3 types of disciplinary sanctions. Disciplinary sanctions under the Labor Code of the Russian Federation - types, terms and rules for imposition. The order of their application

A disciplinary sanction is a form of administrative punishment for violation of labor discipline or work schedule, which is imposed on a person through disciplinary proceedings.

The definition of disciplinary action is prescribed in the Labor Code of the Russian Federation.

1. A reprimand is applied in almost all cases of violation of labor discipline: lateness, absence from the workplace for more than 3 hours, failure to fulfill one’s professional duties, failure to comply with subordination with the head of the department, and similar violations.
2. Dismissal as a disciplinary sanction is applied in case of repeated violation of labor discipline, in case of repeated or prolonged absence from the workplace, as well as when appearing at the workplace in a state of alcoholic intoxication.

Disciplinary system quite flexible and requires an individual approach in each individual case, in order to avoid mistakes leading to violation of labor laws.

Application

Disciplinary sanctions against an employee are applied after a disciplinary procedure is carried out, as a result of which the imputation of the offending employee for the offense is determined.

Article 193 of the Labor Code of the Russian Federation regulates the procedure for applying disciplinary sanctions.

If a disciplinary offense is discovered, the violator of discipline is required to provide a written explanation of the reasons upon request violations of labor discipline or labor regulations.

In large organizations, an explanation is required by the head of the unit, who passes it on to the head of the enterprise with a memo attached to it.

The memo contains information about the disciplinary offense. In small and medium-sized businesses, such issues are decided by the manager himself.

After receiving a written explanation of the reason, the manager chooses the option of further action in relation to the negligent employee:

• imposes a penalty in the form of a reprimand;
• creates a disciplinary commission;
• makes a decision on dismissal.

The manager must follow all the sequences, otherwise the employee will be able to appeal the disciplinary sanction through legal proceedings or by contacting the relevant authorized organizations.

Filing a disciplinary sanction usually falls on the shoulders of a personnel employee or department head.

Causes

Reasons for disciplinary action:

• committing a disciplinary offense;
• violation of an employment contract;
• dishonest performance of functional duties.

Based on one (several) of these reasons, the head of the enterprise decides to create a disciplinary commission, which, having studied all the circumstances of the case when a violation was committed, recommends to the manager a certain, most appropriate disciplinary sanction.

In this case, the causal relationship of punishment for a violation is not limited to the responsibility of the manager, but is accepted in consultation with the work collective.

However, the manager has every right to resolve the issue at his own discretion, based on legislative standards.

Forms

Forms of disciplinary sanctions include oral and written reprimands, as well as warning and operative reprimands.

To verbal disciplinary action These include reprimands that are announced orally, but in relation to their issuance an order is drawn up and filed in the employee’s personal file.

This order will be valid within the scope of the employee’s work at the enterprise where he works, and outside its boundaries, it may lose legal force.

To written forms– these include reprimands that are entered into a personal file based on an entry in the work book of an unscrupulous employee. Accordingly, this reprimand will remain throughout the entire career, except in cases of protest.

According to the Labor Code of the Russian Federation, the imposition of a disciplinary sanction in the form of a warning informs the employee about an inappropriate attitude towards labor discipline, is formalized by order and filed in a personal file.

In the event of a repeated violation, the employee is dismissed on the basis of a dismissal order, without initiating a review of the case by a disciplinary commission.

The final disciplinary action makes a decision to dismiss the employee immediately.

Deadlines

Terms of disciplinary action under the Labor Code of the Russian Federation: at least 1 month from the date of commission of the offense.

During this period, all relevant activities must be carried out, including the formation of a disciplinary commission and its work.

Provided that a decision was made to dismiss an employee without preventive procedures, he needs to be warned:

• a written order, which he will familiarize himself with against signature;
• 3 days before dismissal.

If these conditions are not met, the employee can appeal the decision of the manager or the disciplinary commission.

