Conflict of Interest Policy
CONFLICT OF INTEREST POLICY – BOARD & MANAGEMENT
(a) PURPOSE: DRLC is a nonprofit, tax-exempt organization. Maintenance of its tax-exempt status is important both for its continued financial stability and for public support. Therefore, the IRS as well as state regulatory and tax officials view the operation of Disability Rights Legal Center as a public trust, which is subject to scrutiny by and accountable to such governmental authorities as well as to members of the public.
Consequently, there exists between Disability Rights Legal Center and its board, officers, and management employees and the public a fiduciary duty, which carries with it a broad and unbending duty of loyalty and fidelity. The board, officers, and management employees have the responsibility of administering the affairs of Disability Rights Legal Center honesty and prudently, and of exercising their best care, skill, and judgment for the sole benefit of Disability Rights Legal Center. Those persons shall exercise the utmost good faith in all transactions involved in their duties, and they shall not use their position with Disability Rights Legal Center or knowledge gained there from for their personal benefit. The interests of the organization must be the first priority in all decisions and actions.
(b) PERSONS CONCERNED: This statement is directed not only to directors and officers, but to all employees who can influence the actions of Disability Rights Legal Center. For example, this would include all who make purchasing decisions, all persons who might be described as “management personnel,” and anyone who has proprietary information concerning Disability Rights Legal Center.
(c) AREAS IN WHICH CONFLICT MAY ARISE.
- Persons and firms supplying goods and services to Disability Rights Legal Center
- Persons and firms from whom Disability Rights Legal Center leases property and equipment.
- Persons and firms with whom Disability Rights Legal Center is dealing or planning to deal in connection with gift, purchase or sale of real estate, securities, or other property.
- Competing or affinity organizations.
- Donors and other supporting Disability Rights Legal Center.
- Agencies, organizations, and associations, including employees of defendants or agencies or entities under investigation by the DRLC and Board Members who have a financial interest or outcome in a case or business venture which affect the operations of Disability Rights Legal Center,
- Family members, friends, and other employees.
(d) NATURE OF CONFLICTING INTEREST - A conflicting interest may be defined as an interest, direct or indirect, with any persons or firms mentioned in Section c. Such an interest might arise through:
- Owning stock or holding debt or other proprietary interests in any third party dealing with Disability Rights Legal Center.
- Holding office, serving on the board, participating in management, or being otherwise employed (or formerly employed) with any third party dealing with Disability Rights Legal Center.
- Receiving remuneration for services with respect to individual transactions involving Disability Rights Legal Center.
- Using Disability Rights Legal Center’s time, personnel, equipment, supplies, or good will for other than Disability Rights Legal Center approved activities, programs and purposes.
- Receiving personal gifts or loans from third parties dealing or competing with Disability Rights Legal Center. Receipt of any gifts is disapproved except gifts of a value less than $50, which could not be refused without discourtesy. No personal gift of money should ever be accepted.
(e) INTERPRETATION OF THIS STATEMENT OF POLICY - The areas of conflicting interest listed in Section (c), and the relations in those areas which may give rise to conflict, as listed in Section (d), are not exhaustive. Conflicts might arise in order areas or through other relations. It is assumed that the directors, officers, and management employees will recognize such areas and relation by analogy.
The fact that one of the interests described in Section (d) exists does not necessarily mean that a conflict exists, or that the conflict, if it exists, is material enough to be of practical importance, or if material, that upon full disclosure of all relevant facts and circumstances it is necessarily adverse to the interests of Disability Rights Legal Center.
However, it is the policy of the board that the existence of any of the interests described in Section (d) shall be disclosed before any transaction is consummated. It shall be the continuing responsibility of the board, officers, and management employees to scrutinize their transactions and outside business interests and relationships for potential conflicts and to immediately make such disclosures.
(f) DISCLOSURE POLICY AND PROCEDURE - Transactions with parties with whom a conflicting interest exists may be undertaken only if all of the following are observed:
- The conflicting interest is fully disclosed.
- The person with the conflict of interest is excluded from the discussion and approval of such transaction.
- A competitive bid or comparable valuation exists.
- The (board or a duly constituted committee thereof) has determined that the transaction is in the best interest of the organization.
Disclosure in the organization should be made to the chief executive officer (or if she or he is the one with the conflict, then to the board chair), who shall bring the matter to the attention of the [board or a duly constituted committee thereof.] Disclosure involving directors should be made to their board chair, (or she or he is the one with the conflict, then to the board vice-chair) who shall bring these matters to the [board or a duly constituted committee thereof.].
The [board or a duly constituted committee thereof] shall determine whether a conflict exists and in the case of an existing conflict, whether the contemplated transaction may be authorized as just, fair, and reasonable to Disability Rights Legal Center. The decision of the [board or a duly constituted committee] on these matters will rest in their sole discretion, and their concern must be the welfare of Disability Rights Legal Center and the advancement of its purpose.
CONFLICT OF INTEREST STATEMENT
I certify that I have read the above policy concerning conflicts of interest, and I agree to provide disclosure to the chief executive officer of any matters that may be considered a conflict of interest.
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Signature Members Name (Print)
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Position
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Date
Whistleblower Policy
Purpose
The Disability Rights Legal Center is committed to high standards of ethical, moral, and legal business conduct. In line with this commitment, and the DRLC’s commitment to open communication, this policy aims to provide a mechanism for board members to raise good faith concerns regarding suspected violations of law on the part of the DRLC, to cooperate in an inquiry or investigation by a governmental body, or to identify potential violations of the DRLC policy, and to protect board members who take such actions from retaliation.
Reporting Violations
It is the responsibility of all DRLC board members to report violations or suspected violations in accordance with this Whistleblower Policy. A board member who wishes to report a suspected violation of law or DRLC policy may do so confidentially by contacting the Board President or/or any DRLC Board Officer , While this communication is preferred openly, it may also be submitted anonymously in writing to the Board President and/or any DRLC Board Officer. Allegations must be made in good faith; those made in bad faith may result in disciplinary action.
No Retaliation
The DRLC expressly prohibits any form of retaliation, including harassment, intimidation, adverse actions, or any other form of retaliation, against board members who raise suspected violations of law, cooperate in inquiries or investigations, or identify potential violations of the DRLC’s policies. Any board member who engages in retaliation will be subject to discipline, including removal from the Board.
Reporting Suspected Retaliation
Any board member who believes that he or she has been subject to any form of retaliation should immediately report the retaliation to DRLC’s Board President and/or Officer. The investigating party will notify the concerned individual of its findings directly, or indirectly. A summary of such reports will be presented to the Executive Committee for review and further action as deemed necessary.
Confidentiality
Every effort will be made to treat the complainant’s identity with appropriate regard for confidentiality
Storage and Retention Policy
Closed files can be sent to offsite storage. All closed files and records must be boxed, numbered, inventoried, labeled and sent to offsite storage with a destroy date.
The box numbers must be entered into the Storage Inventory Log which is located on the network drive.
Retention Guide:
- Litigation files adults - 7 years;
- Litigation files minors – 7 years after their 18th birthday
- Law Student/Extern files - 4 years;
- Intake Files - 4 years;
- Financial files - 7 years;
- Employee files – permanent
- Corporate files - permanent