Employee Disciplinary Policy

EMPLOYEE DISCIPLINARY POLICY

This Employee Disciplinary Policy ("Policy") is effective from ________ ("Effective Date") and applies to ________, its subsidiaries and joint ventures over which the ________ exercises management control ("We", "Us", "Our", "Company").

The purpose of this policy is to set and maintain standards of conduct within the Company and to ensure that all employees are treated fairly and consistently.

All the employees and other stakeholders of the Company are expected to update and follow the procedures set out under this Policy.

For those employees who are on a probationary period, the Company may bypass the steps of disciplinary action envisaged under this Policy and may summarily terminate such employees.

The procedures in this Policy provide for progressive discipline to address issues involving unsatisfactory job performance for employees to give notice of such deficiencies and allow rectifying and improving them.

The actions are taken or steps followed will depend upon the circumstances in each case, inclusion or exclusion of the steps will depend entirely on the seriousness and the nature of the misconduct.

This Policy does not create any contractual obligations between the parties and the main aim of this policy is to emphasise the importance of harmonious relationships among the employees and between the employees and management.

1. SCOPE

This Policy applies to all employees including trainees, apprentices, interns, part-time and full-time employees of the Company.

2. DEFINITIONS

(a). "Committee" means the Disciplinary Action Committee or Ad-hoc Disciplinary Action committee appointed from time to time to decide upon the internal disciplinary issue of the Company.

(b). "Employee" means a person employed at a Workplace for any work on a regular, temporary, ad hoc or daily wage basis, either directly or through an agent, including a contractor, with or, without the knowledge of the principal Employer, whether for remuneration or not, or working on a voluntary basis or otherwise, whether the terms of employment are express or implied and includes a co-worker, a contract worker, probationer, trainee, apprentice or called by any other such name.

(c). "Management" means a person who is responsible for the management, supervision and control of the Company's work and Workplace.

(d). "Workplace" means establishments, enterprises, institutions, offices, branches, premises, locations or units established, owned controlled by the Company or places visited by the employees out of or during employment including accommodation, transportation provided by the Employer for undertaking such journey.

3. GENERAL GUIDELINES

(a). Whenever possible informal actions like a direct conversation, informal chatting with the employee will be considered before recourse to any formal procedure. The verbal warning may take the form of a simple oral reprimand or a full discussion if necessary.

(b). All employees will be treated in accordance with Company's equality principles and policies.

(c). The employees undergoing investigation/formal action shall be informed of the nature of the complaint. If available, the employee undergoing any disciplinary action shall be provided with copies of complaint or witness statements before the hearing date.

(d). Every employee who is alleged of committing any offence/violation shall be given a free and fair chance to hear.

(e). The formal proceedings shall be concluded as soon as possible unless it is pertinent to delay it for some time on the recommendation of the committee or management.

(f). The employees shall co-operate with the disciplinary action committee and participate in the disciplinary proceedings as and when required for the resolution of the infractions alleged against them.

(g). The complainant shall not be penalized in any manner and no retaliatory action shall be taken against anyone for reporting or inquiring in good faith about potential infractions. However, the Company reserves the right to take appropriate action against the complaint in case of frivolous or false accusations or complaints.

(h). The Company may consider factors including the intensity of the offence committed, frequency of the offence, etc. while deciding on the quantum of the action or punishment.

(i). This policy is not exhaustive and the committee appointed to investigate the matters which are otherwise considered as a violation of the Company's policy or any other applicable laws prevailing in the jurisdiction where the Company is situated.

4. GROSS MISCONDUCT

(a). Committing gross misconduct will be taken seriously and appropriate actions will be taken against the perpetrator. If an employee proved to have committed gross misconduct, such employee may be dismissed summarily without giving any notice period.

(b). In addition to disciplinary action that may be initiated by the Company, further legal action may also be initiated by the Company to the extent as prescribed by applicable laws in India.

(c). The following are some of the examples of gross misconduct and the list is not exhaustive:

(I). Serious negligence which causes irreparable loss, damage or injury;

(II). Failure to work in accordance with prescribed Company guidelines, policies, procedures and code of conduct;

(III). physical violence or intimidation;

(IV). deliberate and serious damage to the property;

(V). serious violation of health and safety rules;

(VI). unauthorized possession of Company's property assets;

(VII). theft, fraud, corruption, and manipulation of records;

(VIII). false declaration of qualifications or professional registration or concealing critical information as part of background checks and verification;

(IX). breach of security procedures;

(X). serious breach of the anti-bribery and anti-corruption policy;

(XI). the use or possession of illegal drugs or weapons;

(XII). Sexual harassment;

(XIII). misusing the Company's confidential information, prejudicial to the interest of the Company;

(XIV). Frequent absence from work/absconding from work or services for a period of more than ________ consecutive working days without a valid reason or approval from the concerned authorities;

(XV). serious incapability due to consumption of alcohol or illegal drugs on duty;

(XVI). subjecting an employee, client, or customer to intentionally discriminatory treatment or harassment;

(XVII). committing any other serious offence under the applicable laws or against the best interests of the Company.

