Blogging and Social Networking Policy

It is the responsibility of the company to protect itself from unauthorized disclosure of information.  This policy is intended to provide our employees with guidelines established to address company-authorized social networking and personal social networking.  While the company respects an employee’s privacy, conduct that has or has the potential to have a negative effect on the company might be subjected to disciplinary action up to and including termination, even if the conduct occurs off the property or not on company time. 

These guidelines are referring to all forms of social media technology, including but not limited to:  blogs; wikis; RSS feeds; social networking sites such as Facebook, LinkedIn, Friendster or MySpace; video and photo sharing websites such as YouTube; microblogs such as Twitter, chat rooms, personal blogs or other similar forms of online journals, diaries or personal newsletters affiliated and/or not affiliated with SMG.

 Authorized Social Networking

The goal of authorized social networking and blogging is to become a part of the industry conversation and promote web-based sharing of ideas and exchange of information. Authorized social networking and blogging is used to convey information about company events and services, promote and raise awareness of the SMG brand, search for potential new markets, communicate with the public and issue or respond to breaking news.

 When social networking, blogging or using other forms of web-based forums, SMG must ensure that use of these communications maintains our brand identity, integrity and reputation while minimizing any types of risk.

  Facilities should designate authorized employees who can prepare and modify content for SMG’s blogs and/or company social networking entries.

Each facility is responsible for ensuring all blogging and social networking information complies with SMG’s policies.  SMG reserves the right to remove any content that does not meet the rules and guidelines of this policy or that may be illegal or offensive. Removal of such content will be done without permission of the blogger or advance warning.  SMG also reserves the right to take legal action against persons who engages in prohibited or unlawful conduct.

Non-Authorized Social Networking  Employees

Employees should not use employer-owned equipment, including computers, company cell phones, company-licensed software or other electronic equipment for non-authorized social media technology.  Nor should employees use our facilities and/or company time to conduct personal blogging or social networking activities. Employees are not permitted to post on personal blogs or other sites the name, trademark or logo of SMG or of SMG’s vendors or clients.  Employees should also be certain not to post company-privileged data, including but not limited to: copyrighted information or company-issued documents.

Employees may not publicly discuss clients, vendors, patrons, co-workers, former coworkers and/or any work-related matters, whether confidential or not, outside of company-authorized communications.  Employees are expected to protect the privacy of SMG and its employees, former employees, clients and vendors and are prohibited from disclosing personal information, proprietary information and/or nonpublic information to which employees may have access. 

 SMG respects the right of employees to write blogs and use social networking sites and does not want to discourage employees from self-publishing and self-expression. However, employees are expected to follow the guidelines and policies set forth to provide a clear line between you as the individual and you as the employee.  SMG does not discriminate against employees who use this type of media for personal interests and affiliations or other lawful purposes.

 If you choose to identify yourself as a SMG employee, please understand that some readers may view you as a spokesperson for SMG. Because of this possibility, we ask that you state that your views expressed in your blog or social networking area are your own and not those of the company, nor of any person or organization affiliated or doing business with SMG.

 Employees cannot use blogs or social networking sites to harass, threaten, discriminate or disparage against employees, vendors, clients and/or anyone associated with or doing business with SMG.

   Bloggers and commenters are personally responsible for their commentary on blogs and social networking sites. Bloggers and commenters may be held personally liable for commentary that is considered defamatory, obscene, proprietary or libelous any offended party.

Discipline for Violations

Violations of SMG’s social networking policy may result in disciplinary action up to and including immediate termination even if the conduct occurs outside of company time, off company property and/or not on employer owned equipment.  

SMG reserves the right to take legal action where necessary against employees who engage in prohibited or unlawful conduct.

Employer Monitoring

Employees are cautioned that they should have no expectation of privacy while using the internet. Your postings can be reviewed by anyone, including SMG. SMG reserves the right to monitor comments or discussions about the company, its employees, clients and the industry, posted on the internet. 

If you have any questions relating to this policy please see your manager and/or your local Human Resources department.

DRUG & ALCOHOL ABUSE

It is the desire of SMG to provide a drug-free, healthful and safe workplace. This policy is designed solely for the benefit of our employees, to provide reasonable safety on the job and to protect from offending individuals. In addition, this program attempts to meet our responsibility to the public, whom we serve. To promote this goal, employees are required to report to work in appropriate mental and physical condition to perform their jobs in a satisfactory manner.

The use, consumption, possession, distribution, dispensation, or sale of illegal drugs or drug paraphernalia, the abuse of legally prescribed drugs and the unauthorized use or possession of alcohol or inhalants on SMG premises, or while on SMG business elsewhere, is strictly prohibited.  

 If an employee is taking prescription medication that may affect their ability to work or to work safely, the employee should immediately notify their Supervisor. SMG reserves the right to temporarily reassign or alter work responsibilities during the period that an employee is taking the prescribed drug.

SUBSTANCE ABUSE POLICY

 SMG recognizes both alcohol and drug abuse as potential health, safety and security problems. SMG expects all employees to assist in maintaining a work environment free from the effects of alcohol, drugs, or intoxicating substances. Compliance with this substance abuse policy is made a condition of employment.

 SMG prohibits the manufacture, possession, use, distribution, sale or purchase of nonprescription controlled substances and intoxicants by employees on SMG premises. SMG also prohibits working under the influence of alcohol, drugs or other intoxicating substances.  

 The Human Resources Designee should be consulted by a Supervisor when there is reason to believe that an employee’s work performance has been impaired due to the consumption of alcohol, drugs or other intoxicants. 

 Any employee who is convicted of a violation of any criminal drug statute (including misdemeanors) shall notify the Human Resources Designee within three (3) days of the date of conviction. A conviction includes any plea or finding of guilty, any plea of “nolo contendere” and/or imposition of a fine, jail sentence or other penalty.

 Employees who believe they may have an alcohol or drug abuse problem are strongly encouraged to use the Employee Assistance Program. Such contacts will be kept confidential except as required by law, or when there is a danger to the immediate health, safety, or security of the employee or others. The Employee Assistance coordinator can provide employees and Supervisors with advice and referrals to treatment and rehabilitation programs. Some such treatment may be covered by the employee’s health insurance.

Any employee who violates this substance abuse policy will be subject to employee discipline, which may include termination, as covered under the Corrective Action Policy.

Drug and Alcohol Testing

 An employee’s immediate Supervisor or a designated representative may require an employee to undergo testing to evaluate the employee’s fitness for duty if the Supervisor or the designated representative believes the employee is impaired, is jeopardizing workplace safety, or is not performing his/her responsibilities because of on-the-job intoxication or impairment.

 “Reasonable suspicion” testing should not be implemented until the Supervisor or designated representative has contacted the Human Resources Designee and has clear, supporting documentation detailing the situation justifying the “reasonable suspicion” testing request. This must include at least two members of management observing the employee and agreeing that “reasonable suspicion” testing is necessary.  SMG is a 24/7/365 operation. Employees must be able to report to a testing facility after normal business hours, defined as Monday through Friday from 8 AM – 5 PM.  Refusal to submit to substance testing, as provided for in this policy, will be considered insubordination and the employee may be subject to disciplinary action up to and including immediate termination.

 Medical Marijuana and Other Legal Substances

 SMG maintains a zero tolerance policy for drug use; this includes the use of medical marijuana and other legal substances.  Employees cannot be or appear to be under the influence or have said prescriptions in their possession during work hours, on company time or property, or at company sponsored events.

 If an employee is provided with a prescription for medical marijuana or other legal substances, this information must be disclosed to the Human Resources Department immediately.  Human Resources reserves the right to require employees to obtain a fitness for duty certificate from the prescribing physician.  The fitness for duty certificate must indicate that the employee is able to perform the essential duties and responsibilities of their position.  SMG reserves the right to determine whether or not a reasonable accommodation can be made based on the prescribing doctor’s fitness for duty certification.

Company Sponsored Educational Alcohol Sampling

 Of age employees within the food and beverage department who have been trained in Company approved Alcohol Awareness Programs (TIPS) and have direct customer and sales responsibility for the sale of such products may participate in company managed and sponsored educational alcohol samplings for the purpose of training.

 These educational samplings are for the sole purpose for food and beverage employees to have the opportunity to taste products which have been selected for sale at the location. The benefit is to be able to describe and educate customers wishing to make a purchase.

 Sample/Tasting may only occur at the beginning of a shift or in conjunction with other prearranged trainings.

 Sample/Tasting size must be of 1oz or less for Beer & Wine products.  The total amount able to be tasted at any one training shall not be greater than 4oz.

 All wine and beer tastings must be prearranged with written notification to the Food and Beverage RVP or SVP with the purpose and products which are to be sampled or used in training.

 Food and Beverage RVP and/or SVP may alter established consumption amounts within limits should training needs require greater scope for educational purposes.

