Disciplinary Process

Purpose To document process for Disciplinary Proceedings process with mandates for raising a request for initiation of Disciplinary proceedings, Competent Authorities for approval for initiation of Disciplinary Proceedings, broad timelines of issuance of Disciplinary Letters, official channels of communication of the Disciplinary letters to the concerned stakeholders and process for closure of the proceedings The aim of the disciplinary action should be an improvement in the team member's actions or attitude, although dismissal may indeed be an outcome in serious cases. Process for Disciplinary Action 1. Initiating Disciplinary Action 1.1 Disciplinary action has to be based on investigations conducted by the State HR in coordination with all Stakeholders (Department, Customers and concerned employees) into the instance of Misconduct / Breach in the Work discipline 1.2 Based on the findings, it is recommended to seek explanation from the employee either directly through official channels via official mail ID or through written explanation (duly signed by the employee). If there is requirement to seek explanation on the investigation findings from the employee and the above is not done, a Show Cause Notice Request or Explanation letter request can be routed to HO HR Compliance team 1.3 The Disciplinary Request must contain all the below mandatory requirements (elaborated in Appendix A): 1.3.1 Employee Details 1.3.2 Recommendation by Zonal Manager or State Head 1.3.3 HOD Approval for initiating Disciplinary Action 1.3.4 Supporting documents and Investigation Trail 1.3.5 Case Brief supporting Grounds for initiating Disciplinary Proceeding 1.3.6 Case Authentication 1.3.7 Earlier SCN reference 1.3.8 Follow-up correspondence with employee (in case of SCN / Explanation Letter)

Disciplinary Process

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SOP 26.5-02-11

2. Processing and Dispatch of the Disciplinary Letter

2.1 Based on the Disciplinary request, the HR Compliance Team verifies the investigation reports, necessary approvals and earlier instances of Disciplinary proceedings against the employee. 2.2 The Disciplinary letter is issued following procurement of legal draft. The process involves extensive co-ordination with the Department, Legal Team and State HR 3. Closure of Disciplinary Proceedings 3.1 Issuance of Warning Letter, Caution Letter, Stoppage of Increment/Bonus/Promotion, Demotion/Degradation Letter and Termination Letters mark the closure of Disciplinary proceedings 3.2 Issuance of Show Cause Notice does not mark the Closure of the case. SCN is closed only after issuance of WL, Demotion/Degradation/Transfer letter or TL. In case of issuance of SCN, revert is required within 7 Days from date of issuance of SCN. Based on revert, ZM Recommendation and HOD approval is taken for further action. State HR must route a mail to the authorities on completion of the 7th day, as mentioned in the SCN, with recommendation and observations. This must be sought in consultation with the business partners. If revert is received from the employee within the specified timeline, ZM Recommendation and HOD approval is taken on closing the case with issuance of Warning Letter, Caution Letter, Stoppage of Increment/Bonus/Promotion, Demotion/Degradation Letter or Termination Letter 3.3 Letters are sent to employee's residential address by SPAD. W.e.f 04-Jul-2011. For SCN/ Notices/Warning letters and other punitive letters issued to Active employees, it is recommended to take acceptance on a copy of the letter (by hand) as well as forward the same to office mail ID of the employee. 4. Approving Authorities

DOA for Disciplinary Proceeding Recommending Authority for Disciplinary Proceeding Approving Authority for Disciplinary Proceeding HR Approval (L2 and Below) HR Approval (L3 and Above)

Designations Zonal Manager Head of the Department / Head of the Vertical (as given in DOA) / Zonal Manager (For agency) / Officiating Head of Department Associate VP - Human Resources (HR Ops) Senior VP and Head Human Resources

Disciplinary Process

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SOP 26.5-02-11

Appendix A

Show Cause Notice

Disciplinary Request Checklist

Warning Letter

Requirement

Description

Employee Details Recommendation Approval

Employee Code, Name, Designation, Location By Zonal Manager / State Departmental Head Head of the Department stating form of letter to be issued Scanned copies of the below (wherever applicable): (1) Financial Instruments & Bills Must be certified by the Zonal Accountant (2) Customer Complaints Must be certified by reporting Authority (3) Policy details Must be certified by reporting Authority (4) FIR copies, Court Orders & Warrants (5) Print screens, Attendance register, Web pages (6) Disciplinary Memos, Warning Mails, Apology Letters on allegation of fraud or indiscipline if issued earlier (7) All relevant dates in case of incidents, proxy attendance & meetings

Supporting documents and Investigation Trail

Case Brief supporting Grounds for initiating Disciplinary Proceeding

Case History, Findings, Observations

Case Authentication

Case to be authenticated by Zonal HR and irrespective of channel of request raised to Compliance team, ZHR authentication is mandatory Scanned copy of earlier Show Cause Issued and Revert Received (Applicable for cases where Warning or Termination Letter is issued following Show Cause Notice)

Earlier SCN reference

Follow-up correspondence with employee

For Revert on Letter issued (after issuance of SCN)

Termination X