5. DISCIPLINARY PROCEDURES

(a). The committee or management may choose to repeat stages of disciplinary proceedings as appropriate. The decision will depend on the employee's reaction to the disciplinary actions taken.

(b). The Company may resort to legal intervention/recourse as and when required at the discretion of the Company.

(c). If an employee is charged with or convicted of a criminal offence, will not necessarily in itself be the reason for disciplinary action or termination unless such conviction adversely affects the continued employment of such an employee.

(d). Before initiating any formal action against the employee, the concerned authorities shall conduct a thorough investigation on the allegations and complaints against such an employee.

(e). The following steps are provided as general guidelines, if required, the Company may add or remove other steps to this list depending on the situation and case:

(I). Verbal warning

(1). As a first, step, a verbal warning to the employee shall be considered. Whenever possible, the concerned person shall first resort to informal actions and communications to rectify errors on the part of the employee.

(2). At this stage, the employee will be informed of their unsatisfactory conduct and made aware of the standards expected from their side without resorting to any formal procedures.

(3). Through verbal communication, the concerned manager/supervisor shall endeavour to make the employee understand the real issue and shall take their response to the same. If required, a summary of the communication can be recorded and sent to the employee over email.

(4). At this, stage, both parties will agree on certain terms and schedules for rectifying the error.

(II). Written warning

(1). If the issues have not been resolved through a verbal conversation, such an employee will be given a written warning.

(2). All the written warnings shall include the following main points:

(a). this is a written warning and not a normal guidelines or counselling letter;

(b). the specific issues that are the basis for the warning;

(c). the specific improvements to be made by the employees to rectify the error;

(d). the time frame allowed for improvement or corrections;

(e). the consequences of failing to make the required improvements or corrections.

(III). Final Warning Letter

(1). A final warning letter will be issued to the employee if the employee is found to be in gross misconduct or has not adhered to a previous written warning issued.

(2). The final warning letter includes the details of the complaint, improvement required, timescales. This letter also includes the consequences of continued misconduct including termination of employment.

(IV). Suspension

(1). If required, the committee or Company will keep the defaulting employee suspended for such period to enable the investigation without any interference, or the employee has committed a serious offence under the applicable laws and possesses a threat to other employees or the reputation of the Company, for any other reasons the committee or Company find to be necessary.

(2). During the suspension period, the employee will be entitled to only basic pay.

(V). Termination

(1). An employee may be terminated if he/she is proved to have committed an act of gross misconduct or the employee has failed to rectify the error mentioned under the final warning letter.

(2). The termination of the employee shall be finally decided by the following persons/departments of the Company: ________.

6. DISCIPLINARY ACTION COMMITTEE

(a). The committee shall consist of the following departments and people:

________

(b). However, if a complaint is received against a member of the committee, such member shall be excluded from the proceedings of the committee.

(c). The quorum required for conducting the meeting shall be:

________

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8. APPEAL

(a). The employee who wishes to appeal against the disciplinary action shall write to the chairman or any committee members or any senior management within ________ days from the date of communication of the decision.

(b). Such appeal shall mention the grounds of appeal including any pieces of evidence or witnesses to support their stand. Such documents or a list of witnesses shall be submitted prior to two working days.

(c). The appeal may be considered on the following grounds;

(I). that new evidence is available which was not presented during the original hearing;

(II). the original hearing was materially flawed or was against the natural justice;

(III). the quantum of punishment decided is not reasonable.

(d). After considering the matter, the committee or management may reach the following decisions:

(I). uphold the disciplinary action or;

(II). reduce the quantum of punishment or;

(III). change the type of punishment or;

(IV). remove the disciplinary action entirely.

(e). The decision of the committee or management will be communicated within ________ days from the date of appeal. The decision of the committee or management in this regard shall be final.

9. DOCUMENTATION

(a). The files and records in connection with disciplinary actions shall be preserved for the following period from the last date of employment: ________.

10. CHANGES TO THIS POLICY

(a). We reserve the right to revise and make changes to this Policy from time to time to adapt to the changing scenarios and laws. The employees and other stakeholders are required to check and refer to the updated version from time to time on the website or other records of the Company.

11. FURTHER INFORMATION

(a). For any queries or further information about this Policy, the employee or other concerned person can contact the following department/person: ________ (________).

12. ACKNOWLEDGEMENT

(a). By signing this Policy:

(b). I acknowledge that I have reviewed the above-listed policies and guidelines of the Company and understand my responsibilities.

(c). I agree to report any actual or potential situation or incident that may be contrary to the above policies as soon as I become aware of it.

(d). I agree to abide by the aforementioned policies and I understand that my failure to follow the policies may result in disciplinary action, up to and including dismissal.

Employee Name:

Designation:

Date:

_________________________

Signature