DISCIPLINARY ACTION

DR. E. M. RAO
PROFESSOR
Personnel Management & Industrial Relations

XLRI JAMSHEDPUR

DISCIPLINARY PROCESS -ESSENTIALS

Written Complaint

Basis of any disciplinary action.

From a responsible person or a person affected
by the act of misconduct.
Lodged as early as possible.
Preferably eye-witness account of the
misconduct alleged.

DISCIPLINARY PROCESS - ESSENTIALS

Written Complaint
If not practicable to identify culprit, describe the
mishap.
Set out the likely culprits of mishap.
Allegations should not be so wild as to make
disciplinary action impossible or void.
Make sure that there is a logical nexus between
alleged misconduct & the individual(s) alleged
to be involved therein.
Be Clear and precise - and not vague and
vaporous.

DISCIPLINARY PROCESS - ESSENTIALS

Written Complaint
It should contain the following details:
nature of the act of misconduct.
person(s) involved in the alleged act.
extent of damage or loss.
date, time, & venue of the event.
witnesses to the occurrence or persons who
first noticed it.
details of verbal exchanges, if any, that took
place during the occurrence of the incident.
documentary & material proof, if any.

INITIATING DISCIPLINARY ACTION

If misconduct is related to organisational matters
- the complaint should be attested and forwarded
by a responsible executive.
If it is interpersonal or inter-group - the affected
party can directly prefer the complaint.
Disciplinary action - should be initiated only by
the officer expressly authorised to do so
(Disciplinary Authority).
It is mandatory that this power is delegated by
a Board Resolution.

STEPS IN DISCIPLINARY ACTION

Written Complaint
Preliminary Enquiry - if required : optional
Show-Cause Notice - if provided for : optional
Charge Sheet
Notice of Enquiry
Domestic Enquiry
Final Disposal of the Case

PRELIMINARY ENQUIRY - required when?

interpersonal or inter-group misconduct.
cross-complaints from two persons or groups.
reason to believe that the complaint is frivolous.
misconduct is not precisely definable (in terms
of its time or persons involved).
there is a need for additional material before
determining whether a proper disciplinary
action is warranted.

PRELIMINARY ENQUIRY nature - scope - process

fact-finding exercise.
does not per se lead to establishment of guilt.
can be ordered by any officer.
can be oral or written.
may involve examination and/or recording of
statements of any person who is believed to have
knowledge of the act.
merely forms basis for deciding whether there is
a prima facie case.
findings cannot be used to punish anyone.

CHARGE SHEET- form and substance

It is an individual, written communication.

It can only be issued by a competent authority.
It should be clear, specific and detailed.
It must charge the workman with the alleged
commission/omission.
It must refer to relevant clause(s) of the Standing
Orders.
It must afford adequate time to the delinquent to
reply.

CHARGE-SHEET - possible responses

CSW may admit charges unconditionally.

- may deny charges in their entirety.
- may accept charges in part and/or conditionally.
- may not reply to the CS at all.
- may ask for time to reply to the CS.
If time is asked for, it should be granted, subject to
reasonability of request).

RESPONSE TO CHARGE-SHEET what should the employer do?

CSW admits the charge unconditionally:
no need for further enquiry;
employer can straightaway impose any punishment
other than dismissal.
such punishment should be proportionate to the
misconduct.
show-cause notice should be served on CSW before
imposing punishment.
If employer considers dismissal is the proper
punishment, then:
regardless of unconditional admission by the
CSW, a regular domestic enquiry has to be held.

RESPONSE TO CHARGE-SHEET what should the employer do?

In all other cases:

The employer should invariably go through
domestic enquiry.
Note - Non-submission of explanation cannot be
construed as admission of guilt, and no such
inference can be drawn.

SUSPENSION PENDING ENQUIRY Nature and Procedure

Not a punishment.
Imposed in cases of:
grave misconduct; or
where it is apprehended that the CSW is likely
to tamper with evidence; or
that he may intimidate witnesses; or
that his presence inside the establishment is
prejudicial to the smooth conduct of enquiry.
Suspended workman is entitled to subsistence
allowance as provided in the S.Os.
Avoid suspension unless absolutely necessary.

NOTICE OF ENQUIRY
Object:
to give the CSW adequate time to arrange his
defence; and
to present himself before the Enquiry Officer.
Content:
Specify the date, time and venue of the Enquiry.
Name the EO.
Also indicate that:
he can examine relevant documents and take
extracts thereof;
he has right to representation by a co-workman;
he will be given full opportunity to defend
himself, and to X-examine management witnesses,
if any.
the enquiry shall proceed ex-parte, if he fails to
present himself.

DOMESTIC ENQUIRY - features

Adherence to the principles of natural justice.
should be conducted in camera.
EO should first record preliminaries such as:
title of the case;
reference to the CS and NoE;
date, time and venue; and
the parties present.
Ask CSW if he pleads guilty; record the answer.
If he pleads not guilty, ask if he would like to
add anything to his explanation; if yes, record
the same.

DOMESTIC ENQUIRY - Process

PO should first lead the case against CSW.
Examination/X-examination of each of the
management witnesses.
Examination/X-examination of CSW by PO.
Examination/X-examination of defence
witnesses.
Clarifications, if any, sought by the EO.
Summing-up by the parties.
Closing of Enquiry Proceedings.
Submission of findings/report by the EO.

FINAL DISPOSAL OF THE CASE

If charges are not proved - exonerate the CSW.
If charges are proved on materials/evidence on
record and as per the findings of the EO; and
If the DA comes to the conclusion that it is a fit
case for imposing punishment, then:
supply a copy of Enquiry Report to the CSW;
direct him to show-cause against the proposed
punishment; and
on expiry of the period stipulated and after
considering the explanation, if any, decide and
impose punishment, clearly setting out all the
relevant circumstances.

PRINCIPLES OF NATURAL JUSTICE

No one should be condemned unheard.

No man is bound to betray himself.
No one can be a witness in his own cause.
No man ought to be a judge in his own cause.
No one can be prohibited from making use of
several defences.

PRINCIPLES OF NATURAL JUSTICE

The burden of proof lies on the complainant.
No judge should import his private knowledge of
the facts into a case.
It matters not what is known to the judge, if it is
not known to him judicially.
The court has nothing to do with what is not
before it.

PRINCIPLES OF NATURAL JUSTICE

If its a goose that is on trial, there should be no
fox in the jury.
Justice must not only be done, but must manifestly
and undoubtedly seen to be done.
It is the duty of the judge to determine according to
what is alleged and proved.
Judge not too hastily.
Let the punishment be proportionate to the offence.

Now the floor is open for discussion

THANK YOU