Harassment Policy

Windfall Brewing Co. is committed to providing a workplace free from discrimination, harassment and retaliation.

Therefore, Windfall Brewing Co. will not tolerate harassment of any type based on race, color, religion, sex (including pregnancy, sexual orientation and gender identity), national origin, age, disability, or genetic information and other characteristics protected under state, federal or local laws. Such conduct in any form is prohibited in the workplace, at work-related functions or outside of work if it affects employees in the workplace.

This policy applies to all employees, clients, customers, guests, vendors and persons doing business with Windfall Brewing Co.

All employees must ensure they understand this policy and their obligations. Whether an employee’s conduct violates this policy will be based on how an employee’s conduct is received and whether a reasonable person would find the conduct to be in violation of the policy.

Harassment is defined as unwelcome conduct that is based on race, color, religion, sex (including pregnancy, sexual orientation and gender identity), national origin, age, disability or genetic information. Harassment becomes unlawful where:

• Enduring the offensive conduct becomes a condition of continued employment; or

• The conduct is severe or pervasive enough to create a work environment that a reasonable person would consider intimidating, hostile or abusive.

Anti-discrimination laws also prohibit harassment against individuals in retaliation for filing discrimination charges, testifying or participating in investigations, proceedings or lawsuits under these laws, or for opposing employment practices that they reasonably believe discriminate against individuals, in violation of these laws.

Petty slights, annoyances and isolated incidents (unless extremely serious) will not rise to the level of illegality.

To be unlawful, the conduct must create a work environment that would be intimidating, hostile or offensive to reasonable people.

Offensive conduct may include, but is not limited to, offensive jokes, slurs, epithets or name-calling, physical assaults or threats, intimidation, ridicule or mockery, insults or put-downs, offensive objects or pictures, and interference with work performance. Harassment can occur in a variety of circumstances, including, but not limited to, the following:

• The harasser can be the victim’s supervisor, a supervisor in another area, an agent of the employer, a co-worker or a non-employee.

• The victim does not have to be the person harassed, but can be anyone who is affected by the offensive conduct.

• Unlawful harassment may occur without economic injury to, or discharge of, the victim.

Appropriate performance reviews, counseling or discipline by your manager do not constitute harassment.

If you feel that you are being harassed, you should take the following steps:

• Tell the harasser that his or her actions are not welcome and that they must stop, if you feel comfortable enough to do so.

• Report the incident immediately to your manager.

• Report any additional incidents or retaliation that may occur to your manager.

All reports will be investigated immediately and thoroughly. Complaints and actions taken to resolve complaints will be handled as confidentially as possible. Appropriate actions will be taken to stop and remedy such conduct, including interim measures during a period of investigation.

Retaliating or discriminating against an employee who reports a suspected incident of harassment or who cooperates in an investigation is prohibited. Employees who violate this policy or retaliate against an employee in any way will be subject to disciplinary action, up to and including termination.

Sexual Harassment Policy

Windfall Brewing Co. prohibits sexual harassment of all kinds. This policy applies not only to employees, but also to clients, customers, guests, vendors and anyone else doing business with Windfall Brewing Co. Any employee who feels that he or she has been a victim of sexual harassment, or who believes that he or she has witnessed sexual harassment, should (if possible) directly and immediately inform the harasser that the conduct is unwelcome and that he or she must stop. The victim should also notify a manager immediately.

Sexual harassment is defined as unwelcome sexual advances, requests for sexual favors, offensive remarks about a person’s sex, and other verbal or physical conduct of a sexual nature. Such activities are illegal when:

• Submission is made a term or condition, either explicitly or implicitly, of an individual’s employment

• Submission to or rejection by an individual is used as a factor in decisions affecting that individual’s employment

• Their purpose or effect interferes with an individual’s work performance or creates an intimidating, hostile or offensive work environment

Sexual harassment includes many forms of offensive behavior, including the harassment of a person of the same gender as the harasser. The harasser can be the victim’s supervisor, an agent of the employer, a supervisor in another area, a co-worker or a non-employee. The victim does not have to be the person harassed but could be anyone affected by the offensive conduct. Examples of sexual harassment include, but are not limited to, the following:

• Unwelcome sexual flirtation, advances or propositions

• Verbal comments related to an individual’s gender or sexual orientation

• Explicit or degrading verbal comments about another individual or his or her appearance

• The display of sexually suggestive pictures or objects in any workplace location, including transmission or display via computer

• Any sexually offensive or abusive physical conduct

• The taking of or the refusal to take any personnel action based on an employee’s submission to or rejection of sexual overtures

It is important to Windfall Brewing Co. that all employees are protected from harassment. Any incidents that are perceived as harassment will be investigated and appropriate action will be taken by Windfall Brewing Co.

