The Marine Mammal Center can conduct an effective investigation and determine the appropriate action to take based on the results of any such investigation, and (b) in appropriate cases, law enforcement personnel. If disciplinary or legal action is taken against a person or persons as a result of a whistleblower complaint, such persons may also have the right to know the whistleblower’s identity.

Upon concluding an investigation, The Marine Mammal Center will make a determination and take corrective action, as appropriate, as recommended to the Chief Executive Officer and the Chairperson of the Board of Directors. The Marine Mammal Center will follow up with the person who submitted the complaint and any other individuals directly involved to let them know the results of the investigation. The Marine Mammal Center will also follow up to make sure that there is no retaliation against anyone who participated in the investigation.

VI. Promoting Awareness of Policy

A copy of this Policy shall be distributed to all current employees and regular volunteers by the Chief Human Resources Officer. Subsequently, each employee and regular volunteer shall be furnished with a copy of this Policy upon such individual’s initial hiring or commitment to regular volunteer service, respectively.

In addition to this Policy, The Marine Mammal Center supports a safe and harassment-free workplace, with zero tolerance of workplace violence, and an employee assistance program (EAP) and other employment rights. Information related to these areas is contained in The Marine Mammal Center’s Employee Handbook, Injury and Illness Prevention Program (IIPP) plan and 2012 California and Federal Employment Notices Poster.

whistleblower, policy