Operational policy of the CBA adopted by Board of Directors November 2019.

To facilitate reporting of complaints or concerns about finance and accounting, internal controls or auditing matters, violations of Canadian Bar Association Principles of Conduct and policies, and other suspected violations of laws or regulations that govern the CBA, the CBA Board of Directors has established these procedures for confidential, anonymous complaints by CBA board members, employees and volunteers about violations or suspected violations.

Scope

This Whistleblower Policy applies to all current board members, employees and volunteers of the CBA.

Complaints About Accounting or Finance Matters

Accounting or finance matters include the following:

• fraud or deliberate error in the preparation, evaluation, review or audit of any financial statement of the CBA;
• fraud or deliberate error in recording and maintaining financial records of the CBA;
• deficiencies in or noncompliance with the CBA's internal controls;
• misrepresentation or false statement to or by the CEO or Director of Finance, the Chair or members of the Finance Committee, finance staff in the National Office or the auditor about a matter in the financial records, financial reports or audit reports of the CBA; or
• deviation from full and fair reporting of the CBA's financial condition.

Complainants should forward complaints about accounting or finance matters on a confidential or anonymous basis in accordance with the Reporting and Resolving Misconduct section of the CBA Principles of Conduct.

Complaints About Governance Matters

Governance matters include the following:

• violations of federal, provincial or territorial laws that could result in fines or civil damages payable by the CBA, or that could otherwise significantly harm the CBA's reputation or public image;
• conduct which may reasonably be construed as unbecoming or detrimental the interests of the CBA or its membership;
• unethical conduct in violation of any CBA policies or CBA Principles of Conduct; or
• risk to the health, safety or wellbeing of CBA employees, volunteers or members, or the general public.

Complainants should forward complaints about governance matters on a confidential or anonymous basis in accordance with the Reporting and Resolving Misconduct section of the CBA Principles of Conduct.

Procedures for Complaints

A. Content of Complaints

To assist the CBA in its investigation and response, the complaint should contain as much specific, factual information as possible to allow proper assessment of the nature, extent and urgency of the subject matter of the Complaint, including, without limitation and to the extent possible, the following:

• the alleged event, matter or issue that is the subject of the complaint;
• the name of each person involved;
• if the complaint involves a specific event or events, the approximate date and location of each event;
• any additional information, documentation or other evidence available to support the complaint; and
• the steps taken, if any, prior to making the complaint (e.g. speaking with a supervisor or Director of Human Resources)

B. Response to Complaints

The process for dealing with complaints is outlined in the Reporting and Resolving Misconduct section of the CBA Principles of Conduct.

C. Confidentiality/Anonymity

The CBA will maintain the confidentiality or anonymity of any complainant to the fullest extent reasonably practicable within the bounds of the law and of any ensuing evaluation or investigation. Legal or business requirements may not allow for complete anonymity. In some cases, it may not be possible to proceed with, or properly conduct, an investigation unless the complainant identifies himself or herself, due to the difficulty of interviewing anonymous complainants and evaluating the credibility of their complaints. Complainants should be cautioned that their identity might become known for reasons outside of the control of the CBA. The identity of other persons subject to or participating in any investigation of a complaint will be maintained in confidence subject to the same limitations.

D. Protection from Retaliation

The CBA will not discharge, demote, suspend, threaten, harass or in any manner discriminate or retaliate against any complainant or the terms and conditions of a complainant's employment based on any lawful actions of a complainant who makes a complaint in good faith. Any CBA employee found to be in violation of this policy when dealing with a complainant may be subject to termination of employment. Similarly, any volunteer or board member found to be in violation of this policy when dealing with a complainant may be subject to the consequences outlined in CBA Bylaw No. 1, subsections 9(3) and 28(1).

E. Reporting and Retention of Complaints and Investigations

The CEO will maintain a log of all complaints, tracking their receipt, investigation and resolution and will prepare a summary of the log to present to the Board of Directors on request. Copies of complaints and the log will be maintained by the CEO in a confidential manner.

Authorities

CBA Bylaw No. 1
CBA Principles of Conduct