Standards of Conduct Policy

Windfall Brewing Co. adopts this policy to ensure orderly operations and to provide the best possible work environment. Windfall Brewing Co. expects employees and others who may be engaged to provide services from time to time (such as temporary personnel, consultants and independent contractors) to adhere to these standards of conduct while on company premises, attending company functions or otherwise performing workrelated activity and representing Windfall Brewing Co.

Windfall Brewing Co. is responsible for providing a safe and secure workplace and strives to ensure that all individuals associated with our company are treated in a respectful and fair manner. While not intended to list all the forms of behavior that are considered unacceptable, the following are examples of conduct that may result in disciplinary action:

• Theft or inappropriate removal or possession of property

• Falsification of records, including timekeeping

• Working under the influence of alcohol or illegal drugs

• Fighting or threatening violence in the workplace

• Immoral actions or intimidating others

• Negligence or improper conduct leading to damage of company, customer or co-worker property

• Violation of safety or health rules

• Sexual or other unlawful or unwelcome harassment or touching

• Excessive absenteeism or any absence without notice

• Unauthorized disclosure of confidential information

• Violation of personnel policies

• Unsatisfactory performance or conduct

Any employee who deviates from these rules and standards will be subject to disciplinary action, up to and including termination of employment.

Violence in the Workplace Policy

It is Windfall Brewing Co. policy to provide a workplace that is safe and free from all threatening and intimidating conduct. Therefore, the company will not tolerate violence or threats of violence of any form in the workplace, at work-related functions or outside of work if it affects the workplace. This policy applies to company employees, clients, customers, guests, vendors and persons doing business with Windfall Brewing Co.

It is a violation of this policy to engage in any conduct, verbal or physical, that intimidates, endangers or creates the perception of intimidation or intent to harm persons or property. Examples include but are not limited to the following:

• Physical assaults or threats of physical assault, whether made in person or by other means (e.g., in writing or by phone, fax or email)

• Verbal conduct that is intimidating and has the purpose or effect of threatening the health or safety of another individual

• Any other conduct or acts that management believes represent an imminent or potential danger to safety or security

Anyone with questions or complaints about behaviors that fall under this policy may discuss them with a supervisor. The company will promptly and thoroughly investigate any reported occurrences or threats of violence. Violations of this policy will result in disciplinary action, up to and including immediate termination.

When such actions involve non-employees, the company will take action appropriate for the circumstances.

When appropriate, the company will also take any legal actions available and necessary to stop the conduct and protect the company, our employees and property.

Workplace Bullying Policy

Windfall Brewing Co. is committed to providing a safe and healthy work environment for all employees. As such, the company will not tolerate bullying of any kind and will deal with complaints accordingly. This policy applies to employees while working, attending work functions and traveling on business.

Bullying is defined as repeated inappropriate behavior, either direct or indirect, whether verbal, physical, or otherwise, conducted by one or more persons against another or others, at the workplace or in the course of employment. Such behavior violates Windfall Brewing Co. policies, which state that all employees will be treated with dignity and respect.

Bullying can be intentional or unintentional. However, when an allegation of bullying is made, the intention of the alleged bully is irrelevant and will be given no consideration when a complaint is investigated. It is the effect of the behavior that will be considered.

Bullying can be:

• Verbal bullying: slandering, ridiculing or maligning a person or his or her family or associates; persistent name-calling that is hurtful, insulting or humiliating; using a person as the butt of jokes; abusive and offensive remarks.

• Physical bullying: pushing, shoving, kicking, poking, tripping, assaulting or threatening to assault, damaging a person’s work area or property.

• Gesture bullying: nonverbal threatening gestures; glances that can convey threatening messages.

• Exclusion: unintentionally disregarding a person or excluding a person from work-related activities.

The following are examples of some, but not all, behavior that may constitute or contribute to evidence of bullying:

• Repeatedly singling out a person.

• Pointing at or raising your voice at an individual, whether in public or private.

• Shutting a person out; not allowing him or her to speak or express him- or herself (ignoring or interrupting); interfering with email or other forms of communication; not including him or her in meetings.

• Humiliation in any form; verbal or obscene gestures, personal insults or offensive nicknames.

• Constant criticism unrelated or minimally related to job performance; public reprimand.

• Hampering an individual’s ability to do his or her work; assigning menial tasks not aligned with normal job duties; taking credit for another’s work or ideas.

• Spreading rumors or gossiping about another.

Bullying can have devastating results to the individual and the workplace. If you are subjected to bullying, or witness or suspect bullying is taking place, report it to your supervisor immediately. All suspected incidents of bullying will be thoroughly investigated and disciplinary measures will be taken accordingly.

Diversity Policy

We encourage and welcome diversity. The value of different backgrounds and perspectives should not be overlooked. Having a diverse workforce assists us in looking at all situations from a variety of angles and encourages the development of innovative ideas and solutions. Embracing and understanding what each employee’s background and perspective can contribute gives us a competitive edge.