New Health Insurance Marketplace Coverage Options and Your Health Coverage

 Under the Affordable Care Act, there is a new way to buy health insurance:  The Health Insurance Marketplace.  To assist you as you evaluate options for you and your family, this notice provides some basic information about the new Marketplace and employment-based health coverage offered by SMG.

 PART A: General Information

 What is the Health Insurance Marketplace?

 The Marketplace is designed to help you find health insurance that meets your needs and fits your budget.  The Marketplace offers “one-stop shopping” to find and compare private health insurance options.  You may also be eligible for a new kind of tax credit that lowers your monthly insurance premium right away.  Open enrollment to select health insurance coverage through the Marketplace begins October 1, every year for coverage starting as early as the following January.

Can I Save Money on my Health Insurance Premiums in the Marketplace?

 You may qualify to save money or lower your monthly premium, but only if your employer does not offer coverage, or offers coverage that does not meet certain standards.  The savings on your premium that you are eligible for depends on your household income.

 Does Employer Health Coverage Affect Premium Savings through the Marketplace?

 Yes. If you have an offer of health insurance coverage from SMG that meets certain standards, you will not be eligible for a tax credit through the Marketplace and may wish to enroll in SMG’s health plan.  However, you may be eligible for a tax credit that lowers your monthly premium, or a reduction in certain cost-sharing if your employer does not offer coverage to you at all or does not offer coverage that meets certain standards.  If the cost of health insurance coverage from SMG that would cover you (and not any other members of your family) is more than 9.5% of your household income for the year, or if the coverage provided by SMG does not cover the “minimum value standard” set forth in the Affordable Care Act, then you may be eligible for a tax credit.  An employer-sponsored health plan meets the “minimum value standard” if the plan’s share of the total allowed benefit costs covered by the plan is no less than 60 percent of such costs.

If you purchase health insurance coverage through the Marketplace instead of accepting health insurance coverage offered by SMG, then you may lose SMG’s contribution (if any) to the employer-offered coverage.  Both SMG’s contribution and your contribution to employer-offered health insurance coverage is often excluded from income for Federal and State income tax purposes.  Your payments for health insurance coverage through the Marketplace are made on an after-tax basis.

How Can I Get More Information?

The Marketplace can help you evaluate your coverage options, including your eligibility for coverage through the Marketplace and its cost.  Please call 1-800-318-2596 or visit HealthCare.gov for more information, including an online application for health insurance coverage and contact information for a Health Insurance Marketplace in your area.

 For more information about your coverage through SMG, please check your summary plan description or contact Michael Grismer at (610) 729-1071.

PART B:  Information About Health Coverage Offered by SMG

This section contains information about any health care offered by SMG.  If you decide to complete an application for coverage in the Marketplace, you will be asked to provide this information.

Client Satisfaction

 Never lose sight of who owns the facility.

 

Client Accountability

 Recognize your responsibility to openly and frequently communicate with our clients.

 

Community Involvement

Take seriously your responsibility to your local community.

Ø  Participate in their activities;

Ø  Hire their citizens;

Ø  Take on the personality of the community in which you reside and SMG operates.

 

Operational Excellence

Run your facility as if it were ours.

Ø  Maintain it;

Ø  Enhance it;

Ø  Keep it Secure.

 

Customer Service

Treat everyone as you wish to be treated.

Ø  Emphasize being cordial;

Ø  Anticipate and satisfy needs;

Ø  Make every encounter pleasant and efficient.

 

Profitability

Always remember SMG is in the business to achieve the objectives of our facility owners. Set rigorous goals and use the corporate tools and measurement devices available to you to achieve your financial goals.

 

Employee Satisfaction

 Take care of your people so they can take care of your customers. Emphasize individual accountability with all employees. Set the example.

 

Business Conduct

Read and understand our policy.

Always adhere to the highest standards of business practices.

COMPLIANCE WITH LAWS

All SMG companies, including foreign and partnerships, strive to fully comply with all governmental regulations related to every country and state in which SMG conducts its business, including, but not limited to, employment, labor and the workplace, environment, antitrust, securities laws and the Foreign Corrupt Practices Act. Worldwide compliance with this policy is expected, except as may be otherwise indicated.

BUSINESS ETHICS

The company's reputation and the trust and confidence of those with whom we deal are among our most vital company resources. SMG is committed to conducting its affairs in a uniformly ethical manner and pursuant to a standard of fundamental honesty and fair dealing. SMG requires complete honesty and sincerity in dealings, not only with our customers, but also with our fellow employees and all other business contacts. Our actions and behaviors must match our intentions. This standard requires adherence to all laws, regulations and normal ethical practices that apply to the company's activities and our core value of integrity.

WHAT WE EXPECT OF OUR EMPLOYEES

 An employer-employee relationship creates expectations on both sides. The employee is expected to do his/her best to justify continued employment, and the employer is expected to maintain a work environment which allows competent employees to do their best. Specifically, each employee is expected:

 

Ø  To act with honesty, integrity and professionalism in accordance

Ø  with the company's high standards of ethical conduct and to comply with all laws that affect us

Ø  To respect the company's rules and policies and the rights of other employees

Ø  To demonstrate a duty of utmost loyalty and commitment to the company in all matters both professionally and personally

Ø  To know and accept the company's goals and contribute fully to their attainment

Ø  To be honest and truthful in relationships with others and to treat all persons with equal respect and concern

Ø  To honor relationships within the workplace and observe appropriate boundaries

Ø  To be judicious in the exercise of the power and privileges of my position

Ø  To avoid conflicts of interest that might compromise the effectiveness of my work

Ø   To respect the privacy of individuals and not divulge information obtained in confidence without express permission unless an individual is a danger to self or others

Ø  To refrain from gossip and abusive speech

Ø  To assume primary responsibility for his/her professional development and to pursue additional training as appropriate, both inside and outside the company

Ø  To strive for superior job performance characterized by maximum effort and a personal commitment to quality in all activities of the business

EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION POLICY

SMG is an equal opportunity employer. It is the policy of SMG to prohibit discrimination and harassment of any type and to afford equal employment opportunities to employees and applicants, without regard to race, color, religion, sex, national origin, age, disability, genetic information, gender identity, gender expression, veteran status, or any other protected class.  SMG will take action to employ, advance in employment and treat qualified Vietnam era veterans and disabled veterans without discrimination in all employment practices.  

The policy of equal employment opportunity and anti-discrimination applies to all aspects of the relationship between the Company and its employees, including but not limited to:

♦     Recruitment     ♦     Employment     ♦     Placement     ♦     Promotion

♦     Termination     ♦     Layoff     ♦     Recall     ♦     Transfer

♦     Training    ♦     Working Conditions     ♦     Compensation

♦     Employee benefits and application of policies

 

The policies and principles of equal employment opportunity also apply to the selection and treatment of independent contractors, personnel working on our premises who are employed by temporary agencies and any other persons or firms doing business for or with the Company.

SMG is firmly committed to promoting and advancing the meaningful participation of business enterprises owned by minorities, women and individuals, in its continued facility management operation.

SMG has a demonstrated history of embracing minorities and women in its business activities as joint venture partners, managers, employees, subcontractors and vendors. 

SMG recognizes that government entities and private companies, like SMG, bear a special and continuing responsibility to make serious efforts to help MBEs and WBEs enter the economic mainstream.  

SMG also recognizes that the meaningful inclusion of minority-owned and women-owned firms in the facility management operations is not simply about extending economic opportunity to a few, but about building a foundation to achieve social equality and economic self-sufficiency for all.

SMG is committed to support and exemplify an Affirmative Action plan that will encompass minority participation through employment and the use of MBE/WBEs.

SMG is further committed to extend its best efforts to achieve a maximum practicable level of MBE/WBE participation in a manner consistent with the affirmative action guidelines of our client(s), and in a manner that will also represent meaningful and substantial participation.

INTRODUCTORY PERIOD

Your first ninety (90) days of employment at SMG are considered an Introductory Period. This Introductory Period will be a time to get to know your fellow employees and the tasks involved in your position. During this Introductory Period, SMG will evaluate your suitability for employment, and you can evaluate SMG as well. If, during this period, your work habits, attitude, attendance or performance do not measure up to our standards, we may terminate your employment.

Your Supervisor, with the approval of the Corporate Human Resources Department, may consider an extension to your Introductory Period for the purpose of further review and evaluation.

Please understand that completion of the Introductory Period does not imply a contract of employment, or a guarantee of benefits. Either you or the company may terminate the employment relationship at any time, for any reason, with or without cause. In particular, your employment is terminable at will, either by you or SMG, regardless of length of employment or the granting of benefits of any kind.

Former employees who have been rehired are subject to an Introductory Period during the first ninety (90) days following rehire.

OPEN DOOR POLICY

SMG is committed to establishing and maintaining the best possible working environment for all its employees. A large part of this commitment involves the open and frank discussion of any issue between an employee and their Supervisor(s). Effective communication is critical to developing mutually beneficial relationships and achieving corporate goals. SMG is committed to a fair resolution of the issue in all cases, when feasible.  

