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NOMINATING & CORPORATE GOVERNANCE COMMITTEE CHARTER
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Membership
The Nominating and Corporate Governance Committee (the “Committee”) of the Board of Directors (the “Board”) shall consist of at least three directors, as determined by the Board, each of whom (a) satisfies the independent requirements of the New York Stock Exchange, and the Securities and Exchange Commission and any applicable laws, rules, and regulations and the Corporation’s Corporate Governance Guidelines or otherwise; and (b) has experience, in the business judgment of the Board, that would be helpful in addressing the matters delegated to the Committee.
The members of the Committee, including the Chair of the Committee, shall be appointed annually by the Board on the recommendation of the Nominating and Corporate Governance Committee. Committee members may be removed from the Committee, with or without cause, by the Board. Any member of the Committee may resign at any time by giving written notice to the Chair of the Committee.
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Purpose
The purpose of the Committee is to assist the Board in discharging the Board’s responsibilities regarding:
(a) The identification of qualified candidates to become Board members;
(b) The selection of nominees for election as directors at the next annual meeting of stockholders (or special meeting of stockholders at which directors are to be elected);
(c) The selection of candidates to fill any vacancies on the Board;
(d) The recommendation to the Board of Director nominees for each committee of the Board;
(e) The development and recommendation to the Board of a set of corporate governance guidelines and principles applicable to the Company (the “Corporate Governance Guidelines”); and
(f) Oversight of the evaluation of the board and management.
In addition to the powers and responsibilities expressly delegated to the Committee in this Charter, the Committee may exercise any other powers and carry out any other responsibilities delegated to it by the Board, from time to time, consistent with the Company’s By-Laws. The powers and responsibilities delegated by the Board to the Committee in this Charter or otherwise shall be exercised and carried out by the Committee as it deems appropriate without requirement of board approval. While acting within the scope of the powers and responsibilities delegated to it, the Committee shall have and may exercise all the powers and authority of the Board.
III. Duties and Responsibilities
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The Committee shall review, at least annually and more frequently as may be necessary, (a) the composition of the Board of Directors in terms of independence, experience, expertise, and special knowledge required for the effective discharge of the board’s responsibilities and (b) the organization of the board in terms of Board procedures, the size and membership of the Board, and recommend to the Board any changes the Committee believes appropriate or desirable.
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The Committee shall review, at least annually and more frequently as may be necessary, the structure, membership and charters of the Board committees, and will recommend to the Board any changes the Committee believes appropriate or desirable.
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Prior to each annual meeting of stockholders at which Directors are to be elected or reelected, the Committee shall recommend to the Board, candidates for nomination that the Committee, in the exercise of its judgment, has found to be well qualified and willing and available to serve.
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After a vacancy arises on the Board or a director advises the Board of his or her intention to resign, the Committee shall recommend a candidate to the Board to fill the vacancy that the Committee, in the exercise of its judgment, has found to be well qualified and willing and available to serve.
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In considering potential candidates for Directors under (a) and (b) above, the Committee may consider the entirety of each candidate’s credentials. Qualifications for consideration may vary according to the particular area of expertise being sought as a complement to the existing composition of the Board. In addition, the Committee may take into account the overall diversity of the board, including professional background, experience, perspective, age, tenure, gender, and ethnicity. The Committee may consider the following criteria, without limitation among others the Committee shall deem appropriate, in recommending candidates for election to the Board:
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possession of personal and professional integrity, ethics and values;
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sound experience and acumen and the requisite time and ability to attend meetings and fully participate in the activities of the Board;
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experience in the Company’s industry or knowledge or familiarity with the company’s operations and/or the issues affecting the Company’s business, and other elements relevant to the success of a publicly traded mining company in today’s marketplace and regulatory requirements;
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practical and mature business judgment, including the ability to make independent analytical inquires;
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a reputation, both personal and professional, consistent with the image and reputation of the Company; and
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the stated intent of a candidate to comply with the Corporate Governance Guidelines, including the guideline on resignation of a director who is not elected by the vote specified in the Company’s Bylaws.
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The Committee shall oversee the Board’s annual review of its performance (including its composition and organization) and will make appropriate recommendations to improve performance.
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The Committee may make recommendations to the Board regarding the Company’s Certificate of Incorporation and Bylaws.
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The Committee shall review annually the Corporate Governance Guidelines and shall recommend any revisions, amendments or modifications to the Board for approval.