Reasons

The basis for disciplinary action will be considered a written message submitted to the head of the enterprise or the head of the department, drawn up in the form of an internal memo, indicating the fact of a violation.

It must be accompanied by a written explanation of the negligent employee regarding the violation. If the manager considers that these grounds are not enough, he has the right to initiate disciplinary proceedings against the offending person.

In this case, the disciplinary sanction will be imposed on the basis of the disciplinary proceedings and the decision of the disciplinary commission.

In small enterprises, intermediate procedures are abolished, and the manager makes a decision on disciplinary action based on his own initiative and response to the violation.

In any case, when a violation is committed, it is necessary to transfer it to the status of legal proceedings, with the acceptance of a written explanation, otherwise the actions to impose a penalty will be considered unauthorized.

Statute of limitations

When an employee works at one enterprise, according to labor law, all disciplinary sanctions will be kept in his personal file. They will form a general description of him as an employee, his business qualities and ability to organize a work regime.

They can be resorted to in cases of consideration of his candidacy for the corresponding position or in case of relapse based on violation of discipline.

The imposition of a disciplinary sanction must occur no later than 1 month after the commission of the offense, otherwise it loses the period for taking measures. After this period, it is unlawful to return to the committed violation.

Consequences

The consequences of disciplinary action can be varied. After a decision on disciplinary action is made, the disciplinary commission has the right to set a deadline for the implementation of the required measures in relation to labor discipline or the proper performance by the employee of his duties. This period can be set within 1-3 months, at the discretion of the commission.

If during this period of time the commission discovers new violations, it has the right to raise the issue of dismissing the employee on the basis of a disciplinary sanction.

Produced by a decision of another authority. To do this, you will need to contact the commission for resolving labor disputes, which is available at every large enterprise.

Provided that she did not recognize the person’s rights to have the disciplinary sanction lifted, the case can be considered in court.

If the disciplinary sanction relates to dismissal due to professional incompetence or for violation of labor discipline, then it can only be canceled by a court decision.

Statement of claim to court must be submitted no later than 1 month from the date of dismissal or signing of the dismissal order.

Only one disciplinary sanction may be imposed for one disciplinary violation. Disciplinary sanctions under the Labor Code of the Russian Federation cannot be cumulative, but each subsequent penalty, by right, can be more demanding and stringent.

Disciplinary action by the Labor Code is a very specific form of imposing liability on a person. If such cases stop repeating, then it will be stored in latent form and will in no way affect further work activity. But when the precedent of the violation is repeated, it will emerge as an additional fact characterizing the employee’s personality.

All labor disciplinary sanctions, except dismissal, are a kind of anchor that keeps labor production in proper condition.

Every person officially working in a company signs an employment contract with the employer. Based on this document, different types of disciplinary sanctions can be applied to an employee in the presence of various violations, for which the main provisions of the Labor Code are taken into account. They are represented by certain measures of punishment, and if a sufficient number of violations are recorded on the part of an employee of an enterprise, this may become the basis for his official and compulsory dismissal.

What is a disciplinary offense?

If any disciplinary offense is detected on the part of an employee, then various penalties are applied to him. This offense is represented by failure to fulfill one’s obligations in the workplace. For example, the rights of other employees may be violated, management orders may not be followed, or the requirements of local regulations may be violated.

All actions that constitute disciplinary offenses are listed in Resolution of the Plenum of the Supreme Court No. 2. Such actions are certainly accompanied by signs:

• labor discipline is violated, therefore, if a citizen simply does not want to take part in the public life of the company, then this cannot become the basis for using various types of disciplinary sanctions;
• when violations are detected, there must be evidence of the guilt of a particular specialist, so if he did not come to work due to natural disasters, fire or getting into an accident, then this is a good reason, and therefore cannot be regarded as absenteeism.

Penalties may only be applied if there is evidence of the employee’s guilt. If he can prove that he is not guilty of certain actions, then under Art. 192 of the Labor Code of the Russian Federation, disciplinary sanctions cannot be used.

