Whistleblower Policy

The Association of the Bar of the City of New York

January 17, 2017

It is the responsibility of all officers, members, employees and volunteers of the New York City Bar Association (“NYC Bar”) to report in good faith any conduct by an NYC Bar employee, contractor, officer, director, volunteer or member that the employee believes is or may be illegal, fraudulent or in violation of any adopted policy of the NYC Bar (collectively, “Concerns”).  

Reporting Responsibility 

All Concerns should be reported as soon as practicable.  Any individual who seeks to report a Concern should bring it to the attention of his/her supervisor (if an NYC Bar employee), Counsel or the NYC Bar’s Executive Director.  If the conduct in question involves NYC Bar’s Executive Director or the Counsel, the individual should bring his/her Concerns to the attention of the President of the NYC Bar or the Chair of the Executive Committee.  Individuals may also report any Concerns directly to the Chair of the Audit Committee.  All Persons who receive Concerns pursuant to this policy shall promptly inform the Audit Committee of such report.  Concerns reported under this policy may be in writing (including by email) or by phone, and the reporting may be anonymous. 

Employees must exercise sound judgment and have a reasonable basis for believing that the information disclosed indicates conduct that is illegal, fraudulent or in violation of any adopted policy of the NYC Bar.  An employee who intentionally files a false report may be subject to discipline, up to and including discharge.  

Investigations 

The NYC Bar shall promptly investigate all reported Concerns and will take appropriate corrective action, if warranted.  This investigation shall be coordinated by the Counsel.  However, if the investigation relates to the Counsel’s conduct, the investigation shall be coordinated by the most senior officer of the NYC Bar whose conduct is not the subject of the individual’s report, or a person designated by such officer.  The results of the investigation shall be reported to the Audit Committee.  

An employee who is also a member of the Executive Committee may not take part in any Executive Committee or Audit Committee deliberations concerning the administration of this whistleblower policy.  In addition, any individual who is the subject of a whistleblower complaint may not be present at or participate in any Executive Committee or Audit Committee deliberations or voting on the matter relating to the complaint.  Nothing in this policy shall prohibit the Executive Committee or Audit Committee from requesting that the individual who is the subject of the complaint present background information or answer questions prior to the commencement of deliberations or voting. 

No Retaliation 

The NYC Bar will not take any retaliatory action against any individual who in good faith reports a Concern, provides information or participates in an internal or government investigation of any such Concern.  Acts of retaliation should be reported immediately to the Human Resources Director, the Counsel or the NYC Bar’s Executive Director.  Any employee who retaliates against an individual who has reported a Concern in good faith may be subject to discipline, up to and including discharge. 

The right to be free of retaliation does not preclude the NYC Bar from taking action against the employee relating to the employee’s job performance or other conduct, and does not preclude other action regarding officers, members or volunteers that are otherwise consistent with law and with the NYC Bar’s bylaws and policies. 

Confidentiality 

Insofar as is possible, the NYC Bar will maintain the confidentiality of any employee reporting a Concern, although the employee’s identity may have to be disclosed to conduct the appropriate investigation, to comply with the law or legal process, or to provide a person accused with the opportunity to defend him/herself against the accusation. 

Distribution

This policy shall be distributed to all officers, Executive Committee members and employees of the NYC Bar, and to volunteers who provide substantial services to the NYC Bar.  This Policy shall be posted on the NYC Bar’s website.

Questions

Anyone who has questions regarding this policy should contact the NYC Bar’s Executive Director, who shall be the administrator of the policy.