SparkWell Misconduct & Discipline Policy

1. About this Policy

1.1. This policy establishes fair procedures for addressing misconduct and performance issues with employees and contractors.

1.2. This policy supplements but does not replace applicable employment laws.

1.3. Anti Entropy is committed to addressing issues informally when possible, but will use formal procedures when necessary to protect the organization and maintain standards.

1.4. This policy does not form part of any employment contract and may be amended at any time.

2. Introduction

2.1. This policy covers two types of employment issues:

2.1.1. Misconduct: Unacceptable or improper behavior that violates Anti Entropy's policies or standards

2.1.2. Capability/Performance: Inability to meet job requirements or perform duties adequately

2.2. Informal Resolution First

2.2.1. Before starting formal procedures (except for gross misconduct), we will attempt to resolve issues informally by:

• Having a private conversation with the person
• Listening to their perspective
• Agreeing on needed improvements
• Setting up training or development plans if needed
• Documenting the conversation and agreed actions

2.2.2. Informal resolution is often the quickest and most effective approach for minor issues.

2.3. When to Report Concerns

2.3.1. Employee/contractor issues: Report to Board President

2.3.2. Board President issues: Report to another board member

2.3.3. Board member issues: Report to another board member

2.3.4. Serious violations: May be reported per our Whistleblowing policy

3. Misconduct

3.1. Misconduct is inappropriate behavior or action that breaks Anti Entropy's rules, policies, or professional standards.

3.2. Examples of Misconduct

3.2.1. Minor to moderate misconduct includes:

• Work quality below acceptable standards
• Poor attendance or timekeeping without valid reason
• Unauthorized absence
• Failure to follow reasonable instructions
• Unprofessional behavior or attitude toward colleagues, partners, or stakeholders
• Minor breaches of confidentiality
• Failure to report concerns per organizational policies (e.g., not reporting harassment witnessed)
• Neglect of duties or responsibilities
• Inappropriate use of Anti Entropy resources or equipment
• Minor policy violations

3.3. Examples of Gross Misconduct

3.3.1. Gross misconduct is extremely serious and may result in immediate termination without prior warning. Examples include:

3.3.1.1. Financial misconduct:

• Theft, fraud, or embezzlement
• Misappropriation of Anti Entropy or SparkWell Project funds
• Falsification of expense claims or financial records

3.3.1.2. Interpersonal misconduct:

• Physical violence, threats, or intimidation
• Serious harassment, discrimination, or bullying (see Anti-Harassment & Bullying policy)
• Sexual misconduct

3.3.1.3. Ethical violations:

• Bribery or corruption (see Anti-Corruption & Bribery policy)
• Serious conflicts of interest that are concealed (see Conflicts of Interest policy)
• Serious breach of confidentiality or data protection

3.3.1.4. Workplace conduct:

• Being under the influence of alcohol or illegal drugs at work
• Serious misuse of Anti Entropy's property, name, or reputation
• Accessing illegal, dangerous, or inappropriate content on work devices
• Serious insubordination or refusal to perform essential duties

3.3.1.5. Legal and reputational:

• Actions that bring the organization into serious disrepute
• Violation of laws that impair ability to perform job functions
• Knowingly making false reports or allegations about others
• Serious safety violations that endanger others

3.3.1.6. Organizational integrity:

• Misrepresentation of Anti Entropy's mission or activities
• Unauthorized commitments made on behalf of the organization

3.3.2. Note: Gross misconduct may result in immediate termination and, where appropriate, referral to law enforcement or regulatory authorities.

3.4. Misconduct Outside of Work

3.4.1. An employee or contractor may face disciplinary action for misconduct outside of work if it:

• Could damage Anti Entropy's reputation
• Affects their ability to perform their job
• Impacts relationships with colleagues, partners, or stakeholders
• Violates legal or ethical standards relevant to their role

3.4.2. Anti Entropy will investigate such situations to determine the impact before taking action.

4. SparkWell Projects

4.1. As fiscal sponsor, Anti Entropy has oversight responsibilities for SparkWell Projects but does not directly manage Project staff or contractors.

