Disciplinary Policy

Objective: The purpose of the disciplinary policy is to ensure that unacceptable conduct is
addressed promptly and appropriately.

Coverage: All Employees of XYZ

Introduction: The policy defines the following:

 Principles and Procedure
 General Requirements
 Advice, Support & Informal Warnings
 Example of circumstances and instances requiring disciplinary action
 Forms of Disciplinary Actions
 Investigations
 Right to Appeal

1. Principles and Procedure

a. The procedure is based on the following principles.

 Except for gross misconduct, no employee will dismiss for a first breach of discipline.
 The level of any formal action will be depend on the seriousness of the offence, the
consequence to Company of the offence and any mitigating circumstances presented by
the employee, having regard to the need for fairness and natural justice.
 The employee has a right to be accompanied by their representative or a co- employee at
every stage of the formal procedure. The procedure is internal to Company and does not
allow any external representation.

b. The procedure may be invoked where:

 previous support, advice or warnings have been ineffective

 a number of minor complaints are made which, taken together, constitute a breach of
discipline
 There is a more serious breach of discipline.

c. In all cases where disciplinary action is contemplated, reference to the Human Resources
(HR) department is recommended.

d. All proceedings, whether informal or formal, should as far as is practicable remain

confidential.

e. A formal record of the enquiry proceeding will be given to the employee.

1.0 GENERAL REQUIREMENT

A. Employees are expected to:

Comply with their contract/terms and conditions of employment

  Fulfill the duties of their post as reasonably required by their supervisor/dept. head.
 Observe relevant Company rules, regulations and policies.
 Comply with health, safety and data protection requirements.
2.0 ADVICE, SUPPORT & INFORMAL WARNINGS

i) It is the Supervisor’s responsibility to communicate, develop and motivate staff and to

ensure that relevant training is provided. In cases of minor infringements of conduct, the
Supervisor should initially seek to advise and support the employee concerned on an
informal basis with a view to effecting an improvement and thus to avoid using the formal
procedure.

ii) The employee should be advised of the conduct expected of them in future and of the
possible consequences of further problems. Where necessary an informal warning given
by the Supervisor will reinforce the advice. Informal advice and support are not part of the
formal disciplinary procedure, and the employee should be informed of this. However, a
record of an informal warning needs to be kept in the employee’s personal file kept in
Human Resources department and may be used for future reference.

EXAMPLES OF CIRCUMSTANCES AND INSTANCES REQUIRING DISCIPLINARY ACTION

2.1 LEAVES
 Consistent and Irregular/Late Attendance
 Consistent leaving of work area prior to work timings without information
 Remaining absent for more than 3 days without information
 Continue to remain absent after the sanctioned leave period is over
 Submitting wrong/fraudulent documents in support of leave

2.2 ATTENDENCE
 Failure/Refusal to punch card regularly while coming to work premises.
 Failure/Refusal to punch card regularly while leaving work area in between work timings

2.3 WORK
 Refusal/Ignorance in following up/carrying out the instructions of the superior
 Leaving the work incomplete or unfinished
 Failure to give the quantity/output/productivity as required in the job or by the Senior
 Failure to observe quality standards or requirement leading to faulty output
 Indulging in time wasting activities at work
 Evidence of inefficiency in work due to personal habits/problems/issues/ and not fulfilling
company’s /job requirement or objectives.
 Negligence of work

2.4 WORK DISCIPLINE

 Non-co-operation with others
 Spreading incorrect/harmful information/data/rumors within or outside the company
 Indulging in verbal/physical fights with juniors/ juniors/colleagues/seniors/customers
 Indulging in activities which are harmful for the interest of the company within or outside
the company premises.
 Undertaking personal work within the office hours without permission.
  Unwanted personal disputes in the office hours and after leaving the office.
 Willful insubordination towards any reasonable and lawful orders of seniors.
 Causing harm to the company’s property willfully.
 Drunkenness/ Indecent behavior while on work

3.0 FORMS OF DICIPLINARY ACTION

5.(i) ORAL WARNING: If the problem was caused by mistake or neglect of minor significance
and the employee has not been reprimanded for a similar offence during the previous six
months, an oral warning is suggested. The basic cause of the incident should be clearly
pointed out, suggestions made for its correction, and the employee told what
consequences to expect should incidents of like nature continue to occur. The supervisor
may administer an oral warning without prior approval and will record the date and other
pertinent information, retaining it for future reference.