Some types of diversity are as follows:

• Life experience

• Work experience

• Perspective

• Culture

• Ethnicity

• Gender

• Age

Respecting each individual and recognizing the value that we each bring to our team is essential. By creating a supportive environment that allows everyone to perform to his or her potential, we achieve success.

Complaint Policy

Windfall Brewing Co. strives to be responsive to our employees’ concerns. We understand that problems, misunderstandings and frustrations may arise from time to time. Therefore, we encourage open communication.

Any concerns employees have should be promptly reported to management so that a solution may be devised.

To facilitate this, an employee may use the procedure outlined in this policy to resolve or clarify his or her concerns.

All complaints should be made in good faith.

Step 1: The employee should discuss the situation with his or her immediate supervisor. If the issue involves the employee’s supervisor, the employee may discuss it with another member of management. The supervisor or other member of management should respond to the employee within five working days of meeting with the employee about this issue.

Step 2: If the issue is not resolved to the mutual satisfaction of the employee and supervisor, or if the supervisor fails to respond within five working days, the employee may submit a written complaint to the employee’s director or department head. The employee may ask Human Resources staff for assistance in writing the complaint. The employee has five working days from when the initial decision was received to submit this second-level complaint.

The written complaint should include:

• An explanation of the incident and the date the incident occurred

• Suggestions for ways to resolve the problem

• A copy of the immediate supervisor’s written response or a summary of his or her verbal response and the date when the employee met with the supervisor. If the supervisor provided no response, this should be stated.

Upon receipt of the complaint, the director/department head will schedule a meeting with the employee. This meeting will take place within five working days of receiving the complaint. Within five working days of this meeting, the director/department head should issue a decision orally and in writing to the employee.

Step 3: If the employee is dissatisfied with the decision received through Step 2, he or she may appeal the decision. Appeals must be submitted, in writing, to Human Resources within five days of receiving the director’s/department head’s decision.

Human Resources may meet with the parties involved to facilitate a resolution. Human Resources will submit a final resolution to the President/CEO for his or her approval. Then, the final decision will be provided to the employee both in writing and orally. Human Resources will provide the employee with the final decision no more than 15 working days from the date it was received. The decision cannot be appealed beyond this step.

Examples of some complaints employees may have:

• Suggestions for improvement

• Concerns about working conditions

• Issues with co-workers

• Concerns about treatment at work

If an employee fails to appeal from one step to the next within the time limit of five working days, the issue will be considered settled based on the last decision provided.

Windfall Brewing Co. reserves the right to impose disciplinary action for any conduct it considers disruptive or inappropriate. The circumstances of each situation may differ, and the level of management action may vary depending on the factors of the situation.

No Windfall Brewing Co. employee will be subject to retaliation for filing a complaint under this policy.

When a complaint is voiced, management will do its best to remedy the situation. Every employee may not be satisfied with every solution; however, employee input is valued and Windfall Brewing Co. wants to foster an environment where all employees feel comfortable reporting their concerns.

Disciplinary Action Policy

Disciplinary actions may entail verbal, written and final warnings, suspensions and termination. Not all of these actions may be followed in all instances. Windfall Brewing Co. reserves the right to exercise discretion in discipline. Prior warning is not a requirement for termination. All disciplinary actions will be documented; documentation will be placed in personnel files.

Windfall Brewing Co. reserves the right to take any disciplinary action the company considers appropriate, including termination, at any time. In addition to those situations discussed elsewhere in this handbook, listed below are some examples where immediate termination could result. This list is general in nature and is not intended to be all inclusive:

• Discourtesy to a customer, vendor or the general public resulting in a complaint or loss of good will

• Refusal or failure to follow directions from management; insubordination

• Breach of confidentiality relating to employer, employee, customer or vendor information

• Altering, damaging or destroying company property or records, or another employee’s property

• Dishonesty

• Providing false or misleading information to any company representative or in any company records, including the employment application, benefits forms, time cards, expense reimbursement forms and similar records

• Fighting or engaging in disorderly conduct on the company’s or a customer’s premises or off-site while representing the company

• Violations of any of company’s employment policies including, but not limited to, confidentiality, security, solicitation, insider trading, conflict of interest and code of conduct

• Conduct or performance issues of a serious nature

Windfall Brewing Co. recognizes that personal issues can sometimes affect your performance. The Employee Assistance Program (EAP) is available to employees and their families to provide confidential help with a wide variety of personal problems, issues and concerns.

Use of EAP services, however, does not excuse you from complying with company policies and procedures, or from achieving job requirements or expectations during or after receiving EAP assistance. Participation in the EAP will not prevent the company from taking disciplinary action when warranted.