Transcript HANDLING DISCIPLINARY MATTERS LEGALLY AND EFFICIENTLY MISCONDUCT  IMPROPER OR BAD CONDUCT  MISBEHAVIOUR  MISDEMEANOR  DELINQUENCY  WRONG DOING  TRANSGRESSION  ADULTERY  TO MANAGE BADLY.

HANDLING DISCIPLINARY
MATTERS LEGALLY AND
EFFICIENTLY
MISCONDUCT

IMPROPER OR BAD CONDUCT

MISBEHAVIOUR

MISDEMEANOR

DELINQUENCY

WRONG DOING

TRANSGRESSION

ADULTERY

TO MANAGE BADLY
DISCIPLINE

SYSTEMATIC TRAINING

RESTRAINT

RESPECT

ORDER

CONTROL

OBEDIENCE

REGULATION

CORRECTIVE PUNISHMENT
DISCIPLINARY ACTION
DOMESTIC ENQUIRY

AN INTERNAL INFORMAL PROCESS OF INVESTIGATING
AN ACT OF MISCONDUCT OF AN EMPLOYEE

WHEN REQUIRED

WHY REQUIRED

BY WHOM REQUIRED

FOR WHOM REQUIRED
ESSENCE OF DOMESTIC ENQUIRY
L E F T

L
= LEGAL

E
= EFFICIENT , ETHICAL

F
= FAST

T
= TRANSPARENT
PROCESSES OF
DOMESTIC ENQUIRY

FIRST INFORMATION ABOUT THE ACT
OF MISCONDUCT

SHOW CAUSE NOTICE / CHARGESHEET

EXPLANATION OF WORKMAN

EXPLANATION SATISFACTORY – MATTER CLOSED

EXPLANATION NOT SATISFACTORY – DOMESTIC
ENQUIRY

APPOINTMENT OF ENQUIRY OFFICER

RECORDING OF ENQUIRY PROCEEDINGS
. . . PROCESSES OF DOMESTIC ENQUIRY

REPORT / FINDINGS OF ENQUIRY OFFICER

RECEIPT OF ENQUIRY REPORT BY THE COMPETENT
AUTHORITY

SUPPLYING COPY OF
ENQUIRY REPORT
DELINQUENT FOR HIS COMMENTS ON IT

EVALUATION AND APPLICATION OF MIND ON THE
ENQUIRY REPORT AND ON COMMENTS OF THE
DELINQUENT
IF
ANY
BY
THE
COMPETENT
AUTHORITY

SHOW CAUSE NOTICE
PROPOSED PUNISHMENT

PUNISHMENT
TO
WORKMAN
TO
ABOUT
WHAT IS A CHARGESHEET

A MEMO OF ACCUSATIONS

VIOLATION OF SERVICE CONDITIONS / RULES /
REGULATIONS ETC. BY THE EMPLOYEE
WHY ISSUE A CHARGESHEET

NO ACTION CAN BE TAKEN AGAINST ANY
WORKMAN FOR AN ACT OF MISCONDUCT UNLESS
HE HAS BEEN ISSUED A CHARGESHEET

TO AFFORD A FAIR AND PROPER OPPORTUNITY TO
THE DELINQUENT AS PER PRINCIPLES OF
NATURAL JUSTICE TO PUT FORWARD HIS
DEFENCE AGAINST THE CHARGES LEVELLED
AGAINST HIM
ESSENTIALS OF A VALID
CHARGESHEET

SPECIFIC

ACCURATE

DETAILED

CLEAR

UNAMBIGUOUS
...
. . . ESSENTIALS OF A VALID
CHARGESHEET

CONTAIN ALL DETAILS

REFER STANDING ORDERS CAREFULLY

MENTION DATE, TIME , PLACE OF INCIDENT

USE WORD ‘ABOUT’ WHEN TIME OF INCIDENT IS TO BE
MENTIONED

USE WORD ‘HABITUAL’ IF SO

MENTION CORRECT DISOBEDIENCE / VIOLATION

MENTION DOCUMENTS YOU WANT TO RELY UPON
...
. . . ESSENTIALS OF A VALID
CHARGESHEET

USE WORD ‘ ILLEGAL’ IF SO

USE SAME WORDS OF ABUSE / THREAT ETC.

MENTION CORRECT CLAUSE OF MISCONDUCT
FROM STANDING ORDERS / SERVICE RULES

DO NOT MENTION ABOUT PROPOSED PUNISHMENT
AUTHORITY COMPETENT TO
ISSUE CHARGESHEET

A PERSON WHO IS COMPETENT TO APPOINT AND
DISMISS EMPLOYEES

A PERSON DULY AUTHORISED AND DELEGATED
WITH THIS AUTHORITY
EXPLANATION BY EMPLOYEE

IMPORTANT BUT NOT ESSENTIAL

IT IS A RIGHT OF EMPLOYEE

EXPLANATION NOT MANDATORY BRFORE
INITIATING DOMESTIC ENQUIRY

EMPLOYEE MAY –
– ACCEPT THE CHARGES
– PLEAD GUILTY
– PLEAD MERCY
– REFUTE CHARGES
– PLEAD GUILTY BUT EXPLAIN CIRCUMSTANCES
– ASK MORE TIME TO SUBMIT EXPLANATION
– NOT SUBMIT EXPLANATION
...
. . . EXPLANATION BY EMPLOYEE