Features of punishment

These penalties can be general or special. The first are listed in Art. 192 of the Labor Code, therefore they can be applied to any employee of the enterprise. Special ones are used only for certain categories of employees. They are usually established by various laws or specified in the charter of the enterprise.

The most common types of disciplinary sanctions prescribed in the Labor Code are applied. They can be used for any employee who has violated labor discipline or failed to comply with the requirements of the company management. It does not matter what position he holds or what job duties he performs.

It is prohibited to use various types of punishment that are not listed in the Labor Code, for example, it is not allowed to apply a disciplinary sanction in the form of a fine.

Various penalties can only be used by the immediate manager of the company or a responsible person who has the appropriate powers delegated in an official manner. The same person chooses which measure will be used. In this case, the severity of the existing offense is taken into account, as well as the circumstances of the process, since mitigating nuances are often identified.

Often, employees, after various penalties have been applied to them, turn to court for help. After considering all the circumstances of the case, the court may find that dismissal or other punishment are unlawful actions on the part of the employer, therefore all the employee’s demands are satisfied.

If, within a year after a penalty was applied to a citizen, there are no complaints about his work or behavior, then it is automatically recognized that he has no punishments. Additionally, before the end of the one-year period, the status of a respectable specialist can be returned to the employee by sending a special written petition to the employer. It indicates a request to remove the penalty.

When are they used?

Penalties can be used by the employer only if there are compelling reasons. All of them are listed in Art. 192 TK. Therefore, different types of disciplinary sanctions under the Labor Code of the Russian Federation can be applied in the following situations:

• failure to fulfill one's main job responsibilities under an employment contract;
• dishonest performance of functions in the workplace;
• performing various actions that are not permitted by company regulations;
• the basic provisions of job descriptions are violated;
• labor discipline is not observed, for example, regular lateness or unreasonable absence from the workplace is detected.

Based on the above violations, the employer can certainly use different methods of punishment. Therefore, employees themselves must ensure that they carry out their duties responsibly.

Comment

This method of punishing negligent workers is considered the most common. A disciplinary sanction is imposed in the form of a reprimand for minor offenses. For example, if minor damage is caused to company property or disciplinary standards are violated. At the same time, there should be no negative consequences of such employee misconduct for the enterprise.

A reprimand is usually applied if this is the first time that a specialist has performed his duties improperly. In order to apply a disciplinary sanction in the form of a remark, even when hiring a citizen, it is necessary to familiarize him with the job descriptions.

How is a comment made?

The very process of using such punishment involves the implementation of actions on the part of management:

• Initially, the employer must require written explanations from the employee;
• an explanatory note is prepared within two working days after receipt of the request;
• in the explanatory note, the specialist can indicate the presence of evidence that there is no guilt or that there were certain unforeseen circumstances due to which he violated the requirements of the company’s management;
• the employer independently decides whether the existing reasons are valid, since such circumstances are not stipulated in the Labor Code;
• Most often, no punishment is applied if the employee was sick or did not have the necessary materials to perform his job duties;
• if the reason is recognized as valid, then the employer does not apply punishment in the form of a reprimand to the employee;
• if there are no compelling reasons for violating the company’s requirements, then the manager issues an order on the basis of which a reprimand is given to the employee;
• The specialist signs this order, and if he refuses to sign, then an act is drawn up by management.

The standard period for imposing a disciplinary sanction is one year. It is possible to remove it ahead of schedule, and this process is carried out at the initiative of the employer or on the basis of a petition drawn up by the employee, the head of the department where he works, or a representative of the trade union.

Rebuke

This method of punishment is considered quite specific, and the legislation does not contain information about what offenses it can be used for. Typically, disciplinary action in the form of a reprimand is applied if serious misconduct is identified that leads to certain negative consequences for the company. Additionally, it is used for regular minor violations.

