DISCIPLINARY ACTIONPROCEDURAL REQUIREMENTS

1. COMPLAINT
1.1 Get a complaint in writing from an
eye witness of a misconduct by an
employee
1.2 It should contain time of occurrence
1.3 Place of occurrence
1.4 Shift of occurrence
1.5 Content of details of occurrence

2. INVESTIGATION
2.1 Investigate the truth of the
complaint
2.2 If there is a prima facie case, which
warrants issue of a show cause notice
or charge sheet, do so.

3. CHARGE SHEET
3.1 Charge sheet issue without delay
,be specific ,precise and should not
be vague
3.2 Mention date of misconduct
3.3 Mention place of misconduct
3.4 Mention shift of occurrence where
necessary
3.5 Mention time of occurrence

3.6 Give detailed description of

misconduct
3.7 Mention the standing order violated,
if it could be done so
3.8 Give sufficient time for getting the
explanation ,say 48 hours from the
time of service
3.9 If extension is asked for submitting
the explanation, it may be granted

4. SERVICE OF CHARGE SHEET

4.1 Serve it personally preferably in
private
4.2 Get an acknowledgement on the
copy of the charge sheet for having
served
4.3 If refused to acknowledge or accept
the service of the charge sheet, offer
the charge sheet in the presence of
two witnesses

4.4 If the employee still refuses to receive the

charge sheet, get the signature of the
witnesses on a copy and also on the
original and send the original by registered
post acknowledgement due to the address
of the employee.
4.5 Preserve the acknowledgement/returned
letter for production as evidence in the
enquiry

5. SUSPENSION PENDING ENQUIRY

5.1 In serious and grave acts of
misconduct an employee may be kept
under suspension pending enquiry
5.2 If suspension pending enquiry is
adopted make a mention of the same
in the charge sheet
5.3 Ensure payment of subsistence
allowance

6. CONSIDERATION OF
EXPLAINATION
6.1 Employees may admit the charges
and ask for pardon
6.2 May deny the charges in toto
6.3 May ask for extension of time for
explanation
6.4 May ask for copy of the complaint, if
not already served along with the
charge sheet

6.5 An employee may fail to give any

explanation
6.6 If explanation is satisfactory, drop
the charges and close the enquiry
6.7 If explanation given is not
satisfactory, proceed further to hold
an enquiry

7. NOTICE OF ENQUIRY
7.1 It should mention
enquiry
7.2 It should mention
enquiry
7.3 It should mention
enquiry
7.4 It should mention
enquiry officer

the date of
the time of
the place of
the name of the

7.5 It should mention the names of the

management witnesses and give a list
of documents to be produced by the
management
7.6 It should inform the charge-sheeted
employee that he can bring witnesses
of his side to be examined in the
enquiry (if he has any)

7.7 It should inform that the chargesheeted employee can have a coworker as his observer/representative
in the enquiry, if he wishes (if the
presenting officer of the company is a
legally trained person, the accused
has a right to insist on having a
legally trained person as his
representative)

7.8 If he fails to attend the enquiry, it

will be conducted ex-parte
7.9 Desirable to keep informing him the
dates of all enquiry sessions

8. ENQUIRY
8.1 Enquiry must be conducted in the
presence of the delinquent employee
8.2 If the employee is not present even
after giving sufficient opportunities
for being present at the enquiry, an
endorsement to the effect of his
absence at the enquiry should be
made in the enquiry proceedings and
conduct the enquiry ex-parte

8.3 Witnesses of the management should be

examined one after another in the presence
of the delinquent employee
8.4 Documents should be marked as exhibits
in the proceedings
8.5 Delinquent employee should be asked by
the enquiry officer to cross-examine the
management witnesses and an
endorsement should be made in the
proceedings to that effect

8.6 An endorsement to the effect of the nonrequirement of the presence of an observer

should be made on the proceedings sheet
by the enquiry officer
8.7 Endorsements to the effect that the
delinquent employee was asked to produce
his witnesses would be made by the
enquiry officer on the proceedings sheet

8.8 Examine the workmans witnesses,

if he produces them at the enquiry
8.9 Ask the management representative
to cross examine that workers
witnesses make an endorsement in
the proceedings
8.10 Ask the charge sheeted worker
to give his statement, if the has any
to make

