Labor law types of disciplinary sanctions. Types of punishment for employees: disciplinary and material methods of punishment

After the commission of misconduct by employees of an enterprise or due to their improper performance of work duties, the employer has the right to apply to them the penalties provided for by the Labor Code of the Russian Federation. An employee can only be subject to one of the types of disciplinary sanctions described in the Labor Code. Such strict measures are necessary to ensure that the team maintains discipline and performs its duties properly.

What is disciplinary action

The employee’s obligation to bear punishment for violating the rules of the organization in which he works, the terms of the job description or the employment contract is disciplinary liability. According to the articles of the Labor Code, the basis for disciplinary action will be the commission of an offense by an employee, which proves the latter’s neglect of his official powers. Any punishment applied on illegal grounds can be appealed by the employee in court.

Kinds

It is prohibited to apply disciplinary sanctions not provided for by federal laws, regulations or statutes on discipline. For failure or improper performance by an employee of his job duties, the employer has the right to apply one of the following types of punishment:

• rebuke;
• comment;
• dismissal.

Disciplinary sanctions under the Labor Code

The main disciplinary measures are described in Article 192 of the Labor Code of the Russian Federation. The grounds for holding an employee accountable are:

• failure or dishonest performance by an employee of his work (job responsibilities are described in the employment contract);
• performing an action not permitted by the official regulatory documents of the institution;
• violation of job description;
• failure to comply with labor discipline (repeated lateness, absence from work).

Comment

The most common type of liability for disciplinary offenses is reprimand. It is issued for minor violations, that is, when the damage caused or violation of discipline does not have serious consequences. Such disciplinary punishment is imposed if the employee improperly fulfilled his job duties for the first time. To apply the remark, the employee must be familiar with his/her due instructions when applying for a job. In this case, the document is certified by the signature of the employee.

Before drawing up an order for disciplinary action, the employer must request written explanations from the offender. The employee provides an explanatory note within 2 working days from the receipt of such a request (a special act is drawn up on which the employee signs for receipt). In the explanatory note, he can provide the employer with evidence of his own innocence or indicate good reasons for which the offense was committed.

Since the Labor Code does not list what reasons are considered valid, this is decided by the employer himself. However, judicial and personnel practice shows that valid reasons may include:

• lack of materials for work;
• disease;
• violation of labor conditions by the employer.

If the employer considers the reason for the misconduct to be valid, he should not reprimand the employee. In the absence of a valid reason, the management of the institution issues an order to impose disciplinary liability in the form of a remark. The employee puts his signature on the document, which indicates that he is familiar with the order. If the offender refuses to sign the paper, the employer draws up a report. The reprimand is valid for 1 year from the date the offense was committed, but it can be lifted early:

• at the initiative of the employer;
• at the written request of the employee;
• at the request of the trade union body;
• at the request of the head of the structural unit.

Rebuke

Labor legislation does not provide an exhaustive list of reasons for which reprimands are issued. However, in practice, disciplinary action is imposed on an employee due to the discovery of an offense of moderate gravity or for systematic minor violations. List of disciplinary offenses for which a penalty is imposed on the employee:

1. Ignoring the norms of the Code. Penalties are announced for absenteeism, violations of the regulations or safety regulations, failure to fulfill official duties, etc.
2. Actions for which there is no legal liability, but which are mandatory elements of industrial relations. For example, penalties are applied if an employee refuses to undergo a medical examination, training, etc.
3. Creating a situation that subsequently caused damage to the institution’s property. An example is damage to material assets or their shortage. The procedure for imposing penalties is carried out by issuing appropriate orders from the manager. Punishment can be applied for six months from the date of discovery of the offense. After this period, penalties imposed are illegal.

As a rule, a reprimand follows as a second disciplinary action after a reprimand. According to the Labor Code of the Russian Federation, it is prohibited to apply two sanctions at once for one violation. During the legal proceedings, if any, the issue of applying a more lenient punishment to the employee is first clarified. If the manager represented by the defendant cannot provide evidence that the reprimand followed the remark, then the penalties will be lifted.

Before a reprimand can be ordered, certain procedures must be followed. A severe reprimand is issued after written documentation of the violation. For this purpose, the employee’s immediate supervisor must submit a memo or report to the organization’s management, which will describe the facts of non-compliance with the requirements. The document must contain:

• date of the event;
• the circumstances of the violation;
• names of those involved.

After this, the violator is asked to give a written explanation of his actions, but it is impossible to demand explanations from the employee (this is his right, not his obligation, according to Articles 192 and 193 of the Labor Code of the Russian Federation). A request to provide a written explanation within 2 weeks is stated in the notification, after which the document is delivered to the violator for signature. The fact of a reprimand is entered into the employee’s personal file: this information is not displayed anywhere else, however, disciplinary action may result in deprivation of bonuses and other incentives.

Even after sanctions are imposed, the employee is able to correct the situation: if he does not violate the rules for a year, the punishment is automatically lifted. In addition, a reprimand can be lifted early, requiring a written petition from both the employee and the manager. This situation is possible only if the violator has a loyal attitude to the internal investigation and in the absence of refusals on his part to give explanations or sign acts.

Dismissal

This punishment is determined by the high severity of the offense. Its imposition is a right, and not an obligation, of the manager, so there is a possibility that the offender will be forgiven, and the penalty will be more lenient. If the employer is determined, then in order to dismiss he should record:

• several cases of groundless violations of labor regulations (lateness, non-compliance with orders/instructions, failure to fulfill duties under TD, evasion of training/examination, etc.);
• single gross misconduct (absence from work for more than 4 hours without legal grounds, appearing drunk, disclosing confidential information, appropriating someone else’s property at work, etc.).

