What penalties are. Disciplinary sanctions

If an employee does not perform his duties or performs them improperly, the immediate supervisor may bring him to disciplinary liability by imposing a penalty. We will talk further about what kind of penalty for what violation of labor discipline can be applied to an employee in 2019 according to the Labor Code of the Russian Federation.

Types of labor penalties

Legislative types disciplinary action applied by the employer to the employee are enshrined in Article 192 Labor Code RF.

They are divided into two types:

General (named in the Labor Code of the Russian Federation);
Special (listed in special legal acts).

To understand in detail what types of disciplinary sanctions are provided for by the Labor Code of the Russian Federation, and which ones by other acts, the table will help.

Kinds	General	Special
What are provided	Art. 192 Labor Code of the Russian Federation	Norms of federal laws, charters, regulations on discipline
To whom apply	To all employees working under an employment contract, regardless of specialization	For certain categories (military personnel, civil servants, railway transport workers, employees in the field of nuclear energy, etc.)
Types of penalties	Comment Rebuke Dismissal	Comment Rebuke Dismissal Incomplete Service Compliance Warning Severe reprimand Demotion in rank Reduction in military rank Decrease in military rank one degree Deprivation of a certificate for the right to drive a locomotive, etc.

* The charter should be understood as a normative act of federal significance, approved by law. This point deserves attention, since the charter also refers to local acts of organizations. So, if the latter contradict federal acts in terms of imposing a penalty, their provisions cannot be applied.

Types and procedure for imposing a penalty under the Labor Code of the Russian Federation

If the work activity of an employee is not regulated by special acts (for example, the Federal Law "On the Prosecutor's Office of the Russian Federation", the Decree of the Government of the Russian Federation "Regulations on the discipline of railway workers of the Russian Federation", etc.), then, according to the Labor Code of the Russian Federation, only the following types of punishments can be applied to him.

Comment

The imposition of a disciplinary sanction in the form of a remark is the most "popular" punishment that is applied by the employer. The legislation does not clearly define - for what misconduct a certain penalty is imposed. The choice is at the discretion of the leader.

Most often, a remark is imposed for a violation of mild severity, that is, which:

is inherently a minor violation of labor discipline;
caused minor damage;
done for the first time.

An example of such an offense would be being late for work.

The decision to issue a remark to an employee must be documented. However, before this, the employer must require an explanatory note from the violator. The latter must provide it within 2 days from the date of the request by the employer. Below is a sample order of disciplinary action in the form of a comment.

OOO "Neftetransservis"
ORDER No. 1100/64-3
Moscow December 15, 2018
About disciplinary action

Due to the absence of the chief engineer Voikov A.P. December 14, 2018 from 09:00 to 10:00 without a good reason.

I ORDER:

To announce a remark to the chief engineer Voikov Anatoly Vladimirovich.

Base:

memorandum of the head of the unit dated December 14, 2018;
explanatory note from the chief engineer Anatoly Vladimirovich Voikov dated December 14, 2018;
certificate of absence from work dated December 14, 2018.

Head of the organization: Brazhsky I.G.

Head of department: Davydov O.I.

Head of Human Resources: Gerasimenko A.Yu.

The employee is familiar with the order: Voikov A.V.

The consequences of the remark for the employee are not very noticeable: information about the issuance of the remark is not entered into work book and a personal card, and such a punishment in itself does not entail any serious negative consequences. However, at the same time, it serves as a warning: if another violation is committed during the year, the employee may face a reprimand or even dismissal.

note that there is no oral remark as a separate penalty in accordance with the Labor Code of the Russian Federation. There is only a “remark”, which is drawn up by the corresponding order. According to Article 193 of the Labor Code of the Russian Federation, the order (instruction) of the employer on the application of a disciplinary sanction is announced to the employee against signature. This means that the remark has its formal expression in the form of an official document, so it cannot be considered “oral”.

Rebuke

The imposition of a disciplinary sanction in the form of a reprimand is an intermediate measure of punishment, which by its nature is more “strict” than a remark, but “softer” in comparison with dismissal. If a remark is just a warning, then a reprimand is the “last” before dismissal.

It is declared when:

The employee has already been charged for a year.
A moderate violation was committed.
The offense resulted in material damage, but not on a large scale.

To issue a reprimand, it is not necessary that the employee already has one penalty on his account. It can be applied even if the employee has never been disciplined.

An example of a misdemeanor that can be reprimanded is absenteeism. A sample order for a disciplinary sanction in the form of dismissal for absenteeism can be viewed below (it is also a sample order for reprimanding). Although at the same time, absenteeism is a sufficient reason for dismissal of an employee, however, in practice, such a measure is rarely used.

A reprimand is not much different from a remark: information about it is also not entered into the labor and, as such, it bears consequences in itself. However, for example, if you want to appeal against dismissal as a form of disciplinary punishment, and you will be reprimanded for a year before dismissal, the court will take the position of the employer and uphold its decision. At the same time, as court practice shows, if there are comments (rather than reprimands), the chances of challenging the dismissal are significantly higher. Also, a note about the announcement of a reprimand is entered on the employee’s personal card, but not when remarked.

Before announcing a reprimand, an explanatory note is also taken from the employee, which he must provide within two days. Only after that, the head can document the penalty. A sample disciplinary order in the form of a reprimand is provided below.

OOO "Stroychermet"
ORDER No. 1800/65-2
Moscow December 14, 2019
About disciplinary action

Due to the absence of Chief Engineer Budko Ignat Vasilyevich from the workplace without a valid reason during the working day on December 13, 2019 from 9-00 to 18-00

I ORDER:

Reprimand chief engineer Budko Ignat Vasilyevich.

