Code of Ethics and Respectful Behavior

RIGHT TO BE TREATED RESPECTFULLY

United Way of Southern Maine (UWSM) believes that every individual has a right to be treated respectfully. This right should never be compromised, no matter what the situation or the organizational needs of UWSM.

VOLUNTEERS and STAFF HAVE A RIGHT TO:

Be treated with respect and trusted as a colleague
Give and receive honest, constructive feedback.
Decline assignments that reasonably feel threatening or unsafe.
Receive advice and support from a designated manager.
Be kept informed and updated on organizational issues and activities.
Have problems or concerns addressed promptly, without fear of reprisal.
Share ideas and be involved in problem solving.

VOLUNTEERS and STAFF HAVE A RESPONSIBILITY TO:

Be accountable for their actions as representatives of the organization.
Embrace an open mind by being cognizant of personal biases.
Give and receive constructive feedback.
Be supportive and understanding of the work of others.
Be respectful of the rights of others.
Raise and address problematic issues and concerns.
Share ideas and be involved in problem solving.
Inform and update others on organizational activities.

RESPONSIBILITY TO TREAT OTHERS WITH RESPECT

As each person connected with UWSM has a right to be treated respectfully, each person, in turn, has a responsibility to treat others with respect. As a result, we hold volunteers and staff to these standards of conduct. When one’s conduct could be perceived as non-respectful or threatening to others in UWSM, to UWSM itself, or to other members of the community, UWSM will work with the individual to resolve the situation in a manner that does not compromise UWSM’s ability to fulfill its mission.

This code is subject to the policies and procedures of UWSM. The code applies to all representatives of the organization – volunteers, Board Members, Loaned Executives, and staff – and requires the commitment and accountability of all.

PREVENTING HARASSMENT, INCLUDING SEXUAL HARASSMENT

UWSM strives to create and maintain a work environment in which people are treated with dignity and respect. The environment of the organization should be characterized by mutual trust and the absence of intimidation, oppression, and exploitation. UWSM will not tolerate unlawful discrimination or harassment of any kind.

All employees and volunteers, regardless of their positions, are covered by and are expected to comply with this policy and are required to immediately report any incident of potentially harassing, discriminatory, or retaliatory conduct of which they become aware.

UWSM prohibits harassment of any kind and will take appropriate and immediate action in response to violations of this policy. For purposes of this policy, harassment is any verbal or physical conduct designed to threaten, intimidate, or coerce an employee, volunteer, co-worker, or any person working for or on behalf of UWSM. Verbal taunting (including racial and ethnic slurs) that is offensive or, in the employee’s or volunteer’s opinion, impairs his or her ability to perform his or her job is included in the definition of harassment.

Sexual harassment occurs when an unsolicited and unwelcome sexual advance, a request for a sexual favor, or other verbal or physical conduct of a sexual nature:

is made explicitly or implicitly a term or condition of employment, or a term or condition of the volunteer’s endeavor;
is used as a basis for an employment decision; and/or,
unreasonably interferes with an employee’s or volunteer’s work performance or creates an intimidating, hostile, or otherwise offensive environment.

Sexual harassment may take different forms and can occur between individuals regardless of sexual attraction.

Courteous, mutually respectful, pleasant, non-coercive interaction between employees and volunteers is expected. UWSM understands that victims of any form of harassment may be reluctant to report acts of harassment for many reasons: fear of being blamed, concern about being retaliated against, or because it can be difficult to discuss such matters openly with others. However, no employee or volunteer should have to endure harassing conduct, and UWSM has a mechanism by which employees or volunteers can promptly report any incidents of suspected discrimination or harassment so that UWSM may investigate and take corrective action if warranted. Employees and volunteers should bear in mind that UWSM is only able to investigate and address situations of which it is made aware, and that if allegedly harassing or discriminating conduct is never reported, it may never be investigated or corrected.

RETALIATION

No hardship, loss of benefit, or penalty will be imposed on an employee or volunteer in response to:

filing or responding to a bona fide complaint of discrimination or harassment;
being a participant in the investigation of a complaint; and,
serving as an investigator of a complaint.

Retaliation or attempted retaliation in response to lodging a complaint or invoking the complaint process is a violation of this policy. Employees and volunteers must immediately report such behavior to HR or UWSM’s President. Any person who is found to have violated this aspect of the policy will be subject to sanctions up to and including termination of employment or volunteer role.