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The Committee shall consider, develop and recommend to the Board such policies and procedures with respect to the nomination of Directors or other corporate governance matters as may be required to be adopted or disclosed and pursuant to any rules promulgated by the Securities and Exchange Commission or otherwise considered to be desirable and appropriate in the discretion of the Committee.
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The Committee shall review periodically the compensation and benefits for non-employee Directors and, when appropriate, make recommendations to the Compensation Policy Committee or the Board of Directors for modifications.
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The Committee shall evaluate its own performance on an annual basis, including its compliance with this Charter, and provide the Board with any recommendations for changes in procedures or policies governing the Committee. In addition, the Committee shall review and reassess this Charter at least annually and submit any recommended changes to the Board for its consideration. The Committee shall conduct such evaluation and review in such manner as it deems appropriate.
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The Committee shall oversee implementation and compliance with, and will recommend clarifications or necessary changes to, the Code of Business Conduct and Ethics and Conflict of Interest Policy for members of the Board and the Code of Business Conduct and Ethics for Employees.
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The Committee shall administer standards concerning any charitable contribution to organizations associated with a Director or his or her spouse.
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In fulfilling its responsibilities, the Committee shall be entitled to delegate any or all of its responsibilities to a subcommittee of the Committee, to the extent consistent with the Company’s Certificate of Incorporation, Bylaws, Corporate Governance Guidelines and applicable law and rules of markets in which the Company’s securities then trade
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Outside Advisors
The Committee shall have the sole authority to retain and terminate any search firm used to assist it in identifying Director Candidates, including sole authority to approve fees payable to such firm and other terms of retention.
The Committee may retain any independent counsel, experts or advisors that the Committee believes to be desirable and appropriate. The Committee may also use the services of the Company’s regular legal counsel or other advisors to the Company. The Company shall provide for appropriate funding, as determined by the Committee, for payment of compensation to any such persons employed by the Committee and for ordinary administrative expenses of the Committee that are necessary or appropriate in carrying out its duties.
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Meetings and Procedures
The Chair (or in his or her absence, a member designated by the Chair) shall preside at each meeting of the Committee and set the agenda for Committee meetings. The Committee shall have the authority to establish its own rules and procedures for notice and conduct of its meetings so long as they are not inconsistent with any provisions of the Company’s Bylaws that are applicable to committees.
The Committee shall meet on a regularly scheduled basis at least two times per year and more frequently as the Committee deems necessary or desirable.
The Chair shall report to the Board regarding the activities of the Committee at the next regularly scheduled meeting following meetings of the Committee, including any recommendations to the Board.
Adopted March 20, 2012
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COMPENSATION COMMITTEE CHARTER
Purpose
The Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) assists the Board in fulfilling its fiduciary responsibilities with respect to the oversight of the Company’s affairs in the areas of compensation plans, policies, and programs of the Company, especially those regarding executive compensation, employee benefits, and reviewing an annual report on executive compensation for inclusion in the Company’s proxy materials in accordance with applicable rules and regulations. The Committee shall ensure that compensation programs are designed to encourage desired performance; promote accountability and adherence to Company values; assure that employee interest are aligned with the interest of the Company’s stockholders; serve the long-term best interests of the Company and stockholders; and that the executive compensation policies are designed to attract, develop, and retain talented leadership to serve the long-term interests of the Company.
The Committee shall have the authority to undertake the specific duties and responsibilities described below and the authority to undertake such duties as are assigned by law, the Company’s certificate of incorporation or bylaws, or by the Board.
Membership
The Committee shall be composed of at least three (3) members of the Board, one of whom shall be designated by the Board as the Chair.
Each member of the Committee shall (1) qualify as an independent director under the NYSE listing requirements; (2) be a “non-employee director” within the meaning of Rule 16b-3 of the Securities Exchange Act of 1934, as amended; (3) be an “outside director” under the regulations promulgated under § 162(m) of the Internal Revenue Code of 1986, as amended (the “Code”); and (4) be otherwise free from any relationship that, in the judgment of the Board, would interfere with his or her exercise of business judgment as a Committee member.
Meetings and Procedures
The Committee shall hold at least two (2) regularly scheduled meetings each year.