Base:

memorandum of the head of the unit dated December 13, 2019;
an explanatory note from the chief engineer Budko Ignat Vasilyevich dated December 13, 2019;
act of absence from work dated December 13, 2019;
working hours for 2019.

Head of the organization: Gromov I.G.

Head of the subdivision: Lupko O.I.

Head of Human Resources: Tarasenko A.Yu.

The employee is familiar with the order: Budko I.V.

Dismissal

Disciplinary action in the form of dismissal is an extreme measure of punishment for an employee.

It applies in the following cases:

Bringing to disciplinary liability twice or more in a year.
Absenteeism.
Absence from work without good reason for more than 4 hours in a row is already considered absenteeism (if the employee was absent all day, this, of course, is also absenteeism). Not considered absenteeism:
- Absence by order of the employer on a day off or during vacation;
- Absenteeism, in the case when the schedule provides for the excess of the normal working hours in accordance with Article 91 of the Labor Code of the Russian Federation;
- Absenteeism in case of changes in the shift schedule, if the employee was not familiarized with it against signature;
- Visiting the court on a summons, the police, the military registration and enlistment office, as well as detention, arrest or detention;
- A visit to the hospital for blood donation if the worker is a donor.
Appearance at work in a state of intoxication, as well as in narcotic or toxic intoxication.
Even if the employee did not reach his workplace and did not start work, but at least got into the territory of the institution (for example, he passed a checkpoint) during working hours in this form, this is already a sufficient reason to dismiss him.
Disclosure of secrets protected by law, which became known to the employee due to the performance of his labor functions.
This category of "secrets" also includes personal data of citizens.
Theft, embezzlement, deliberate destruction or damage to property at work, if the fact of commission is established by a sentence or a judge's decision.
It takes into account the theft not only of the property of the employer, but also of other employees, as well as third parties. These actions must be proven by a court decision.
Violation of labor protection requirements that caused serious consequences or created a threat of their occurrence, if it is proved by the commission/commissioner for labor protection.
Loss of employer's confidence for those who work with money or valuables (cashiers, sellers, collectors, storekeepers).
At the same time, the loss of trust occurs only as a result of the commission of physical actions of the employee that violated the rules for handling the listed values. They can be cheating, weighting, shortages, use for personal purposes. They are established by conducting an inventory, test purchases, and inspections. The subjective opinion of the employer, without the employee committing any violations and proven facts, cannot serve as a basis for dismissal.
Loss of the employer's confidence as a result of failure to take action to resolve the conflict, if the employee is a party to it, provision of false information of a property nature about himself and members of his family, if the need to provide them is provided for by federal law.
An immoral act committed by an employee performing educational functions.
Only in the case when it is committed at the place of work. Such an offense can be considered drunk, fighting, using obscene language. These actions, committed in everyday life or even in society, but not during the performance of their work duties, are not grounds for dismissing a teacher.
Making an unreasonable decision that caused damage to the property of the organization by the head, his deputy, accountant.
That is, on such a basis, only employees in senior positions who have the right to make appropriate decisions and dispose of material assets can be dismissed. "Unreasonable" may be considered a decision that was made:
- on an emotional level without taking into account objective factors;
- on the basis of incomplete or incorrect data;
- when ignoring certain information;
- in case of erroneous interpretation of information;
- without proper training: consultations, analytical activities, data collection, calculations and research.
Gross violation by the head or his deputy of his labor duties.
Even a single violation can serve as grounds for dismissal, and it is considered gross if it could cause harm to the health of other employees or damage to the property of the organization.
Repeated violation for 1 year of the charter of the educational organization.
Applies to teachers only.
Disqualification for 6 months or more.
For athletes who have concluded an employment contract (contract).
Single anti-doping rule violation.
For athletes who carry out their activities under an employment contract (contract).

Example #1. Petrov S.G. I was systematically late for work by 30-40 minutes. After another such delay, the director of the enterprise called him to his office and announced that he had been fired for repeated violations of labor discipline. Petrov S.G. wrote an explanatory note, signed the order to impose a disciplinary sanction, but at the same time applied to the court. He considered the director's actions unlawful, since before that he had no facts of bringing to disciplinary responsibility. The court recognized the order as illegal, since dismissal as a disciplinary sanction can be applied to an employee in the event of repeated (2 or more) violations of labor duties. At the same time, such violations must be documented, namely, by order of the head to issue a disciplinary sanction. In this case, although Petrov was late for work, he was never held liable in the prescribed manner, which means that there were no grounds for dismissal.

Example #2. Petrov S.G. I was regularly late for work by 30-40 minutes, but the last time I was late for 4 hours and 15 minutes, because I met my wife from the plane (the flight was delayed). Upon arrival at work, he was called to the directorate, where he was informed of his dismissal due to absenteeism. The employee wrote an explanatory note indicating the reason for absenteeism, but the management considered it disrespectful. In this case, the actions of the manager are legal and justified, since absence from the workplace for 4 hours or more is considered absenteeism. And in case of absenteeism, it is possible to dismiss an employee, even if disciplinary sanctions have never been imposed on him before.

Dismissal as a punishment for labor misconduct is also executed by order of the employer after receiving written explanations from the perpetrator no later than 2 days after the request was made. In this case, one order is issued, not two (imposition of a penalty and dismissal - in one document). If the employee refused to draw up an explanatory note, an act is drawn up with a corresponding note, where the offender must sign. If he refuses to do this, witnesses are invited to confirm this fact and put signatures on the document.

Information about the imposition of this penalty is entered in:

work book;
Private bussiness;
Register of persons dismissed due to loss of confidence, in cases where the dismissal occurs precisely on this basis.