The procedure for bringing to disciplinary action is documented, and it is important that the fact of violation is supported by written explanations of eyewitnesses of the event, an act of theft, etc. The violator is asked to provide an explanatory statement regarding the offense committed (2 days are allotted for its preparation). The imposition of a penalty must be issued in the form of an order, a copy of which is given to the employee for review. Based on this document, a dismissal order is created.

The dismissed employee is given a settlement (salary and compensation for unused vacation). A corresponding entry is made in the work book (the types of disciplinary sanctions must be indicated). Rules that an employer must follow when dismissing an employee:

• after discovering the grounds for dismissal, the manager must impose a penalty within a month or from the date of entry of the court decision based on the results of consideration of the violation;
• it is prohibited to dismiss a person during vacation or during a period of incapacity;
• Before applying punishment, an explanation must be requested from the offender.

Disciplinary action

In order for an organization to function normally and produce the expected results, it must maintain discipline. If an employee does not comply with it and remains unpunished, a chain reaction occurs (others also begin to violate order). The initial punishment may be a warning or an educational conversation. If such a measure does not bring the desired result, more serious punishments can be applied that encourage the employee to stay within the limits of what is permitted. For this purpose, different types of disciplinary punishments are applied under Art. 192 Labor Code of the Russian Federation.

Per employee

The grounds for punishment are violations committed by him, for example, improper performance of labor functions or failure to perform them, non-compliance with the work schedule (no-show, lateness), violations of discipline, ignoring requirements for training or undergoing a medical examination, property crimes (theft, damage, etc.). Possible consequences of the offense committed:

• dismissal;
• reprimand or severe reprimand;
• comment.

For a military man

Like employees of non-law enforcement organizations, military personnel are obliged to comply with the rules prescribed to them, violation of which is subject to sanctions described in regulations. A violator of discipline can be held accountable within the time limits provided by law and if there are legal grounds. The main document regulating the rights and obligations of military personnel is Law No. 76 of 1998. According to it, responsibility for misconduct lies not only with contract soldiers or conscripts, but also with civilians called up for training.

Depending on the severity of the violation committed, the provisions of the Criminal or Administrative Codes will be applied to the military man. For violation of the charter, the culprit may be subject to disciplinary liability, and sometimes the offense contains elements of an administrative offense. However, when drawing up sanctions, it is not the norms of the AK that will be relevant, but Law No. 76.

Military discipline can be violated by the following types of offenses:

• rude;
• intentional (the culprit was aware of what he was doing and could foresee the consequences);
• careless (the offender did not understand what consequences his action could lead to);
• minor (action/inaction that did not cause serious harm to order or third parties, for example, being late, violating the regime of a military unit, etc.).

Decree No. 145 contains a list of gross disciplinary violations. These include:

• leaving the territory of a military unit without permission;
• hazing;
• absence from the place of duty for more than 4 hours without a valid reason;
• failure to return from dismissal on time (from vacation/business trip, etc.);
• failure to appear at the military registration and enlistment office when summoned;
• violation of the order of guard duty, border service, combat duty, patrolling, etc.;
• improper handling of ammunition/equipment/weapons;
• waste, damage, illegal use of property of a military unit;
• causing harm to property/employees of a military unit;
• being on duty in a state of alcohol or other intoxication;
• violation of traffic rules or rules for driving a car/other equipment;
• inaction of the commanding officer to prevent misconduct by subordinates.

Disciplinary penalties for violating military rules may include the following:

• reprimand or severe reprimand;
• deprivation of a badge;
• deprivation of dismissal;
• dismissal from service before the end of the contract;
• warning;
• demotion;
• expulsion from a military educational institution, from training camps;
• disciplinary arrest for 45 days or longer.

For a state civil servant

Punishments for civil servants are not fundamentally different from the generally accepted ones. However, the Labor Code of the Russian Federation takes into account the Law on Civil Service No. 79-FZ, which provides for an increase in employee liability measures several times, since the status of a state executive requires compliance with restrictions/prohibitions and anti-corruption legislation.

Article 57 of the Federal Law describes four types of disciplinary sanctions that are imposed on civil servants. These include:

• rebuke;
• comment;
• dismissal;
• warning.

The reason for punishment may be not only lateness or absenteeism, but also failure to fulfill official duties or their improper implementation. The only condition is that all the person’s responsibilities must first be specified in the job description and agreed upon with the employee under signature. The most serious disciplinary sanction for a civil servant is dismissal, which can only be applied in cases established by law (Article 37 of Law No. 79-FZ):

• repeated failure to fulfill official obligations without good reason;
• one-time gross violation of official duties (absenteeism, alcohol or other intoxication in the workplace, disclosure of secret information, theft of someone else's property, embezzlement of funds, etc.);
• adoption by a civil servant working in the “managers” category of an unfounded decision, which resulted in a violation of the safety of property, damage to property, its unlawful use, etc.;
• a single serious violation by a civil servant working in the “managers” category of his official duties, which resulted in harm to a government agency or a violation of the legislation of the Russian Federation.

Procedure for applying disciplinary sanctions

Involvement in disciplinary punishment is a sequential procedure that consists of several stages. These include:

1. Drawing up a document indicating the discovery of a violation (report, act, etc.).
2. Requesting a written explanation from the culprit indicating the reasons for his action. If the manager receives a refusal or the employee does not submit a document within 2 days, this fact is recorded through a special act.
3. The employer makes a decision on guilt and chooses a punishment for the employee who committed the offense. To do this, all available materials are assessed and circumstances that can mitigate the guilt are taken into account. The lack of evidence does not give the manager the right to apply any disciplinary action.
4. Creation of an order for the imposition and subsequent execution of punishment. For one misconduct, an employee can only be given one disciplinary punishment.

Order of punishment

The document must contain complete information about the employee, including his position, place of work, the fact of violation with reference to current regulations, a description of the violation, the type of penalty imposed and the grounds for this. The completed order is given to the culprit for review, who must sign it within 3 working days. If the employee refuses to do this, a corresponding act is drawn up in accordance with Part 6 of Art. 193 Labor Code of the Russian Federation.