Most often, a reprimand is used in the following situations:

• violation of the basic provisions of the Labor Code;
• regular absenteeism;
• violation of the charter or internal other regulatory documents of the enterprise;
• failure to fulfill his official duties, which the company employee was familiarized with in advance against signature.

This type of disciplinary sanction may be applied if a citizen refuses to undergo a medical examination or advanced training courses. If a person is found to have intentionally or unknowingly carried out actions that caused the company to suffer losses, he or she will usually also be reprimanded. This penalty is imposed only after the issuance of an official order by the head of the enterprise. This punishment can be used for varying periods of time, but is usually imposed for 6 months.

Most often, a reprimand is used after a reprimand has been made. It is not allowed to apply several types of disciplinary sanctions at once under the Labor Code of the Russian Federation. A severe reprimand can only be issued if the employer has written evidence of the guilt of a particular employee.

How is a reprimand issued?

The process of holding people accountable must be implemented in consistent actions. Initially, the specialist’s immediate supervisor must submit a memo or special report to the company’s management. This document contains information:

• date when the event occurred;
• the circumstances under which the violation was committed by the company employee;
• the names of all persons who are related to this offense.

The violator is given the opportunity to submit written explanations to the employer. If this type of disciplinary sanction is applied for absenteeism or other violations, then the relevant information must be entered into the personal file of the enterprise employee. Such punishment may serve as a basis for depriving an employee of a bonus or other monetary incentives. If no more violations are detected within a year, the penalty will be lifted automatically. It is possible to remove a reprimand early if the employer has a loyal attitude towards the employee.

Dismissal

This method of punishment is considered the most severe. It is conditioned only by the presence of a truly serious offense on the part of an employee of the enterprise. The use of such punishment is the right of the head of the company, therefore, in the presence of mitigating circumstances, he may not resort to dismissal.

Disciplinary action in the form of dismissal is applied in situations:

• there are several cases of violation of labor regulations at the enterprise, for example, regular lateness or ignoring job descriptions;
• gross misconduct, for example, showing up at work while intoxicated, disclosing important information about the company, theft or damage to company property.

Such violations are truly significant. The employee’s guilt must be confirmed by official documents in order to establish that it was he who committed the disciplinary offense. Types of disciplinary sanctions can only be applied individually, and before dismissal it is always necessary to record other minor violations, as well as issue reprimands or comments.

How is dismissal formalized?

There must be compelling reasons to impose this penalty. Additionally, you need to format it correctly.

An act of theft is necessarily formed, and an explanatory statement is also required from the violator himself. The opportunity to draw up an explanatory note is provided only within two days.

A penalty represented by dismissal must be drawn up in the form of an order. A copy of this document is provided to the employee for review. Based on this order, an order to dismiss the employee is issued. The citizen receives a salary and compensation for vacation, and information is entered into the work book that the employee was fired after committing a disciplinary offense.

It will not be possible to fire a person if he is on vacation or sick leave.

Design rules

Different penalties may be applied to employees who commit various offenses and violations. The use of various types of disciplinary sanctions in the Russian Federation is considered widespread, but certain rules of this process must be observed.

A specific violation must be recorded, for which different documents can be generated:

• an act indicating that the company employee was absent from the workplace during working hours;
• a report containing information that the work was not completed within the established time frame;
• decision of the commission studying the nuances of the detected shortage.

After identifying a violation, the employee who is the culprit is determined. Evidence is prepared, after which an explanatory statement is requested. If this document is missing within two days, then a corresponding act is generated.

If the employee has good reasons for violations, this may act as a mitigating circumstance, so a lighter punishment may be applied. If there are no grounds for a violation, then an order is issued to subject him to disciplinary action, represented by dismissal.

How long does the penalty apply?

Typically, a decision is made to hold the employee accountable within a month after a specific event or violation is discovered. If more than 6 months have passed, then it is not allowed to punish an employee of the enterprise. This period does not include the time when the employee did not go to work for good reasons.

