Policy Non-Compliance Escalation
This document defines how Brainforge handles policy non-compliance for team members (all Independent Contractors). It includes the general escalation framework (used for all company policies) and the OOO-specific escalation (late out-of-office submission).
Placement: This is the version-controlled source. The canonical copy for day-to-day use lives in the Operations Manual in Notion (Operations → Operations Manual Database). Sync or copy updates to Notion when you change this file.
1. Escalation Approach for Independent Contractors
Because everyone is an Independent Contractor, escalation avoids employment-style discipline (warnings, write-ups, suspension). Instead we focus on:
- Clarity — What’s required, by when, and why it matters for the team.
- Documentation — Written confirmation that the contractor received and understood the policy and the consequence of repeated non-compliance.
- Remediation — Support (reminders, templates, calendar blocks) to make compliance easy.
- Contract/compliance outcome — Repeated non-compliance is framed as a reliability/compliance issue that may affect continued engagement (renewal, assignment of new work, or referral), not as “disciplinary action.”
This keeps the tone professional, consistent with a contractor relationship, and applicable to any policy.
2. General Policy Non-Compliance Escalation Framework
Use this framework for all company policies (OOO, communication SLAs, expense/timesheet submission, confidentiality, etc.) so the process is consistent and easy to maintain.
Principles
- Single tracker — One place (e.g., Notion database or spreadsheet) to log: date, policy name, person (or role), incident description, offense number for that policy, action taken, and link to any docs.
- Same three-step sequence — 1st: informal reminder + link to policy. 2nd: written acknowledgment (they confirm they understand and will comply). 3rd: compliance review conversation + clear statement that repeated non-compliance may affect continued engagement.
- Policy-specific details — Each policy has a short “policy sheet” (in the Operations Manual or wiki) with: what’s required, where to do it (form/link), who to ask, and escalation owner. The escalation steps themselves stay generic.
Generic escalation template (for any policy)
- First occurrence: Remind in person or DM; share policy link; log in tracker; offer help if something’s unclear.
- Second occurrence: Send written summary of the policy and that it wasn’t met; request written acknowledgment; log and file the exchange.
- Third occurrence: Compliance review conversation; document barriers and agreed mitigation; state that continued non-compliance may be considered in continued engagement decisions; log and file.
Optional: critical policies
For policies that are critical (e.g., security or client commitments), add a “zero tolerance” note in the policy sheet and define a shorter path (e.g., immediate written acknowledgment or compliance review) while still using the same tracker and documentation approach.
3. OOO Policy Escalation (Late Submission — Less Than 2 Weeks Prior)
Policy rule: OOO requests must be submitted at least 2 weeks before the first day of OOO.
(Link to your OOO request form and full OOO policy in the Operations Manual.)
| Offense | Action | Owner | Documentation |
|---|---|---|---|
| 1st | Informal reminder — Direct message (e.g., Slack) to the contractor: restate the 2-week rule, link to the OOO policy and request form, and ask them to confirm they’ve read it. Offer a short sync if they want to discuss. | Operations or direct point of contact | Log in shared tracker: date, policy violated, action taken. No formal “warning” label. |
| 2nd | Written acknowledgment — Send a brief written summary (email or Notion comment) that: (1) states the policy and that it was not met again, (2) asks the contractor to reply acknowledging the policy and their commitment to submit OOO requests ≥2 weeks in advance. Store the summary and their reply. | Operations / People Ops | Entry in tracker + copy of summary and acknowledgment in a designated folder or Notion page. |
| 3rd | Compliance review — Operations (or designated lead) schedules a short call with the contractor to: (1) understand barriers (e.g., forgetfulness, unclear process), (2) agree on one concrete mitigation (e.g., calendar reminder 3 weeks before known OOO), (3) clearly state that continued non-compliance may be considered in decisions about continued engagement (renewal, new assignments). Document the conversation and any follow-up. | Operations / People Ops | Tracker updated; internal note on conversation and any agreed mitigation. No “final warning” wording; focus on “reliability and compliance with agreed policies.” |
Reducing repeat OOO offenses (IC-friendly)
- Reminders: Optional calendar block or Slack reminder (e.g., “Submit OOO ≥2 weeks ahead”).
- Visibility: Simple dashboard or list of upcoming OOO (with submission date) so missing or late submissions are visible early.
- Onboarding: One clear OOO section in contractor onboarding with a link to the form and the 2-week rule; short quiz or checkbox: “I will submit OOO requests at least 2 weeks in advance.”
4. Tracker and policy sheets
- Tracker: Maintain one Policy Compliance log (Notion database or spreadsheet) with columns: Date | Policy | Person/Role | Incident description | Offense # (for that policy) | Action taken | Link to docs.
- Policy sheets: For each policy (OOO, expenses, etc.), keep a short Operations Manual page with: requirement, form/link, who to ask, escalation owner. This document and the generic escalation steps above do not replace those policy-specific pages; they define how we escalate when a policy isn’t followed.