Duration of disciplinary action

The punishment is valid until it is lifted, which may occur as a result of the employee’s dismissal. In this case, only a reprimand or reprimand can be removed from the culprit (subject to the continuation of the labor relationship between the employee and the employer). At the same time, the removal of a disciplinary sanction occurs in two cases, according to Article 194 of the Labor Code of the Russian Federation:

• automatically one year from the entry into force of the punishment order;
• by early withdrawal on the initiative of the immediate superior/leader of the trade union or the employee himself.

Since the decision to sanction is determined by the employer, early removal of the sanction must also be agreed upon with management. Automatic release from collection occurs without any documentation. In this case, the trade union or immediate manager must draw up a petition addressed to the head of the enterprise (the document does not have a mandatory form). The paper contains the data of the head of the enterprise, the employee/team who initiated the petition, a reasoned request to cancel the punishment, the date and signature of the persons who compiled the document.

That is, if an employee fails to perform or improperly fulfills the labor duties assigned to him through his fault, the employer has the right to apply the following types of disciplinary sanctions:

• comment;
• rebuke;
• dismissal for appropriate reasons.

Federal laws, charters and regulations on discipline for certain categories of employees may also provide for other types of disciplinary sanctions.

The application of disciplinary sanctions not provided for by federal laws, charters and regulations on discipline is not permitted.

Before applying a disciplinary sanction, the employer must request from the employee.

If the employee refuses to give the specified explanation, a corresponding act is drawn up.

An employee’s refusal to provide an explanation is not an obstacle to applying disciplinary action.

Disciplinary action is applied no later than one month from the date of discovery of the misconduct, not counting the time of illness of the employee, his stay on vacation, as well as the time required to take into account the opinion of the representative body of employees.

A disciplinary sanction cannot be applied later than six months from the date of commission of the offense, and based on the results of an audit, inspection of financial and economic activities or an audit - later than two years from the date of its commission. The specified time limits do not include the time of criminal proceedings.

For each disciplinary offense only one disciplinary action.

The employer's order (instruction) to apply a disciplinary sanction is announced to the employee against signature within three working days from the date of its publication. If the employee refuses to sign the specified order (instruction), a corresponding act is drawn up.

A disciplinary sanction can be appealed by an employee to state inspectorates or bodies for the consideration of individual labor disputes.

If within a year from the date of application of the disciplinary sanction the employee is not subject to a new disciplinary sanction, then he is considered to have no disciplinary sanction.

The employer, before the expiration of a year from the date of application of the disciplinary sanction, has the right to remove it from the employee on his own initiative, at the request of the employee himself, at the request of his immediate supervisor or a representative body of employees.

The employer is obliged to consider the application of the representative body of employees about violation by the head of the organization, his deputies of laws and other regulatory legal acts on labor, the terms of the collective agreement, agreement and report the results of the consideration to the representative body of employees.

If the facts of violations are confirmed, the employer is obliged to apply disciplinary action to the head of the organization and his deputies, up to and including dismissal.

With special labor discipline, the procedure, terms of application and types of disciplinary sanctions may be different.

Bringing to disciplinary liability the head of the organization, the head of the structural unit of the organization, their deputies at the request of the representative body of employees

Bringing disciplinary action to the manager organization, the head of a structural unit of the organization, their deputies at the request of the representative body of workers is regulated by Art. 195, part 6 art. 370 Labor Code of the Russian Federation.

Trade union bodies, in particular the trade union committee of the organization, have the right to monitor compliance with labor legislation. If facts of violation of labor legislation, local legal acts containing labor law norms, concealment of industrial accidents, failure to comply with the terms of a collective agreement or agreement are discovered in an organization, the trade union committee has the right to demand that the employer punish the head of the organization, its division or their deputies who are guilty of this.

The employer, upon application by the representative body of employees, usually the trade union committee, initiates disciplinary proceedings. It is characterized by the same stages as when identifying violations of internal labor regulations by an employee, which were outlined above. If the guilt of managers or their deputies in violating labor law norms is established, then the employer is obliged to apply “disciplinary action up to and including dismissal” to them (Part 2 of Article 195 of the Labor Code of the Russian Federation).

The employer informs the applicant (trade union committee) about the results of the disciplinary proceedings. The response period is not defined in labor legislation. However, it must include the time that the legislator sets for applying a disciplinary sanction to the military commander. 3, 4 tbsp. 193 Labor Code of the Russian Federation. Usually this is one month, and based on the results of an audit, inspection of financial and economic activities or an audit - two goals from the date of the disciplinary offense. If, due to the circumstances specified in the statement of the trade union committee, a criminal case has been initiated against the head or his deputy, then the period for reporting to the trade union bodies is extended for the duration of the proceedings in the main case.

Procedure for applying disciplinary sanctions

Procedure for applying disciplinary action The Labor Code of the Russian Federation is not regulated in detail. This often leads to a violation of the labor rights and freedoms of the employee.

Disciplinary proceedings as a legal relationship

Disciplinary proceedings are always a legal relationship, the main subjects of which are the employer and the employee. The content of a legal relationship is considered to be the rights and obligations of its parties. The current labor legislation mainly establishes the legal position of the employer. Analysis of disciplinary proceedings allows us to identify a certain set of rights of an employee who, in the opinion of the manager, violated the internal labor regulations. An employee is a full-fledged subject of legal relations within the disciplinary proceedings. He has the right to familiarize himself with all materials according to which he is accused of unlawful labor behavior, give his assessment of the content of the materials presented to him, and demand the provision of new materials. In complex disciplinary proceedings, an employee may request an audit, an inspection of financial and economic activities, or, if its results can resolve the issue of his guilt or innocence. The current legislation does not prohibit an employee from involving specialists or a representative of a trade union organization as consultants in disciplinary proceedings.