The employer does not have the right to impose a penalty in the form of dismissal to pregnant women, temporarily disabled and employees on vacation. This is prohibited by law.

It is possible to dismiss a minor only upon obtaining the consent of the Federal Labor Inspectorate and the commission on minors (Article 269 of the Labor Code of the Russian Federation).

Employers should remember that dismissal should be applied only if it is not possible to correct the employee by imposing another penalty. Disciplinary responsibility of an employee in the form of dismissal is extremely rare in practice, and the courts and the state labor inspectorate in such cases usually take the position of an employee.

Severe reprimand: is there such a penalty under the Labor Code of the Russian Federation now

No, there is no such disciplinary sanction in accordance with the provisions of the current Labor Code of the Russian Federation. The employer could issue a penalty in the form of a severe reprimand until February 1, 2002, while the Labor Code was in force Russian Federation, approved by the Supreme Court of the RSFSR on 12/09/1971 (it provided for a severe reprimand as a possible penalty).

In practice, it is not uncommon for an employer to decide to announce a disciplinary sanction in the form of a severe reprimand, guided by the internal local acts of the organization. Such actions are illegal and can be challenged in court..

However, if the provision on a strict reprimand is contained in the NLA of federal significance, then this type of penalty can be applied. For example, it is used by the military, prosecutors, firefighters and other categories of civil servants.

Can the law impose a penalty and deprive bonuses at the same time

According to Article 193 of the Labor Code of the Russian Federation, only 1 disciplinary sanction can be imposed for 1 disciplinary offense. In this regard, in practice, disputes often arise: can an employer, for example, announce a reprimand and deprive a monthly bonus, because in fact the employee is punished twice.

In fact, it can, and it does not violate the law in any way. The fact is that the deprivation of the award is not a disciplinary sanction. The bonus is an encouragement for an employee who copes with his labor duties (Article 191 of the Labor Code of the Russian Federation). Therefore, if an employee cannot cope with them, and even violates labor discipline, why should he pay a monetary incentive? Although there are nuances here.

The employer has the right to deprive an employee of an employee's bonus only when the cases in which this is possible are listed in local regulations (Regulations on remuneration or bonuses, a collective agreement, etc.).

The term for imposing a claim

Recovery may be imposed within one month from the date of:

Identification of a violation on the part of an employee by his immediate supervisor - for general cases.
The entry into force of a court verdict or the adoption of a decision to impose an administrative penalty - for cases of registration of dismissal as a disciplinary sanction (in case of theft, embezzlement, etc.).

This monthly period does not include:

Sick leave;
vacation time;
The period required to take into account the opinion of the representative body of employees.

Recovery cannot be imposed later*:

6 months from the date of the offense - the general rule;
2 years - in cases of need for audits, audits of economic and financial activities and audits.

*the specified time does not include the period of criminal proceedings.

How long is the charge

The Labor Code of the Russian Federation established a single period of validity for each type of penalty - 1 year.

If during this year the employee commits a new misconduct, and the employer issues another penalty to him, the period is “updated” from the moment the last order was issued and is 1 calendar year. After this expiration of this period, the employee is considered not to have disciplinary action. In this case, the employer does not need to draw up any paperwork.

Is it possible to cancel the penalty early?

Early withdrawal of a disciplinary sanction is possible in the following cases:

The employee himself should apply with such a statement to the employer.
A trade union will send a similar petition to the employer.
The initiative will come from the head of the department where the offending employee works.
The employer himself decides to withdraw the penalty ahead of schedule.

But in any case, the decision remains with the employer, that is, he has the right not to satisfy such petitions. Early withdrawal is issued by order on behalf of the head.

How to appeal a disciplinary action

Every employee has the right to appeal a disciplinary sanction. If he does not agree with the decision of the employer, he can contact:

State Labor Inspectorate.
Body for consideration of individual labor disputes.

A disciplinary offense is a guilty, unlawful failure to perform or improper execution the worker assigned to him labor duties. Only such unlawful actions (inaction) of an employee that are directly related to the performance of his labor duties can be recognized as a disciplinary offense. By the resolution of the Plenum of the Supreme Court of the Russian Federation dated March 17, 2004 No. 2, in particular, the following are attributed to violations of labor discipline, which are a disciplinary offense:

the absence of an employee without good reason at work or at the workplace;
refusal of an employee without good reason to perform labor duties in connection with a change in the established procedure of labor standards;
refusal or evasion without good reason from medical examination of workers of certain professions, as well as the refusal of an employee to undergo special training and pass exams on labor protection during working hours.

If dismissal for absenteeism is applied to an employee as a disciplinary sanction, then it can be made:

for absenteeism from work without good reason, i.e. absence from work during the entire working day (shift), regardless of the length of the working day (shift);
for finding an employee without good reason for more than four hours in a row during the working day outside the workplace;
for leaving work without a valid reason by a person who has entered into an employment contract for an indefinite period, without warning the employer about the termination of the contract, but exactly before the expiration of the two-week notice period;
for leaving work without a valid reason by a person who has concluded an employment contract for a certain period, before the expiration of the contract or before the expiration of the notice of early termination of the employment contract;
for unauthorized use of days off, as well as for unauthorized leave on vacation.

For illegal, guilty non-performance or improper performance by the employee of the labor duties assigned to him, the employer has the right to apply one of the penalties provided for in Article 192 of the Labor Code of the Russian Federation:

comment;
rebuke;
dismissal for appropriate reasons.

Not accruing or reducing the amount of the bonus is not a disciplinary sanction, therefore, it is carried out on the basis of the procedure provided for by local regulations organization (individual entrepreneur).