When employees have a question or concern, they should bring this issue to the attention of their immediate Supervisor, as soon as it arises, and if possible, the same day on which the matter is raised. If the problem concerns their immediate Supervisor, they should bring the issue to the person to whom the Supervisor reports or directly to the facility’s Human Resources Designee.

If, after a reasonable period of time, the employee feels he/she has not received an adequate resolution, the employee should bring their concern to the next highest level of management, the facility’s Human Resources Designee, Director of Finance, General Manager, or then to SMG’s Corporate Human Resources Department/Business Conduct Policy Hotline at (800) 9644SMG, Select option 2 or 610-729-7900, select option 2.

SEXUAL HARASSMENT

Sexual harassment is a serious matter that constitutes a violation of SMG’s Company Policy. It is SMG’s policy to neither condone nor tolerate sexual harassment of an employee by supervisors and/or other employees. The company will investigate all reported incidents and take disciplinary action where appropriate, up to and including referral to law enforcement. Every good faith effort will be taken by the company to fulfill the objectives of this policy.

Sexual Harassment Includes, But Is Not Limited To:

Ø  Making sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature, a condition of continued employment;

Ø  Unwanted and unnecessary physical contact;

Ø  Excessive offensive remarks including unwelcome comments about appearance, obscene jokes or gestures and other inappropriate use of sexually suggestive objects or pictures;

Ø  Promising preferential treatment in return for sexual favors; or

Ø  Creating an intimidating, hostile, or offensive working environment by such conduct.

Ø   

 As an employee of SMG, you should be aware that the issue of whether conduct can be construed as sexual harassment may depend on how the conduct is perceived by the employee who is subjected to the conduct. The employee who initiates or persists in prohibited conduct assumes the risk that the person who is the subject of the conduct may see it as offensive, and if so, the person who initiates the conduct may be subject to penalties, even if he or she did not intend for the conduct to be offensive.

Reporting Sexual Harassment

 Any employee who feels he/she is the subject of, or is exposed to, sexual harassment has the right to have such activity investigated immediately. Complaints can be made either to the employee’s immediate Supervisor, the employee’s facility Human Resources Designee, Director of Finance, General Manager, or to SMG’s Corporate Human Resources Department/Business Conduct Policy Hotline at (800) 964-4SMG, Select option 2  or 610-729-7900, select option 2. Any Supervisor receiving a complaint of sexual harassment must immediately contact the SMG Human Resources Department.

 

Complaints will be treated in a confidential manner to the highest extent possible. An investigation will be made immediately concerning the allegations. If the investigation leads to a determination that the allegations have merit, corrective action will be taken, up to and including immediate termination.

 

Managers and Supervisors, as representatives of the company, have an obligation to take all complaints or activities directed to their attention seriously. Whenever a Manager or a Supervisor observes or is made aware of a possible violation, that Manager or Supervisor must immediately contact the Human Resources Designee to initiate an investigation of the situation, and take action where appropriate. While it is important to maintain confidentiality wherever possible, the Human Resources Designee has a duty to investigate all incidents of possible sexual harassment regardless of whether the alleged perpetrator is an employee, a supervisor, or an outside customer or vendor.

This procedure has been established to allow employees the freedom of expressing their concerns. No employees need fear that he/she will be penalized for making use of this procedure.

How to Prevent Sexual Harassment

Ø  Understand what may constitute sexual harassment. Conduct yourself in a fashion that may not be construed as sexual harassment. Conduct yourself in a businesslike manner at all times;

Ø  Dress appropriately for your job;

Ø  Become acquainted with SMG’s policy and procedures for reporting sexual harassment.

ILLEGAL SUBSTANCES

SMG is committed to maintaining a work environment free of drug and alcohol abuse.

For the health and safety of every employee, the use, consumption, possession, distribution, dispensation or sale of illegal drugs or drug paraphernalia, the abuse of legally prescribed drugs and the unauthorized use or possession of alcohol or inhalants on SMG premises or while on SMG business elsewhere is strictly prohibited.

If you are taking a prescribed medication that may affect your ability to work or to work safely, you should immediately notify your Supervisor.  You also must submit a physician’s note identifying the medication and its possible side effects. SMG reserves the right to temporarily reassign or change your work assignment during the period that you are taking the prescribed drug.

Desks, lockers and other storage devices may be provided for the convenience of employees but remain the sole property of the facility and consequently can be inspected by any agent or representative of SMG.

SMOKING

SMG fully supports the desire for a smoke-free workplace.

In light of this support and for the health, safety and comfort of fellow employees and visitors, smoking is permitted only in designated areas. These areas may vary depending on location and lease agreements.

Employees utilizing designated smoking areas must ensure that job performance is not impacted by time taken for smoking breaks. Break times for smoking must not exceed regular break and lunch periods used by all employees.

Violation of this policy, except as permitted by this policy, will result in appropriate disciplinary action, which may include termination. Contact your Supervisor for details.

RESPECT IN THE WORKPLACE

It is SMG’s policy to maintain an environment free from behavior in speech or action that would be of a threatening, intimidating or discriminatory nature. The company believes that every employee has the right to work in an environment totally free of violence and ethnic, racial or sexual harassment. Such conduct does not advance the purposes of our company.

Reporting Threatening, Intimidating or Discriminatory Behavior

Any employee, who feels he/she is the subject of, or is exposed to, threatening, intimidating or discriminatory behavior has the right to have such activity reviewed and addressed immediately. Complaints can be made either to the employee’s immediate Supervisor, the employee’s facility Human Resources Designee, Director of Finance, General Manager, or then to SMG’s Corporate Human Resources Department/Business Conduct Policy Hotline at (800) 964-4SMG, select option 2 or 610-729-7900, select option 2.

Any Supervisor receiving a complaint of harassment must immediately contact the SMG Human Resources Department. Complaints will be treated in a confidential manner to the extent possible. An investigation will be made immediately concerning any allegations. If the investigation leads to a determination that the allegations have significant merit, corrective action will be taken, up to and including immediate termination.

ENVIRONMENTAL LAW COMPLIANCE

SMG’s policy is to comply with any applicable environmental laws in all countries in which SMG conducts its business.

SMG employees will at all times strive to conduct business operations in a manner that is protective of the natural environment and human health and safety.

SECURITIES

SMG’s policy is to comply with all applicable securities laws.

SMG employees who become aware of material, non-public information about suppliers, competitors, and others, should not use that information to trade in the securities of any public company.

This information could include, for example, SMG’s unannounced intention to award or receive a significant contract, enter into a new market, or acquire another business.

It is a violation of SMG’s Business Conduct Policy to use this information for personal gain or enrichment. Using such information to trade in the securities of any public company (whether it be a supplier, competitor, client or other company) violates securities laws as well as this Business Conduct Policy.

In addition, casual disclosure of such information without any intention to personally gain (including disclosure to other employees who do not have a need to know) is contrary to the best interests of SMG and should be avoided.

TRADE AND ANTITRUST LAW COMPLIANCE

SMG’s policy is to comply with all applicable trade and antitrust laws. SMG employees must avoid any action which would be a violation of the Trade and Antitrust Laws.

The following conduct is illegal under the United States antitrust laws and is prohibited by SMG worldwide, except as noted otherwise:

 (1) Price-fixing - Price-fixing includes oral, tacit, and implied agreements or understandings among competitors to adhere to certain prices. Almost any communication among competitors relating in any way to current or future prices may result in a price-fixing charge. Trade questionnaires and the like asking for information relating to prices should not be answered and all such questionnaires must be forwarded to SMG’s Counsel.

(2) Bid Rigging - Bid rigging involves any agreement to refrain from bidding, to bid at a certain price, or to submit a "protective" bid (a bid that is intentionally less favorable than a competitor’s bid).

(3) Territorial or Customer Allocation - This is any agreement among competitors, which contemplates or results in a division or allocation of customers or territories to be served.

(4) Agreements Refusing to Deal - These are any agreements among competitors to refuse to sell to or purchase from any person. If at any meeting among competitors, these subjects – pricing, bidding, territorial or customer allocation, or refusal to deal are mentioned in any form or manner, any SMG employee in attendance must leave the meeting immediately. The circumstances must be reported to SMG’s Counsel or to SMG’s President and CEO, so that proper corrective action can be taken.

Employees attending bidders’ conferences, trade conventions, trade association meetings, or any other meetings, where competitors are present need to be mindful that the conduct described above is prohibited as a violation of the United States Antitrust Laws. Laws outside the United States may differ, and SMG’s Counsel may grant exceptions to this policy. However, SMG’s policy is to comply with all such laws and to compete fairly in every jurisdiction.

COLLUSION

It is fundamental that SMG independently determine the pricing, commissions and other contractual terms offered to clients or prospective clients.

SMG’s business has been and is characterized by vigorous competition. SMG has thrived in this atmosphere and intends to continue its policy of competition for its own benefit.