8.11 Ask the management

representative to cross examine the
workers statement
8.12 The enquiry officer can put
questions either to the witnesses or
to the charge sheeted worker by way
of clarification, if he wants any
8.13 Make an endorsement regarding
the closing of the enquiry

8.14 Get all the enquiry proceeding sheets

signed by the concerned witnesses, charge
sheeted employee, by his observer, if he
has any, by the management
representative
8.15 The enquiry officer should also sign all
the pages of the enquiry sheets
Note: The signatures of the witnesses, the
delinquent employees, and the
management representative should be got
on the enquiry sheets at the appropriate
time when the witnesses are examined.

9. RECORDING OF FINDINGS
9.1 The enquiry officer should give his
finding of the enquiry.
9.2 He should briefly state the facts of
the case
9.3 It should state the points for
determination
9.4 It should discuss the evidence led
by either side

9.5 The inference of the conclusion of

the enquiry officer should be given
with reasons
9.6 It should be based on the evidence
recorded and not on any other
inference
9.7 It should clearly state whether the
delinquent employee is found guilty
or not guilty

10. PUNISHMENT
10.1 Only the officer competent to
award punishment should pass orders
of punishment
10.2 Punishment should be awarded
strictly in terms of the standing order
provisions

10.3 A copy of the enquiry report should

also be sent to the employee and he
should be given an opportunity to
offer his representation
10.4 If the standing order required
examination of past record, the same
should be reviewed and a mention
made in the notice forwarding the
enquiry officers report

11.ORDERS OF TERMINATION
11.1 If no conciliation / arbitration /
adjudication proceedings are
pending , termination order could be
served straight away.
11.2 If proceedings are pending ,strict
compliance of section 33 of the
Industrial Disputes Act ( approval /
prior permission is required )

11.3 If the ESI Scheme is applicable to

the workmen, care should also be
taken to ensure that the termination
order is not in violation of Section
73 (1) of the ESI Act.

12. ROLE OF THE PRESENTING

OFFICER
12.1 Analyze the charge sheet and draw up
tent poles of the evidence to be produced
12.2 Identify the witnesses who would testify
the aspects of the evidence or corroborate
the testimony of other witnesses
12.3 Explain to each witness the aspect of the
evidence to be brought out by him or
corraborated by him

12.4 After the examination in chief of the

witness, put supplementary questions to
the witness to bring out any portion of the
evidence advertently or inadvertently
omitted by the witness
12.5 If the witness has contradicted his main
testimony when cross-examined by the
defence representative ,re-examine the
management witness to clarify the
confusion created.

12.6 While doing the examination or reexamination, the Presenting officer

should not put leading questions
(Thats is to say that the question
should not suggest the answer).
12.7 If any of the management witness
starts testifying against the
management, declare him as a hostile
witness and cross examine him.

12.8 While cross- examining the

workers witnesses, or the hostile
witnesses the presenting officer can
ask pointed questions ( That is the
question can contain the answer and
the witness can be asked to affirm or
deny the answer)

12.9 Ensure that management

documents are presented through the
appropriate witness and that they are
marked as documents in the enquiry
record.
12.10 Carefully study the testimony of
the defence witnesses and their
documents and put cross examination
questions to disprove their veracity

12.11 Object to the defence

representative harassing or asking
irrelevant questions at the time of
management witnesses getting cross
examined
12.12 If possible submit a tent pole
summary of the management
evidence to the enquiry officer, after
conclusion of the enquiry

12.13 Arrange for the release of the

defence witnesses if they happen to
be on duty at the time of the enquiry.
12.14 Collect the copy of the daily
recordings and see if any
supplementary evidence needs to be
brought in to plug loop holes.

13. ROLE OF THE ENQUIRY

OFFICER
13.1 Send notice to presenting officer
and charge sheeted employee
regarding the first posting of the
enquiry.
13.2 Commence the enquiry only if the
charge sheeted employee ,his
representative and the presenting
officer are present.