Often, various violations are discovered after various inspections or audits. Under such conditions, the period during which company specialists can be held liable increases to two years.

Conclusion

Thus, every employer must understand the types of disciplinary sanctions and the procedure for applying them in order to effectively use them to hold negligent employees accountable.

In the Russian Federation, three types of punishment are used, represented by a reprimand, reprimand or dismissal. They are applied depending on the severity of the offense and the frequency of violations. Each such punishment must be properly formalized, and they also have a limited duration.

It is possible to lift a penalty in advance if there is an application from the employee or his immediate supervisor. The employer must evaluate all mitigating and aggravating circumstances before making a decision. The application of penalties is his right, not his obligation, so he can independently decide how the employee will be punished for various violations.

Disciplinary action is understood as a measure of influence on an employee of an organization who, for any reason, has violated the charter of the enterprise or the provisions of a collective, as well as an employment contract.

The procedure for applying disciplinary sanctions is established by Art. 193 Labor Code of the Russian Federation. The provisions of this article reflect the actions of the employer and employee when imposing any penalty on an employee as punishment for violating the terms of the contract or the charter of the enterprise.

In accordance with Art. 193 of the Labor Code of the Russian Federation establishes the following provisions:

1. The employer is obliged to request a written explanation from the employee of the organization, in which he must indicate the reason for the offense committed. If the commission of an offense is justified from the point of view of the law and the administration of the organization, then no disciplinary sanction is imposed.
2. If an employee, for personal or any other reasons, does not provide an explanatory note about the reasons for the violation, the employer has every right to impose a disciplinary sanction on him.
3. The deadlines for applying disciplinary measures are strictly regulated; at the time of issuing an order to apply these measures to an employee of the organization, no more than one calendar month should have passed from the date of discovery of the violation. This period of time does not include periods of employee illness, rest, or the time given to the employee to draw up an explanatory note.
4. Penalty should not be applied after six months from the moment the offense was committed by an ordinary employee.
5. In the event of a misconduct based on the results of an audit or financial and economic activity, liability may be imposed on the guilty employee until the expiration of a two-year period from the date of the violation. If an employee faces criminal liability, for example, for theft of an organization’s property, then these time limits do not apply to initiating a criminal case and proceedings on it.
6. For one offense, only one punishment is applied; it is unacceptable to apply several penalties in a row for committing any violation within the organization.
7. The order for collection must be presented to the employee for review within three days from the date of publication of the document. Three days are counted only during the period the employee is present at the workplace.
8. If for any reason an employee refuses to familiarize himself with the order or sign to familiarize himself with it, the employer or other authorized person draws up a corresponding act and attaches it to the employee’s file.
9. An employee has the right to appeal a disciplinary sanction, if it was issued illegally or in violation of the rights of an employee of the organization, in the relevant institutions - the labor inspectorate or labor dispute resolution bodies.

The fact of a violation must be recorded and presented to the authorized bodies when making a request if the employee filed a complaint with any body that monitors compliance with the rights of the working population of the country.

When is disciplinary action required?

Labor legislation defines several types of disciplinary sanctions, depending on the severity of the offense committed, as well as in the event of adverse consequences for the business reputation of the organization.

In accordance with Art. 192 of the Labor Code of the Russian Federation, the following disciplinary measures may be applied to an employee:

• a reprimand for committing a minor offense, the consequences of which did not cause the organization any major troubles;
• a reprimand or severe reprimand for any violations that had consequences, but they are not sufficient to dismiss the employee or are insignificant;
• dismissal on the grounds provided for by labor and other legislation, appointed in connection with the occurrence of adverse consequences for the organization, including in the case of unauthorized absence of an employee.

Federal legislation also establishes other types of disciplinary action, depending on the specifics of the employee’s work.