In effecting this policy of vigorous competition and compliance with the trade and antitrust laws, it is fundamental that SMG independently determine the pricing, commissions, and other contractual terms offered to clients or prospective clients. Everyone is expected to adhere to these principles and to see that they are adhered to by individuals reporting to them.

Accordingly, prices, commissions, terms of bids and other contractual terms are not matters to be discussed with other companies in our business.

This policy applies worldwide, unless SMG’s Counsel grants an exception after considering the applicable laws and customs.

COPYRIGHT INFRINGEMENT AND SOFTWARE PIRACY

It is SMG’s policy to respect copyrights owned by others and to use copyrighted materials only as allowed by law or agreement.

It is SMG’s policy to use copyrighted software and its supporting documentation only as permitted by the license agreement for that software. No employee should make copies, resell or transfer software and it’s supporting documentation unless such is authorized by the license agreement for that software.

POLITICAL CONTRIBUTIONS

Any political contribution or expenditure by an SMG managed facility or the reimbursement of any employee for any such contribution or expenditure must comply with the following guidelines.

Because of the size and diversity of SMG, the complex law relating to corporate contributions, and the unfavorable inferences frequently arising from corporate political activity, it is against SMG policy:

Ø  For SMG managed facilities to make any political contributions or expenditures;

Ø  To encourage employees to make political contributions or expenditures;

Ø  To reimburse an employee for any such contributions or expenditures; or

Ø  To make payments to trade associations or their political action committees where payments will be used for political purposes.

Contributions and expenditures are not limited to cash contributions to candidates or committees. They also include such things as purchase of tickets to political dinners; advertisements on behalf of candidates; donating of corporate property, services or personnel; and expenditures to the media intended to affect individual decisions.

 Exceptions to SMG’s prohibition against company political contributions may be in connection with:

Ø  "Non-partisan" bond or other referendum issues;

Ø  Legitimate lobbying efforts by trade groups of which SMG is a member; or

Ø  Contributions approved in writing by SMG’s President & CEO

FOREIGN CORRUPT PRACTICES ACT (FCPA)

It is SMG’s policy to comply with the FCPA in the U.S. and in every jurisdiction in which we operate.

The FCPA’s basic anti-bribery provision makes it unlawful to pay or to offer any money, gift or item of value to any foreign official for the purpose of influencing any act or decisions made in his/her official capacity. The Act is very broadly construed to cover almost any payment or gift to a foreign official.

There is an exception for so-called "facilitating payments" (payments to obtain such items as licenses, permits, or police protection), but this exception is very narrowly construed and should not be relied upon without consulting SMG’s Counsel.

It is SMG’s policy to follow both the literal terms of the FCPA and the spirit behind the law: any payment or gift to a foreign official for any reason is a violation of the Business Conduct Policy, unless SMG’s Counsel has reviewed and approved the gift or payment.

The FCPA by its terms is limited to payments to government officials. However, SMG’s policy goes further and prohibits any similar questionable payment to anyone.

Accordingly, no employee of SMG may enter into any agreement or arrangement involving commissions, rebates, bribes, kickbacks or other transactions when the employee knows or suspects that the probable result is to improperly reward anyone in connection with existing business or prospective business, whether or not that individual is a government official.

GIFTS

SMG employees must have high ethical standards of behavior in dealing with clients, prospects and suppliers. It is SMG’s policy that gifts to employees of clients, prospects or suppliers are generally restricted to a value of $50* per year. ("Value" means SMG’s cost – not the retail value.) Further, SMG has adopted a more restrictive policy with respect to government and union employees, which prohibits any gift other than a nominal holiday remembrance. All gifts must conform to the policy set forth in the SMG Personnel Policy Manual.

* Note: Currency amounts in this Business Conduct Policy are expressed in U.S. Dollars. The amounts that apply in other countries would be equivalent based on current exchange rates.

Gifts to Employees of Clients, Prospects or Suppliers

Gifts to clients, prospects or suppliers are limited to a value of $50 per year. If a gift in excess of $50 is proposed, prior approval must be obtained from an SMG Operating Vice President. Please note that gifts valued at more than $50 are strongly discouraged.

All gifts must meet the following criteria:

Ø  Cash, stocks, bonds, or similar types of items must not be given regardless of amount;

Ø  Gifts must be in accordance with normally accepted business practices and comply with the policies of the organization employing the recipient;

Ø  Gifts must be legal and in accordance with generally acceptable ethical practices in all governing jurisdictions;

Ø  Public disclosure of all facts would not be embarrassing to SMG. Please note that under current U.S. tax law, the company’s deductibility of gifts to employees of clients, prospects or suppliers is limited to $25 per year per individual. Gifts in excess of that amount must be separately listed and sent to SMG’s Corporate Finance Department so that the necessary information will be available for inclusion in SMG’s tax returns.  Specific tax law would apply outside the United States.

Gifts to Government and Union Employees 

As a practical matter, it is difficult to clearly establish that a particular gift was given without intent to influence. Therefore, to avoid any question of impropriety, SMG has adopted a policy of discouraging gifts to government employees, agents or officials, and union employees.

United States federal law prohibits the offer, promise or gift of anything of value to an employee, agent, or official of the federal government or to a union employee, if made with the intent to influence such individual within his/her area of responsibility. A number of U.S. state and local government bodies, as well as other governments, have similar statutes or regulations.

If, however, a gift is still considered appropriate the following policies must be adhered to:

Ø  No offer, promise or gift of anything other than a nominal holiday remembrance may be made to any employee, agent or official of the federal government, or union employee, or to an employee of a government performing "traditional" government functions.

Ø  "Traditional" government functions include regulatory activities, tax collection, law enforcement, health and safety inspection, liquor control, and similar functions.  A nominal holiday remembrance means holiday cards, boxes of candy, and items of similar value. Cash gifts of even nominal value are prohibited.

Ø  Where a client or a prospect is a state or local government entity performing "other than traditional" governmental functions, a gift not to exceed a value of $50 may be made to an employee of such entity, but only after receiving clearance of the Operating Vice President so that the applicable laws governing such gifts can be examined. The Operating Vice President must be assured that the government entity does not have a policy prohibiting the proposed gift.

Ø  Examples of state or local government entities performing "other than traditional" governmental functions are educational institutions, hospitals and airport commissions.

Ø  A gift to a person employed directly or indirectly by a foreign government is limited to a nominal holiday remembrance unless SMG’s Counsel grants an exception.

Gifts to Clients

SMG’s policy does not prohibit a gift to a client, as distinguished from a gift to an employee of the client. For example, a gift of $1,000* to a university account to be used for educational purposes is not in violation of the Business Conduct Policy but must be approved in advance by an SMG Operating Vice President. However, an SMG Operating Vice President must approve gifts to U.S. health care providers, such as hospitals, in order to ensure compliance with appropriate laws, including Medicare and Medicaid laws.

Gifts Received by SMG Employees

Gifts from any single supplier or client to an SMG employee for a personal remembrance (i.e., condolence flowers, gifts for the birth of a child) may not total more than $50 in any year. Gifts from any single supplier or client to an SMG employee in recognition of exemplary job performance is not permitted under any circumstance. If the return of either type of previously discussed gift could be detrimental to SMG’s interests, an SMG Operating Vice President should be immediately consulted for a decision as to the proper course of action. Acceptance of gifts outside this policy at the management level could lead to a conflict of interest or the appearance of a conflict of interest.

ENTERTAINMENT

SMG employees must have high ethical standards with respect to entertaining clients, prospects and suppliers. The cost and nature of the entertainment should be planned and carried out in a way which appropriately and reasonably furthers the conduct of SMG’s business.

The form of entertainment should be compatible with what an individual would normally spend on himself/herself, or which the individual would be comfortable with if his/her business associates, friends and family were to become aware of it, or if he/she were to read an accurate account of it in the newspapers.

 

SMG strongly discourages entertainment of government and union employees. If, however, entertainment of government or union employees is considered appropriate in a specific case, the following policy must be adhered to:

Ø  Entertainment of an employee, agent or official of a national, state or local government entity performing "traditional" governmental functions or a union employee, is limited to routine lunches or dinners occurring during the course of regular business. Additionally, such entertainment must not violate the policy of the government or union involved. (Refer to the policy on "Gifts" for examples of "traditional" and "other than traditional" government functions.)

Ø  Entertainment of an employee of a national, state or local government entity performing "other than traditional" government functions may be provided as allowed in this policy for clients, but only to the extent this is not a violation of the policy of the particular government involved. An SMG representative must be present at all such entertainment activities.

Ø  Entertainment of an employee of a corporation or other entity only partly owned or sponsored by a non-United States government is permitted to the extent that this does not violate the rules and local laws applicable to the entity.

 

 

 

 

 

The foregoing rules do not prohibit SMG employees from transporting employees of clients and prospective clients, including non-elected government officials, to comparable SMG locations as part of the normal sales effort at the expense of SMG.

