Employee Rules of Conduct

The Company (“Company”) has established these Rules of Conduct applicable to all employees due primarily to the requirements of local, state, and federal laws and statutes.  In signing this Agreement, the Employee agrees to be bound by these Rules of Conduct at all times and under all circumstances in order to continue employment with the Company.  If you as an Employee of the Company cannot abide by these Rules, the Company cannot offer you employment and will be compelled to seek your resignation or terminate your employment unilaterally if you cannot abide by them after being hired.


Employee acknowledges that they understand that other more specific rules may be enacted by the Company from time to time concerning more specific issues and areas of operation.  If the Employee finds he or she cannot or will not abide by these new rules, the Employee must bring the matter to his or her immediate supervisor to see what can be resolved.  If nothing satisfactory can be resolved, it is understood the Employee will tender their immediate resignation or be terminated by the Company.


Clearly defined rules of conduct are necessary for the Company to remain in compliance with local, state, and federal laws and statutes, as well for the fair and orderly operation of the firm.  The Company believes each employee has a right to know what is expected of them.  Each employee must familiarize himself or herself with all Company rules and regulations pertaining to their positions and duties in order for the Employee and the Company to remain in compliance with local, state, and federal laws and statutes, as well as for the fair and orderly operation of the firm


The Company, and many governmental regulations as mentioned above, both require that each employee faithfully abide by these rules and regulations.  If any Company rule is held invalid by local, state, or federal law or statute, each Employee understands that governmental ruling shall be the governing ruling for the Company effective immediately upon notice to the Company by the appropriate government authority.


Employee understands that every new hire is on 90 days probation after initially being hired.  Each employee is subject to termination, with or without cause, within this 90-day probation period.


The following are the Rules of Conduct and may be later supplemented by local and departmental regulations that must also be observed.  The Company may modify these rules at any time for reasonable cause.


1. Employees shall maintain a presentable and non-offensive appearance at all times while at work. They shall wear clothing appropriate to their activities and responsibilities.  If the term “non-offensive” term is subject to interpretation, Employees are encouraged to take the more conservative choice offered and be aware that local, state, and federal laws and statutes prohibit clothing that is deemed offensive to certain members of our society.  The Company is required to enforce these rules strictly in fairness to all Employees and remain in compliance with local, state, and federal statutes and laws.


2.    Smoking is prohibited in all Company facilities as well as immediately outside all outside doorways and exits.


3.    Reporting to work under the influence of liquor or drugs or the unauthorized introduction, possession or use of liquor or drugs on Company premises is prohibited.


4.    Violence, fighting, horseplay, and other inappropriate conduct is prohibited.


5.    Gambling of any kind on Company premises cannot be tolerated.


6. No employee shall engage in outside employment that is detrimental to the   Company’s interest or where such work is competitive or in conflict with the Company’s interest.  Employment outside the Company must be reported to the employee’s supervisor to protect all parties with regard to the above issues.


7.    Employees shall not reveal information in Company records to unauthorized persons.  Employees shall not publish or broadcast material in which the Company is identified without first submitting such material to the appropriate Company officials for review and approval.


8.    False information submitted on resumes or in other documents required by the Company or presented by a prospective Employee shall submit the Employee to immediate termination by the Company.


9.   Excessive tardiness, absence, or departure from work early without the permission of their supervisors is expressly forbidden and shall subject the Employee to immediate termination.  Every employee shall notify his or her supervisor or specified contact of an anticipated absence or lateness in accordance with Company and departmental procedures.


10.  Employees shall not use Company equipment, materials or facilities for personal purposes.  This especially involves not using the phone or computer systems for personal purposes outside of the occasional call or response to personal emergencies.


11. Out of fairness to all employees, no employee shall be on or about Company property selling other products or services, soliciting funds or services, selling tickets, distributing petitions or literature for any purpose (except as otherwise provided by law) at any time without the prior consent of his or her supervisor.


12.     All duties shall be performed in a professional and workmanlike manner both with regard to the specific conduct of work assignments and as such activities affect one’s relationship with others.  In the latter instance, harassment for reasons related to sex, color, race, religion, national origin, age or handicap is strictly prohibited.  Not only is this Company policy, it is the law.  It must be reported promptly and will be dealt with seriously.