In this part, labor legislation still needs further improvement. Specification of disciplinary proceedings is possible in by-laws and local regulatory legal acts. This practice is typical, for example, for budgetary organizations. Ministries and departments develop and approve procedures for conducting performance reviews and applying disciplinary sanctions to state civil servants of their subordinate organizations. Such regulatory legal acts establish a detailed procedure for conducting official inspections and applying disciplinary sanctions to civil servants, the composition of the commission tasked with conducting the inspection, its powers and the processing of the inspection results. The by-laws of local regulatory legal acts specifically highlight a section that sets out the rights of the employee who is being inspected: to give oral and written explanations, submit petitions, get acquainted with documents during the inspection, appeal the decisions and actions of the commission that conducts the inspection.

A single disciplinary legal relationship can be classified as a complex legal relationship. It consists of a number of elements characteristic of each stage. Elementary legal relations are discrete, that is, they are interrupted in time and consist of certain parts. Thus, the employee’s right to submit petitions, get acquainted with documents, appeal the actions of the employer’s representative or the commission conducting the inspection corresponds to the corresponding obligation of the employer to consider a specific petition, provide the employee with the necessary documents for review, and consider the complaint filed by him. These legal relations can arise and end at each stage of disciplinary proceedings. This does not exclude its systemic nature, the unity of rights and obligations of participants in disciplinary proceedings.

Stages of disciplinary proceedings

Disciplinary proceedings include several stages.

Firstly, before applying a disciplinary sanction, the manager invites the employee to give a written explanation of the circumstances indicating that he has violated the internal regulations of the organization. If the employee refuses to provide the employer with an explanation in writing, a corresponding report is drawn up after two working days. This document must contain the following details: place and date of drawing up the document; last name, first name, patronymic, position of the compiler and employee, a brief description of the alleged violation of labor discipline; an offer to the employee to give an explanation and his refusal, actual or default; an explanation of what exactly the employee’s failure to fulfill his job duties was.

Secondly, the employer (his authorized representative - head of the personnel department, deputy director of personnel) will request from the employee’s immediate supervisor the necessary documents confirming the employee’s violation of labor discipline, and an opinion on the selection of a certain (necessary in the circumstances) disciplinary measure for the violator.

Thirdly, assessing the materials collected on the fact of violation of internal labor regulations, the employer makes a decision about the guilt of the employee, i.e., whether he has committed a disciplinary offense.

Fourthly, before imposing a disciplinary sanction, the employer takes into account the severity of the offense committed and the circumstances mitigating the employee’s guilt.

Fifthly, in accordance with Part 1 of Art. 192 of the Labor Code of the Russian Federation, the employer exercises his right to apply disciplinary action to a violator of internal labor regulations or limit himself to other means of educational influence. The effectiveness of disciplinary action largely depends on this stage of disciplinary proceedings. Reducing it only to punishment is unjustified from both theoretical and practical points of view. The educational role of this stage depends on the personality of the employee, on the level of his professional training, legal and moral culture. This is a rather complex and responsible process for the employer. Sometimes a conversation with the manager is enough to correct the offender, and in some cases the application of a disciplinary measure leads to confrontation and increased tension in the employer’s relationship not only with the employee, but also with the primary production team. For this stage, the pedagogical and psychological preparation of the leader as a manager is very important.

This stage ends with the adoption of an appropriate decision to punish the employee or, at the employer’s discretion, to leave the collected materials without movement. In practice, in the latter case, the employer does not issue any procedural act. The employer does the same if a minor violation of labor discipline is detected or there is insufficient material to establish it. In the latter case, the employee’s right to protection of “his labor rights and freedoms” (Article 2 of the Labor Code of the Russian Federation) is obviously violated, since the employee cannot protect his good name, honor and dignity. You can only appeal the relevant order of the employer, and not the negative opinion created during the investigation about the possible dishonesty of the employee.

Sixthly, the employer chooses a disciplinary measure and issues an appropriate order. An order (instruction) to apply a disciplinary measure is announced to the employee against signature within three working days from the date of its publication, not counting the time the employee is absent from work. If the employee refuses to familiarize himself with the order (instruction) against signature, then the authorized representative of the employer draws up a corresponding act (Part 6 of Article 193 of the Labor Code of the Russian Federation). The details of the act are similar to those set out for the act of refusal to give an explanation for the fact of violation of internal labor regulations.

Disciplinary proceedings are subject to certain procedural time limits: one month and six months. Disciplinary action is not applied if more than one month has passed since the discovery of the misconduct. The monthly period does not include the time the employee is ill, on vacation, or the time required to take into account the opinion of the representative body of employees, if required by law (Part 2 of Article 82 of the Labor Code of the Russian Federation).

After the expiration of the six-month period, the employee cannot be subject to disciplinary action. When conducting an audit, inspection of financial and economic activities or an audit, the period during which a disciplinary sanction may be imposed is increased to two years.

The specified time frame does not include the time of criminal proceedings (Part 4 of Article 193 of the Labor Code of the Russian Federation).

Disciplinary proceedings are characterized by the rule that only one disciplinary sanction can be applied to an employee for the same disciplinary offense.

This does not exclude the application of administrative or criminal measures to the employee. A violator of internal labor regulations can also be disciplined, since deprivation of a bonus is not considered a disciplinary sanction.

Along with the mandatory stages of disciplinary proceedings outlined, it is also possible optional: 1) appealing a disciplinary sanction to bodies for consideration of individual labor disputes; 2) termination of disciplinary proceedings as a result of its review by the competent authorities, for example by a superior manager.

