Whistleblower Policy

THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK

WHISTLEBLOWER POLICY

February 15, 2022

It is the responsibility of all directors, officers, employees, volunteers and contractors of the New York City Bar Association (“NYC Bar”) to report in good faith any conduct by an NYC Bar director, officer, employee, volunteer or contractor that the reporting individual reasonably believes is or may be illegal, fraudulent, a substantial and specific danger to public health or safety 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 their supervisor (if an NYC Bar employee), General Counsel or the NYC Bar’s Executive Director.  If the conduct in question involves NYC Bar’s Executive Director or the General Counsel, the individual should bring their Concerns to the attention of the President of the NYC Bar or the Chair of the Board.  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.

Individuals who report Concerns must exercise sound judgment and reasonably believe in good faith that the information disclosed indicates conduct that is illegal, fraudulent, a substantial and specific danger to public health or safety, 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 General Counsel.  However, if the investigation relates to the General 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 Board may not take part in any Board 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 Board or Audit Committee deliberations or voting on the matter relating to the complaint.  Nothing in this policy shall prohibit the Board 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, including a former employee or independent contractor, who in good faith reports a Concern, provides information or participates in an internal or government investigation of any such Concern, or objects to or refuses to participate in any activity, policy or practice giving rise to such Concern.    Acts of retaliation should be reported immediately to the Human Resources Director, the General 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.

Retaliatory action includes but is not limited to (i) discharge, suspension or demotion or other adverse employment action taken against an employee in the terms and conditions of employment, as well as the threat of any such adverse employment action, (ii) any actions that would adversely impact the reporting individual’s current or future employment or (iii) contacting immigration authorities or reporting the immigration status of such individual or their family members, or threatening to do so.

Employees can find more information about their rights and obligations as whistleblowers under N.Y. Labor Law 740.

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 directors, officers, volunteers or contractors that are otherwise consistent with law and with the NYC Bar’s bylaws and policies.

Confidentiality

Insofar as is reasonably practicable, the NYC Bar will maintain the confidentiality of any individual reporting a Concern, although the individual’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 themselves against the accusation.

Distribution

This policy shall be distributed to all directors, officers employees and contractors 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.