 

However, entertainment of a government employee at an SMG facility solely for good-will purposes must be approved in advance by an SMG Operating Vice President. Even if approved, such entertainment may not include a lavish expense. Any question as to whether an entertainment activity for a government employee involves a lavish expenditure should be referred to an SMG Operating Vice President for review.

 

Similar guidelines reflect SMG’s policy with respect to entertainment provided to SMG employees from suppliers or clients. SMG employees may not accept social invitations from clients or suppliers where "excessive" costs to a host would appear to be involved. Any employee accepting entertainment should carefully adhere to a reasonable and customary code of business behavior.

 

The above entertainment guidelines apply worldwide, unless and until an exception is granted by an SMG Operating Vice President. Please refer to the following examples of applications of SMG’s Gifts and Entertainment Policy:

 

 Examples: Gifts and Entertainment Policy The following are examples of situations that relate to the Gifts and Entertainment policies.

 

 Example: Tickets to Sporting Events An SMG employee wishes to take an employee of a client, prospect or supplier to an athletic or similar event, or to provide tickets to such events. In one instance, the SMG employee will attend the event, and in the other instance, the SMG employee will not attend the event.

 

 Analysis: Such tickets are generally considered to be entertainment(i.e., permitted so long as it does not involve a "lavish" expenditure). Where this involves an employee of a state or local government performing "other than traditional" governmental function, an SMG representative must be present for the activity to be treated as entertainment. If an SMG representative is not present, providing tickets to such an event will be treated as a gift (i.e., subject to the $50 annual limit on gifts). Specific Entertainment guidelines are outlined in the SMG Travel, Entertainment and Expense Reporting Policy for Field Personnel.

 

 Analysis: It was determined that the individual may not receive a gift valued at more than $50* unless approval is obtained from an SMG Operating Vice President.

 

The Business Conduct Policy relating to gifts applies to all employees of clients and the fact that the gift is motivated for reasons independent of his/her employee status does not change that fact.

 

 

 

 

 

 

 

 

 

TRAVEL & ENTERTAINMENT POLICY HIGHLIGHTS

Reimbursement of Travel, Entertainment and Business Expenses Incurred

SMG will reimburse employees for all necessary and reasonable expenses incurred by employees performing business activities for the Company. Such expenses should fall within applicable Company guidelines and should be properly approved and reported with adequate information documenting the business purpose.  SMG will reimburse employees for all legitimate business expenses incurred; however, any unnecessary or excessive expenditure will not be reimbursed.  

 

General Provisions

a)       Charge Cards

a.       SMG employees who regularly incur business related expenses may choose to apply for a corporate charge card if approved by the General Manager. The corporate card account uses an individual billing system where by the employee is required make payments directly to the card issuer. The employee is completely responsible for timely payment of these card charges.  SMG has absolutely no responsibility with regard to any employee’s account balance or related delinquency charges.  The annual fee for this account is billed directly to SMG by the card issuer.

b.       All business travel expenses, for which the provider will accept credit cards, are to be for paid by using the corporate charge card or personal credit card, if a corporate card has not been issued.

c.       The corporate card shall only be used for legitimate business purposes of the company, and shall not be used to obtain credit for personal, family or household purposes.

 

2.Designated Travel Agencies

Designated travel agency services should be used by all employees in order to ensure quality of travel and control of travel costs. All employees are required to use the Facility’s designated travel agent for air travel, hotel reservations and car rentals unless preferred rates or trade deals prevail.

 

3.Expense Report Forms

All expense reports must conform to this policy with respect to content.

 

4.Responsibility For Administration of Policy

The Chief Financial Officer of SMG is responsible for the implementation and on-going administration of this policy. All questions concerning policy matter should be directed to the Chief Financial Officer.

 

 

 

 

 

 

 

 

 

 

 

 

 

Certification and Approval Policy

 

1.Requirements for Reimbursement An expense report will be honored for pay when it has been reviewed, approved, and signed by the employee’s immediate supervisor, and such others as may be required by senior management.

2. Authority for Approval

 Approval for the General Manager is the Regional Vice President. Approval for all other facility personnel is the General Manager, Department Head and Director of Finance.

3. Certification By Employee

 All employees are required to certify and sign their expense reports verifying that they have incurred the expenses set forth on the report on behalf of the company, they are reasonable and that they are directly related to the conduct of SMG business. Purposeful or negligent violations of the reporting and documentation requirements shall be the basis for disciplinary action (which may include termination). Intentional misrepresentation is a violation of the SMG Business Conduct Policy.

 4. Responsibilities of Approvers

Prior to approving the expense report, the approver is responsible to ensure that all expenditures are business related, that the amounts are not excessive and that detailed explanations have been included, where required.

 

Entertainment Expense Policy

 

1.General Guidelines on Permissible Entertainment

a. The reasonable cost of entertaining clients, prospective clients, and applicants will be reimbursed provided it is “directly related to the active conduct of business”, or it is “associated with the active conduct of business”, a company representative is present and provided it is properly reported and substantiated. Lavish or extravagant expenditures will not be allowed.

 

 b. Entertainment of government client and prospects. No entertainment of a government employee, agent, or official will be provided except routine meals occurring during the conduct of regular business, and then only to the extent this does not violate the policy of the particular government agency involved.

 

 c. Expenses of entertaining the spouses of clients or prospective clients are allowable when related to or associated with the conduct of business.

 

 d. Reporting of Entertainment Expense – A detailed explanation of allowable entertainment shall be set forth on the expense report. This explanation shall include:

Ø  Date and place of entertainment

Ø  Name and business affiliation of persons entertained

Ø  Description of the entertainment and business purpose

 

 

 

 

 

 

Payroll / Cash Advances Policy

 

Payroll and/or cash advances are strictly prohibited.  Any involvement in a violation of this nature is a direct violation of the Business Conduct Policy and will be considered grounds for immediate dismissal.   

 

Please refer to SMG’s full Travel & Entertainment Policy for a complete understanding of this important company policy, its restrictions and its limitations.  It is your responsibility to ensure that you are familiar and compliant with this policy.    

 

ACCURATE BOOKS AND REPORTING

No unrecorded fund or asset or other improper accounts of SMG shall be established or maintained for any reason.

 

No false or artificial entries in SMG’s books or records will be made by anyone or at anyone’s direction for any reason.

 

All reporting of information, including, but not limited to, expense reports, accounts payable, cash releases, event settlement, client billing data, payroll data, etc., must be accurate, honest and timely and should be a fair representation of the facts.

 

No transaction or payment will be made on SMG’s behalf with the intention or understanding that the transaction or payment is other than as described in the documentation evidencing the transaction or supporting the payment.

 

If an employee believes any such fund, asset, entry, transaction or payment might exist, full disclosure must be made to the Vice President of Facility Accounting, Vice President of Corporate Accounting or Internal Audit Department so that appropriate action can be taken.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CONFLICTS OF INTEREST

It is essential that all SMG employees avoid any situation or interest which might interfere with their judgment concerning their responsibilities to SMG and the related municipality.

 

A conflict of interest exists if an SMG employee or an immediate family member is in a position where he/she may derive a personal benefit from a company transaction, or when his/her judgment may be influenced because of a financial or other relationship with a client or supplier.

 

 Conflicts of interest can arise, for example, where employees:

Ø  Have a financial interest, which could affect their personal judgment;

Ø  Gain personal enrichment through access to confidential information; or

Ø  Misuse their position at SMG in a way, which results in personal gain. A conflict of interest can also arise when an employee has a personal interest, direct or indirect, in any supplier or customer of SMG. An indirect interest would arise if an employee’s immediate family member has an interest in a supplier or customer of SMG.

 

A conflict of interest does not necessarily imply anything improper. It is, simply, a situation in which an SMG employee is or may be under conflicting pressures: the pressure to do what is best for SMG on the one hand and the pressure to do what is best for himself/herself, or an immediate family member or partner on the other hand.

 

SMG has determined that once an employee becomes involved in such a situation, he/she often does a disservice to himself/herself in benefit to SMG, and, occasionally, an employee does a disservice to SMG in order to benefit himself/herself. In order to evaluate whether an employee is or may be subject to such conflicting pressures, the Business Conduct Policy requires that the employee disclose both actual and potential situations that may give rise to such a problem.

 

If an employee thinks he/she may have a conflict of interest, or is aware of potential conflicts of interest others may have, the potential conflict must be disclosed to SMG’s Counsel. A determination will then be made as to whether the interest should be divested or if any other action is appropriate.

 

An employee or his/her immediate family member may, however, acquire and hold up to two percent (2%) of the outstanding stock of a corporation which is an SMG supplier or client or which engages in any business in which SMG is engaged, if the stock is available to the general public on a registered securities exchange market.

 

 

 

 

 

 

 

 

 

 

 

 

 

RELATED PARTY

Related parties are those parties who do not deal with one another at arm’s length. A related party transaction is any situation in which an SMG employee is involved in his/her SMG capacity on the one side and there is a "related party" on the other side. SMG employees should avoid such transactions.