According to the general rule and in accordance with Art. 81 of the Labor Code of the Russian Federation, an employee may be brought to disciplinary liability for committing the following offenses:

• action or inaction of an employee, in connection with which the management of the organization loses confidence in the employee;
• committing an immoral offense in the workplace or in the performance of duties, which damages the business reputation of the institution;
• failure to fulfill labor duties without any compelling and objective reasons;
• absenteeism, except in cases of necessity, for example, when giving evidence to police officers, if the employee has become a victim or witness of a crime;
• performance of duties by an employee who is under the influence of drugs and his appearance at the workplace;
• appearing at work while intoxicated;
• theft of organization property;
• violation of the organization’s charter or labor conditions, as well as collective agreements;
• violation of orders and instructions of the head of the organization.

In accordance with labor law standards, responsibility for misconduct in the workplace should be assigned based on the severity of the offense committed and its consequences for the enterprise as a whole.

How is disciplinary action imposed?

Before directly bringing an employee to disciplinary liability, the employer or any authorized person is obliged to record the fact of the violation.

Typically, the following are used to record an offense:

• acts of violation of labor standards and conditions drawn up by authorized persons;
• examinations or reports on the presence of violations and consequences for the organization;
• testimony of other employees about the violation and the violator;
• any other written documents that may establish the fact of the misconduct and violation.

After establishing the fact of a violation, a report is drawn up addressed to the head of the organization, which indicates the violation and its possible consequences. All confirmed information about the misconduct committed by the employee is attached to this document.

After receiving the documents, the manager must present them to the employee for review and also request an explanatory note. If the employer considers the arguments of the explanatory note to be valid, then no disciplinary sanction will be imposed.

In the absence of an explanation, the employer or any other person with the appropriate authority draws up a report on the absence of an explanation in front of witnesses. After this, these documents are filed in the employee’s personal file and an order is issued for disciplinary liability or dismissal, depending on the severity of the offense.

Order to impose disciplinary liability

In accordance with Art. 193 of the Labor Code of the Russian Federation, the employer issues an order to bring the employee to disciplinary liability in connection with the identified violation, within a legally defined time from the date of commission and discovery of the offense. Issuing an order and disciplinary action after the expiration of the established deadlines is not allowed, as it significantly violates the rights of the employee.

The order must reflect the following data:

• recorded fact of violation, as well as information about supporting documents;
• the time of the violation, as well as the period of detection;
• grounds for holding the employee liable;
• characteristics of the penalty - from reprimand to dismissal, depending on the severity of the offense.

The order must be endorsed by the head of the employee who committed the offense, the head of the division or branch, as well as a representative of the human resources department.

The best way to issue an order would be to print it in triplicate or make two copies, although such a procedure is not provided for by law. In this case, the original can be sent to the internal archive, one copy can be provided to the employee, and the second can be filed in his personal file.

How to remove a disciplinary sanction

In accordance with Art. 194, an employee who has had a disciplinary sanction will be considered not to have such liability if, within the next year after the disciplinary sanction, he is not brought against another. This provision does not oblige the employer to issue any additional orders; however, if the employee again violates the terms of the contract or the organization’s charter, the period for lifting the penalty from him will be calculated from the moment he was brought to justice again.

In case of repeated violation by virtue of Art. 81 of the Labor Code of the Russian Federation, the employer has the right to dismiss an employee without any consequences for himself.

Disciplinary liability can be lifted earlier than the established period for several reasons:

1. At the initiative of the employer, if he is confident that the employee will not commit misconduct in the future.
2. On the initiative of the employee, if he independently appealed to the employer with a petition about the correctness of the application of sanctions and awareness of his behavior.
3. At the initiative of a trade union or other body that represents the interests of the worker.

To be able to repay a penalty early or have it removed, the employee must meet all the requirements and guidelines within the organization, fully perform his duties and be in good standing with management.

The employee’s manager draws up a memo, petition or presentation, in which he indicates the reason for lifting disciplinary liability from the employee. Afterwards, an order is issued to remove liability from a specific employee. At the same time, the legislation does not provide for an established form of the document; it is regulated either by local regulations of the enterprise or directly by the manager.

