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Policies and Procedures


 
Whistleblower Policy

General
STOP CANCER has established this Whistleblower Policy and a Code of Conduct (hereinafter referred to as “the Code”) which requires directors, other volunteers, and employees to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. Employees and representatives of STOP CANCER must practice honesty and integrity in fulfilling their responsibilities and must comply with all applicable laws and regulations in accordance with the advice of counsel. 

The objectives of the STOP CANCER Whistleblower Policy are to establish policies and procedures for:

The submission of concerns regarding questionable accounting or auditing matters by employees, directors, officers, and other stakeholders of the organization, on a confidential and anonymous basis. 

The receipt, retention, and treatment of complaints received by the organization regarding accounting, internal controls, or auditing matters. 

The protection of directors, volunteers and employees reporting concerns from retaliatory actions. 

Reporting Responsibility
Each director, volunteer, and employee of STOP CANCER has an obligation to report in accordance with this Whistleblower Policy (a) questionable or improper accounting or auditing matters, and (b) violations and suspected violations of the Code (hereinafter collectively referred to as “Concerns”). The Concerns shall be reported as provided below to the Compliance Officer who is Dominic LoBuglio or, if the Concern relates to the Compliance Officer, to the President.  Concerns may be reported anonymously.  The Compliance Officer may be contacted at 310.553.8458. The President may be contacted at 818.986.5656.

No Retaliation
This Whistleblower Policy is intended to encourage and enable directors, volunteers, and employees to raise Concerns within STOP CANCER for investigation and appropriate action. With this goal in mind, no director, volunteer, or employee who, in good faith, reports a Concern, even if the report is mistaken, shall be subject to retaliation or, in the case of an employee, adverse employment consequences. Moreover, a director, volunteer or employee who retaliates against someone who has reported a Concern in good faith is subject to discipline up to and including removal from the Board of Directors, dismissal from the volunteer position or termination of employment. 

Reporting Concerns

Employees
Employees shall report their Concern in writing to the Executive Director of STOP CANCER , Bette Bergsman at 2566 Overland Ave., Suite 790, Los Angeles, CA  90064-3371 , or if the Concern relates to the conduct of the Executive Director, to the President of STOP CANCER , Bettina Tendler O’Mara at 310.266.6670.

Directors and Other Volunteers
Directors and other volunteers should submit Concerns in writing directly to the President of STOP CANCER or, if the Concern relates to the conduct of the President to the Executive VP, Greg Forester at 310.487.3630.

Handling of Reported Violations
The person receiving the Concern shall address all Concerns reported to him or her. Unless reported anonymously, the person receiving the Concern shall acknowledge receipt of the Concern with the complainant in writing within five business days. 

All reports will be promptly investigated by the person receiving the Concern or by a person designated by that person. A report of the Concern and appropriate corrective action will be discussed with the Board of Directors, if warranted by the investigation. Except for anonymous reports, action taken must include a conclusion and a follow-up with the complainant for complete closure of the Concern. Records of each investigation shall be maintained in the STOP CANCER office for five years.

The President or Executive Director has the authority to retain outside legal counsel, accountants, private investigators, or any other resource deemed necessary to conduct a full and complete investigation of the allegations.

Acting in Good Faith
Anyone reporting a Concern must act in good faith and have reasonable grounds for believing the information disclosed indicates an improper accounting or auditing practice, or a violation or suspected violation of the Code. 

The act of making allegations that prove to be unsubstantiated, and that prove to have been made maliciously, recklessly, or with the foreknowledge that the allegations are false, will be viewed as a serious disciplinary offense and may result in discipline, up to and including dismissal from the volunteer position or termination of employment. Such conduct may also give rise to other actions, including civil lawsuits.

Confidentiality
Reports of Concerns, and investigations pertaining thereto, shall be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.  

Disclosure of reports of Concerns to individuals not involved in the investigation will be viewed as a serious disciplinary offense and may result in discipline, up to and including termination of employment. Such conduct may also give rise to other actions, including civil lawsuits.  
 
 
Conflict of Interest Policy
 
Article I
Purpose

The purpose of the conflict of interest policy is to protect Stop Cancer’s (“Organization”) interest when it is contemplating entering into a transaction or arrangement that might benefit the private interest of an officer or director of the Organization or might result in a possible excess benefit transaction.  This policy is intended to supplement but not replace any applicable state and federal laws governing conflict of interest applicable to nonprofit and charitable organizations.

Article II
Definitions

1. Interested Person
 
Any director, principal officer, or member of a committee with governing board delegated powers, who has a direct or indirect financial interest, as defined below, is an interested person.
 
2. Financial Interest
 
A person has a financial interest if the person has, directly or indirectly, through business, investment, or family:
 
      a. An ownership or investment interest in any entity with which the Organization has a transaction or arrangement,
 
      b. A compensation arrangement with the Organization or with any entity or individual with which the Organization has a transaction or arrangement, or
 
      c. A potential ownership or investment interest in, or compensation arrangement with, any entity or individual with which the Organization is negotiating a transaction or arrangement.
 