Federal Law No. 90-FZ of June 30, 2006 clarifies what specific grounds for dismissal of an employee, provided for in Part 1 of Article 81 of the Labor Code of the Russian Federation, relate to disciplinary sanctions:

repeated non-fulfillment by an employee without good reason of labor duties, if he has a disciplinary sanction;
a single gross violation of labor duties by an employee;
adoption of an unreasonable decision by the head of the organization (branch, representative office), his deputies and the chief accountant, which entailed a violation of the safety of property, its unlawful use or other damage to the property of the organization);
a single gross violation by the head of the organization (branch, representative office), his deputies of their labor duties);
in cases where the guilty actions that give grounds for the loss of confidence, or, accordingly, an immoral offense are committed by the employee at the place of work and in connection with the performance of his labor duties.

Also, the dismissal of a teacher due to a repeated gross violation of the charter of an educational institution within one year is also referred to disciplinary sanctions.

The list of disciplinary sanctions enshrined in Article 192 of the Labor Code of the Russian Federation is exhaustive, which means that the application of any other penalty will be illegal.

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

So, before applying a disciplinary sanction on the fact of committing a disciplinary offense, the employer must request an explanation from the employee in writing. If, after two working days, the specified explanation is not provided by the employee, then an appropriate act is drawn up.

A disciplinary sanction is applied to an employee immediately after the discovery of a misconduct, but no later than one month from the date of its discovery, not counting the time the employee was ill, he was on vacation, as well as the time required to take into account the opinion of the representative body of workers (if the employee is a member of a trade union organization). The day when a misconduct is discovered, from which the period for applying a disciplinary sanction is calculated, is the day when the immediate supervisor of the employee became aware of the misconduct. It does not matter whether he has the right to impose disciplinary sanctions. It is not allowed to apply a disciplinary sanction after six months from the date of the misconduct, and based on the results of an audit, audit of financial and economic activities or audit- two years from the date of its commission, not counting the time of criminal proceedings.

For each disciplinary offense, only one disciplinary sanction may be applied. However, if the failure to perform or improper performance due to the fault of the employee of the labor duties assigned to him continues, despite the imposition of a disciplinary sanction, it is permissible to apply a new disciplinary sanction to him, including dismissal.

Disciplinary action is imposed by the employer. Other officials may apply them only if such powers are granted to them by the relevant documents.

An order (instruction) is issued on the application of a disciplinary offense, in which the motives for its application must be indicated, i.e. a specific disciplinary offense for which the employee is subject to punishment. When imposing a penalty, the severity of the disciplinary offense and the circumstances under which it was committed are taken into account.

The order (instruction) of the employer on the application of a disciplinary sanction is announced to the employee against signature within three working days from the date of its issuance, not counting the time the employee is absent from work. Refusal to sign is certified by the relevant act.

A disciplinary sanction can be appealed by the employee both to the bodies for the consideration of individual labor disputes, which, in accordance with Article 382 of the Labor Code of the Russian Federation, are labor dispute commissions and courts, and to the state labor inspectorate. When considering the issue of applying a disciplinary sanction to an employee, the state labor inspectorate checks whether the procedure for imposing a disciplinary sanction, provided for in Article 193 of the Labor Code of the Russian Federation, has been observed with respect to the employee. If it is observed, the question of the appropriateness of applying a disciplinary sanction is recommended to be considered in the bodies for the consideration of individual labor disputes. In accordance with Article 391 of the Labor Code of the Russian Federation, the issue of disciplinary action in the form of dismissal is considered directly in the courts.

In accordance with Article 194 of the Labor Code of the Russian Federation, a disciplinary sanction is valid for one year from the date of its application. After this period, it is removed automatically without issuing any order. Early removal of a disciplinary sanction is possible both at the initiative of the employer and at the request of the immediate supervisor of the employee. The employee has the right to apply for the removal of a disciplinary sanction.

Labor relations are regulated, as you know, by the Labor Code. When applying for a job, the applicant and the employer enter into an agreement. The document spells out the main conditions labor activity employee. The contract also establishes the obligations and rights of the parties.

By concluding an agreement, the employee voluntarily undertakes to comply with the norms of labor legislation, the provisions of local documents. If they are violated, he is threatened disciplinary action. In the Labor Code of the Russian Federation contains a special rule establishing the grounds and general conditions for applying sanctions to the guilty person - Article 192. Let's consider its features.

General information

According to the above article of the Labor Code of the Russian Federation, disciplinary action may be imputed to an employee who has violated the provisions of the law or other regulatory documents. Violation can be expressed either in non-fulfillment, or in improper fulfillment by the employee of professional duties due to his fault.

Types of disciplinary sanctions under the Labor Code of the Russian Federation

The employer can choose one of the following sanctions:

Comment.
Rebuke.
Termination of the contract (if there are grounds).

Federal laws, regulations on discipline, charters may provide for certain categories of employees and other, not enshrined in Art. 192 Labor Code of the Russian Federation disciplinary action. Norm must be applied subject to the provisions of Art. 81.

Features of the norm

According to Labor Code of the Russian Federation, to disciplinary sanctions refers to dismissal on the grounds set out in Art. 81 (5, 6, 9, 10 clauses of part 1), 336 (clause 1), 348.11, as well as those provided for in clauses 7.1, 8, 7 of part one of the 81 norm, if the employee’s guilty actions give rise to a loss of confidence in him or he committed an immoral act at the place and within the framework of labor activity.

The application of sanctions that are not enshrined in federal legislation, regulations and charters is not allowed.

According to Art. 192 of the Labor Code of the Russian Federation, disciplinary sanctions should be imputed only after assessing the severity of the offense and analyzing the circumstances in which the perpetrator committed it.