COMPLAINT PROCEDURE

UWSM has established the following procedure for lodging a complaint of harassment, discrimination, or retaliation. The organization will treat all aspects of the procedure confidentially to the extent reasonably possible. An individual who feels harassed, discriminated against or retaliated against or who witnesses behavior which could constitute harassment, discrimination, or retaliation should immediately initiate the complaint process by filing a complaint in writing with HR. If an employee or volunteer is uncomfortable reporting directly to HR, the person may report to their own manager, the leader of the department in which they work or volunteer, the President, a Chief Officer, a Senior Vice President, the Board Chair, or the UWSM’s Anonymous Ethics Hotline at 1-844-384-7546 (Organization code: 837554). The individual filing the complaint will be asked to verify in writing the complaint. If a manager becomes aware that harassment or discrimination is occurring either from personal observation or as a result of an employee or volunteer coming forward, the manager must immediately report it to HR. All allegations of harassment, discrimination, or retaliation shall be reported by HR to the Executive Committee. If HR or a member of the Executive Committee is involved in the complaint itself, those individuals will be excluded from the reporting chain.

Promptly after receiving the complaint, HR will initiate the investigation to determine whether there is a reasonable basis for believing that the alleged violation of this policy occurred. If the complaint involves HR, Senior Leadership, or members of the Executive Committee, a third-party neutral investigator may be hired to perform the investigation. If it is determined that harassment or discrimination in violation of this policy has occurred, HR or the Board will recommend disciplinary action, as appropriate. If the investigation is inconclusive, or if it is determined that there has been no violation of policy, but that potentially problematic conduct may have occurred, HR may recommend appropriate remedial and preventive action.

ALTERNATIVE LEGAL REMEDIES

Nothing in this policy prevents an employee or volunteer from pursuing formal legal remedies or resolution through local, state, or federal agencies, or the courts. Employees may contact the Maine Human Rights Commission, 51 State House Station, Augusta, ME, 04033 (207-624-6290) or the EEOC.

CODE OF ETHICS

UWSM is committed to the highest ethical standards. Based on the unique trust placed in UWSM to serve the public good, we have a special obligation to act ethically.

The success of the United Way system and our reputation depend upon the ethical conduct of everyone affiliated with UWSM. Volunteers, staff, and representatives set an example for each other, and for United Way partners, by their pursuit of excellence in high standards of performance, professionalism, and ethical conduct.

This UWSM Code of Ethics (Code) is based on our mission and guided by our organization’s core values: Community Centered; Results Focused; Intentionally Collaborative; Committed to Excellence; and Leading with Integrity.

We are mindful that these core values must be clearly articulated, communicated and continuously reinforced. While no document can anticipate all of the challenges that may arise, the Code will assist UWSM volunteers, staff and representatives in making good decisions that are ethical and in accordance with applicable legal requirements. All are encouraged to discuss any questions or concerns they have with their manager or with UWSM’s President or a member of the Senior Leadership Team.

1. PERSONAL AND PROFESSIONAL INTEGRITY:

A personal commitment to integrity in all circumstances benefits each individual as well as the organization. We therefore:

Strive to meet the highest standards of performance, quality, service, and achievement in working toward the UWSM mission.
Communicate honestly and openly and avoid misrepresentation.
Promote a working environment where honesty, open communication, and minority opinions are valued.
Exhibit respect and fairness toward all those with whom we come into contact.

2. ACCOUNTABILITY:

UWSM is responsible to its stakeholders, which includes everyone who shares a common association or interest in developing a stronger community and others who have placed faith in UWSM. To uphold this trust, we:

Promote good stewardship of United Way resources, donations, grants, and other contributions that are used to pay allocations, operating expenses, salaries, and employee benefits.
Refrain from using organizational resources for non-UWSM purposes.
Observe and comply with all laws and regulations affecting UWSM.

3. SOLICITATIONS AND VOLUNTARY GIVING:

The most responsive contributors are those who have the opportunity to become informed and involved. We therefore:

Promote voluntary giving in dealing with donors and vendors.
Refrain from any use of coercion in fundraising activities, including predicating professional advancement in response to solicitations.

4. DIVERSITY, INCLUSION, AND EQUAL OPPORTUNITY

UWSM is an equal opportunity employer and is committed to the principles of diversity and inclusion. We therefore:

Value, champion, and embrace diversity in all aspects of UWSM activities and respect others without regard to national origin, race, color, religion, gender, sexual orientation or identity, pregnancy, age, body, marital, or other protected status, disability, or appearance.
Support employment opportunity programs throughout UWSM.
Refuse to engage in or tolerate any other form of discrimination or harassment.