The employee must be familiarized with the document; after studying the order, he must sign that he has studied the relevant provisions and took them into account.

Why is disciplinary action dangerous?

Disciplinary punishment can cause a number of adverse consequences for the employee in the future, if a year has not passed since its imposition, or the employer has not independently removed responsibility ahead of schedule.

The following legal consequences may arise for an employee of an organization:

1. Deprivation of bonus monthly payments.
2. Deprivation of bonuses for a quarter, half a year or year.
3. Dismissal in case of repeated violations. It is impossible to fire an employee for minor offenses; a compelling argument is required to apply such a sanction.

Disciplinary action is a method of influence by an employer on an employee of an enterprise who, for some reason, has committed a violation of labor regulations, the terms of the employment contract, etc. In this way, the management of the organization can control the responsibility of employees in the performance of their duties.

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You can download a sample Order on imposing a disciplinary sanction in .doc format

In the work of an organization, sometimes it is necessary to deal with employees’ dishonest performance of their duties and violations of discipline. Such cases, of course, require some punishment for the offending employee. The procedure for applying disciplinary sanctions is prescribed in the Labor Code of the Russian Federation.

Many managers do not take the punishment system used in their organization seriously enough. Thus, often the punishment of guilty workers is subjective in nature, does not correlate with the severity of the offense committed, and does not take into account its circumstances. The application of such measures often does not comply with legal requirements.

Many organizations have a vague system of rewards and penalties that is not documented in any way. At the same time, punishments are imposed on personnel arbitrarily, “in words,” without proper formalization.

Moreover, some managers abuse disciplinary action to manipulate their subordinates. However, this is a big mistake. Any illegally applied punishment can be appealed by the injured employee and lead to extremely unpleasant consequences for the company’s management.

What types of disciplinary sanctions are there?

The law allows for the justified use of three types of disciplinary penalties:

1. comment;
2. rebuke;
3. dismissal.

The employer does not have the right to use other types of punishments, such as deductions and fines, if they are not specified in the company’s regulatory documents.

In some organizations, other types of penalties are possible in accordance with the law and special norms of local documentation of such companies.

In what cases is disciplinary action applied?

The cases in which penalties are imposed are determined by Article 192 of the Labor Code of the Russian Federation. This is the failure or dishonest performance by an employee of his work. To do this, his duties must be specified in an employment contract or other document with mandatory familiarization with the employee’s signature.

Disciplinary action is applied:

• if the employee committed an action that was not permitted by work instructions or other regulatory documents;
• if the employee violated the job description or other norms of the organization (for example, did not fulfill direct duties or orders from management);
• if an employee does not comply with labor discipline (is late, absent from work).

How is a disciplinary sanction issued?

1. The fact of a disciplinary violation is documented. To do this, one or more documents from the following list are drawn up:

• act (for example, about the absence of an employee from work);
• memorandum (on violation of project deadlines);
• decision of the commission (conclusion of the audit commission on withholding the amount of the deficiency).

2. After a violation is recorded, it is necessary to obtain an explanation from the employee. This gives the employee the opportunity to indicate the reasons for his action. Failure to provide an explanatory note within two working days is recorded in a corresponding act.

It is better to formalize the employer’s request for explanations on paper and submit it against the employee’s signature. The employee’s refusal to sign the request is recorded in an act. A written request and a drawn up report on the absence of an employee’s explanation may be sufficient grounds for imposing a disciplinary sanction.

If the culprit provides an explanatory note on time, the employer makes a decision during its consideration. If the given reasons that led to the incident are considered valid, then disciplinary action may not follow. Otherwise, the note will become the basis for a penalty.

3. The next stage of formalizing a disciplinary sanction is the creation of an order. The manager decides independently which of the three punishments to use in each specific case, taking into account all the known circumstances of the offense, in proportion to its severity and consequences, and the guilt of the employee.

The order is prepared and submitted under the signature of the employee within three working days.