What is a disciplinary offense?

It should be understood as a guilty, unlawful non-fulfillment or improper fulfillment by an employee of the duties assigned to him in accordance with the contract, law and other regulatory (including local) acts.

Misconduct can be expressed in violation of regulations, rules of procedure at the enterprise, job description, order of the employer, technical rules, and so on.

Guilt

Failure to perform / improper performance of duties will be considered guilty if a citizen acted through negligence or intentionally.

Imposition of a disciplinary sanction under the Labor Code of the Russian Federation is not allowed if the relevant violations were committed due to circumstances beyond the control of the will of the person. For example, an employee failed to perform duties due to the lack of necessary materials for work, due to disability, etc.

Wrongfulness

The illegal behavior (inaction/action) of an employee is expressed in its non-compliance with the requirements of the law and other industry regulations.

On this issue, the Plenum of the Supreme Court clarified in Resolution No. 2 of 2004. The Court indicated that it was impossible to regard as an offense the refusal of an employee to perform a production task when a threat to his life / health arises in connection with the elimination of the corresponding danger.

The behavior of a person who refuses to perform hard work or in dangerous / harmful conditions will also be recognized as lawful, if they are not provided for in the contract. Exceptions can only be established by federal law.

Nuances

Due to the fact that there are no provisions in the Labor Code prohibiting the exercise of the right to such a refusal, in cases where the execution of the relevant tasks is conditioned by a transfer on the grounds enshrined in Article 72.2, the citizen’s refusal to transfer should be considered justified.

Failure to comply with the employer's order to return to work before the end of the vacation cannot be regarded as a violation of discipline. The law does not provide for the right to call an employee ahead of schedule without his consent. The refusal of the employee to comply with such an order (regardless of the reason) should be considered lawful.

Types of violations of discipline

As a misdemeanor for which it can be imputed disciplinary sanction under the Labor Code of the Russian Federation, only such guilty unlawful behavior that is directly related to the performance of professional duties can act. A refusal of a person to perform a public task or non-observance of the rules of conduct in a public place cannot be considered a violation.

Violations of discipline in the enterprise are:

The absence of a citizen without a good reason at the workplace or at work in general.
Evasion/refusal to undergo a medical examination, special training, attestation, passing exams on health and safety, equipment operation rules, if these procedures are a prerequisite for admission to production activities.
Refusal without good reason to conclude an agreement on material liability, if service with valuables constitutes the main labor duty of a person and was agreed upon when hiring him to the enterprise, and with a citizen, in accordance with the provisions of the law, the specified agreement may be concluded.

Art. 81 of the Labor Code of the Russian Federation

Disciplinary action in it is allowed to apply in connection with:

Repeated non-fulfillment by a citizen of his labor functions without a good reason in the presence of a penalty.
One-time gross failure (violation) of duties.
Acceptance by the director of the enterprise (structural division), his deputy, Ch. by an accountant of an unreasonable decision, the execution of which resulted in a violation of the safety of valuables, their illegal use or other property damage.
Gross violation of professional duties by the head or his deputy, committed once.

In addition to those established in Labor Code of the Russian Federation to disciplinary sanctions Sanctions are provided for in sectoral federal laws. For example, Federal Law No. 90 allows the dismissal of a teacher in connection with a gross violation of the charter educational institution admitted again within a year.

Exceptions

Given in Art. 192 the list is considered to be exhaustive. The application of any other penalties not provided for by the article is not allowed. For example, it would be unlawful to transfer an employee to a lower-paid position or to collect a fine as a sanction for violations.

Exceptions are allowed in cases expressly provided for by law. For example, Federal Law No. 79 provides that a civil servant, in addition to the penalties established by Article 192 of the Labor Code, may be issued a warning about incomplete compliance with the position held.

Rules for the application of sanctions

They are fixed Art. 193 of the Labor Code of the Russian Federation. Disciplinary sanctions can be imputed only after receiving an explanation from the employee who committed the violation. They are provided in writing. The employee is given 2 days to complete the explanation. If at the end of this period no explanations are provided, the employer must draw up an appropriate act.

It must be said that the failure to provide explanations is not recognized as an obstacle to the application of sanctions against the guilty.

Timing

They are also mentioned in the 193 norm of the Labor Code of the Russian Federation. The time limits for disciplinary action are set as follows:

The sanction is applied no later than 1 month. from the date the violation was discovered. This period does not include the days the employee is on vacation, temporary disability, as well as the time allotted to take into account the conclusions of the trade union.
The sanction cannot be applied after 6 months. from the date of the violation, and following the results of the audit, audit inspection, audit of financial and economic operations - after two years. These terms do not include the time of criminal proceedings.

Only one sanction can be imposed on the perpetrator for each violation. Otherwise, his constitutional rights will be infringed.

In the work of the organization, sometimes one has to deal with dishonest performance by employees of their duties and violations of discipline. Such cases, of course, require some punishment for the offending employee. The procedure for applying a disciplinary sanction is prescribed in the Labor Code of the Russian Federation.

Many leaders do not take the punishment system used in their organization seriously enough. So, often the punishment of delinquent employees is subjective, does not correlate with the severity of the offense committed, does not take into account its circumstances. The application of such measures often does not comply with the law.

Many organizations have an indistinct system of rewards and penalties, which is not documented in any way. At the same time, punishments are imposed on personnel arbitrarily, “in words”, without their proper execution.

Moreover, some managers abuse discipline in order 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 action are there?

Legislatively allowed the reasonable application of three types of disciplinary punishments:

comment;
rebuke;
dismissal.

The employer is not entitled to use other types of punishments, such as bonus deductions, fines, if they are not prescribed in the company's regulatory documents.