In discharging its responsibilities, the Committee shall have sole authority to, as it deems appropriate, select, retain, and/or replace, as needed, compensation and benefits consultants and other outside consultants to provide independent advice to the Committee. In addition, the Committee shall have access to Company staff personnel to provide data and advice in connection with Committee’s review of management compensation practices and policies and leadership development processes and practices.
The Committee shall maintain written minutes or other records of its meetings and activities. Minutes of each meeting of the Committee shall be distributed to each member of the Committee… The Secretary of the Company shall retain the original signed minutes for filing with the corporate records of the Company.
The Chair of the Committee shall report to the Board following meetings of the Committee and as otherwise requested by the Chairman of the Board.
Responsibilities
The Committee shall be responsible for:
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Assessing the overall compensation structure of the Company and adopting a written statement of compensation philosophy and strategy, selecting an appropriate compensation peer group, and periodically reviewing executive compensation in relation to this peer group.
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Reviewing and approving corporate goals and objectives relating to the compensation of the Chief Executive Officer, evaluating the performance of the Chief Executive Officer in light of the goals and objectives, and making appropriate recommendations for improving performance. The Committee shall establish the compensation of the Chief Executive Officer based on such evaluation. In performing the foregoing functions, the Chair of the Committee may solicit comments from the other members of the Board. Final determinations regarding the performance and compensation of the Chief Executive Officer will be conducted in an executive session of the Committee and be reported by the Chair of the Committee to the entire Board during an independent session of the Board.
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Reviewing and approving all compensation for all other officers of the Company; evaluating the responsibilities and performance of other executive officers and making appropriate recommendations for improving performance.
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Overseeing succession planning for senior management of the Company.
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Recommending policies to the Board regarding minimum retention and ownership levels of Company common stock by officers.
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Administering and reviewing all executive compensation programs and equity-based plans of the Company. The Committee shall have and shall exercise all the authority of the Board with respect to administering such plans, including approving amendments thereto.
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Making recommendations to the board with respect to incentive compensation plans and equity-based plans.
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Approving, amending, and terminating ERISA-governed employee benefit plans, with the authority to delegate some or all of these actions to management.
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Reviewing the Company’s Compensation Discussion and Analysis to be included in the Company’s annual proxy statement and preparing and approving the Report of the Compensation Committee to be included as part of the Company’s annual proxy statement.
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Conducting an annual evaluation of the effectiveness of the Committee.
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If the Company identifies policies or practices for compensation its executive officers that are reasonably likely to have a material adverse effect on the Company; making necessary adjustments to such compensation policies or practices to ensure that they are consistent with the Company’s risk management objectives.
The Committee shall have the authority to delegate its functions to a subcommittee thereof.
For purposes of this Charter, “compensation” shall include, but not be limited to, cash or deferred payments, incentive and equity compensation, benefits and perquisites, employment, retention and/or termination/severance agreements, and any other programs which pursuant to the regulations of the Securities and Exchange Commission or Internal Revenue Service (or successor organizations, if applicable), would be considered to be compensation. In addition, “officer” shall be as defined in § 16 of the Securities Exchange Act of 1934, and Rule 16a-1 thereunder.
The Committee shall review and reassess the Committee’s Charter on periodic basis and submit any recommended changes to the Board for its consideration.
The Committee shall perform such other functions and have such other powers as may be necessary or convenient in the efficient discharge of the foregoing.
Adopted March 20, 2012
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AUDIT COMMITTEE CHARTER
PURPOSE
To assist the board of directors in fulfilling its oversight responsibilities for (1) the integrity of the company’s financial statements, (2) the company’s compliance with legal and regulatory requirements, (3) the independent auditor’s qualifications and independence, and (4) the performance of the company’s internal audit function and independent auditors. The audit committee will also prepare the report that SEC rules require be included in the company’s annual proxy statement.
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AUTHORITY
The audit committee has authority to conduct or authorize investigations into any matters within its scope of
responsibility. It is empowered to
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Appoint, compensate, and oversee the work of the public accounting firm employed by the organization to conduct the annual audit. This firm will report directly to the audit committee.
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Resolve any disagreements between management and the auditor regarding financial reporting.
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Pre-approve all auditing and permitted non-audit services performed by the company’s external audit firm.
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Retain independent counsel, accountants, or others to advise the committee or assist in the conduct of an investigation, review, or to attend a meeting of the committee.
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Seek any information it requires from employees-all of whom are directed to cooperate with the committee’s requests-or external parties.