 

Related parties include:

Ø  An organization of which an SMG employee is an officer, director, or partner;

Ø  An organization of which an SMG employee is the beneficial owner of ten percent (10%) or more of any class of securities;

Ø   Any trust in which an SMG employee has a substantial interest, or serves as trustee or in a similar fiduciary capacity; or

Ø  Any relative of an SMG employee who may significantly influence or be influenced by a business transaction with an organization of which he/she is an officer, director or partner.

 

Generally, SMG should not be involved in a related party transaction because it creates similar conflicting pressures as those found in general conflict of interest situations. If any employee believes such a transaction exists or might occur, full disclosure must be made to SMG’s Counsel. SMG’s Counsel, acting with advice from Senior Management, will decide whether an exception to the policy may be made.

 

Please refer to the following examples to determine whether or not there is a conflict of interest or related party situation. If there is any doubt, ask for advice.

 

 Examples: Conflict of Interest & Related Party Transactions

The following are examples of conflict of interest and related party situations. If you are involved in or aware of a potential conflict of interest or a related party transaction, you must disclose all of the relevant facts to your Supervisor, SMG’s Counsel’s Office, or to Internal Audit so that a determination can be made.

 

 Example 1: An SMG employee’s spouse purchases an office supply business which can supply paper, stationery and office equipment to an SMG facility in which the SMG employee works. The SMG employee does not make the purchasing decisions directly, but does have influence on the purchasing decisions.

 Analysis: Although there is nothing improper in the spouse’s ownership of an office supply store, SMG should not make purchases from it because this would create a conflict of interest. Conflicting pressures may be placed on the employee. On the one hand, potential sales to SMG may be in the best interest of the office supply store. On the other hand, SMG’s interest may or may not be best served by purchasing from this particular office supply store.

 

If purchases were actually made from the office supply store, numerous questions would arise. At what price should the items be purchased? How should return of substandard items be handled? How much of each item should be ordered? What should the payment terms be? The conflict of interest cannot be avoided simply by selling to SMG at a fair or favorable price.

 

The conflict is inherent in the situation because of the spouse’s interest in the office supply store. How could the store establish that all the prices charged are fair? How often would the price have to be monitored? Who would pay the costs of such monitoring? There is no practical way to be sure that the situation will remain trouble free if SMG were to make such purchases.

 Example 2:

An Operations Manager employed by an SMG managed facility purchases an equipment rental business together with an SMG client liaison. The business does not rent to SMG and is not competitive with SMG.

 

 Analysis: Here again, the problem is one of conflicting pressures. For example, if the front line Manager must negotiate price relief or an extension of the SMG operating contract term, the Manager will be under conflicting pressures when dealing with the client liaison/partner. On the one hand, the Manager must represent SMG and get the maximum relief possible and perhaps even terminate the contract; on the other hand, tough negotiations may adversely affect the Manager’s relationship with the liaison/partner, thereby, perhaps, adversely affecting the joint personal investment.

 

 

OUTSIDE EMPLOYMENT

An SMG employee’s outside activity should not conflict with his/her SMG duties.

 

SMG employees should not engage in outside employment or activity which would conflict with SMG’s interests or which would reduce the efficiency of the employee performing his/her SMG duties.

 

 

EMPLOYMENT OF FAMILY MEMBERS

Family members and/or co-habitants of employees may not be employed in the same department or have a reporting relationship. 

 

For the purpose of this policy, immediate family member’s include but is not limited to: mother, father, sister, brother, daughter, son, husband, wife, co-habitant, grandfather, grandmother, mother-in-law, father-in-law, brother-in-law, sister-in-law, aunt, uncle, niece, or nephew. The company reserves the right to extend the scope of this policy to other family members at its discretion, or to reassign or release an employee, if employment of a family member creates a conflict of interest.

 

A relative or co-habitant of an employee will not be given work assignments that require one to directly or indirectly manage, supervise or review the performance of the other. Nor will SMG permit one to work in the same department or have access to the personnel and other sensitive and confidential records of the other.

 

Employees who marry while employed by the company will be required to change departments and/or positions if, after the marriage, the employees are employed in the same department or have a reporting relationship. If the marriage creates a conflict of interest and a voluntary resolution cannot be arranged, SMG reserves the right to reassign or release one of the employees. The decision will be based on seniority and/or business necessity.

FINDER’S FEES

Payment of finder’s fees is prohibited without the written approval of the President and CEO.

 

A finder is any person (other than a bona fide employee of SMG or business broker in corporate acquisitions or divestitures) who receives compensation for soliciting, securing or retaining business for SMG. While the use of finders can be an acceptable way of obtaining business, there is a risk in rare cases where the finder has acted improperly in order to influence a client’s or potential client’s decision.

 

Payment of finder’s fees is prohibited without the written approval of the President and CEO. All agreements with finders must be in writing. Questions regarding this issue should be directed to SMG’s Human Resources Department or the Internal Audit Department.

 

The factors which will be considered with respect to whether or not payment of finder’s fees will be permitted, including:

Ø  Disclosure that a finder’s fee is being paid, (i.e., the fee is known to the prospect);

Ø  The size of the payment should be proportionate to the services rendered by the finder, taking into consideration the result achieved;

Ø   Payment should not be excessive when compared with salaries, commissions and bonuses paid to SMG employees for securing similar accounts;

Ø  The background of the finder and the relationship of the finder to the prospect is extremely important;

Ø  The status of the client or prospective client is also important (i.e., is the client a public or privately held company);

Ø  When the government is the potential client, there must be strict compliance with government regulations regarding payment of contingent fees. In all national government bidding and in most state and local government bidding, the payment of contingent or finder’s fees is prohibited; and

Ø   Checks must be properly vouchered and never made payable to cash. Accounting for such payment must be accurate in all respects.

EXTERNAL MEETINGS, CONFERENCES AND SEMINARS

SMG encourages the professional development of employees through attendance and participation in approved meetings, conferences and/or seminars which are directly related to the company’s operations, activities and objectives, which will place employees in a position to improve their job performance. This policy covers meetings, conferences and seminars, which are conducted or sponsored by colleges, universities and other professional training associations.

 

An employee or recommending supervisor shall prepare an “Application for Enrollment - Company-Sponsored Training" which may be obtained from the Human Resources Department or H.R. Designee. Supervisor, Department Head and Corporate Human Resources Department or GM approvals are required. A copy of the approved application will be forwarded for inclusion in the employee’s personnel file.

 

This policy provides for payment in full by the company of registration fees, meals, travel and other expenses incurred by the employees attending approved meetings or seminars.

 

Following participation in a company-approved meeting/seminar, all employees shall complete a "Course Record and Evaluation" form. A completed copy of this form shall be submitted to the supervisor for review and forwarded for inclusion in the personnel file.

 

RULES OF CONDUCT

 For the best interest of all and for the efficient operation of our business, certain rules of conduct are necessary. In setting forth such rules, it is not the company's intention to limit unnecessarily the initiative or the freedom of action of any employee, but rather, to give guidelines by which an employee must govern himself/herself on a day-to-day basis. The following types of conduct are not permitted and will result in disciplinary action ranging from reprimand to discharge. These rules may be supplemented from time to time as the need arises.

 

Certain violations of company regulations are so serious that they may call for immediate discharge or other appropriate action. Such actions include, but are not limited to:

 

Ø  Misrepresenting or withholding information on the employment application;

Ø  Falsify any company accounts, reports or records, or willfully give false information for any company accounts, reports or records;

Ø  Punching someone else's time card. Permitting someone else to punch your time card;

Ø  Willfully destroy, damage, steal or conceal company property or the property of the promoters, exhibitors, contractors, facility owners or other employees;

Ø  Without prior written authorization, remove from company premises or disclose in any manner, any records, files, customer lists or other items belonging to the company;

Ø  Be convicted of a criminal offense, other than a summary offense;

Ø   Engage in fighting or in disorderly conduct anywhere on company time, or on company property at any time;

Ø  Possess or use weapons of any kind anywhere on company time or on company property at any time, unless specifically authorized by the company;

Ø  Threaten, intimidate, coerce or interfere with the work of another employee;

Ø   Unlawful Discrimination;

Ø  Report to work under the influence of or be under the influence of alcohol on company property or anywhere on company time;

Ø   Possess, dispense or use a legal or illegal drug on company property except in accordance with medical authorization;

Ø  Disregard of safety rules or of the common safety and sanitary practices;

Ø  Engage in any act, including practical jokes or "horse play" which might result in injury and/or danger to another person and/or property, anywhere on company time or on company property at any time;

Ø  Failure to report injuries, no matter how slight;

Ø  Willfully performing any act, which causes insurance to be cancelled or rates to be increased;

Ø  Excessive absenteeism, lateness, or time away from work station;

Ø  Unexcused absences from the work location;

Ø   Sleeping during working hours;