In individual organizations, other types of penalties are possible in accordance with the law and special rules of local documentation of such firms.

When 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 a failure or dishonest performance by an employee of his work. To do this, his duties must be spelled out in an employment contract or other document with the obligatory familiarization of the employee against signature.

Disciplinary action applies:

if the employee has committed an action 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 the order of the management);
if the employee does not comply with labor discipline (late, absent from work).

How is a disciplinary action taken?

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

an act (for example, on the absence of an employee at work);
memorandum (on violation of the deadlines for the delivery of the project);
decision of the commission (conclusion of the audit commission on withholding the amount of the shortfall).

2. After the violation is fixed, it is necessary to take an explanation from the employee. This gives the employee the opportunity to state the reasons for their action. Failure to provide an explanatory note within two working days is recorded by the relevant act.

The requirement of the employer to provide explanations is best drawn up on paper and handed over under the signature of the employee. The refusal of the employee to sign on the demand is fixed by the act. A written request and a drafted act on the absence of an explanatory worker may be sufficient grounds for imposing a disciplinary sanction.

If the perpetrator provided an explanatory note on time, the employer makes a decision during its consideration. If the reasons given 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 in the execution of a disciplinary sanction is the creation of an order. Which of the three punishments to use in each specific case, the manager decides on his own, taking into account all the known circumstances of the misconduct, in proportion to its severity and consequences, the guilt of the employee.

The order is prepared and brought 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 regulatory documents;
a description of the violation with conclusions about the degree of its severity and the presence of the employee’s fault;
type of penalty imposed;
grounds for recovery (details of the documents in which the violation is recorded, explanations, acts).

If the perpetrator refuses to read the order and sign the document, an act is drawn up.

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

When can disciplinary action be taken?

AT common cases punishment is imposed within one month after the discovery of the incident by the direct management of the guilty employee and no later than six months from the moment of its occurrence. Time absenteeism of the employee for good reasons is not included in this period. If a violation is revealed during an audit or revision, this period is extended to 2 years. The time of proceedings in a criminal case initiated on the fact of a violation is also not included in the total statute of limitations for a misdemeanor.

How is a disciplinary sanction removed?

A disciplinary sanction is canceled automatically or at the initiative of the employer. From this point on, it is considered that the employee has no penalties.

The penalty is removed from the employee automatically one year from the date of its imposition in accordance with Article 194 of the Labor Code of the Russian Federation. The condition for automatic removal of punishment is the absence of other violations during the year.
The collection can be canceled ahead of schedule with the filing of management. The employee himself or his immediate superior can ask for the termination of the penalty. If during the period of punishment the employee is transferred to another position, this will be sufficient grounds for terminating the penalty.

Early withdrawal of the penalty is formalized by an appropriate order, which is brought to the employee under signature.

What are the consequences for an employee of a disciplinary sanction?

If the employee has a penalty, the employer has the right to partially or completely deprive the employee of the bonus, to deprive him of other incentive payments, provided that such an opportunity 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 the basis for the dismissal of an employee.

How to properly apply disciplinary action?

The application of disciplinary sanctions must be approached with all 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.

The employer needs to follow the sequence of his actions. It should be remembered that the same violation cannot be punished twice. If the latecomer has already received a remark, it is impossible to reprimand him.

It is necessary to scrupulously prepare and execute all documents: both internal standards that establish relationships with employees, and documents related to a particular case of disciplinary action.

Labor duties on the employee must be appropriately assigned. If an employee has some new duty, it must be formalized. Labor contract, job description, local regulations, staff work schedule must be properly drawn up, include complete list employee functions. The signature of the employee stating that he is familiar with this document must be mandatory.

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

When preparing documentation on the occasion of punishing an employee, carefully check the availability of all the necessary papers: memorandum and explanatory notes, an order to issue a penalty, a duty schedule and a time sheet, and other documents. Check all signatures and dates on documents.

What is the responsibility of the organization for violation of the order of penalties?

Based on the complaint of the punished employee, a labor inspectorate may check the legality of the disciplinary sanction and the correctness of its execution. If violations are found, the organization may be held administratively liable. In addition, unjustified or applied in violation of the law, the penalty is recognized as illegal.

In this case, the dismissed employee has the right to reinstatement through the court, to receive compensation from the employer for forced absenteeism and for non-pecuniary damage.

The employer, on the other hand, will bear the 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. Also, the organization risks damaging its business reputation and losing credibility with its own employees.

How to maintain labor discipline, motivating the employee to fulfill their duties? Disciplinary measures are a legitimate "weapon" for the employer. But it is worth applying all types of disciplinary sanctions, strictly adhering to the law, otherwise conflicts and litigation cannot be avoided. Disciplinary responsibility provides for the following types of penalties - reprimand, remark and the most severe, dismissal. When it is possible to "punish" an employee and how to document the misconduct - we will consider in the article. What is the responsibility of the employer for illegal disciplinary action?

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When can an employee be disciplined?

It should be understood that it is possible to accuse a person of violating discipline or other fault only if there is an offense itself. Personal judgments, hostility, infringement, the desire to get rid of a negligent employee - cannot become the basis for any kind of disciplinary action!

Misdemeanor (disciplinary) is only the case / fact when the employer was able to prove that a person does not comply or does it improperly established by the enterprise rules, his own job descriptions. At the same time, disciplinary sanctions must be adequate to the misconduct. It is unacceptable to apply "punishments" that are not established by law.

Only one type of disciplinary measure can be imposed for one violation. This is a dismissal, reprimand or remark. It is not permissible to “sum up” punishments, for example, on the same day to issue a remark for being late to the start of the shift, and then dismiss the employee for this. Only the head of the enterprise or his authorized deputy can make an informed decision on the application of a particular type of disciplinary liability under labor law. In what cases are possible different types"punishment"?

