Purpose:
Fair disciplinary procedure for all employees (permanent or contractual). It is beneficial for all the parties to understand the disciplinary procedure and the consequences of any behaviour which may amount to misconduct under this policy. Uplers, being a people’s company, believes in an ethical way of working and thus does not entertain such behaviour.

Scope:
This policy applies to all prospective or current employees working in Uplers. Uplers shall observe all
legal dictations referring to termination or suspension of employment depending on the gravity of the offence.

Definitions:

1. Misconduct – unlawful behaviour, wilful in character, improper or wrong behaviour
1.1 Major Misconduct – Absenteeism for more than 3 days in a row (excluding weekends or any holiday), identity misrepresentation, documents forgery or misrepresentation, non-availability for work,wilful damage of Company property, misbehaviour with colleagues , Incapacity to work due to intoxicants/drugs, Mishandling of company’s confidential information
1.2 Minor Misconduct – spreading rumours, delayed login / early log out without information to Lead
2. Disciplinary Action means when employee(s) shall be warned and counselled for the misconduct and if they fail to correct the behaviour or further violation of the Company policy is observed, it may result in additional disciplinary action.
3. Termination means when an employee is released of his/her services for the following reasons:
● Breach of contract of employment, NDA breach or
● Unlawful or immoral behaviour; or
● Disregard towards the company policy(ies); or
● Using profanity in the workplace; or
● Excessive absenteeism/tardiness
● Forgery of Docs

4. Absconding means when an employee fails to report to work for more than seven (7) consecutive working days without any intimation to the reporting manager, will be said to be absconding.The employee shall be liable to pay the Company entire notice period (As per Appointment Letter) amount. If the employee fails to do so then the Company reserves the right to uphold the employee full and final payment and Relieving.

5. Lack of Integrity means when an employee repeat lies or underhanded actions like below:
● Forged employment/ educational/ personal documents at the time of joining
● Breaching the non-disclosure clause of the organisation
● Involving in data manipulation/ misrepresentation of any data / information
6. Absenteeism means when the employee is absent from work for three (3) consecutive days.
7. Present / Presence means when the employee is present in person and presence shall connote the availability of the person in any other form other than being present in person.
8. Workplace means working from Uplers office or remotely while on duty
9. Absence – Non availability of the employee when he/she is required to be present in person or any other manner.
10. Disciplinary Committee means a committee which is formed under this policy to hear complaints and give decisions based on the facts of the matter.
11. Criteria & desg with names – Paritosh Vaishnav
12. Enquiry Officer Payal Sinha & respective HRBPs
13. Legal – Aruneema

Procedure

All communication will be sent by respective HRBP on behalf of Disciplinary Committee, create a common mail id for DC – disciplinarycommittee@uplers.in (nomenclature)

1. Show Cause –

The employee shall be given 48 hours to provide an explanation for the complaint(s) made against him/her.

1.1 Employee shall receive an email from the Disciplinary Committee when the Committee accepts the explanation provided or rejects the same: or
1.2 In the event when the Committee is not satisfied with the explanation provided, then the employee shall be asked (via an official email and official call made by the HRBP) to be present for the virtual meeting to discuss the matter at hand along with the other Committee members.

2. Charge-sheet
After preliminary investigation is done a charge-sheet may be prepared on the basis of the complaint made. It should be in writing, detailing the complaint and shall indicate the time within which the employee should submit his explanation. The employee shall be provided a chance to explain himself/ herself during the meeting.

3. Service of charge-sheet –
If the employee is present, the charge – sheet shall be handed over (via email) to him/her in the presence of a witness (Reporting Manager/Skip Level Manager marked in cc) after explaining the contents of it in English & Hindi. The employee shall acknowledge the same within 24 hours. In case, an employee fails to acknowledge it within 24 hours, it will be considered as deemed acknowledgment.

4. Enquiry
The enquiry officer shall explain the complaint to the committee and the employee along with its gravity. If the employee reasons his/her innocence and provides with reasonable explanation and evidence then, the enquiry shall not be preceded, but if he fails to do so then the enquiry shall continue to reach a final conclusion.

5. Submission of the enquiry report
On the completion of the enquiry, the enquiry officer shall submit a detailed report to the committee. The report shall be submitted within fifteen (15) days from the date enquiry starts.

6. Decision
The Disciplinary Committee shall come to a final decision within ten (10) days from the submission of the enquiry report.
Employees who have been terminated by the Company for any cause shall be blacklisted from Uplers Solutions Private Limited.(Devise a list)

7. Suspension
In case the employee is a repeat offender (more than 2 times) or the complaint against the employee is a major misconduct, and the Committee is of the view to provide a second chance to the employee, then the Committee reserves the right to suspend the employee, if necessary.
If deemed necessary, the Committees shall suspend the employee for 10 days or less depends on the gravity of the offence.

8. Final Pay
An employee who is discharged with any of the involuntary cause will be paid till the last day of work, plus Comp Off / Leave (refer Leave policy), less outstanding loans, advances or other agreements the employee may have with the company, in compliance with state laws.
Misconduct then company deserves the right to hold final payment and Relieving Letter.

9. Health Insurance
Insurance coverage terminates on the last working day of the employee.

10. Return of Property
Employees must return all company property at the time of separation, including office system, sim card, laptops. Failure to return some items may result in deductions from the employee’s final paycheck where state law allows. In some circumstances, Company may pursue legal charges for failure to return company property.

11. Exit Interview
This is not needed for involuntary exit.

Responsibilities

1. HRBP-
   ● After receiving the complaint from the reporting manager, consolidate information related to the occurance and inform HRBP Manager & Associate Director (P&C).
   ● Issue show cause/ PIP/Warning letters; and
   ● Maintaining the track of the involuntary separations with all data point department wise
2. Reporting Manager
   ● To update the HOD on raised concern
   ● To provide all data related to the case and support the Enquiry Officer
   ● To be there in the Enquiry proceedings as and when needed
3. Head of the Department
   ● To be updated and have all the details from the reporting manager on raised concern
   ● To be there in the Final Enquiry discussion
4. HR Operation
   ● To Provide information on any document forgery to the HRBP, HR Manager & Associate Director (P&C)
   ● To keep track of all the documents related to the case
5. HR Manager
   ● To gather the detailed information from respective HRBP
   ● To extend support on proceedings
6. Legal
   ● To provide support in any proceedings & legal documentation
7. Associate Director People & Culture
   ● To provide the Final verdict

Formats

Show Cause Letter –
❖ https://docs.google.com/document/d/1gz3SZWgc2D8-ce0T4fmqUzCL6gqf8UWN39hMyf2bbQA/edit
Warning Letter
❖ https://docs.google.com/document/d/1J8uG9HBD9cwSLpqj_CV_gAkYL9K2TXAuwwd2MCPWXfU/edit
Charge sheet –
❖ https://docs.google.com/document/d/1_o3LAUocdpCUJnyWM_X9ocNVkGwl2odFkkObRpM7btA/edit
Suspension Notice-
❖ https://docs.google.com/document/d/1B51YcthjTxO28yJYYTwm3h84u6bURpwIfCs_znGup4o/edit
Termination Letter
❖ Warning Letter Sample – Google Docs

Asset Recovery Notice
❖ https://docs.google.com/document/d/1e_ryoYKy3JLpHBNUqi1S9dbJnF4IxmJgP9z0ycjn1X0/edit?usp=sharing
Document Forgery Notice –
❖ https://docs.google.com/document/d/1DZYTEs5Y5YkIKpJ31CT6RrM4wXkQ3-amTa5j3wt6EsE/edit?usp=sharing
Enquiry Report