Policy on Whistleblowers

One of the core organizational values of Society for Marketing Professional Services is absolute integrity in our standards of conduct. This requires the elected directors, officers, and employees to observe a high level of business and personal ethics in the performance of their duties and responsibilities. As employees and representatives of the Society for Marketing Professional Services, we must practice honesty and integrity in fulfilling our responsibilities and comply with all applicable laws and regulations. This policy is intended to address matters related to the organization’s financial and personnel policies (“Guidelines”).

Reporting Responsibility

It is the responsibility of all directors, officers, appointed volunteers, and employees to comply with and to report violations or suspected violations in accordance with this Whistleblower Policy (Policy). This Policy is intended to encourage and enable individuals to raise serious concerns within the organization prior to seeking resolution outside the organization.

No Retaliation

No director, officer, appointed volunteer, or employee who in good faith reports a violation of organizational policies shall suffer harassment, retaliation, or adverse employment consequence. An employee who retaliates against someone who has reported a violation in good faith is subject to discipline up to and including termination of employment. Officers, directors, and other volunteers who retaliate against someone are subject to discipline as outlined in the Society for Marketing Professional Services Bylaws.

Reporting Violations

The Policy addresses our organization’s “open door” policy and therefore it is expected that directors, officers, volunteers, and employees share their questions, concerns, suggestions, or complaints with someone who can address them properly. In most cases, an employee’s supervisor or the CEO are in the best position to address an area of concern. However, if someone is not comfortable speaking with any of these individuals or is not satisfied with the response, he/she is encouraged to speak with anyone in management, such as an officer. Any suspicion of dishonesty or gross violations of the Guidelines must be reported to the CEO who has specific and exclusive responsibility to investigate all reported violations. For any suspicion of dishonesty or gross violations of the Guidelines by the CEO or when someone is not satisfied or uncomfortable with following the organization’s open door policy, individuals should contact the Deputy Executive Director.

Compliance Officer

The CEO is responsible for investigating and resolving all reported complaints and allegations concerning violations of the Guidelines and, at his/her discretion, shall advise the Executive Committee. The CEO may delegate his authority and duties as the Compliance Officer. The CEO has direct access to the board of directors and is required to report to the board at least annually on compliance activity.

Accounting and Auditing Matters

The board of directors shall address all reported concerns or complaints regarding corporate accounting practices, internal controls or auditing. The CEO shall immediately notify the Secretary-Treasurer of any such complaint and work with the Secretary-Treasurer until the matter is resolved.

Acting in Good Faith

Anyone filing a complaint concerning a violation or suspected violation of the financial policies must be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation of the policies. Any allegations that prove not to be substantiated and which prove to have been made maliciously or knowingly to be false will be viewed as a serious disciplinary offense.


Violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.

Handling of Reported Violations

The Compliance Officer will notify the sender and acknowledge receipt of the reported violation or suspected violation within five business days. All reports will be promptly investigated and appropriate corrective action will be taken if warranted by the investigation. It is not required that the details of any investigation or any corrective action be shared with the person reporting a suspected violation.

Revised and approved: January 22, 2016 by the SMPS Board of Directors


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