13.     Every employee must comply with safety regulations and procedures.


14.     Every employee has a duty to protect and safeguard Company property and the property of customers and employees, and no employee shall occupy, use or operate any Company property without prior authorization.


15.     No employee shall be in unauthorized possession of any property of the Company, its customers or employees, or attempt to remove such property from Company premises at any time.


16.     Employees shall not bring their own or any other minor children to their place of work or elsewhere on Company premises during the employee’s working hours when such accompaniment might interfere with the discharge of the employee’s duties and responsibilities.  This also applies to any other live creatures such as dogs or cats.


17.     No employee shall be in possession of firearms (licensed or unlicensed) or other weapons while on Company premises.  The rule applies to all knives not required for the performance of job duties.


The violation of any of these regulations will result in disciplinary action ranging from a warning to termination.  The measure of discipline will correspond to the gravity of the offense as weighed by its violation of government laws and statutes, it potential effect on the Company, as well as the seniority and work record of the employee involved, among other factors.  Most importantly, violation of many of these rules subjects the individual Employee and the Company to prosecution by various local, state, and federal authorities.


The Company reserves the right to make inspections of employee lockers, desks, lunch boxes, vehicles and other items of personal property located on Company premises in those instances where there is reason to believe that they contain evidence of a violation of these regulations.  Any refusal to cooperate fully in such inspections or searches will subject the Employee to immediate termination.  As a preliminary caution, never bring any materials on to Company property that you would not like read or looked at by another Employee or Supervisor.


I acknowledge that I have read, understood, and agree to the foregoing Rules of Conduct.   A copy of these rules has been provided to me.  I understand that many of these rules are a result of local, state, and federal law and statutes and therefore make compliance all the more mandatory to prevent me from putting myself and the Company in potential violation of these laws and statutes.


I understand that my remedy for not complying with these rules, at any time, is to resign from the Company and seek employment elsewhere.


____________________                                            _______________________

Employee Signature:                                                  Company Signature





Employee Rules of Conduct

Review List


This review list is provided to inform you about the document in question and assist you in its preparation.  This should be signed along with the Employment Manual.




1.  This Employee Rules of Conduct is effective only if properly communicated and promptly enforced.   The process of disseminating and enforcing these kinds of rules intimidates most companies.  This is understandable.  But, in this litigious world, your company can be protected from many governmental and legal actions by making a concerted effort to get the word out and enforce the word promptly.  We strongly recommend you leave the language in the Rules of Conduct that point a clear finger at governmental rules and regulations as a leading cause for you to enforce these rules.  This approach not only removes the onus from you and your company, it also happens to be entirely true.


2.    Prospective employees should read and be required to sign the Employee Rules of Conduct prior to being formally offered employment.  The signed document should be permanently retained in the employee’s personnel file or other appropriate corporate records, as well as a copy given to the Employee.  It can be a tricky matter to get current employees to sign these agreements.  You can grandfather some in (in other words, not require it), but this is always a dangerous, though understandable policy.  At a minimum, they should be given a copy and told this is the rule, whether they sign it or not.


3.    Employers should review with their attorneys employment related forms such as this one prior to using them and periodically review them thereafter to ensure compliance with all laws and statutes.  Employment law is becoming increasing complex and therefore ripe for litigation.  This is an excellent area to do “well care” on a regular basis with your attorney.


4.    Anytime this document or other policy is used or distributed, it should be noted that

The employer may modify this policy or any other policy at any time.  Although some believe these kinds of policies do not contractually “lock the company in,” we believe they do and that the more conservative approach is for you to always remember that they may lock you in.  It only makes practical sense that any policy implemented by a company, and generally enforced, can be relied upon to some extent by the Employees.  And this reliance may not just be between Company and Employee.  It can be between violating Employee and other employees, especially in areas of discrimination, sexual harassment, and other infringement of personal liberty questions.  All of this points to the need for vigilance and regular consultations with your attorney.


5.    Keep a signed copy in the employee’s personnel file as well as a copy in a master folder, for reference should the need arise.





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