Removal of disciplinary action

From a legal point of view, disciplinary action is usually always a lasting condition, limited to a certain period within the employment relationship. If within a year from the date of application of the disciplinary sanction the employee has not committed a new violation of the internal labor regulations, then his state of punishment ceases, and the violator, in accordance with Part 1 of Art. 194 of the Labor Code of the Russian Federation “is considered not to have a disciplinary sanction.”

Before the expiration of one year, the employer can remove a disciplinary sanction from an employee either on its own initiative or at the request of his immediate supervisor or an elected representative body (trade committee). The initiative can also come from the violator of labor discipline himself. In accordance with Part 2 of Art. 194 of the Labor Code of the Russian Federation may make such a request to the head of the organization.

The state of punishment indicates a continuing systematic educational influence, which can be effective in organizing proper accounting of violators of internal labor regulations and monitoring their labor behavior. At medium and large enterprises, the employer can assign these responsibilities to the immediate supervisors of the labor process, who keep special logs of violations and violators of internal labor regulations in the production teams subordinate to them.

Labor relations are regulated, as is known, by the Labor Code. When applying for a job, the applicant and the employer enter into an agreement. The document specifies the basic working conditions of the 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 and the provisions of local documents. If they violate them, he faces 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 charged to an employee who has violated the provisions of the law or other regulatory documents. A violation can be expressed either in non-fulfillment or in improper performance by an employee of professional duties due to his fault.

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

The employer may 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 others not covered by Art. 192 Labor Code of the Russian Federation disciplinary action. Norm must be applied taking into account the provisions of Art. 81.

Features of the norm

According to Labor Code of the Russian Federation, to disciplinary sanctions applies to dismissal on the grounds established 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 81 of the norm, if the employee’s guilty actions give rise to a loss of confidence in him or he has committed an immoral act in the place and within the framework of his work activity.

The use of sanctions that are not established in federal legislation, regulations and charters is not permitted.

According to Art. 192 Labor Code of the Russian Federation, disciplinary sanctions should be charged 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 culpable, unlawful failure or improper performance by an employee of the duties assigned to him in accordance with the contract, law and other regulations (including local ones) acts.

A misdemeanor can be expressed in violation of regulations, company rules, job descriptions, employer orders, technical rules, and so on.

Guilt

Failure to perform/improper performance of duties will be considered guilty if the citizen acted negligently or intentionally.

Imposition of disciplinary sanctions under the Labor Code of the Russian Federation is not allowed if the corresponding violations were committed due to circumstances beyond the control of the person. For example, an employee did not fulfill his duties due to the lack of necessary materials for work, due to loss of ability to work, etc.

Illegality

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

On this issue, an explanation was given by the Plenum of the Supreme Court in Resolution No. 2 of 2004. The Court indicated that an employee’s refusal to perform a production task when a threat to his life/health arises in connection with the elimination of the corresponding danger cannot be regarded as a misdemeanor.

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

Nuances

Due to the fact that the Labor Code does not contain provisions prohibiting the exercise of the right to such a refusal, in cases where the performance of the relevant tasks is conditioned by a transfer on the grounds set out in Article 72.2, the citizen’s refusal to transfer should be considered justified.

Failure to comply with the employer’s order to go 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 early without his consent. The employee’s refusal to comply with such an order (regardless of the reason) should be considered lawful.

Types of discipline violations

As a misdemeanor for which one may be charged disciplinary action under the Labor Code of the Russian Federation, only such culpable unlawful behavior can occur that is directly related to the performance of professional duties. A person’s refusal to carry out a public order or failure to comply with the rules of behavior in a public place cannot be considered a violation.

Violations of discipline at the enterprise are considered:

• Absence of a citizen without good reason from the workplace or work in general.
• Evasion/refusal to undergo a medical examination, special training, certification, exams on health and safety, equipment operating rules, if these procedures are a prerequisite for admission to production activities.
• Refusal, without good reason, to conclude an agreement on financial liability, if service with valuables is the main job responsibility of the person and was agreed upon when he was hired at the enterprise, and the specified agreement can be concluded with the citizen, in accordance with the provisions of the law.

Art. 81 Labor Code of the Russian Federation

Disciplinary action may be used in connection with:

• Repeated failure by a citizen to perform 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 unit), his deputy, ch. an accountant of an unjustified 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 manager or his deputy, committed once.

In addition to those installed in Labor Code of the Russian Federation for disciplinary sanctions sanctions are provided for in sectoral federal laws. For example, Federal Law No. 90 allows for the dismissal of a teacher due to a gross violation of the charter of an educational institution, repeated within a year.

Exceptions

Given in Art. 192 the list is considered exhaustive. The application of any other penalties not provided for in the article is not permitted. For example, it would be unlawful to transfer an employee to a lower-paid position or 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 given a warning about incomplete compliance with the position held.

Rules for applying sanctions

They are fixed Art. 193 Labor Code of the Russian Federation. Disciplinary action may be charged only after receiving an explanation from the employee who committed the violation. They are provided in writing. The employee is given 2 days to draw up explanations. If at the end of this period no explanations are provided, the employer must draw up a corresponding report.

It must be said that failure to provide an explanation is not considered an obstacle to the application of sanctions to those responsible.

Deadlines

They are also mentioned in norm 193 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 of discovery of the violation. This period does not include the days the employee is on vacation, temporary disability, as well as the time allotted for taking into account the conclusions of the trade union.
• The sanction cannot be applied after 6 months. from the date of the violation, and based on the results of the audit, audit inspection, inspection of financial and economic transactions - after two years. These time limits do not include the time of criminal proceedings.

For each violation, the perpetrator may be subject to only one sanction. Otherwise, his constitutional rights will be infringed.

If an employee violates labor discipline, ignores his job duties or violates the provisions of internal regulations, then the employer has the right to apply disciplinary action to him.

