WHISTLEBLOWER POLICY
Adopted
Purpose
The California
Society of Professional Engineers (CSPE) is committed to high standards of
ethical, moral and legal business conduct. In line with this commitment, and CSPE’s
commitment to open communication, this policy aims to provide an avenue for
employees to raise concerns and reassurance that they will be protected from reprisals
or victimization for whistleblowing.
This whistleblowing policy is intended to cover protections for
you if you raise concerns regarding CSPE, such as concerns regarding:
* incorrect financial reporting;
* unlawful activity;
* activities that are not in line with CSPE policy, including
the Code of Business
Conduct; or activities, which otherwise
amount to serious improper conduct.
Safeguards
Harassment
or Victimization - Harassment or victimization for reporting concerns under
this policy will not be tolerated.
Confidentiality
- Every effort will be made to treat the complainant’s identity with
appropriate regard for confidentiality.
Anonymous
Allegations - This policy encourages employees to put their names to
allegations because appropriate follow-up questions and investigation may not
be possible unless the source of the information is identified. Concerns
expressed anonymously will be explored appropriately, but consideration will be
given to:
* The seriousness of the issue raised;
* The credibility of the concern; and
* The likelihood of confirming the allegation from attributable sources.
Bad
Faith Allegations - Allegations in bad faith may result in disciplinary
action.
Procedure:
1. Process for Raising a Concern
Reporting-
The whistleblowing procedure is intended to be
used for serious and sensitive issues. Such concerns, including those relating
to financial reporting, unethical or illegal conduct, may be reported directly
to: Art Schwartz NSPE General Counsel, 703-684-2845, aschwartz@nspe.org,
Employment-related
concerns should continue to be reported through your normal channels such as the
President and CEO.
Timing
- The earlier a concern is expressed, the easier it is to take action.
Evidence
- Although the employee is not expected to prove the truth of an
allegation, the employee should be able to demonstrate to the person contacted
that the report is being made in good faith.
Procedure:
2. How the
Report of Concern Will be Handled
The
action taken by CSPE in response to a report of concern under this policy will
depend on the nature of the concern. The Audit Committee of the CSPE Board of
Directors shall receive information on each report of concern and follow-up
information on actions taken.
Initial
Inquiries - Initial inquiries will be made to determine whether an
investigation is appropriate, and the form that it should take. Some concerns
may be resolved without the need for investigation.
Further
Information -The amount of contact between the complainant and the person
or persons investigating the concern will depend on the nature of the issue and
the clarity of information provided. Further
information may be sought from or provided to the person reporting the concern.
This policy
shall be reviewed annually.