员工违纪(违规)行为处理与合法调查取证
Deal With Undisciplined Employees and Legal Obtaining Through Evidence Investigate
【培训安排】2016年7月28日 上海东锦江希尔顿逸林酒店
【培训费用】3500 RMB /Per/Day；同一公司2人（含）以上同时报名2975元/位。
【Training Background|培训背景】
违纪导致的冲突和争议，是员工关系管理中的难点所在。不恰当的违纪处理轻则导致双倍赔偿、恢复劳动关系，重则引发群体性停工、罢工，不仅给公司带来巨大经济损失，而且将极大的挑战公司的管理权威，从而为企业的后续管理埋下隐患。另一方面，中国员工的忠诚度普遍下降，员工的"对抗性"违纪持续增多，违纪行为本身也出现"多元化、复杂化、极端化"的新特征。诸如配偶介入利益冲突、商业贿赂、过激维权、性骚扰、滥用电子资源等新型违纪行为给公司的人员管理和证据固定带来新挑战，如何对员工违纪行为进行类型化思考和以及如何进行调查取证，避免败诉风险，成为众多企业普遍关心的问题。
The conflict and dispute arising out of or in connection with the violation of discipline are the difficulties in employee relationship management. Improper violation handling will cause double compensation and recovery of labor relationship or even cause mass strike and shutdown, which will not only bring huge economic loss to the company but also greatly challenge the company's managerial authority, thus paving the way for the disaster in subsequent management. On the other hand, the loyalty of Chinese employees decreases generally and employees' "antagonistic" violations increase constantly and the violations are also showing the new characteristics of "diversification, complication and extremalization". For instance, the spouse intervention in the interest conflict, commercial bribery, extreme rights protection, sexual harassment, misuse of electronic resources and other new violations bring new challenges to the company's personnel management and evidence fixing. How to conduct typological thinking on the employees' violation and how to make investigation and obtain evidence and avoid risk of losing lawsuit become the common concerns of the enterprises.
2015年2月4日，最高法正式发布《关于适用〈中华人民共和国民事诉讼法〉的解释》，网上聊天记录、博客、微博客、手机短信、电子签名、域名等形成或者存储在电子介质中的信息可以视为民事案件中的证据。该司法解释对违纪违规行为调查取证将产生怎样的影响？如何有效固定电子证据？如何避免证据风险？
On Feb. 4, 2015, the Supreme Court formally released the Interpretation on Application of "Civil Procedure Law of the People's Republic of China", in which it is clearly specified that the information that is formed or stored in the electronic medium such as online chatting record, blog, microblog, phone message, electronic signature and domain name can be deemed as the evidences for civil cases. What is the influence of the judicial explanation on the investigation and evidence acquisition of violations? How to effectively fix the electronic evidences? How to avoid evidence risk?
根据最高院《民诉法》新司法解释与违纪调查程序，2015年的员工违纪有两大趋势：过激化、隐蔽化。违纪问题来势汹汹，违纪员工面对冲突，现在往往不通过法律手段而采取其他过激方式，对公司造成更大损失。此时公司该怎么办？
ICH邀请对劳动争议处理有丰富经验的专家，从上千例违纪解雇争议挑选出具有代表性的经典案例，分析新司法解释背景下各类违纪行为的处理重点、调查取证和证据固定，为企业有效推进违纪员工管理提供针对性的策略和技巧。
In accordance with the new judicial explanation and violation investigation procedure specified in Civil Procedure Law of the People's Republic of China issued by the Supreme Court, the employees' violation has two trends in 2015: extremalization and concealment. When facing the malevolent violations and conflicts, the employees always take other violent behaviors instead of legal measures, which will cause larger loss to the company. How can the company cope with the situation?
【Training Content|培训内容】
前言：什么是违纪，什么不是违纪
Preface: definition of violation and non-violation
一、民诉法新司法解释背景下的证据实务
I. Evidence Practice under the Background of New Judicial Explanation of Civil Procedure Law
（一）证据类型(I) Type of evidence
7类法定证据类型Seven types of legal evidences
数据电文证据（邮件、短信、网页、微信等）新规则New rules for data and electronic evidences (e-mail, short message, webpage and Wechat)
涉外证据的取证规则Rules for obtaining the foreign evidences
合规访谈记录、调查报告的证据归类Classification of evidences of legal interview records and investigation reports
（二）证据属性(II) Attribute of evidence
真实性：电子考勤记录如何确认其真实性Authenticity: how to confirm the authenticity of electronic attendance record
合法性：未经对方同意的录音、录像是否有效Legality: whether the voice recording and video recording not approved by the concerned parties are valid or not
未经在职员工同意进入员工邮箱获得邮件是否合法Without the consent of the current employees, is it legal to log in the employees' e-mail boxes to obtain the e-mails?
关联性：证人证言、客户投诉信对于违纪行为的证明力Correlation: Probative force of the witness testimony and client's complaint letter on the violations.
