HR Sanction Policy

HR SANCTION POLICY

Purpose: This HR Sanction Policy establishes the standards, investigatory procedures, disciplinary measures, and appeal rights applicable to employees for breaches of company policy, misconduct, poor performance, or other actions that may warrant corrective or punitive measures. The policy applies to all employees, contractors, and temporary workers at all locations and business units unless a separate collective bargaining agreement provides otherwise.

Scope and Applicability

This policy governs: reporting, investigation, determination of disciplinary measures (sanctions), documentation, record retention, and the appeals process. Managers, Human Resources, and employees share responsibilities for fair administration of the policy. Nothing in this policy alters the employment relationship where applicable by law.

Definitions

Misconduct: Intentional or reckless conduct that violates company rules, causes material harm, or creates a substantial risk of such harm. Performance Issue: Repeated failure to meet reasonable performance standards after coaching and documented improvement plans. Sanction: Any corrective or punitive action described below up to and including termination.

Prohibited Conduct (Non-Exhaustive)

Prohibited conduct includes but is not limited to: harassment or discrimination; theft or misappropriation of company property; willful safety violations; falsification of records; misuse of confidential information; violence or threats; violation of information security policies; material noncompliance with applicable laws or regulations.

Sanction Framework and Examples

Sanctions shall be proportionate to the nature, severity, and recurrence of the conduct, and may include the following progressive or immediate actions depending on circumstances:

- Verbal counseling or documented verbal warning
- Written warning with corrective action plan
- Probation with performance improvement objectives and review period
- Suspension without pay
- Demotion or reassignment
- Restitution or financial remedies where permitted by law
- Immediate termination for gross misconduct

Sanction Matrix (Illustrative)

The following illustrative matrix guides consistent application. Managers must document the facts supporting any deviation from the suggested sanction and obtain HR concurrence for suspensions, demotions, or terminations.

Minor Policy Violations (first occurrence): verbal counseling → written warning.
Repeated Minor Violations or Moderate Violations: written warning → probation → suspension.
Serious Violations (e.g., theft, violence, data breach): immediate suspension pending investigation → termination if substantiated.

Reporting and Investigation

Employees must report suspected misconduct promptly to their manager or Human Resources. HR will review reports, determine whether a formal investigation is required, and, if so, assign an impartial investigator. Investigations will be timely, objective, and documented. Interim measures (e.g., temporary reassignment or administrative leave) may be applied when necessary to protect employees or company operations.

Investigation Procedures

Investigations will include: collection of relevant records, interviews of witnesses and involved employees, and review of policies and prior disciplinary history. Investigative findings will be documented in a written report that includes recommended findings and sanctions. Confidentiality will be maintained to the extent practicable.

Decision, Implementation, and Documentation

HR and the appropriate appointing manager will review the investigative report and determine sanctions. Decisions and the factual basis will be recorded in the employee's personnel file. Employees will receive written notice of findings and proposed sanctions and will be provided an opportunity to respond before final disciplinary action is implemented, except where immediate action is required.

Appeals

An employee may appeal a disciplinary decision by submitting a written appeal to Human Resources within days of receipt of the decision. Appeals must state the grounds for appeal and any supporting evidence. Appeals will be reviewed by an individual or committee not involved in the initial decision; their determination will be final except where further review is required by law or contract.

Recordkeeping and Retention

All records relating to investigations and sanctions will be maintained in accordance with company record retention policy and applicable law. HR will ensure secure storage and limited access to such records. Documentation must include the report, findings, notices, employee responses, and final disposition.

Confidentiality and Anti-Retaliation

Information gathered during investigations will be disclosed only to individuals with a legitimate need to know. Retaliation against individuals who report misconduct in good faith or participate in an investigation is strictly prohibited and will itself be subject to disciplinary action.

Roles and Responsibilities

Human Resources: ensure consistent application of policy, conduct or oversee investigations, maintain records.
Managers: promptly report allegations, cooperate with investigations, administer corrective actions in consultation with HR.
Employees: comply with policies, report concerns, and participate in investigations when requested.

Training and Policy Review

The company will provide training on the policy to managers and employees as appropriate and will review the effectiveness of the policy periodically. HR will recommend revisions to ensure legal compliance and operational effectiveness.

Employee Acknowledgment and Personnel Information

Employment History (Most Recent)

Employment History (Previous)

Education

References (Professional)

Legal Disclosures and Authorizations

At-Will Employment Statement: Where applicable, employment with the company is at-will. Either the employee or the company may terminate the employment relationship at any time, with or without cause or advance notice, subject to applicable law or contract.

Equal Opportunity Statement: The company is an equal opportunity employer. Disciplinary decisions shall be applied without unlawful discrimination.

Authorization to Contact and Background Checks: I authorize the company to contact prior employers, references, and other relevant third parties and to obtain background or investigative reports as permitted by law for purposes of verifying the information I have provided and for the administration of personnel matters.

Acknowledgment and Certification

I certify that all information provided in this form is true and complete to the best of my knowledge. I understand that intentionally providing false information or withholding material information may subject me to disciplinary action up to and including termination. I further certify that I have read and understand the HR Sanction Policy and that I have had the opportunity to ask questions regarding its content.

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