Whistleblower policy for Education Minnesota officials and employees
Education Minnesota expects its officers and staff to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. This Whistleblower Policy reflects the practices and principles of behavior that support that commitment.
Education Minnesota officials and employees are obligated to comply with all relevant legal requirements in carrying out their Education Minnesota responsibilities. A failure to meet this obligation - whether intentional or inadvertent - can have adverse consequences for the reputation and operation of Education Minnesota. The purpose of this policy is to establish a procedure by means of which any such failures can be brought to the attention of Education Minnesota, so that appropriate corrective action can be taken.
This policy applies to Education Minnesota, the Education Minnesota Foundation, and the Education Minnesota PAC and ESI.
I. Definitions
As used in the Whistleblower Policy, the following terms have the meanings indicated:
A. The term "misconduct" means an action taken by an Education Minnesota official or an Education Minnesota employee in carrying out his or her Education Minnesota responsibilities that is in violation of a legal requirement.
B. The term "Education Minnesota official" means an Education Minnesota officer, a member of the Education Minnesota Executive Committee, a member of the Education Minnesota Governing Board or Committee, and any other person designated by Education Minnesota governance to represent Education Minnesota. The term does not mean an employee of Education Minnesota.
C. The term "Education Minnesota employee" means a regular, probationary, part-time or temporary employee of Education Minnesota. The term does not mean an Education Minnesota official.
D. The term "person" means a member of Education Minnesota, an employee of Education Minnesota or an Education Minnesota affiliate, a consultant or vendor who does or seeks to do business with Education Minnesota or an Education Minnesota local or affiliate, and any other representative of Education Minnesota or an Education Minnesota local or affiliate.
E. The term "WB officer" means the person who is responsible for the implementation of the Whistleblower Policy.
F. The term "whistleblower" means a person who notifies the WB officer of an action that he or she has reasonable cause to believe constitutes misconduct.
II. WB officer
The Education Minnesota vice president shall serve as the WB officer, and shall in that capacity be responsible for the implementation of the Whistleblower Policy. The WB officer shall monitor the implementation of the Whistleblower Policy, and make periodic reports, when necessary, regarding its implementation to the Education Minnesota president and secretary-treasurer.
III. Whistleblower Policy procedures
A. Any person who has reasonable cause to believe that an Education Minnesota official or an Education Minnesota employee has engaged or is about to engage in misconduct, shall notify the WB officer in writing. That person (the "whistleblower") shall identify himself or herself in the notice to the WB officer, but the WB officer shall, if requested to do so by the whistleblower, treat the notice as anonymous and shall not, except in response to a legal mandate, reveal the whistleblower’s name. If the WB officer is unavailable, and the whistleblower believes that a delay in providing notification can have adverse consequences for Education Minnesota, he or she may directly notify the Education Minnesota general counsel, who shall as soon as possible thereafter turn the matter over to the WB officer.
B. If, based upon the information provided by the whistleblower and other relevant information, the WB officer has reasonable cause to believe that an Education Minnesota official or Education Minnesota employee has engaged or is about to engage in misconduct, the WB officer shall refer the matter to the Education Minnesota general counsel for investigation and processing.
C. The general counsel or his or her designee shall conduct an expeditious investigation of the alleged misconduct, and shall submit to the WB officer a written opinion setting forth its conclusions as to whether the Education Minnesota official or Education Minnesota employee has engaged or is about to engage in misconduct.
D. Applicable only to Education Minnesota employees: Thereafter, upon determining that the Education Minnesota employee has engaged or is about to engage in misconduct, the WB officer shall provide this information to the executive director of Education Minnesota, who shall consult with the Education Minnesota president and secretary-treasurer and shall arrange for such actions, as he or she deems appropriate, to be taken against an Education Minnesota employee who has engaged or is about to engage in misconduct. The imposition of any discipline against any Education Minnesota employee shall be subject to all terms and provisions of any governing collective bargaining agreement, inclusive of the right to union representation.
E. Applicable only to Education Minnesota officials: Upon determining that the Education Minnesota official may have engaged or may be about to engage in misconduct, the WB officer shall consult with the Education Minnesota president and secretary-treasurer. After such consultation, the three Education Minnesota officers shall thereafter take appropriate action.