The types of disciplinary punishments that the employer has the right to apply to offending employees are specified in Art. 192 Labor Code of the Russian Federation. Before imposing any penalty on an employee, the employer must compare the degree of guilt of the employee and the damage caused to him with the punishment itself.

Types of disciplinary sanctions in the labor code

Disciplinary sanctions include:

• comment;
• rebuke;
• dismissal.

According to the Labor Code of the Russian Federation, the employer has the right to apply one of the above penalties to an employee if he has committed an illegal or guilty act in relation to labor discipline or the employer’s property.

In addition to these penalties, the employer may additionally apply the following:

• warn the employee that he is partially unsuitable for the position. The warning does not have to be in writing. This can also be done orally;
• release the employee temporarily from the position he occupies;
• impose a fine on the employee.

These measures are not disciplinary sanctions under the Labor Code of the Russian Federation, but they are provided for by other regulations.

In order to impose a certain penalty on an employee, the employer must follow the procedure. If this is not done, the employee can challenge the punishment in court and demand compensation from the employer for moral and material damage. First of all, the employer must require the employee to provide a written explanation for the culpable offense. If the unlawful act was committed for a good reason, then the employer does not have the right to punish his employee.

Unfortunately, the concept of “good reason” is not defined in the Labor Code of the Russian Federation. Therefore, whether the reason is valid will be decided by the employer.

A disciplinary sanction can only be imposed within 1 month from the date of commission of the offence. This period does not include the time when the employee is on sick leave, or the time while the employer’s representative body makes a decision. If the culpable offense was revealed by an audit or audit, then the guilty employee can be punished within six months. For one guilty act, the employer can impose only one type of penalty.

Such punishments apply to civilians. Military personnel are subject to slightly different disciplinary sanctions for violation of discipline.

Comment

This is the most loyal form of disciplinary action. As a rule, it is issued in writing. At the stage of investigation of misconduct, the employer must require written explanations from the employee. If these explanations satisfy the employer, he may not apply the remark. The practice of applying such penalties indicates that the employer most often applies it for the following offenses:

• the employee violated his or her job duties only once and not seriously. For example, being late for work once. This can happen to any employee for reasons beyond his control. A current event is traffic jams. They can form in the most surprising places. If the delay occurred, for example, due to a breakdown of public transport, then you can bring a supporting document from the depot;
• failed to fulfill his job duties once. This is a more serious offense.

In any case, if the employer decides to punish his employee with a reprimand, he must correctly record the offense, issue an order and apply the punishment. Compliance with the registration procedure is the responsibility of the employer.

Order

There is no unified form of order to apply a disciplinary sanction to an employee. Therefore, the employer independently determines the form of this document. According to the general provisions for drawing up personnel orders, an order to apply a disciplinary sanction such as a reprimand to an employee must contain the following information:

• about the employer:
  • its abbreviated name, as stated in the constituent documents;
• document's name;
• serial number;
• Date of preparation;
• employee information:
  • his full name;
  • job title;
  • if the enterprise is large, then you must indicate the name of the structural unit in which the offending employee works;
• formulation of the disciplinary offense;
• reference to the norm of the Labor Code of the Russian Federation;
• the wording of the disciplinary sanction is “reprimand”;
• date of document preparation;
• signature of the manager and transcript of the signature.

The offending employee must be familiarized with the order. That is, he puts his personal signature on it and marks “acquainted”. The validity period of an order to apply a disciplinary sanction in the form of a remark to an employee is 1 year. If during this period the employee has no longer committed any misconduct, then the reprimand is removed “automatically”.

Rebuke

A reprimand is a fairly strict disciplinary measure that can serve as one of the factors for dismissal and therefore requires an extremely correct approach from the employer to its application.

Management must clearly understand for what offenses a reprimand can be issued. Such disciplinary action is accompanied by two mandatory aspects:

• a reprimand can become one of the legal grounds for dismissing an employee. It is evidence that the employee grossly violated his labor duties at least once. If an employee receives a second legal reprimand, the employer can safely fire him. But at the same time, all documents must be completed correctly;
• one can consider a reprimand as a factor that increases labor discipline. An employee who has received a reprimand entered into his personal file will work more actively, as he will want to rehabilitate himself in the eyes of the employer.

The process of reprimanding an employee must be accompanied by accurate execution of all necessary documents. Otherwise, the employee may challenge such a disciplinary sanction.

Order

As soon as the employer decides to reprimand this employee, he must draw up an order to this effect. An official investigation must first be carried out, written explanations must be requested from the offender and documents about the offense itself must be drawn up. An order to reprimand an employee is drawn up in exactly the same way as one to apply a reprimand.

Deprivation of bonus

A bonus is an incentive type of remuneration. As a rule, the manager issues a bonus if the employee has no complaints and has not violated labor discipline.

The bonus is an excellent motivation for staff, increases productivity, and improves discipline in the workplace. For the employer, the bonus part allows you to legally punish unscrupulous employees with “rubles” and reward loyal and hardworking employees.

The grounds for depriving an employee of a bonus depend on the type of bonus. If the bonus is a systematic payment, then this must be indicated in the employment contract. An employee can be deprived of such payment only for a disciplinary offense, which must be proven by the employer.

In Art. 192 of the Labor Code of the Russian Federation lists only 3 types of punishments for disciplinary offenses. There is no deduction among them. Therefore, such actions by the employer cannot be considered punishment.

Penalties can only be applied if this is specified in the employment contract. The employer has the right to deprive the employee of the bonus in full or only part of it. But such a measure can only be used as punishment if all documents are completed correctly.

Order

Depriving an employee of all or part of a bonus occurs in exactly the same way as applying a disciplinary sanction to him:

• the manager, in the presence of 2-3 people, draws up a report on the identified violation;
• the offender is required to provide written explanations;
• an order is drawn up for non-payment of the bonus and the period is indicated, or an order is drawn up for the deprivation of part of the bonus, indicating the violation;
• The order is issued to the violator against signature.