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Meet with company officers, external auditors, or outside counsel, as necessary.
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The committee may delegate authority to subcommittees comprised of one or more members of the committee, including the authority to pre-approve all auditing and permitted non-audit services, providing that such decisions are presented to the full committee at its next scheduled meeting.
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The committee shall also carry out such other duties as may be delegated to it by the board of directors from time to time.
2. COMPOSITION
The audit committee will consist of at least three and no more than six members of the board of directors. The board nominating committee will appoint committee members and the committee chair. Each committee member will be both independent and financially literate. At least one member shall be designated as the “financial expert,” as defined by applicable legislation and regulation. No committee member shall simultaneously serve on the audit committees of more than two other public companies.
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MEETINGS
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The committee will meet at least four times a year, with authority to convene additional meetings, as circumstances require. All committee members are expected to attend each meeting, in person or via telephone or video-conference. The committee will invite members of management, auditors or others to attend meetings and provide pertinent information, as necessary. It will meet separately, periodically, with management, with internal auditors and with external auditors. It will also meet periodically in executive session. Meeting agendas will be prepared and provided in advance to members, along with appropriate briefing materials. The committee will arrange as necessary meetings with the managers and accountants of the Company’s subsidiaries in Mexico. Minutes will be prepared and maintained for all meetings
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RESPONSIBILITIES
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The committee will carry out the following responsibilities:
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Financial Statements
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a) Review significant accounting and reporting issues and understand their impact on the financial financial statements. These issues include:
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b) Complex or unusual transactions and highly judgmental areas.
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c) Major issues regarding accounting principles and financial statement presentations, including any significant changes in the company’s selection or application of accounting principles.
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d) The effect of regulatory and accounting initiatives, as well as off-balance sheet structures, on the financial statements of the company.
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e) Review analyses prepared by management and/or the independent auditor setting forth significant financial reporting issues and judgments made in connection with the preparation of the financial statements, including analyses of the effects of alternative GAAP methods on the financial statements.
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f) Review with management and the external auditors the results of the audit, including any difficulties encountered. This review will include any restrictions on the scope of the independent auditor’s activities or on access to requested information, and any significant disagreements with management.
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g) Discuss the annual audited financial statements and quarterly financial statements with management and the external auditors, including the company’s disclosures under “Management’s Discussion and Analysis of Financial Condition and Results of Operations.”
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h) Review disclosures made by CEO and CFO during the Forms 10-K and 10-Q certification process about significant deficiencies in the design or operation of internal controls or any fraud that involves management or other employees who have a significant role in the company’s internal controls.
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i) Discuss earnings press releases (particularly use of “pro forma,” or “adjusted” non-GAAP, information), as well as financial information and earnings guidance provided to analysts and rating agencies. This review may be general (i.e., the types of information to be disclosed and the type of presentations to be made). The audit committee does not need to discuss each release in advance.
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Internal Control
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a) Consider the effectiveness of the company’s internal control system, including information technology security and control.
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b) Understand the scope of internal and external auditors’ review of internal control over financial reporting, and obtain reports on significant findings and recommendations, together with management’s responses.
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Internal Audit/Internal Control and Review
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a) Review with management and the chief audit executive/chief financial officer the charter, plans, activities, staffing, and organizational structure of the internal audit/review and control function .
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b) Ensure there are no unjustified restrictions or limitations, and review and concur in the appointment, replacement, or dismissal of the chief audit executive/chief financial officer.
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c) Review the effectiveness of the internal audit/review and control function, including compliance with The Institute of Internal Auditors’ Standards for the Professional Practice of Internal Auditing and/or Section 7 of The NYSE Corporate Accountability and Listing Standards Committee.
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d) On a regular basis, meet separately with the chief audit executive/chief financial officer to discuss any matters that the committee or internal audit officer/chief financial officer believes should be discussed privately.
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e) The company will have in place an appropriate control and review process under the chief financial officer for reviewing and approving its internal transactions and accounting until the company establishes a separate internal audit department.
External Audit
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a) Review the external auditors’ proposed audit scope and approach, including coordination of audit effort with internal audit.
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b) Review the performance of the external auditors, and exercise final approval on the appointment or discharge of the auditors. In performing this review, the committee will
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At least annually, obtain and review a report by the independent auditor describing: the firm’s internal quality-control procedures; any material issues raised by the most recent internal quality-control review, or peer review, of the firm, or by any inquiry or investigation by governmental or professional authorities, within the preceding five years, respecting one or more independent audits carried out by the firm, and any steps take to deal with any such issues; and (to assess the auditor’s independence) all relationships between the independent auditor and the company.