5. CONFLICTS OF INTEREST:

To avoid any conflict of interest or the appearance of a conflict of interest that could tarnish the reputation of UWSM as well as undermine the public’s trust in UWSM, its staff and volunteers will:

Avoid any activity or outside interest, including fundraising, that conflicts or appears to conflict with the best interest of UWSM, including involvement with a current or potential UWSM vendor, grantee, or competing organization unless disclosed to and not deemed to be inappropriate by UWSM’s President or Board of Directors.
Ensure that outside employment and other activities do not adversely affect the performance of their UWSM duties or the achievement of UWSM’s mission.
Ensure that travel, entertainment and related expenses are incurred on a basis consistent with the mission of UWSM and not for personal gain or interests.
Decline any gift, gratuity or favor in the performance of UWSM duties except for promotional items of nominal value, and any food, transportation, lodging, or entertainment unless directly related to UWSM business.
Refrain from influencing the selection of staff, consultants or vendors who are relatives or personal friends or affiliated with, employ, or employed by a person with whom they have a relationship that adversely affects the appearance of impartiality.
To ensure the integrity of the annual investment review process, including avoiding any conflict of interest, real or perceived, UWSM requires all members of the Goal Cabinets and other volunteers with fiduciary obligations to comply with the Goal Cabinets Conflict of Interest Statement Guidelines and Annual Disclosure Form.

UNITED WAY OF SOUTHERN MAINE VOLUNTEERS:

Should not knowingly take any action, or make any statement, intended to influence the conduct of UWSM in such a way to confer any financial benefit on themselves, their relatives or personal friends or any organization in which they or their relatives or personal friends have a significant interest as stakeholders, directors or officers.
Board members or committee participants must openly disclose any known conflicts or potential conflicts of interest related to a matter before the Board of Directors takes action. Additionally, individuals in these roles should excuse themselves from the meeting room during discussions, reviews, and voting pertaining to the mentioned matter.
Members of the Board shall annually file with the President and CEO or designee a disclosure of all known potential conflicts of interest.

6. CONFIDENTIALITY AND PRIVACY:

Confidentiality is a hallmark of professionalism. We therefore:

Ensure that all information which is confidential, privileged or nonpublic, is not disclosed inappropriately.
Respect the privacy rights of all individuals in the performance of their United Way duties.
Ensure all documents and records are properly disposed of or maintained via the Document Destruction and Record Retention Policy.

7. POLITICAL CONTRIBUTIONS:

As a charitable corporation, UWSM is prohibited from making contributions to any candidate for public office or to any political committee. We therefore:

Refrain from making any contributions to any candidate for public office or political committee on behalf of UWSM, including the use of UWSM facilities for political campaign activities.
Refrain from making any contributions to any candidate for public office or political committee in a manner that may create the appearance that the contribution is on behalf of UWSM.

8. GUIDANCE AND DISCLOSURE:

Volunteers and staff are encouraged to seek guidance from the President or Board of Directors concerning the interpretation or application of this Code of Ethics. Any known or possible breaches of the Code of Ethics must be disclosed. Staff will direct their concern to a supervisor or the President if they are aware of any such breaches of the Code. Volunteers will direct their concern to the Chair or Vice Chair of the Board.

Reports of possible breaches will be handled in the following manner:

All reports of possible breaches will be treated in confidence as much as the organization’s duty to investigate and the law allow. If confidentiality cannot be maintained, the individual disclosing the possible breach will be notified.
All reported breaches will be investigated and, if needed, appropriate action taken based upon the policies of the organization.
Retaliation against a person who suspects and reports a breach in good faith will be treated as an independent breach of the Code.
UWSM affirms prompt and fair resolution of all reported breaches.

If it is determined that a Conflict of Interest exists, the following procedure applies:

At the discretion of the Board or the appropriate committee, an Interested Person may make a presentation to the Board or at the appropriate committee meeting, but after such presentation, they shall leave the meeting during the discussion and voting on the transaction or arrangement that created the Conflict of Interest.
If appropriate, the Chairperson of the Board or committee shall appoint a disinterested person or committee to investigate alternatives to the proposed transaction or arrangement.
After exercising due diligence, the Board or committee shall also determine whether the Corporation can, with reasonable efforts, obtain a more advantageous transaction or arrangement from a person or entity that would not give rise to a Conflict of Interest.
If a more advantageous transaction or arrangement is not reasonably attainable under circumstances that would not give rise to a Conflict of Interest, the Board or committee shall determine by a majority vote of the disinterested directors whether the transaction or arrangement is in the Corporation’s best interest and for its own benefit. The transaction must be fair and reasonable to the Corporation and the decision as to whether to enter into the transaction or arrangement in conformity with such a determination.
The Board or committee’s vote shall be recorded in the meeting’s minutes and communicated with the Interested Person.

DEFINITION

Interested Person: Any member of the Board of Directors (the “Board”), member of a committee with Board-delegated powers, or key employee who has a direct or indirect interest may be deemed to be an Interested Person. Moreover, if a person is “interested” with respect to any entity of which the Corporation is a part, they are an Interested Person with respect to all affiliates of the Corporation.