Compliance: Sample Disciplinary Action Policy

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The purpose of this document is to describe the disciplinary action policy of ( Company Name) prescribed by the Central Government. This shall be applicable to all the personnel as well as contracted workers of the company.

The workers and staff members of our company are required to meet certain standards of work performance and workplace conduct. When workers/ employees do not met specified standards Corrective and Disciplinary actions including termination for cause may be warranted.

It is the responsibility & accountability of the Compliance Manager to ensure that proper disciplinary action procedure is being followed for occurrences in the company where disciplinary actions are necessary.

a. Constitution of India
b. The Factories Act, 1948

Disciplinary action is an action taken to address workplace performance and/ or conduct deficiencies that are negatively affecting an employee/ worker's contribution to the company. Corrective and Disciplinary Actions cannot be administered according to an absolute set of rules, decisions must be made based on the facts of each situation. Disciplinary Action may be taken in progressive order up to and including termination for cause or may be administered as the situation warrants. Examples of conduct or actions that may justify Disciplinary Actions up to terminations for cause include:
• An act that causes disruption of work being performed.
• An act or conduct (on-the job or off-the job) that adversely affects the employee's performance and' or the accomplishment of the job.
• An act of workplace violence to include intimidation, threat of violence, act of violence and property damage.
• An act of sexual harassment at work
• Dishonestly of any kind including but not limited to theft of property equipment or funds belonging to the company; use of time, material or facilities for purposes unrelated to the work of the company or removal' borrowing of property, equipment or funds belonging to company without permission.
• Failure to use safely equipment or endangering self or others by engaging in unsafe practices.
• Failure or refusal to comply with a lawful request or to accept a proper assignment from an authorized supervisor.
• Failure to maintain satisfactory working relationships with other workers and or staff members.
• Failure to obtain and' or maintain a current license or certification required by law as a condition of employment.
• Inefficiency, incompetence or negligence in the performance or duties.
• Insubordinate acts of language toward a supervisor that substantially interferes with and impedes efficient operations or substantially interferes with and impedes the ability of a supervisor to manage or functions.
• Possession by employees of dangerous weapons and/ or narcotics, alcoholic beverages or other unlawful drugs on company property.
• Repeated tardiness or unauthorized leave, including unauthorized departure from the work area.

a. Verbal Warning
A Verbal Warning may be given to alert an employee I worker to specific deficiencies (failure to meet work product standards or workplace/ conduct standards). A Verbal Warning consists of discussion in which the supervisor I contractor verbally advises the worker of his I her performance or conduct deficiencies and recommended corrective actions.
b. Written Warning
A Written Warning may be given to a worker when other efforts to correct performance or conduct deficiencies have failed or as a first Disciplinary Action when the performance or conduct deficiency is serious enough to warrant a written reprimand. A Disciplinary Action Written Warnings Notice consists of a written document and describes the deficiency; include a plan for corrective actions, and a time frame if applicable. The employee should sign and date the written notice and may provide a response presenting information on their behalf.
c. Termination/ discharge for Cause
The Compliance Manager in consultation with Production Manager may terminate a worker for cause when the worker fails 10 meet company work performance or workplace conduct standards. The Compliance Manager shall note down the reason for termination in the employee's fife and also ensure that all outstanding wags I salary and benefits are paid to the worker.

Individual employee file

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