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Take into account the opinions of management and internal audit.
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Review and evaluate the lead partner of the independent auditor.
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Present its conclusions with respect to the external auditor to the Board.
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c) Ensure the rotation of the lead audit partner every five years and other audit partners every seven years, and consider whether there should be regular rotation of the audit firm itself.
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d) Present its conclusions with respect to the independent auditor to the full board.
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e) Set clear hiring policies for employees or former employees of the independent auditors.
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f) On a regular basis, meet separately with the external auditors to discuss any matters that the committee or auditors believe should be discussed privately.
Compliance
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a) Review the effectiveness of the system for monitoring compliance with laws and regulations and the results of management’s investigation and follow-up (including disciplinary action) of any instances of noncompliance.
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b) Establish procedures for: (i) The receipt, retention, and treatment of complaints received by the listed issuer regarding accounting, internal accounting controls, or auditing matters; and (ii) The confidential, anonymous submission by employees of the listed issuer of concerns regarding questionable accounting or auditing matters.
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c) Review the findings of any examinations by regulatory agencies, and any auditor observations.
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d) Review the process for communicating the code of conduct to company personnel, and for monitoring compliance therewith.
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e) Obtain regular updates from management and company legal counsel regarding compliance matters.
Reporting Responsibilities
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a) Regularly report to the board of directors about committee activities and issues that arise with respect to the quality or integrity of the company’s financial statements, the company’s compliance with legal or regulatory requirements, the performance and independence of the company’s independent auditors, and the performance of the internal audit function.
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b) Provide an open avenue of communication between internal audit, the external auditors, and the board of directors.
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c) Report annually to the shareholders, describing the committee’s composition, responsibilities and how they were discharged, and any other information required by rule, including approval of non-audit services.
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d) Review any other reports the company issues that relate to committee responsibilities.
Other Responsibilities
a) Discuss with management the company’s major policies with respect to risk assessment and risk management.
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b) Perform other activities related to this charter as requested by the board of directors.
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c) Institute and oversee special investigations as needed.
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d) Review and assess the adequacy of the committee charter annually, requesting board approval for proposed changes, and ensure appropriate disclosure as may be required by law or regulation.
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e) Confirm annually that all responsibilities outlined in this charter have been carried out.
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f) Evaluate the committee’s and individual members’ performance at least annually.
Adopted March 20, 2012
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INSIDER TRADING &
CONFIDENTIALITY
United States Antimony Corporation and all of its employees, officers, and directors here in the United States and its subsidiaries must act in a manner that does not misuse, disclose or disseminate material financial or operational information of any kind that has not been publicly disclosed or that is not in the public domain already. Failure to do breaches the company code of conduct and violates Federal Law.
The penalties for Insider Trading are severe including civil damages and possibly penal sentences involving prison. The damages extend to any person, who, however remote, has benefited from the disclosure of material insider information. This sometime referred as daisy chain liability.
Material information is any information that a reasonable investor would consider important in a decision to buy, sell, or hold the securities. Any information whether written, oral, or photos that could reasonably be expected to be affect the price of the securities is likely to be considered material. The information may be positive or negative. The courts may use hindsight in judging what is material.
Inside information means the information has not yet become publicly available. Release of the information to the media by news release or 8K does not immediately free insiders for trading and insiders should wait until the market has had an opportunity to absorb the information. Usually, it is sufficient, if the information has been widely disseminated, to wait until the following day.
CODE OF ETHICS
Purpose
Our code of ethics aims to give our employees guidelines on our business ethics and stance on various controversial matters. We trust you to use your better judgment, but we want to provide you with a concrete guide you can fall back on if you’re unsure about how you should act (e.g. in cases of conflict of interest). We will also use this policy to outline the consequences of violating our code of ethics.
Scope
This policy applies to everyone we employ or have business relations with. This includes individual people such as directors, officers, employees, interns, volunteers, and also business entities, such as vendors, enterprise customers or venture capital companies.
Policy elements
What is meant by code of ethics?
First, let’s define professional ethics: they are a set of principles that guide the behavior of people in a business context. They are essential to maintaining the legality of business and a healthy workplace.