13.3 If all concerned are not present adjourn

the sitting to a fresh date with notice to all
parties.
13.4 If all are present commence the enquiry
by recording the presence of all concerned.
13.5 Then show the charge sheet / His reply
and ask the employee to identify them and
then take them as identified documents

13.6 If worker is illiterate ask him if he

understood the contents of the
charge-sheet and his reply.
13.7 If he has not understood them
explain/translate the same for him
13.8 Then ask the employee what
he/she has to say about it

13.9 If the charges are unconditionally

admitted, record the same and close
the enquiry after getting his/her
signature on the admission recording.
13.10 Then ask the presenting officer to
give the list of management
witnesses and management
documents to the charge- sheeted
employee.

13.11 If all parties are ready, the presenting

officer can be asked to examine his first
witness.
13.12 After the first witness finishes his
testimony, the charge sheeted worker can
be asked to cross examine each of the
management witnesses
13.13 If the cross examination is declined ,the
facts should be recorded in the enquiry

13.14 If the presenting officer wishes to

re-examine the management witness
after the crossing ,it should be
permitted
13.15 Word by word recording of the
testimony of witnesses is not
necessary ,It is enough if salient fact
of the testimony are captured and
recorded.

13.16 However all cross examination

questions and their answers should be
captured and recorded verbatim.
13.17 Only one witness at a time should be
allowed in the room.
13.18 Only after all the management
witnesses have completed their testimony
and cross examination should the workers
witnesses be called for testimony and cross
examination

13.19 After all the workers witnesses

have testified ,ask the worker
whether he would like to testify as his
own witness.
13.20 All the documents submitted by
management should be recorded and
marked as MD-1,MD-2 etc.All
documents of the defence should be
marked as WD-1,WD-2 etc

13.21 After both parties have completed

the examination of the witnesses the
enquiry can be closed with such an
endorsement on the records.
13.22 If the parties put irrelevant or
leading questions they could be
disallowed and the reason for
disallowing should be recorded.

13.23 Every sheet of the enquiry must

contain the signatures of the
presenting officer ,witness ,defense
assistant ,the charge sheeted worker
and also of the enquiry officer
13.24 Prepare a tent pole sheet plotting
the evidence that have been recorded
for and against the worker.

13.25 Prepare the enquiry report based

only on material captured in the
enquiry records.
13.26 Submit the findings report along
with all documents and enquiry
recordings to the management for
further action.

13.27 Separate findings should be given

for each item of the charge
13.28 Enquiry officer should not make
any recommendation regarding the
punishment to be awarded

14. ROLE OF THE PUNISHING

AUTHORITY
14.1 Check whether he is competent to issue
punishment orders keeping in mind the
rank of the employee
14.2 If the normal punishing authority was a
witness, put up the papers to the higher
authorities for further action
14.3 Study the enquiry findings and records
and come to an independent conclusion
whether charges are proved or not.

14.4 If he is not satisfied with the

findings/proceedings ,he can hold a fresh
enquiry or write a different findings, relying
only on the records already made by the
enquiry officer
14.5 The punishment awarded should be
based on the standing order provisions,
gravity of the offence, past disciplinary
record of the employee and the precedent if
any established in the company for
punishments for similar proved
misconducts

14.6 If he has consulted any body else

no mention of it should be made in
the punishment order
14.7 If there is an appellate provision
permit the worker to make the
appeal.

15. WORKERS RIGHT TO

CHALLENGE THE PUNISHMENT
ORDERS
15.1 The worker can challenge the order if it
has violated Section 33 of the I.D Act or
Section 73(1) of the ESI Act
15.2 The grounds of challenge could be
Violation of principles of natural justice
Violation of the provisions of the standing
orders or statutory provisions if any
regarding payment of subsistence
allowance
Victimization or grossly disproportionate
punishment

15.3 If his services are terminated ,he

can raise an individual dispute under
Section 2 (S) / 11A with the
assistance of his union
15.4 If the court finds any violation ,the
worker will have to be reinstated,
with or without back wages as
directed by the court

15.5 If the management wants to

challenge the reinstatement order, it
can challenge it in the high court
15.6 If such challenge is made, the
worker should be paid the last drawn
wages for the period of the high court
proceedings as mandated in Section
17 A of the I,D Act