Compensation includes direct and indirect remuneration as well as gifts or favors that are not insubstantial.
 
A financial interest is not necessarily a conflict of interest.  Under Article III, Section 2, a person who has a financial interest may have a conflict of interest only if the appropriate governing board or committee decides that a conflict of interest exists.

Article III
Procedures

1. Duty to Disclose
In connection with any actual or possible conflict of interest, an interested person must disclose the existence of the financial interest and be given the opportunity to disclose all material facts to the directors and members of committees with governing board delegated powers considering the proposed transaction or arrangement.
 
2. Determining Whether a Conflict of Interest Exists
After disclosure of the financial interest and all material facts, and after any discussion with the interested person, he/she shall leave the governing board or committee meeting while the determination of a conflict of interest is discussed and voted upon.  The remaining board or committee members shall decide if a conflict of interest exists.
 
3. Procedures for Addressing the Conflict of Interest
 
3a.    An interested person may make a presentation at the governing board or committee meeting, but after the presentation, he/she shall leave the during the discussion of, and the vote on, the transaction or arrangement involving the possible conflict of interest.meeting 
 
3b. The chairperson of the governing board or committee shall, if appropriate, appoint a disinterested person or committee to investigate alternatives to the proposed transaction or arrangement.
 
3c. After exercising due diligence, the governing board or committee shall determine whether the Organization can obtain with reasonable efforts a more advantageous transaction or arrangement from a person or entity that would not give rise to a conflict of interest.
 
3d. If a more advantageous transaction or arrangement is not reasonably possible under circumstances not producing a conflict of interest, the governing board or committee shall determine by a majority vote of the disinterested directors whether the transaction or arrangement is in the Organization’s best interest, for its own benefit, and whether it is fair and reasonable.  In conformity with the above determination it shall make its decision as to whether to enter into the transaction or arrangement.
 
4. Violations of the Conflicts of Interest Policy
 
      a. If the governing board or committee has reasonable cause to believe a member has failed to disclose actual or possible conflicts of interest, it shall inform the member of the basis for such belief and afford the member an opportunity to explain the alleged failure to disclose.
 
      b. If, after hearing the member’s response and after making further investigation as warranted by the circumstances, the governing board or committee determines the member has failed to disclose an actual or possible conflict of interest, it shall take appropriate disciplinary and corrective action.
 
Article IV
Records of Proceedings

The minutes of the governing board and all committees with board delegated power shall contain:
 
      a. The names of the persons who disclosed or otherwise were found to have a financial interest in connection with an actual or possible conflict of interest, the nature of the financial interest, any action take to determine whether a conflict of interest was present, and the governing board’s or committee’s decision as to whether a conflict of interest in fact existed.
    
     b. The names of the persons who were present for discussions and votes relating to the transaction or arrangement, the content of the discussion, including any alternatives to the proposed transaction or arrangement, and a record of any votes taken in connection wit the proceedings.
Article V
Compensation

      a. A voting member of the governing board who receives compensation, directly or indirectly, from the Organization for services is precluded from voting on matters pertaining to that member’s compensation.
 
      b. A voting member of any committee whose jurisdiction includes compensation matters and who receives compensation, directly or indirectly, from the Organization for services is precluded from voting on matters pertaining to that member’s compensation.
 
      c. No voting member of the governing board or any committee whose jurisdiction includes compensation matters and who receives compensation, directly or indirectly, from the Organization, either individually or collectively, is prohibited from providing information to any committee regarding compensation.
 
Article VI
Annual Statements

Each director, principal officer and member of a committee with governing board delegated powers shall annually sign a statement which affirms such person:
 
      a. Has received a copy of the conflicts of interest policy,
      
      b. Has read and understands the policy,
      
      c. Has agreed to comply with the policy, and
      
      d. Understands the Organization is charitable and in order to maintain its federal tax exemption it must engage primarily in activities which accomplish one or more of its tax-exempt purposes.
 
Article VII
Periodic Reviews

To ensure the Organization operates in a manner consistent with charitable purposes and does not engage in activities that could jeopardize its tax-exempt status, periodic reviews shall be conducted.  The periodic reviews shall, at a minimum, include the following subjects:
 
      a. Whether compensation arrangements and benefits are reasonable, based on competent survey information, and the result of arm’s length bargaining.
 
      b. Whether partnerships, joint ventures, and arrangements with management organizations conform to the Organization’s written policies, are properly recorded, reflect reasonable investment or payments for good and services, further charitable purposes and do not result in inurement, impermissible private benefit or in a excess benefit transaction.
 
Article VIII
Use of Outside Experts

When conducting the periodic reviews as provided for in Article VII, the Organization may, but need not, use outside advisors.  If outside experts are used, their use shall not relieve the governing board of its responsibility for ensuring periodic reviews are conducted.
* * * * * * * *
 
Annual Statement
 
The undersigned hereby acknowledges that the undersigned:
      a. has received a copy of the foregoing conflicts of interest policy;
    
      b. has read and understands the policy;
     
      c. agrees to comply with the policy; and
      
      d. understands that the Organization is charitable and in order to maintain its federal tax exemption it must engage primarily in activities which accomplish one or more of its tax-exempt purposes.
                     