So what is a code of ethics? Our code of ethics definition refers to the standards that apply to a specific setting – in this case, our own organization.
What is the purpose of a professional code of ethics?
Having our business ethics in writing doesn’t mean that we don’t trust our employees. We strive to hire ethical people who have their own personal standards, so we expect that a written code won’t be necessary most of the time.
But, it can still be helpful. You may find yourself in a situation where you’re not sure how you should act. Life is full of grey areas where right and wrong aren’t so apparent. Some professional ethics also correspond to laws that you absolutely must know to do your job properly, so we will mention them in our code of ethics.
Additionally, every organization makes bad hires every once in a while. We also can’t predict how people are going to behave. When an employee behaves, or intents to behave, in a way that’s against our professional ethics, or applicable laws, we will have clear guidelines on what disciplinary actions we will consider.
If you have any questions, please talk with your supervisor. If you experience unethical behavior, please talk with your supervisor or you can email our third-party fraud hotline using the Company ID USAC at www.fraudhl.com or call the fraud hotline at 1-855-FRAUDHL.
For these reasons, we advise you to read this document carefully and consult with your supervisor, if you have doubts or questions.
The components of our code of professional ethics:
We base our code of ethics on common principles of ethics:
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Respect for others. Treat people as you want to be treated.
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Integrity and honesty. Tell the truth and avoid any wrongdoing to the best of your ability.
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Justice. Make sure you’re objective and fair and don’t disadvantage others.
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Lawfulness. Know and follow the law – always.
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Competence and accountability. Work hard and be responsible for your work.
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Teamwork. Collaborate and ask for help.
Consequences of policy violation
Each case will be evaluated individually by the appropriate party or parties, which could include an unrelated third-party, and disciplinary actions can be taken in any case up to and including dismissal.
CODE OF CONDUCT
This Code of Conduct Policy establishes guidelines for employee behavior, ensuring professionalism and adherence to company values, as well as the consequences for policy violations. It applies to directors, officers, employees, interns, and volunteers, and covers various aspects of business conduct, including cyber security, internet usage, social media, conflicts of interest, employee relationships, and solicitation, aiming to foster a respectful and harmonious work environment.
As an employee, you are responsible for behaving appropriately at work. We outline our expectations here. We can’t cover every single case of conduct, but we trust you to always use your best judgement. Reach out to your supervisor if you face any issues or have any questions.
Cyber security and digital devices
We want to set some guidelines for using computers, phones, our internet connection and social media to ensure security and protect our assets.
Internet usage
The internet connection at our locations is primarily for business. But you can occasionally use our connection for personal purposes as long as they don’t interfere with your job responsibilities. Also, we expect you to temporarily halt personal activities that slow down our internet connection (e.g. uploading photos) if you’re asked to.
Cell phone
We allow use of cell phones at work. But we also want to ensure that your devices won’t distract you from your work or disrupt our workplace.
Corporate email
Email is essential to our work. You should use your company email primarily for work, but we allow some uses of your company email for personal reasons.
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Work-related use. You can use your corporate email for work-related purposes without limitations. For example, you can sign up for newsletters and online services that will help you in your job or professional growth.
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Personal use. You can use your email for personal reasons as long as you keep it safe and avoid spamming and disclosing confidential information.
Social media
We want to provide practical advice to prevent careless use of social media in our workplace. We address two types of social media uses: using personal social media at work and representing our company through social media.
Conflict of interest
When you are experiencing a conflict of interest, your personal goals are no longer aligned with your responsibilities towards us. For example, owning stocks of one of our competitors is a conflict of interest.
In other cases, you may be faced with an ethical issue. For example, accepting a bribe may benefit you financially, but it is illegal and against our code of ethics. If we become aware of such behavior, you will lose your job and may face legal trouble.
For this reason, conflicts of interest are a serious issue for all of us. We expect you to be vigilant to spot circumstances that create conflicts of interest, either to yourself or for your direct reports. Follow our policies and always act in our company’s best interests. Whenever possible, do not let personal or financial interests get in the way of your job.
Employee relationships
We want to ensure that relationships between employees are appropriate and harmonious. We outline our guidelines, and we ask you to always behave professionally.
Consequences of policy violation
Each case will be evaluated individually by the appropriate party or parties, which could include an unrelated third-party, and disciplinary actions can be taken in any case up to and including dismissal.