The order must contain:

• information about the employee, his position and place of work;
• the essence of the incident with an indication of the violated clauses of the regulatory documents;
• a description of the violation with conclusions about the degree of its severity and the presence of the employee’s guilt;
• type of penalty imposed;
• grounds for recovery (details of documents in which the violation is recorded, explanations, acts).

If the culprit refuses to read the order and sign the document, a report is drawn up.

4. Making an entry in the employee’s personal file is optional. Information about the presence of a reprimand or reprimand can be entered in a personal card, but not in the employee’s work book.

Within what time frame can disciplinary action be taken?

In general cases, punishment is imposed within one month after the incident is discovered by the direct management of the guilty employee and no later than six months from the moment it occurred. The time an employee is absent for valid reasons is not included in this period. If a violation is identified during an audit or audit, this period is increased to 2 years. The time of production actions in a criminal case initiated on the basis of a violation is also not included in the total time of limitation of the offense.

How is a disciplinary sanction lifted?

The disciplinary sanction is canceled automatically or at the initiative of the employer himself. From this moment on, the employee is considered to have no penalties.

1. The penalty is automatically lifted from the employee one year from the moment it was imposed in accordance with Article 194 of the Labor Code of the Russian Federation. The condition for automatic removal of the penalty is the absence of other violations during the year.
2. The penalty can be canceled ahead of schedule with the filing of management. The employee himself or his immediate superior may request the termination of the penalty. If, while the penalty is in effect, the employee is transferred to another position, this will be sufficient grounds for termination of the penalty.

Early withdrawal of a penalty is formalized by an appropriate order, which is delivered to the employee against his signature.

What consequences does a disciplinary sanction have for an employee?

• If an employee has a penalty, the employer has the right to deprive the employee of his bonus partially or completely and deprive him of other incentive payments, provided that such a possibility is provided for by the regulatory documents of the organization.
• According to Article 81 Part 5 of the Labor Code, repeated violation during the current disciplinary punishment is grounds for dismissal of the employee.

How to properly apply disciplinary sanctions?

The application of disciplinary sanctions must be approached with full responsibility. This is especially true for such a serious penalty as dismissal. It is possible to dismiss an employee at the initiative of the employer only after a repeated violation with an existing penalty already in effect.

The employer needs to monitor the sequence of its actions. It should be remembered that one violation cannot be punished twice. If the latecomer has already received a reprimand, he cannot be reprimanded.

It is necessary to carefully prepare and execute all documents: both internal regulations establishing relationships with employees, and documents related to a particular case of disciplinary action.

Labor responsibilities must be assigned to the employee properly. If an employee has some new responsibility, it must be formalized. The employment contract, job description, local regulations, staff work schedule must be correctly drawn up and include a complete list of the employee’s functions. It is mandatory for the employee to sign that he has read this document.

Incorrectly drawn up labor regulations will certainly create difficulties if it is necessary to apply disciplinary action. The document must be drawn up in accordance with all the rules: indicating the name of the organization, familiarizing all employees with the presence of the necessary signatures and dates.

When preparing documentation in case of punishment of an employee, carefully check the availability of all the necessary papers: reporting and explanatory notes, orders to impose penalties, duty schedules and time sheets, and other documents. Check all signatures and dates on documents.

What responsibility does the organization bear for violating the collection procedure?

Based on a complaint from a punished employee, a labor inspectorate may conduct an inspection to determine the legality of the disciplinary sanction and the correctness of its execution. In case of detected violations, the organization may be brought to administrative liability. In addition, a penalty that is groundless or applied in violation of the law is considered illegal.

In this case, the dismissed employee has the right to reinstatement through the court, to receive compensation from the employer for forced absence and for moral damage.

The employer will incur costs associated with legal proceedings, inspections by the labor inspectorate, the prosecutor's office, and will be forced to pay the costs of lawyers, and possibly a fine. The organization also risks damaging its business reputation and losing credibility among its own employees.