Dated:  ___________ Signature: _______________________________
                                                                                                                  
 
 
 
Document Retention Policy 


The corporate records of Stop Cancer (“Organization”) are important assets. Corporate records include essentially all records you produce as an employee, whether paper or electronic. A record may be as obvious as a memorandum, an e-mail, a contract or a case study, or something not as obvious, such as a computerized desk calendar, an appointment book or an expense record. 
 
The law requires the Organization to maintain certain types of corporate records, usually for a specified period of time. Failure to retain those records for those minimum periods could subject you and the Organization to penalties and fines, cause the loss of rights, obstruct justice, spoil potential evidence in a lawsuit, place the Organization in contempt of court, or seriously disadvantage the Organization in litigation. 
 
The Organization expects all employees to fully comply with any published records retention or destruction policies and schedules, provided that all employees should note the following general exception to any stated destruction schedule: If you believe, or the Organization informs you, that Organization records are relevant to litigation, or potential litigation (i.e., a dispute that could result in litigation), then you must preserve those records until our legal counsel determine the records are no longer needed. That exception supersedes any previously or subsequently established destruction schedule for those records. If you believe that exception may apply, or have any question regarding the possible applicability of that exception, please contact the Executive Director of the Organization. 
 
From time to time the Organization establishes retention or destruction policies or schedules for specific categories of records in order to ensure legal compliance, and also to accomplish other objectives, such as preserving intellectual property and cost management. Several categories of documents that bear special consideration are identified below. While minimum retention periods are suggested, the retention of the documents identified below and of documents not included in the identified categories should be determined primarily by the application of the general guidelines affecting document retention identified above, as well as any other pertinent factors. 
 
   (a)       Tax Records. Tax records include, but may not be limited to, documents concerning payroll, expenses, proof of deductions, business costs, accounting procedures, and other documents concerning the Organization's revenues. Tax records should be retained for at least six years from the date of filing the applicable return. 

   (b)        Employment Records/Personnel Records. State and federal statutes require the Organization to keep certain recruitment, employment and personnel information. The Organization should also keep personnel files that reflect performance reviews and any complaints brought against the Organization or individual employees under applicable state and federal statutes. The Organization should also keep all final memoranda and correspondence reflecting performance reviews and actions taken by or against personnel in the employee's personnel file. Employment and personnel records should be retained for six years. 
 
   (c)         Board and Board Committee Materials. Meeting minutes should be retained in perpetuity in the Organization's minute book. A clean copy of all Board and Board Committee materials should be kept for no less than three years by the Organization. 
 
   (d) Press Releases/Public Filings. The Organization should retain permanent copies of all press releases and publicly filed documents under the theory that the Organization should have its own copy to test the accuracy of any document a member of the public can theoretically produce against that Organization. 
 
   (e)        Legal Files. Legal counsel should be consulted to determine the retention period of particular documents, but legal documents should generally be maintained for a period of ten years. 
 
   (f)        Marketing Documents. The Organization should keep final copies of marketing documents for the same period of time it keeps other corporate files, generally three years. An exception to the three-year policy may be invoices, contracts, leases, licenses and other legal documentation. These documents should be kept for a least three years beyond the life of the agreement. 
 
   (g) Development/Intellectual Property and Trade Secrets. Development documents are often subject to intellectual property protection in their final form (e.g., patents and copyrights). The documents detailing the development process are often also of value to the Organization and are protected as a trade secret where the Organization: 
  
       (i) derives independent economic value from the secrecy of the information; and 
  
       (ii) the Organization has taken affirmative steps to keep the information confidential. 

     The Organization should keep all documents designated as containing trade secret information for at least the life of the trade secret. 

   (h) Contracts. Final, execution copies of all contracts entered into by the Organization should be retained. The Organization should retain copies of the final contracts for at least three years beyond the life of the agreement, and longer in the case of publicly filed contracts. 

      (i)      Electronic Mail. E-mail that needs to be saved should be either: 
 
      (i) printed in hard copy and kept in the appropriate file; or 

      (ii) downloaded to a computer file and kept electronically or on disk as a separate file. 
     
      The retention period depends upon the subject matter of the e-mail, as covered elsewhere in this policy. 

Failure to comply with this Document Retention Policy may result in punitive action against the employee, including suspension or termination. Questions about this police should be referred to _____________ (phone no: ______________; email: ____________), who is in charge of administering, enforcing and updating this policy.

READ, UNDERSTOOD, AND AGREED:
_______________________________
Employee’s signature

_______________________________
Date
 
 
 





STOP CANCER is committed to funding the most promising and innovative scientists in their early research of all forms of cancer prevention, treatment, cures and subsequent clinical applications. STOP CANCER works primarily with local National Cancer Institute-designated Comprehensive Cancer Centers and other qualified institutions in the United States to carry out its mission.

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