4.2. Project Lead Responsibilities

4.2.1. Project Leads manage their own teams: Projects are responsible for their own internal management and conduct standards

4.2.2. Projects should establish policies: Projects should have clear expectations for team member conduct

4.2.3. Reporting to Anti Entropy: Serious misconduct should be reported to Anti Entropy, particularly if it:

• Creates legal or financial risk for Anti Entropy
• Involves misuse of funds or fraud
• Violates the Sponsorship Agreement
• Could jeopardize Anti Entropy's 501(c)(3) status

4.3. When Anti Entropy May Intervene

4.3.1. Anti Entropy may take action with a SparkWell Project when:

• Gross misconduct creates liability for Anti Entropy
• Project Lead misconduct violates fiduciary duties
• Financial misconduct or fraud occurs
• Activities violate IRS nonprofit requirements
• Project is not following Sponsorship Agreement terms

4.3.2. Actions may include:

• Requiring corrective measures
• Increased oversight and monitoring
• Suspension or termination of fiscal sponsorship

4.3.3. See Sponsorship Agreement for details on Project termination procedures.

5. Capability and Performance Issues

5.1. Capability refers to a person's ability to perform their job adequately.

5.2. Addressing Performance Issues

5.2.1. Performance issues are typically addressed through:

5.2.1.1. Informal feedback and coaching: Regular check-ins to identify issues and provide support

5.2.1.2. Performance improvement plan (PIP): Written plan with:

• Specific performance concerns
• Clear goals and expectations
• Support and resources to be provided
• Timeline for improvement (typically 30-90 days)
• Consequences if improvement is not achieved

5.2.1.3. Formal disciplinary process: If performance doesn't improve after support, may follow disciplinary procedures below

5.3. Distinguishing Performance from Misconduct

5.3.1. Performance issues: Lack of skills, experience, or capacity despite effort

5.3.2. Misconduct: Willful neglect, refusal to improve, or failure to try

5.3.3. Performance issues should be addressed with support and training before formal discipline. However, persistent failure to improve performance after reasonable support may be treated as misconduct (neglect of duties).

6. Disciplinary Procedure

6.1. Overview

6.1.1. Anti Entropy follows a fair and consistent process when addressing misconduct or performance issues:

• Investigation
• Disciplinary meeting
• Decision and action
• Appeal (if applicable)

6.2. Step 1: Investigation

6.2.1. When a concern is raised, the Board President (or designated board member) will:

6.2.1.1. Gather facts and evidence: Review documents, communications, and other relevant information

6.2.1.2. Interview relevant people: May include an investigatory meeting with the person in question and any witnesses

6.2.1.3. Assess the situation: Determine if the concern is substantiated and if formal action is warranted

6.2.2. Investigatory meetings are fact-finding only and do not result in disciplinary action. The person may bring a colleague if they wish.

6.2.3. Suspension: In serious cases, the person may be suspended with pay during the investigation. Suspension is not disciplinary action but allows for thorough investigation. The suspension period will be as brief as possible.

6.2.4. Separation of roles: Where practical, different people will conduct the investigation and make the disciplinary decision.

6.3. Step 2: Disciplinary Meeting

6.3.1. If formal action is needed, the person will be notified in writing at least 3-5 business days before the meeting with:

• Description of the alleged misconduct or performance issue
• Possible consequences (e.g., warning, termination)
• Date, time, and location of disciplinary meeting
• Right to bring one companion (colleague, not legal representative), if approved in advance
• Copies of evidence being considered (e.g., documents, witness statements)

6.3.2. At the disciplinary meeting:

• Anti Entropy will present the concern and supporting evidence
• The person can present their perspective, evidence, and witnesses
• The person can ask questions and respond to all allegations
• Both parties should make every effort to attend; meeting may proceed in the person's persistent absence without good cause

6.3.3. Timing: The meeting will be held within a reasonable timeframe to allow preparation (typically 5-10 business days after notification).