Dismissal - a type of disciplinary sanction

This is the most severe measure, therefore, it should be applied in the case of a correctly recorded fact of a misconduct, as well as justification of a person’s guilt:

Gross violation of assigned labor duties - both single and multiple. A type of disciplinary sanction is applied in the form of dismissal for absenteeism, the appearance at the workplace under the influence of any drugs, psychotropic drugs, and alcohol.
Disclosure of confidential information that relates to the activities of the organization and can cause serious harm to both the commercial structure and the interests of the state will entail the form of a disciplinary measure in the form of dismissal.
Theft of property or money.
Gross violation of the norms on labor protection and safety of workers, which led to negative consequences.
When signing an employment contract, an employee presents fake documents. True, if we are talking about a diploma or certificate, about taking courses that are not “core” for official duties, a person cannot be fired.
The head committed actions that caused financial harm to the enterprise, as well as endangered the life and health of others - the type of disciplinary measure would be dismissal or a severe reprimand.
The Pedagogical Council, guided by the professional standards of a teacher in 2017, may decide to dismiss a teacher if he has committed the same offense twice within one year.

Grounds for dismissal and types of disciplinary liability in these cases are regulated by paragraph 6 of Art. 81 of the Labor Code of the Russian Federation.

If an employee who is responsible for material assets (accountant, storekeeper, etc.) has committed actions that entailed monetary costs for the enterprise, in addition to a penalty, a disciplinary sanction in the form of dismissal may be applied (clause 7 of article 81 of the Labor Code of the Russian Federation).

Comment

This type of punishment can be applied to an employee who:

Does not perform his duties without having confirmed good reasons for this - this may be being late without presenting medical documents or other facts proving his innocent actions. It should be understood that an employee cannot be fired for being late (once). And if he continues to violate discipline, first a reprimand is issued, and then dismissal under paragraph 5 of Art. 81 TC RF.
Violation of labor duties.
Failure to comply with the instructions of the head of the enterprise or the immediate head of the structural unit.
The employee made an unreasonable decision regarding the main activity of the enterprise (for example, he signed an agreement without agreement, entered into an unprofitable deal, etc.) - a type of disciplinary sanction is applied in the form of a remark, as well as a reprimand or dismissal.

Reprimand - a type of disciplinary responsibility

It should be understood that this punishment can be applied as a "warning" before dismissal. It is imposed in the following cases:

Multiple violations of discipline at the enterprise - regular delays, absenteeism, leaving the workplace during the shift, etc.
Failure to fulfill labor duties - a measure of disciplinary liability in the form of a reprimand is applied after a remark.
If the head of the enterprise or the head of the branch, his deputies, the chief accountant make an unreasonable decision, any type of penalty can be applied, including a reprimand.
The actions of the head of the organization or branch led to financial losses, there was a threat to the health or life of the staff - a type of disciplinary sanction is applied in the form of a severe reprimand or dismissal.
If a person systematically violates or does not comply with the professional standards of a librarian in 2017, he is also reprimanded, and in case of a repeated offense, he is threatened with dismissal.

It is worth remembering that some federal laws, as well as internal regulations on discipline, charters provide for individual workers additional grounds and types of disciplinary liability.

The procedure for applying disciplinary sanctions

In order to issue a remark, reprimand or dismiss a person under the relevant article, it is necessary to go through all the steps of production:

Stage 1

After establishing the fact of the offense, the employer is obliged to give the employee the right to explain what is the reason for his misconduct. To do this, a person writes an explanatory note, where he argues his position, proves a good reason, attaching medical certificates or other documents. If the employee does not want to explain the reason for the misconduct, before choosing the type of disciplinary measure, you must:

Allow 2 working days for writing explanations.
At the end of the specified period, draw up an act, where to indicate - the date and place where it was drawn up, the personal data of the offender, position, the essence of the situation. Information is necessarily recorded that you gave the employee time to explain, if he refused - an entry is also made in the act.

Remember that there is an employer's responsibility for unlawful disciplinary action (groundless), so you should definitely listen to the employee.

Stage 2

The head of the enterprise is obliged to demand from the immediate supervisor of the employee all the documents that confirm that the subordinate has committed a misconduct. It is also necessary to hear the opinion of the immediate supervisor on the possibility of imposing a specific type of disciplinary responsibility. Arguments against punishment can be - impeccable work before the offense, the complexity of duties, etc.

Stage 3

It is necessary to evaluate all the materials that are collected on the fact of the offense. It is they who will make it possible to draw a conclusion about the possibility of applying specific types of disciplinary action against an employee. The memorandums of the heads of structural divisions, acts on systematic or single delays, explanatory notes on unfulfilled official duties, estimates, invoices, contracts, etc. Only after evaluating the documents can we talk about the degree of guilt of a person.

Stage 4

It is necessary to assess the severity of the offense committed, as well as to identify circumstances that can mitigate the person’s guilt. After that, the type of disciplinary sanction is chosen.

Stage 5

"Educational work. It is worth remembering that punishment will not always be an incentive for an employee not to violate discipline! At this stage, the manager himself can choose an adequate measure of "correction" of the employee - a conversation, a verbal warning. That is, according to part 1 of Art. 192 of the Labor Code of the Russian Federation, you have the right to independently choose an educational measure or immediately apply types of disciplinary liability to an employee.

At this stage, the employer has the right to assess all the circumstances of the offense, but not to give them a "move".