The order is drawn up in exactly the same form as the order to impose a disciplinary sanction. Punishment in the form of deprivation of bonuses can be applied within 1 month from the date of discovery of the violation.

What types of disciplinary sanctions do not exist?

In Art. 192 of the Labor Code of the Russian Federation clearly states that an employer can apply punishment to an employee for a disciplinary offense, but in a strictly specified form. There are only 3 types of disciplinary sanctions for violation of labor discipline:

• comment;
• rebuke;
• dismissal.

The employer does not have the right to apply two penalties simultaneously for one offense.

Depending on the specific area of ​​application of the penalty, the following types of penalties can be distinguished:

• reduction in class rank - for employees of the prosecutor's office;
• warning about incomplete compliance with the position held or work performed - for workers in certain fields of activity. For example, for nuclear energy;
• deprivation of a certificate for the right to drive a locomotive and other railway transport.

Such “specific” punishments are prescribed in special documents - charters, regulations, resolutions, etc. But in those relations that are regulated only by the Labor Code of the Russian Federation, there are only 3 types of penalties prescribed in Art. 192 Labor Code of the Russian Federation.

An employer can apply other types of punishment to an employee, but only if they are specified in the employment contract, in a collective agreement or in a local regulation. All documents must be prepared in accordance with the Labor Code of the Russian Federation. The employer must conduct an internal investigation, draw up reports, issue an order, and only after that punish his employee.

There are no disciplinary sanctions such as:

• fine;
• working out;
• deprivation of bonus;
• deprivation of time off;
• deprivation of leave;
• demotion;
• salary reduction;
• other.

How to remove a disciplinary sanction

The employer has the right to early remove the penalty from the employee. If this does not happen, then the penalty is automatically lifted after 1 year. Early withdrawal of foreclosure can be:

• at the written request of the employee himself;
• by decision of the employer;
• at the request of the head of a structural unit;
• at the request of a trade union body, if one exists at the enterprise.

A disciplinary sanction such as dismissal cannot be lifted. It can only be challenged in court. To do this, you must file a claim in court. This can only be done by an employee who believes that he was fired illegally.

In Art. 194 of the Labor Code of the Russian Federation states that the validity period of the penalty is 1 year, unless the employee has committed a repeated offense. It is removed “automatically”; no statements or petitions need to be written. The employer, for its part, also does not have to draw up any additional documents.

In Art. 191 of the Labor Code of the Russian Federation states that the employer has the right to remove the penalty from the employee ahead of schedule on the basis of the latter’s conscientious work. What is integrity? This:

• work without complaints for a certain period;
• making rationalization proposals;
• plan overfulfilment;
• participation in community service;
• accident prevention;
• other.

The penalty is lifted early based on the order of management.

The employee has an obligation to comply with internal regulations and other local documents. But you can punish your employee for non-compliance with these rules only if management has familiarized the employee with them. That is, when hiring, the new employee must be familiarized with each document by signature.

An employee can be brought to disciplinary liability only by applying disciplinary sanctions provided for by law. In accordance with Part 1 of Art. 192 of the Labor Code of the Russian Federation for committing a disciplinary offense, that is, for non-fulfillment or improper performance by an employee through his fault of the labor duties assigned to him, the employer has the right to apply the following disciplinary sanctions: 1) reprimand; 2) reprimand; 3) dismissal for appropriate reasons. In this case, the legislator has determined the measures that are applied when bringing employees to general disciplinary liability. However, one cannot help but notice that in Part 1 of Art. 192 of the Labor Code of the Russian Federation does not define specific grounds for dismissal recognized as a disciplinary sanction. Obviously, this includes clause 5 of Art. 81 of the Labor Code of the Russian Federation, that is, termination of an employment contract for repeated failure by an employee to fulfill work duties without good reason, if he already has a disciplinary sanction. Disciplinary sanctions include dismissal under paragraphs. "a" clause 6 of Art. 81 of the Labor Code of the Russian Federation for absenteeism, that is, for absence from the workplace without good reason for more than four hours in a row during the working day. Disciplinary action is also termination of the employment contract under paragraphs. "b" clause 6 of Art. 81 of the Labor Code of the Russian Federation for appearing at work in a state of alcohol, drug or toxic intoxication. The dismissal of an employee under paragraphs. is also recognized as a disciplinary sanction. "c" clause 6 of Art. 81 of the Labor Code of the Russian Federation for the disclosure by an employee of a legally protected secret that became known to him in connection with the performance of his job duties. Dismissal under paragraphs. "d" clause 6 of Art. 81 of the Labor Code of the Russian Federation for committing theft at the place of work, including small theft, of someone else’s property is also recognized as a disciplinary sanction. A disciplinary sanction is also dismissal under paragraphs. "d" clause 6 of Art. 81 of the Labor Code of the Russian Federation for violation by an employee of labor protection requirements, if this violation entailed serious consequences or knowingly created a threat of such consequences. Dismissal under clause 9 of Art. 81 of the Labor Code of the Russian Federation for making an unjustified decision by the head of an organization (branch, representative office), his deputies and the chief accountant of the organization, which entailed a violation of the safety of property, its unlawful use or other damage to the property of the organization is also a disciplinary sanction. In this case, we are talking about special disciplinary liability, since both the subject held accountable and the offense for which special disciplinary liability is imposed are special. Dismissal under clause 10 of Art. is also recognized as a disciplinary sanction. 81 of the Labor Code of the Russian Federation for a single gross violation by the head of an organization (branch, representative office) or his deputies of their labor duties. In this case, we are also talking about special disciplinary liability, since the subjects held accountable must occupy the appropriate position. The actions for which prosecution is carried out on this basis also have a special character, since the disciplinary measure in question can only be applied for an offense that does not coincide with disciplinary offenses, the commission of which may result in dismissal on general grounds.