6.4. Step 3: Decision and Action

6.4.1. After the meeting, Anti Entropy will decide on appropriate action based on:

• Severity of the misconduct or performance issue
• The person's employment/engagement history
• Consistency with how similar situations have been handled
• Mitigating circumstances

6.4.2. Possible outcomes:

6.4.2.1. No action: If allegations are unfounded or insufficient evidence exists

6.4.2.2. Verbal warning: For minor first-time issues (documented in writing for record-keeping)

6.4.2.3. Written warning:

• Describes the misconduct or performance problem
• Sets clear expectations for improvement
• Specifies timeline for improvement
• States consequences of continued issues (e.g., final warning)
• Remains active for specified period (typically 6-12 months)

6.4.2.4. Final written warning:

• Same content as written warning
• Clearly states that further issues may result in termination
• Remains active for specified period (typically 12 months)

6.4.2.5. Termination:

• For gross misconduct (may be immediate)
• For serious or repeated misconduct after final warning
• For failure to improve performance after warnings and support

6.4.2.6. Other actions may include:

• Demotion or reassignment
• Additional training or supervision
• Contract modification (for contractors)

6.4.3. The person will be informed of the decision in writing as soon as possible (typically within 5 business days), including:

• The decision and reasons
• Effective date
• Duration (for warnings)
• Appeal rights (if applicable)

6.5. Step 4: Appeal

6.5.1. If the person believes the decision was wrong, unfair, or disproportionate, they may appeal in writing to the Board within 5 business days of receiving the decision.

6.5.2. Appeal process:

• Submit written appeal stating grounds for appeal
• Appeal will be heard by an uninvolved Board member or Board committee
• Appeal meeting will be scheduled within a reasonable timeframe
• Person may bring one companion (if approved)
• Appeal decision will be communicated in writing
• Appeal decisions are final

6.5.3. Appeals may be denied if the organization believes the decision was appropriate based on the serious nature of the conduct.

7. Contractors

7.1. This policy applies to contractors, but procedures may differ from employees based on contract terms:

7.1.1. Investigation: Same process as employees

7.1.2. Notification: Contractor will be notified of concerns in writing with evidence

7.1.3. Meeting: Contractor may be invited to respond to concerns (in person, by phone, or in writing)

7.1.4. Actions may include:

• Verbal or written warning
• Performance improvement requirements
• Modified contract terms
• Contract termination

7.1.5. Appeal: Contractors may request Board review of termination decisions within 5 business days

7.1.6. Timeline: Procedures may be expedited depending on contract terms and nature of issue

7.1.7. Gross misconduct: Contractor agreements may be terminated immediately per contract terms without prior warning.

8. Special Circumstances

8.1. Criminal Charges or Convictions

8.1.1. A criminal charge or conviction is not automatically grounds for disciplinary action. Anti Entropy will consider:

• Nature and severity of the offense
• Impact on the person's ability to perform their job
• Impact on Anti Entropy's reputation and mission
• Safety of staff, partners, and beneficiaries
• Legal and regulatory requirements

8.1.2. A fair process will be followed before any employment decision is made.

8.2. Board Members and Officers

8.2.1. If a board member or officer is subject to disciplinary action:

• The full Board will handle the investigation and decision
• The subject board member will be excluded from discussions and votes
• Procedures will follow board governance practices and Bylaws
• See Bylaws for board member removal procedures
• For officers, Board has authority to remove from officer position

8.3. Persistent Non-Attendance at Meetings

8.3.1. If someone persistently fails to attend disciplinary or appeal meetings without good reason, Anti Entropy may proceed with a decision based on available evidence.

8.3.2. The person will be informed that a decision will be made in their absence if they continue to not attend.

9. General Principles

9.1. Fairness and Consistency

9.1.1. Anti Entropy will handle all disciplinary matters fairly, promptly, and consistently

9.1.2. Similar situations will be handled similarly

9.1.3. Each case will be assessed on its own merits

9.1.4. Past disciplinary history may be considered

9.2. Confidentiality

9.2.1. Disciplinary matters will be kept confidential

9.2.2. Information will only be shared on a need-to-know basis

9.2.3. Records will be maintained securely

9.3. Record-Keeping

9.3.1. Documentation of disciplinary actions will be kept in personnel files, including:

• Nature of the misconduct or performance issue
• Investigation findings
• Meeting notes
• Decision and reasons
• Any appeals and outcomes

9.4. Support and Resources

9.4.1. Throughout any disciplinary process, Anti Entropy will:

• Treat everyone with dignity and respect
• Provide opportunity to respond and present their case
• Consider mitigating circumstances
• Offer support where appropriate (e.g., training for performance issues)