5.(ii) WRITTEN WARNING: If a problem is caused by a second occurrence of the act(s), which
had previously resulted in an oral warning for the first offense, a written warning Annexure
I may be necessary. However, under most circumstances, a second occurrence of an
incident that had necessitated the earlier noted oral warning and which is NOT judged to
have been premeditated or deliberate will result in a written warning. When it is the
employee’s second offense with a same problem within a six-month period, the supervisor
SHALL initiate a written warning. A written warning is to be issued only when accompanied
by written documentation of the exact facts and occurrences, including a record of the
previously noted oral warning. Before writing and presenting the written reprimand to the
employee, the supervisor must have the concurrence of the department head or the
person to whom the supervisor directly reports. The written warning presented to the
employee shall be copied and placed in the employee’s personnel file in the HR
Department.

5.(iii) SUSPENSION: This action may be taken to impress upon the employee the serious nature
of his act or offense. This should be considered as a notice that the employee is facing possible
termination if his/ her performance or attitude does not improve. The supervisor will consult the
department head and the Head of HR and the period of suspension will be determined through
such consultation. In addition to the suspension, a show cause notice (Annexure II) will be issued
to the employee and a copy placed in his personnel file.

5.(iv) TERMINATION: This action will be taken in case the nature of offense is of a serious grave
nature and the employee is found guilty during the enquiry. This action will be taken
against the employee after consultation with his immediate superior, Head of department
and the Head of HR. The employee will be informed in writing about the termination from
duties and a copy will be placed in his/her personnel file. (Annexure VI)

6.0 INVESTIGATIONS

6.1 In all the cases where a show cause notice is issued to the employee, he is required to send a
written reply within twenty-fours of receipt of such notice. If the reply is found
unsatisfactory, then he is sent an explanation letter (Annexure III) asking him to explain
the areas which needs to be detailed. If there is no reply from the employee within the
stipulated time, then a strict action such as suspension/termination can be taken against
the employee after consulting with the Head of department and the Head of HR.
 Version Date Reason for Prepared By Approved By
Change
01

ANNEXURE I
WARNING LETTER

Mr. ______________________ Date ____________

Employee Code_____________

Dept. ______________________

Following incident has been reported:

____________________________________________________________________________

The above incident reflects improper behavior which can spoil the working environment of the
department/organization.

After discussing the implication of this incident mutually, it has been decided to advise you to be
cautious and not to repeat such type of acts of indiscipline/misconduct in future.

For
 ANNEXURE II
SHOW CAUSE NOTICE

Mr. ____________________ Date________________

Employee Code _____________________
Dept. _____________________

An incident has been reported against you as under:

On_______________ at ______________ you_________________________________

The act (s) as above alleged to have been committed by you amount to gross misconduct.
Accordingly, you are hereby called upon to submit your written explanation within twenty-four
hours from the receipt of this letter, as to why a strict disciplinary action should not be taken
against you.

Your explanation must reach the undersigned by _______________ should you fail to submit your
written explanation as required; the matter will be disposed of without any further reference to
you.
 ANNEXURE III
EXPLANATION LETTER

Mr. _______________ Date _______________

Employee Code_____________
Dept. _____________________

Your explanation dated _______________in reply to the show cause notice dated
________________ is found to be unsatisfactory.

You are accordingly hereby advised to provide a more detailed explanation pertaining to the
following:

________________________________________________________________
________________________________________________________________
________________________________________________________________

Your explanation must reach the undersigned by _______________ should you fail to submit your
written explanation as required; the matter will be disposed of without any further reference to
you.

ANNEXURE IV

CHARGE SHEET

Mr. _______________ Date ____________

Employee Code_____________

Through Dept. Head

It has been reported against you as under:

On_______________ at ______________ you ___________________________________

The above act(s) on your part constitute serious misconduct as indicated hereunder: (quote
relevant Para of Standing Orders)
______________________________________________________________________________
____________________________________________________________________________

Accordingly, you are hereby called upon to submit your written explanation for the above
misconduct.

Your explanation must reach the undersigned by ___________. Since the charges leveled
against you is/are of serious nature, you are hereby suspended pending further enquiry, with
immediate effect.

ANNEXURE V
TERMINATION LETTER
(First Show Cause)

Mr._______________ Date _______________

Employee Code_____________
Dept.

We have received the enquiry report that was held on_______________ against you, consequent
to the charge sheet dated______________. After going through the proceedings of the enquiry,
and the findings of the enquiry of enquiry officer, the charges have been proved against you.
Since the acts (s) committed by you are of serous and grave nature, the appropriate punishment
is dismissal from service. You are therefore; called upon to show cause/ give written explanation
to the under signed with in 48 hrs. of the receipt of this letter, as to why your services may not be
terminated.

ANNEXURE VI
LETTER OF DISMISSAL

Mr._______________________ Date _______________

Employee Code_____________
Dept. _____________________

In continuation to the letter of termination (Ist show cause) and your explanation received
thereafter, which has been found to be unsatisfactory/ unacceptable to the management,
therefore you are dismissed from the services of the company with immediate effect.

You can collect your dues, if any, on any working day from the accounts dept. of the company
during working hrs.