The listed grounds for termination of an employment contract at the initiative of the employer are recognized in judicial practice as disciplinary measures. However, certain grounds for dismissal for guilty and unlawful actions related to the performance of labor duties are not recognized as disciplinary measures. In particular, dismissal under clause 7 of Art. 81 of the Labor Code of the Russian Federation for the commission of guilty actions by an employee directly servicing commodity or monetary assets, if these actions give rise to a loss of confidence in him on the part of the employer and are committed outside the place of work, is not recognized as a disciplinary measure. Termination of an employment contract under clause 8 of Art. 81 of the Labor Code of the Russian Federation for the commission of an immoral offense by an employee performing educational functions, incompatible with this work, committed outside the place of work, is also not classified by judicial practice as a disciplinary sanction. Refusal to include the above-mentioned grounds for termination of an employment contract at the initiative of the employer in the number of disciplinary sanctions conflicts with Part 1 of Art. 192 of the Labor Code of the Russian Federation, which defines a disciplinary offense, the commission of which involves the application of the listed disciplinary measures, including dismissal from work. Indeed, termination of an employment contract on these grounds requires proof that the employee committed guilty and unlawful actions that resulted in non-fulfillment or improper performance of labor duties. In this connection, the listed grounds should also be considered disciplinary sanctions. Indirectly, such an inclusion is also recognized in judicial practice, which proceeds from the fact that when applying these grounds for dismissal, one should take into account the time the offense was committed, the behavior of the employee, his attitude towards him, that is, the same circumstances as when applying disciplinary sanctions. However, judicial practice does not indicate what standards should be followed when assessing these circumstances. As is known, labor law norms are applied according to the rules of civil procedural legislation. In paragraph 4 of Art. 1 of the Code of Civil Procedure of the Russian Federation establishes the application of procedural rules by analogy, and in paragraph 3 of Art. 11 of the Code of Civil Procedure of the Russian Federation provides for the application of substantive norms by analogy.

From which it follows that the assessment of the listed circumstances when applying clauses 7 and 8 of Art. 81 of the Labor Code of the Russian Federation should be carried out using, by analogy, at least procedural and substantive rules on the application of disciplinary sanctions. The above allows us to conclude that when applying clauses 7 and 8 of Art. 81 of the Labor Code of the Russian Federation, the rules for bringing employees to disciplinary liability must be observed. Moreover, these types of disciplinary sanctions should be included in special disciplinary liability. Subjects who can be dismissed on the grounds under consideration perform special labor duties; their dismissal may take place for committing special offenses that are not covered by general disciplinary offenses. Therefore, in this case it is quite appropriate to talk about special disciplinary liability.

In Part 3 of Art. 192 of the Labor Code of the Russian Federation prohibits the use of disciplinary measures not provided for by federal laws, charters and regulations on discipline. The application of a disciplinary sanction not provided for by the listed regulatory legal acts allows the employee to whom they were applied to be recognized as not having a disciplinary sanction. Thus, for committing a disciplinary offense, measures cannot be applied that are not provided for in the above-mentioned regulatory legal acts, in particular, deprivation of bonuses, transfer of the queue for receiving housing, and others.

In Part 1 of Art. 192 of the Labor Code of the Russian Federation lists general disciplinary sanctions, which, as a rule, are applied when disciplinary offenses are committed that entail general disciplinary liability. In Part 2 of Art. 192 of the Labor Code of the Russian Federation states that federal laws, charters and regulations on discipline for certain categories of employees may provide for other disciplinary sanctions, that is, a list of disciplinary sanctions listed in Part 1 of Art. 192 of the Labor Code of the Russian Federation, may be supplemented with special disciplinary sanctions, the application of which is evidence of bringing the employee to special disciplinary liability. However, the introduction of additional disciplinary sanctions must comply with legal requirements.

In accordance with Part 3 of Art. 55 of the Constitution of the Russian Federation, restrictions on the rights and freedoms of man and citizen, including in the sphere of labor, can only be carried out by federal law and only to achieve the goals listed in this constitutional norm. The introduction of special grounds for dismissal from work as a disciplinary measure is a restriction of the constitutional right of workers to freely dispose of their ability to work. Therefore, special grounds for dismissal as a disciplinary measure can be introduced by federal law in order to protect the foundations of the constitutional system, morality, health, rights and legitimate interests of other persons, ensuring the defense of the country and the security of the state.

In accordance with Part 5 of Art. 189 of the Labor Code of the Russian Federation, statutes and regulations on discipline are approved by the Government of the Russian Federation. Consequently, in their form, these regulatory legal acts cannot be recognized as a legal basis for restricting the rights and freedoms of man and citizen, including in the sphere of labor. In this connection, special disciplinary sanctions may appear in the charters and regulations on discipline, which do not limit the labor rights and freedoms of employees. For example, penalties in these regulatory legal acts may include a severe reprimand, deprivation of a bonus, a warning about incomplete performance and other penalties that do not entail termination of the employment contract with the employee. The application of these penalties cannot be recognized as a restriction of the labor rights of employees, since in this case an extreme disciplinary measure in the form of dismissal may follow in the absence of the possibility of using additional disciplinary sanctions. That is, the path to dismissal from work as a disciplinary measure increases. In this connection, we can conclude that labor rights are not limited when applying such measures. Let us once again draw attention to the fact that disciplinary measures may be applied to the employee, which are provided for in federal laws, charters and discipline regulations approved by the Government of the Russian Federation. The application of other disciplinary sanctions when it is proven that a disciplinary offense has been committed and its composition does not allow recognizing the bringing of an employee to disciplinary liability as legal and justified. Thus, the application of a disciplinary measure that complies with the current legislation is one of the legally significant circumstances when bringing an employee to disciplinary liability.