| name | whistleblower-policy |
| title | Whistleblower Protection Policy |
| description | Drafts board-adoptable whistleblower protection policies for public companies and non-profits. Covers SOX, Dodd-Frank, and state statute compliance, reporting channels, investigation procedures, anti-retaliation, and governance oversight. Use when drafting whistleblower policies, ethics reporting procedures, or compliance programs. |
| author | CaseMark |
| author_url | https://github.com/CaseMark/skills/tree/main/skills/legal/whistleblower-policy |
| license | Apache-2.0 |
| version | 0.1.0 |
| execution_mode | open |
| jurisdiction | us |
| practice | employment |
| language | en |
| tags | ["corporate","drafting","policy"] |
Whistleblower Protection Policy
Drafts a whistleblower protection policy balancing reporting encouragement, retaliation prohibition, confidentiality, and investigation rigor. Output uses [bracketed] placeholders for all org-specific details.
Prerequisites
Gather before drafting:
- Organization details — legal name, entity type (public/private/non-profit), state of incorporation
- Governance structure — compliance officer title, board committee assignments (Audit/Governance)
- Existing policies — code of conduct, ethics policy, any prior whistleblower policy to supersede
- Regulatory profile — SOX § 806 applicability (public company), Dodd-Frank bounty eligibility, state-specific statutes
- Reporting infrastructure — hotline vendor, portal URL, designated email, or channels to establish
Quick Start
Draft a 2,500–4,000 word policy with the ten sections below. Tone: professional, reassuring, unequivocal on anti-retaliation. Prefer narrative prose over bullet lists.
Policy Sections
| # | Section | Key Content |
|---|
| 1 | Purpose & Scope | Commitment statement; covered persons (directors, officers, employees, volunteers, contractors) |
| 2 | Covered Concerns | In-scope vs. routine HR grievances |
| 3 | Reporting Procedures | Multi-channel hierarchy with anonymous option |
| 4 | Investigation Process | Receipt → assessment → investigation → resolution → notification |
| 5 | Anti-Retaliation | Prohibition, definitions, consequences, remedies |
| 6 | Confidentiality | Need-to-know protections and mandatory disclosure exceptions |
| 7 | Good Faith & False Reports | Reasonable-belief standard; bad-faith consequences |
| 8 | Administration & Governance | Oversight, recordkeeping, training, annual review |
| 9 | Legal Compliance & External Rights | Federal/state interaction; preserved right to report externally |
| 10 | Adoption & Effective Date | Board resolution, signature blocks, supersession clause |