（三）举证责任
(III) Burden of proof
"谁主张谁举证"在违纪案件中的运用Application of "burden of proof borne by claimant" in the illegal cases
"举证责任倒置"在违纪案件中的运用Application of "reversion of burden of proof" in the illegal cases
新民诉法司法解释对"举证期限"新规定New provisions on the "time limit for adducing evidence" in the new judicial explanation on Civil Procedure Law
（四）证明标准
(IV) Standard of proof
"排除一切合理怀疑" "Beyond all reasonable doubt"
"高度盖然性" "High degree of probability"
"优势证据规则" "Preponderance of evidence"
"孤证"与"证据链" "Single evidence" and "chain of evidence"
二、案例解析十类典型违纪行为的调查取证
II. Case Analysis of Investigation and Evidence Collection of Ten Typical Violations
（一）职业操守
(I) Professional observance
盗窃Burglary
商业贿赂Commercial bribery
性骚扰Sexual harassment
（二）出勤违纪
(II) Attendance violation
旷工、旷职Absenteeism and absence from duty without leave
虚报工时、加班、代打卡False declaration of working hours, overtime work and punching card on behalf of others
（三）业务违纪
(III) Business violation
越权行为Act in excess of authority
渎职行为Misconduct
非法侵占Illegal encroachment
（四）违反诚信
(IV) Breach of good faith
虚假陈述False statement
骗取信任Trust cheating
（五）对抗指示
(V) Breach of instructions
消极怠工 Demotivation
拒绝岗位调整Refusal of position adjustment
拒绝公司搬迁Refusal of company relocation
（六）泄露秘密
(VI) Breach of confidence
泄露商业秘密Leak commercial secret
泄露秘密信息Leak confidential information
违反保密规定Breach of confidentiality provision
（七）侵害致损
(VII) Loss caused by infringement
损害员工利益Damage employees' benefit
损害公司利益Damage company's benefit
（八）利益冲突
(VIII) Conflict of interest
擅自兼职Do part-time job without authorization
在职竞业On-job competition
自我交易Self-dealing
飞单交易Betrayal-oriented transaction
（九）危险行为
(IX) Dangerous behavior
打架斗殴Fighting and brawling
毁坏财物Damage of properties
（十）过激维权
(X) Extreme rights protection
罢工停工Strike and shutdown
擅自报警Call the police without permission
群发邮件Send mass email
擅闯堵门Authorized entry and blockage of door
滞留办公Retention for official handling
跳楼群访Jumping and group interview
媒体披露Disclosure to media
三、案例解析"违纪案件"处理四要件
III. Case Analysis-Four Elements for Handling "Illegal Cases"
（一）明确的法律依据
(II) Clear handling basis
法律依据的引用Quotation of legal basis
法律依据与事实依据相结合的"表述""Statement" combining the legal basis and factual basis
严重违纪与严重失职、不胜任的区分
Differentiation between serious violation of discipline and gross negligence & incompetence
（二）明确的处理依据
(II) Clear handling basis
规章制度的配适性分析Analysis of applicability of rules and systems
规章制度的合法性分析
民主程序的证据要求（是否必须成立职代会或召开全体员工大会）Analysis of validity of the rules and systems
公示程序的证据要求（局域网公示是否具有法律效力？）Evidential requirement of democratic process (whether the workers' congress or overall staff congress shall be held or not)
制度歧义条款的判断
Judgment of clause on system ambiguity
（三）充分的事实依据违纪行为发生的证据（如何通过录音、访谈、邮件分析等获得证据）(III) Full factual basis
违纪行为调查的证据（启动违纪调查的注意事项）
Evidence of occurrence of violations (how to obtain the evidence via recording, interview and e-mail analysis)
违纪行为处理的证据（作出违纪处理的证据固定）Evidence of investigation of violations (precautions for initiation of investigation on violation)
（四）完整的程序依据
(IV) Complete procedure basis
避免重复处理Avoid repeated handling
避免超过处理"时效"Avoid exceeding the "deadline" for handling
避免违反既定流程Avoid violating the existing procedures
给予申辩的注意事项Precautions for giving defence
送达处理决定Deliver handling decision
通知工会及再次通知工Inform the labor union and inform the labor union again
四、违纪案件争议协调与处理
IV.Coordination and Handling of Dispute on Illegal Cases.
（一）违纪解雇类争议的裁审应对
(I) Judge response to dispute on illegal dismissal
如何快速推进违纪员工的协商谈判How to rapidly promote the negotiation between employees violating the discipline
如何应对恢复劳动关系的仲裁诉请
How to cope with the application for arbitration for recovery of labor relationship
（二）特殊群体的违纪处理注意事项
(II) Precautions for handling of violations of special group
三期、病假、工伤职工注意事项Precautions for employees under "three periods", having a sick leave and occupational injury
高级管理人员违纪处理注意事项Precautions of violation handling by senior managers
劳务派遣、委派人员的注意事项Precautions for labor dispatching and personnel delegation
外籍港澳台员工的处理注意事项
Precautions for handling of foreign employees and employees from Hong Kong, Macao and Taiwan
【About the Speaker|讲师介绍】
Gary Hong 洪桂彬律师:
知名劳动法和公司法专家,汇业律师事务所合伙人律师；
洪桂彬律师专长于公司法、劳动法与争议解决，同时熟知人力资源管理与用工成本实践（社保
/财税），在跨区域员工关系治理、高管治理、竞业限制及商业秘密等领域有丰富的执业经验。2013年曾参与《劳动合同法修正案》《劳务派遣规定》《上海市工伤保险实施办法（修订）》等多部法规的立法专家讨论与建议工作，并为多家世界500强在华企业提供劳动关系综合解决方案。其授课对象包括甲骨文、法国空客、强生、联合利华、杜邦、拜耳、壳牌石油、索迪斯、宝马、卡夫食品、耐克、欧尚、日立、宝钢、苏宁股份、中欧管理工商学院、交通银行、建设银行、苏格兰皇家银行等多家世界500强、跨国企业及境内知名公司。洪桂彬律师常年就劳动关系热点问题接受新闻综合频道、东方卫视、中国经营报等知名媒体采访发表专家意见。
经验：
成功为世界500强公司在华4000余人提供劳动关系规模转移安置综合解决方案
成功为某行业领先企业提供10000余人的劳务派遣综合解决方案
成功调处某外资企业400余人的集体停工事件
出版物及其他:
《社会保险风险控制与成本优化实务》（独著）中国政法大学出版社出版
曾主笔专栏《模拟仲裁庭》，在诸多报刊杂志上发表劳动法专业文章.
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