Ø  Gambling;

Ø  Perform work of an inferior quality either willfully or negligently;

Ø  Insubordination or refusal to follow instructions or to perform designated work;

Ø  Attempt to bribe or use other improper influence to gain a promotion, raise or other benefit;

Ø  Use one's position to gain favorable treatment or self enhancement unless such occurs as a result of a primary effort to benefit the company, its customers and the public;

Ø  Use Company telephones excessively or use company telephones for long-distance calls without the express consent of the Department Head;

Ø  Accept gifts, gratuities or favors from any person or organization doing business or seeking to do business with the company if, under the circumstances, there is any potential that it could be reasonably inferred that these remunerations would tend to influence an individual's judgment;

Ø  Use one's employee privilege of obtaining tickets to procure tickets for any person or entity, even if such tickets are paid for, if the procurement of such tickets would personally benefit or appear to benefit the employee procuring such tickets;

Ø  Use the company computer network, including the electronic mail system, as well as other information systems, in a manner that may be disruptive, offensive to others, in violation of SMG's harassment policies or in a manner that is harmful to company morale;

Ø   Use the company computer network to access non-business related, obscene or offensive sites;

Ø   Improper disclosure of trade secrets;

Ø  Failing to cooperate with any investigation;

Ø  Violation of illegal substances/substance abuse policy;

Ø  Violation of smoking policy;

Ø  Violation of any policy which the employee had notice;

Ø  Failure to adhere to SMG's Human Resources Policy and Procedure Manual.

 

The foregoing list of rules is not all-inclusive and should not be construed as a limitation on management's rights to counsel and/or to discipline any employee. Like all other policies, these work rules are guidelines and do not create a contract of employment for any specific amount of time. As always, you have the right to terminate your employment at any time, with or without reason, and the company maintains the same right.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DISCLOSURE

Compliance with SMG’s Business Conduct Policy is required of all employees. In addition, disclosure of known or suspected violations is also required.

 

Employees to whom this guide is distributed will be required to certify that he/she reviewed this guide and are complying with all SMG’s policies regarding business conduct. From time to time, these employees will be required to certify that they have recently reviewed the guide and are continuing to comply. Compliance is required of all employees. In addition, disclosure of suspected violations is required.

 

The SMG Corporate Human Resources Department is available at any time to respond to questions concerning whether various practices or conduct comply with the Policy.

 

Employees who report Business Conduct Policy violations do so without risk of retribution. The appropriate contact information is listed on page 28.

 

Employees who fail to disclose reportable matters, who fail to cooperate with an investigation of a possible violation, who knowingly make a false report, or who fail to comply with SMG’s policies will be subject to disciplinary action, including termination and appropriate legal action.

 

Such disclosure and compliance are required of all employees.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

WHERE TO CALL WITH QUESTIONS OR CONCERNS

The following persons are available to respond to questions about whether or not a practice complies with the Business Conduct Policy. Questions or reporting of possible violations may be directed, anonymously if you wish, to:

 

SMG’s Business Policy Hotline at (800) 964-4SMG, select option 2 or  610-729-7900, select option 2.  

 

SMG’s Senior Vice President of Human Resources,

Shauna Elvin at (610)729-7919.

 

SMG’s Corporate Counsel,

Bruce Hanson at 610-729-6193

 

Written communication is also encouraged. Letters may be addressed to the attention of any of the above mentioned corporate representatives at SMG Corporate Headquarters, 300 Conshohocken State Road, Suite 450, West Conshohocken, PA 19428.

 

If an employee incurs expenses when dialing  SMG’s Business Conduct Policy Hotline please submit a written request for reimbursement and mail directly to SMG Corporate Headquarters, 300 Conshohocken State Road, Suite 450, West Conshohocken, PA 19428.

 

SMG End User Computing Policy

SMG provides employees with access to multiple forms of electronic media and services, including but not limited to computers, e-mail, company intranet, Internet, external electronic bulletin boards, online services, wire services, telephones, voicemail, fax machines, and the World Wide Web.  The purpose of this policy is to establish acceptable and unacceptable use of such electronic media and network resources at SMG and its managed facilities in conjunction with its established culture of ethical and lawful behavior, trust, and integrity.

SMG provides computer devices, networks, and other electronic information systems to meet company goals and initiatives and must manage them responsibly to maintain the confidentiality, integrity, and availability of its information assets. This policy requires that employees comply with company policies and protect the company against damaging legal issues.

SMG encourages the use of electronic media and associated services because they can improve the efficiency and effectiveness of communications and because they are valuable sources of information about vendors, customers, technology, and new products and services. However, all employees and everyone connected with the organization should remember that electronic media and services provided by the company along with the information stored on them are company property and their purpose is to facilitate and support company business. All computer users have the responsibility to use these resources in a professional, ethical, and lawful manner. 

To ensure that all employees are responsible, the following policies and guidelines have been established for using SMG's electronic media, services and resources.  No policy can lay down rules to cover every possible situation. Instead, this document is designed to express SMG philosophy and set forth general principles when using electronic media, services and resources.

Access to Employee Communications and Equipment

For security, compliance, and maintenance purposes, authorized personnel may, at any time and without notice, monitor and audit equipment, systems, system usage and network traffic.

SMG reserves the right, at its discretion, to review any employee's electronic files, messages, email and usage history to the extent necessary to ensure electronic media and services are being used in compliance with the law, in compliance with this policy and in compliance with other company policies.  All files, email, voicemail and other media are SMG property and SMG reserves the right to access and review employee files, email, voicemail and other media at any time without prior notice.

Employees should not assume electronic communications are completely private. Accordingly, when transmitting sensitive information, other means should be considered and employed as the individual situation warrants.

 

 

 

Ownership of Equipment and Data

All hardware and software provided to employees by SMG remains the sole property of SMG.  All data and information residing on or created with SMG equipment is SMG property.  SMG reserves the right to access any personal devices on which company data and information is or has been stored.  Each employee agrees to grant SMG’s representatives access to any such personal devices promptly if requested.

Employees are responsible for ensuring the protection of assigned SMG assets.  Any theft or loss of SMG assets including but not limited to laptops and cell phones must be reported to the IT Department within 24 hours.  SMG may, at its discretion, hold employees personally responsible for the cost of lost equipment.  

Employees must remain vigilant when handling company information and files.  Any accidental deletion of files must be reported to the IT department immediately upon discovery or realization of the problem so that recovery efforts can commence.  

All portable equipment such as but not limited to notebook computers and smart phones must be secured with a password for access.  Smart phones that are not secured with an access password grant easy access to email and other company information if they are lost or stolen.

Extreme care must be taken with portable media such as CDs and Flash Drives.  SMG may, at its discretion, hold employees personally responsible for any loss or unintended consequence resulting from information being lost or leaked as a result of careless or deliberately inappropriate use of portable media or equipment.

Prohibited Communications

Electronic media, services and resources may not be used for transmitting, retrieving, or storing any communication that is: 

Ø  Discriminatory or harassing;

Ø  Derogatory or offensive to any individual or group;

Ø  Obscene, sexually explicit or pornographic;

Ø   Defamatory or threatening;

Ø  In violation of any license governing the use of software;

Ø  Engaged in for any purpose that is illegal; or

Ø   Contrary to any SMG policy or business interest.

Any employee with knowledge of a violation of this policy must immediately report the violation to the Human Resources department.

Appropriate Use of Resources

SMG provides its employees with computers, electronic media and services to assist them in the performance of their jobs.  Use of this equipment must be done in a manner that neither negatively affects the systems' use for its business purpose nor negatively affects or impacts the performance of the employee’s job responsibilities or the performance of any other employee’s job responsibilities.  Each employee’s supervisor is responsible for identifying whether job performance is affected by abuse of this policy

Employees are required to exercise good judgment regarding appropriate use of SMG resources in accordance with all SMG policies, standards, and guidelines. SMG resources may not be used for any unlawful or prohibited purpose.

Blogging and Social Networking Policy

It is the responsibility of the company to protect itself from unauthorized disclosure of information. This policy is intended to provide our employees with guidelines established to address company-authorized social networking and personal social networking. While the company respects an employee’s privacy, conduct that has or has the potential to have a negative effect on the company might be subjected to disciplinary action up to and including termination, even if the conduct occurs off the property or not on company time.

These guidelines are referring to all forms of social media technology, including but not limited to: blogs; wikis; RSS feeds; social networking sites such as but not limited to Facebook, LinkedIn, Friendster or MySpace; video and photo sharing websites such as YouTube; microblogs such as Twitter, chat rooms, personal blogs or other similar forms of online journals, diaries or personal newsletters affiliated and/or not affiliated with SMG.

Authorized Social Networking

The goal of authorized social networking and blogging is to become a part of the industry conversation and promote web-based sharing of ideas and exchange of information.  Authorized social networking and blogging is used to convey information about company events and services, promote and raise awareness of the SMG brand, search for potential new markets, communicate with the public and issue or respond to breaking news.