Stage 6

After reviewing all the circumstances of the case, the grounds and are established. To do this, you need to issue an order or order to impose a disciplinary sanction. The decision of the manager must be announced to the employee no later than 3 days from the date of signing it. The employee is obliged to familiarize himself with it and leave a signature. Refuses such actions - an act is drawn up in the presence of witnesses (employees of the enterprise) about the fact that has taken place. It indicates all the details of the Order to impose a penalty and the fact of refusal to familiarize.

For a more detailed explanation, see the video:

Correctly documenting the fact of the offense

It should be understood that such types of disciplinary liability as a reprimand or dismissal cannot be applied without confirmation of the primary offense, followed by a remark. That is, you need to correctly fix the repeated misconduct. The relevant documents will help with this:

Memorandum - here you can reflect information that indicates that the employee did not cope with the task, did not complete the required amount of work, used the employer's resources for personal purposes (used the Internet, copied personal documents, sent information by fax, etc. ).
An act confirming the correctness of the choice of the type of disciplinary liability under labor law - being late, refusing to pass a commission if suspected of drunkenness, narcotic.
The official decision of the commission - it is created to assess the harm that the employee has caused to the organization by their actions or disclosure of confidential information.
When applying a specific type of disciplinary sanction (lateness, absence from the workplace for more than 4 hours, etc.), only hours actually worked should be noted in the timesheet to prove the fact of an offense.

All these documents will help to prove to you the legitimacy of choosing a disciplinary measure.

Evidence can be considered as a whole, as well as separately. For example, you first fix the fact of being late with a memorandum, then draw up an act.

It is important to remember that if an employee wants to challenge your decision, it is the employer's responsibility to prove the fact! He collects and presents all the evidence, argues the choice of the type of disciplinary sanction.

We fix the fact of the appearance of an employee in a drunken state

To document the incident and then apply a disciplinary sanction to the employee in the form of a severe reprimand or dismissal, you must:

Draw up an Act confirming that the person came to work in an altered state of consciousness - drunk, under the influence of narcotic or psychotropic drugs. The document should definitely describe in detail how the person behaved - whether there were signs of aggression, whether he could harm others or expensive equipment. And also indicate what kind of intoxication was present.
Compile reports from specialists who saw a person in a state of intoxication.
Medical opinion is the most the best option to confirm the legitimacy of the type of disciplinary sanction, which is difficult to implement in practice. To do this, a person must be offered to undergo an examination in a medical institution in order to justify punishment in the future. The employee refuses - draws up an act of refusal to survey, we involve eyewitnesses who will sign it (at least 2 people).

If a person in a state of intoxication behaves inappropriately, you can call the police or take him to the nearest police station on your own. Employees themselves have the right to deliver a person to a medical institution, where he will undergo a compulsory examination for further selection of the type of disciplinary sanction.

The employer has the right to invite a doctor to the territory of the organization to examine the employee.

Terms of disciplinary action

The punishment of the delinquent employee cannot occur later than 1 month from the moment when the manager became aware of the fact of the misconduct. True, if a person is on vacation, temporarily disabled, or the representative body did not have time to make a reasoned decision, the terms for imposing disciplinary liability (for all types) are extended until the person returns to work, and the trade union issues an appropriate conclusion.

It is unacceptable to apply disciplinary measures later than 6 months from the date of detection of the misconduct. If the offense is revealed during the audit, inspection of the relevant authorities or economic audit at the enterprise, the penalty is applied no later than 2 years. In these terms, it is impossible to count the time when criminal proceedings were proceeding on the fact of violation by the employee of his duties.

Remember, for each offense you can impose only one type of disciplinary responsibility.

When choosing a measure of punishment and issuing an order, the employer must familiarize the employee with it no later than 3 days from the date of signing the order.

If a year has passed after the application of the penalty, and the person is no longer and no other types of disciplinary sanctions were applied to him, he no longer has “punishments”.

Removal of a disciplinary sanction

Even before the expiration of the year, the employer can remove the penalty on his own initiative or at the request of the employee. It is worth remembering that punishment from the point of view of the legislator is a measure that has its own term of "validity". Therefore, the manager has the right not to wait for a whole year, but, based on the results of work and compliance with discipline, remove a specific type of disciplinary sanction from the employee. Who can become an initiator:

Employer and immediate supervisor of the employee's structural subdivision.
The employee himself, having applied with a petition to the head.
representative body.

Removal of the penalty must be issued by the appropriate order. It must include the following information:

Personal data of the employee, position and affiliation to a specific structural unit.
The basis that allowed the manager to make a decision to remove the applied type of disciplinary responsibility.
The date from which the collection is considered withdrawn.

The employee gets acquainted with the order, leaving a personal signature.

Violation of the procedure for applying disciplinary sanctions

If the employee does not agree that disciplinary measures were applied to him, he has the right to apply to the labor commission, as well as to the court.

The audit will reveal that the employer intentionally or unknowingly violated the entire procedure for imposing a penalty - such is recognized as invalid! For example, it will be confirmed that a person was dismissed without sufficient grounds - he will need to be reinstated and compensated for the entire time of absenteeism due to the fault of the employer.

Also, the head of the enterprise, who unlawfully applied any type of disciplinary liability to an employee, may be held administratively liable - in accordance with Part 1 of Art. 5.247 of the Code of Administrative Offenses of the Russian Federation. The sanction has already been applied, and the employer continues to violate the law - the employer's liability for illegal disciplinary action comes under Part 4 of Art. 5.27 of the Code of Administrative Offenses of the Russian Federation.

All types of disciplinary sanctions are an effective tool in the hands of the employer. It will increase labor productivity, minimize violations of internal regulations. But it is worth remembering that, without observing legal procedure“punishment” of an employee, you yourself can fall under administrative responsibility.