F. Bad faith whistleblower complaints:
(1) Applicable only to Education Minnesota employees: If the WB officer concludes that an Education Minnesota employee has made an allegation of misconduct or has participated in an investigation of alleged misconduct in bad faith, the WB officer shall provide this information to the executive director. The executive director shall arrange for appropriate disciplinary action to be taken against such Education Minnesota employee. The imposition of any discipline against any Education Minnesota employee shall be subject to all terms and provisions of any governing collective bargaining agreement.
(2) Applicable only to Education Minnesota officials: If the WB officer concludes that an Education Minnesota official has made an allegation of misconduct or has participated in an investigation of alleged misconduct in bad faith, the WB officer shall consult with the Education Minnesota president and secretary-treasurer. After such consultation the three Education Minnesota officers shall thereafter take appropriate actions.
IV. Protection of persons who provide evidence of alleged misconduct
A. Except as otherwise provided in Section III (F) above, no person shall be subject to any form of direct or indirect retaliation by an Education Minnesota official, an Education Minnesota employee or other Education Minnesota representative because he or she (1) is a whistleblower, (2) has participated in an investigation of alleged misconduct or (3) has in good faith in any other way been involved in the implementation of this policy.
B. Applicable only to Education Minnesota employees: If any person believes that he or she has been subject to retaliation by an Education Minnesota employee in violation of Section A above, that person shall immediately report such retaliation, in writing, to the WB officer. The WB officer shall, with the assistance of the general counsel, promptly investigate the matter, and if the WB officer concludes, after such investigation, that an Education Minnesota employee has engaged in retaliation, the WB officer shall refer the matter to the executive director. The imposition of any discipline against any Education Minnesota employee shall be subject to all terms and provisions of any governing collective bargaining agreement.
C. Applicable only to Education Minnesota officials: If any person believes that he or she has been subject to retaliation in violation of Section A above by an Education Minnesota official, that person shall immediately report such retaliation, in writing, to the WB officer. The WB officer shall, with the assistance of the general counsel, promptly investigate the matter, and if the WB officer concludes, after such investigation, that an Education Minnesota official has engaged in retaliation, the matter shall be referred to the Education Minnesota president and secretary-treasurer. The three Education Minnesota officers shall thereafter take appropriate action.
V. Miscellaneous
A. Nothing in this policy shall be interpreted or applied to deprive any person of any right that he or she may have under the Education Minnesota governing documents, Education Minnesota policy, a contract with Education Minnesota, statute, or as an elected leader of a local affiliate of Education Minnesota. To the extent that this policy is inconsistent with any such right, the Education Minnesota governing documents, the Education Minnesota policy, the contract with Education Minnesota, the statutory right or right as an elected leader of a local affiliate of Education Minnesota shall take precedence.
B. Any person who believes that an Education Minnesota official has engaged or is about to engage in misconduct is encouraged to exhaust the process set forth in this policy before attempting to deal with the matter in any other forum.
C. All information and documents involved in the implementation of this policy shall be treated as confidential, and the WB officer shall make such information and documents available to others only on an "as needed" basis. To the extent relevant, all privileges, including the attorney/client and attorney work product privileges, shall apply to information and documents involved in the implementation of this policy, including any and all whistleblower complaints and investigations thereof.
D. If a question arises as to whether the WB officer has engaged, may be engaged or is about to engage in misconduct, the matter is to be directly referred to the Education Minnesota president and secretary-treasurer or the general counsel for investigation and handling. If question arises as to whether the general counsel has engaged, may be engaged or is about to engage in misconduct, the Education Minnesota vice president may refer the matter to an outside attorney for investigation. If an officer or the general counsel potentially involved in any investigation or issue, he or she will be excluded from decision-making on the matter.
VI. Amendment and distribution
A. The Education Minnesota Governing Board may amend this policy from time to time as it deems appropriate.
B. A copy of the policy shall be distributed to all Education Minnesota employees and Education Minnesota officials.
Effective Aug. 31, 2010
November 28, 2011