When social networking, blogging or using other forms of web-based forums, SMG must ensure that use of these communications maintains our brand identity, integrity and reputation while minimizing any types of risk.

Facilities should designate authorized employees who can prepare and modify content for SMG’s blogs and/or company social networking entries.

Each facility is responsible for ensuring all blogging and social networking information complies with SMG’s policies. SMG reserves the right to remove any content that does not meet the rules and guidelines of this policy or that may be illegal or offensive. Removal of such content will be done without permission of the blogger or advance warning. SMG also reserves the right to take legal action against any persons who engage in prohibited or unlawful conduct.

Non-Authorized Social Networking

Employees should not use employer-owned equipment, including computers, company cell phones, company-licensed software or other electronic equipment for non-authorized social media technology. Nor should employees use our facilities and/or company time to conduct personal blogging or social networking activities.

Employees are not permitted to post on personal blogs or other sites the name, trademark or logo of SMG or of SMG’s vendors or clients. Employees should also be certain not to post company privileged data, including but not limited to: copyrighted information or company-issued documents. Employees may not publicly discuss clients, vendors, patrons, co-workers, former co- workers and/or any work-related matters, whether confidential or not, outside of company-authorized communications. Employees are expected to protect the privacy of SMG and its employees, former employees, clients and vendors and are prohibited from disclosing personal information, proprietary information and/or nonpublic information to which employees may have access.

SMG respects the right of employees to write blogs and use social networking sites and does not want to discourage employees from self-publishing and self-expression. However, employees are expected to follow the guidelines and policies set forth to provide a clear line between you as the individual and you as the employee. SMG does not discriminate against employees who use this type of media for personal interests and affiliations or other lawful purposes.

If you choose to identify yourself as a SMG employee, please understand that some readers may view you as a spokesperson for SMG. Because of this possibility, we ask that you state that your views expressed in your blog or social networking area are your own and not those of the company, nor of any person or organization affiliated or doing business with SMG.

Employees cannot use blogs or social networking sites to harass, threaten, discriminate or disparage against employees, vendors, clients and/or anyone associated with or doing business with SMG.

Bloggers and commenters are personally responsible for their commentary on blogs and social networking sites. Bloggers and commenters may be held personally liable for commentary that is considered defamatory, obscene, proprietary or libelous by any offended party.

Discipline for Violations

Violations of SMG’s social networking policy may result in disciplinary action up to and including immediate termination even if the conduct occurs outside of company time, off company property and/or not on employer owned equipment.

SMG reserves the right to take legal action where necessary against employees who engage in prohibited or unlawful conduct.

Employer Monitoring

Employees are cautioned that they should have no expectation of privacy while using the internet.  Employee postings can be reviewed by anyone, including SMG. SMG reserves the right to monitor comments or discussions about the company, its employees, clients and the industry, posted on the internet.

If you have any questions relating to this policy please see your manager and/or your local Human Resources department

Data Security and Network Integrity

Employees are responsible for the security of data, accounts, and systems to which they have access.  Account information and passwords must be kept secure and should not be shared with anyone.  Passwords must be at least six characters in length and must contain at least one number and one letter. It is SMG policy for all users to change their passwords at least every 90 days.  In the rare occasion where an employee must reveal their password to another employee (eg, IT Support; while on vacation and supervisor needs access; etc.) it is the responsibility and obligation of the employee to request a password change.  

Any theft or loss of SMG asset(s) including but not limited to notebook computers and cell phones must be reported to the IT Department within 24 hours.  Equipment falling into the wrong hands presents an opportunity for unauthorized access to SMG data, accounts, and systems.  

All portable equipment such as but not limited to notebook computers and smart phones must be secured with a password for access.  Smart phones that are not secured with an access password grant easy access to email and other company information if they are lost or stolen.

Personally identifying information such as Social Security Numbers, credit card numbers, addresses, etc must not be stored on portable devices such as notebooks, portable hard drives, flash drives, etc.  If such information must be sent, the file must be properly encrypted. Employees needing to engage in this type of file transfer should consult with the IT department to ensure compliance.

Employees must respect the confidentiality and privacy of other individuals' electronic communications.  Except in cases where explicit authorization has been granted by company management, or in conjunction with the monitoring and enforcement of these policies or other SMG policies, employees are prohibited from engaging in, or attempting to engage in: 

Ø  Disabling or circumventing any programs or filters such as anti-virus programs, firewalls and web-blockers that are part of the SMG network;

Ø  Adding devices such as wireless access points or routers to the network without first consulting with the IT department;

Ø  Monitoring or intercepting the files or electronic communications of other employees or third parties;

Ø  Hacking or obtaining access to systems or accounts they are not authorized to use;

Ø  Using other people's log-ins or passwords;

Ø  Breaching, testing, or monitoring computer or network security measures;

Ø  Tampering with any software installed by SMG;

Ø  Formatting or “wiping” a computer or other electronic device;

Ø  Malicious deleting or deliberate altering of data;

Ø  Reinstalling an Operating System or intentionally restoring a PC to a previous state;

Ø  Unauthorized sharing of data or network resources.

No email or other electronic communication may be sent in a manner that attempts to hide the identity of the sender or represent the sender as someone else.

Electronic media and services should not be used in a manner that is likely to cause network congestion or significantly hamper the ability of other people to access and use SMG’s systems and resources.

 

 

 

Social Engineering and Network Security

SMG’s data network is the potential target of hackers that may want to infiltrate it for a variety of reasons including but not limited to:

Ø  Performing acts of random or targeted malicious damage;

Ø  Theft of company confidential information;

Ø  Identity theft or theft of personal employee information;

Ø  Gaining status among other hackers or to prove how smart they are.

While SMG has implemented many safeguards to limit the hacker threat, the most difficult method of hacking to prevent is called social engineering.  This refers to an act in which a hacker tricks a user into disclosing a password or other sensitive information.  Some examples are:

Phone calls: A hacker will call up and pretend to be someone in a position of authority or relevance and gradually pull information out of the user. Some common roles that may be played in impersonation attacks include: a repairman, IT support, a manager, a fellow employee, or  a trusted third party (for example, claiming to be the CEO’s executive assistant calling to say that certain information is needed by the CEO). 

Phishing: An e-mail message arrives that appears to come from a legitimate source such as a service provider or financial institution. The e-mail message may ask the user to reply with sensitive data, or to access a Website to update information such as a bankaccount number. These fake Websites look realistic enough to fool many victims into revealing data that can be used for identity theft.

Contests and coupons: A hacker group sets up Web sites advertising a bogus sweepstakes or offering discount coupons or travel deals. They require anyone registering for the sweepstakes to supply a username and password for future access to the site. Soon a database of thousands of usernames and passwords is compiled. Since many people use the same user name and password for multiple sites, a program then systematically attempts to log on to many popular Web sites using the supplied usernames and passwords.  The hacker group can then use details from these sites to gain more information. For example, if a hacker is able to get into a person's Hotmail account, he or she might be able to figure out where the person works and then may try to break into that company's computers using the person's logon name and password.

Remote assistance: Someone calls a user claiming to be from the IT department and asks if he can connect to the computer via remote assistance to load a security patch. After the connection is made, a spyware module is loaded onto the machine. The spyware module then collects username and password information and silently e-mails them to the hacker. Many of the policies in this document are intended to limit SMG exposure to social engineering threats.  However it is critical that users are aware of the types of threats that exist and that they are always suspicious of any inbound requests for data or system access of any kind.

Any suspicious calls or emails, especially those asking for passwords, user names, network access information or other confidential information must be reported to the IT department immediately.

Never provide passwords, usernames, account information or other potentially confidential data to a 3rd party unless you are 100% certain that the request is legitimate and warranted.  When in doubt, ask the IT department for assistance.

Licensing, Copyrights and Ownership

Downloading or installing any unauthorized or unapproved software and or hardware is strictly prohibited. All software and or hardware must be properly licensed and approved for purchase and use by department management or the IT Department.  

Programs or software used to illegally copy, hack, or bypass proper licensing and or software activation are forbidden. 

Sharing, copying or duplicating any software or copyrighted material without proper licensing or permission is a violation of SMG policy.  

Anyone obtaining electronic access to materials owned by other companies or individuals must respect all copyrights and cannot copy, retrieve, modify or forward copyrighted materials except as permitted by the copyright owner.

All employees are obligated to use resources in a professional, ethical, and lawful manner. Employees are forbidden to violate any and all ownership laws including but not limited to accessing client or guest equipment without permission, accessing or hacking into private networks, or stealing internet access through the inappropriate access of wireless networks.

Violations

Any employee who abuses the privilege of their access to electronic media and services, computers, e-mail, intranet, Internet, external electronic bulletin boards, online services, wire services, telephones, voicemail, fax machines, the World Wide Web and any other technology provided to them will be in violation of this policy and will be subject to corrective action, including possible termination of employment, legal action, and criminal liability.