WITHIN STIPULATED TIME

AS PER STANDING ORDERS / SERVICE CONDITIONS

WITHIN REASONABLE TIME

EXTRA TIME REQUEST SHOULD BE GRANTED TO
AVOID CHARGE OF DENIAL OF OPPORTUNITY
SUSPENSION

IT IS A TEMPORARY DEPRIVATION OF ONE’S NORMAL
POSITION, PRIVILEGES, FACILITIES, FUNCTIONS ETC.
PENDING ENQUIRY

IT IS TO
EMPLOYEE

IT IS TO AVOID CONTINUANCE OF INDISCIPLINE

IT IS RESORTED TO WHEN EMPLOYEE’S CONTINUANCE
WILL BE PREJUDICIAL TO THE INTEREST OF THE
ORGANISATION

IT IS NOT REDUCTION IN RANK

IT IS PROSPECTIVE, NOT RETROSPECTIVE

IT SHOULD NOT BE FOR INDEFINITE PERIOD
AVOID
ANY
TAPMERING
/
DAMAGE
BY
SUSPENSION / SUBSISTANCE
ALLOWANCE

AS PER STANDING ORDERS / SERVICE CONDITIONS /
TERMS OF EMPLOYMENT

50% UPTO 90 DAYS, 75% AFTER 90 DAYS IF DELAY NOT
ATTRIBUTABLE
TO
EMPLOYEE
(Sec.
10-A
of
I.E.(S.O.)Act,1946

MISCONDUCT PROVED, EMPLOYEE DISMISSED – NO
WAGES FOR SUSPENSION PERIOD

EMPLOYEE REINSTATED – ENTITLED FOR WAGES

NO WAGES IF EMPLOYEE ABSENT DUE TO DETENTION

ENTITLED TO WAGES IF SUSPENDED
. . . SUSPENSION / SUBSISTANCE ALLOWANCE

SUSPENSION ALLOWANCE INCLUDES ALL
ALLOWANCES

DOMESTIC ENQUIRY WITHOUT PAYMENT OF
SUBSISTANCE ALLOWANCE WILL BE VITIATED

STARVING EMPLOYEE CAN NOT DEFEND HIMSELF

SUSPENSION NOT A PUNISHMENT

PAYMENT OF SUBSISTANCE ALLOWANCE SUBJECT
TO NOT TAKING EMPLOYMENT BY EMPLOYEE
APPOINTMENT OF ENQUIRY
OFFICER

E.O. IS A DELEGATE OF DISCIPLINARY AUTHORITY

E.O. CAN BE APPOINTED BY THE COMPETENT
AUTHORITY

OFFICER OF ESTABLISHMENT CAN BE E.O.

E.O. SHOULD BE PERSON OF OPEN MIND AND NOT
BIASED AGAINST THE DELINQUENT

E.O. SHOULD BE AN OFFICER OF REASONABLY
HIGHER STATUS COMMANDING RESPECT AMONG
EMPLOYEES
. . . APPOINTMENT OF ENQUIRY OFFICER

AN ADVOCATE AS E.O. IS CONSIDERED TO BE AN
IDEPENDENT,
IMPARTIAL,
UNBIASED
AND
RESPONSIBLE PERSON

NO MAN SHOULD BE A JUDGE OF HIS OWN CAUSE

JUSTICE SHOULD NOT ONLY BE DONE BUT
MANIFESTLY AND UNDOUBTEDLY SHOULD SEEM
TO HAVE BEEN DONE

A PERSON WHO HAS PERSONAL KNOWLEDGE OF
THE INCIDENT SHOULD NOT BE AN E.O.

A PARTNER IN A SMALL ESTABLISHMENT CAN BE
AN E.O.
(NEMO DEBET ESSE JUDEX IN PROPRIA CAUSA)
OBJECTION BY DELINQUENT
AGAINST ENQUIRY OFFICER

NOT AN INDEPENDENT PERSON

BIASED PERSON

NOT APPOINTED BY COMPETENT AUTHORITY

E.O. HIMSELF IS A WITNESS TO THE INCIDENT

MANAGEMENT’S PAID AGENT

OLD ENMITY WITH DELINQUENT

CHANGE THE ENQUIRY OFFICER
NOTICE OF ENQUIRY

REASONABLE / ADEQUATE
DELINQUENT
NOTICE TO BE GIVEN TO

SERVICE OF NOTICE COULD BE BY HAND / BY REGD. A.D.
POST

SERVICE OF NOTICE SHOULD BE ENSURED BEFORE
PROCEEDING FURTHER

RETURNED LETTER IS NOT SERVICE OF
COMMUNICATION

EVADING TO TAKE DELIVERY IS NOT REFUSAL TO TAKE
DELIVERY NOR IT IS SERVICE OF DELIVERY

ENDORSEMENT OF POSTMAN IS REBUTTABLE

DELIVERY TO OTHER
DELIVERY
...
MEMBER OF FAMILY
NOT GOOD
. . . NOTICE OF ENQUIRY

NORMALLY E.O. SHOULD SEND NOTICE

IN SOME SITUATIONS MANAGEMENT MAY ALSO
SEND NOTICE

WHEN DELINQUENT DENIES HAVING RECEIVED OR
REFUSED DELIVERY OF LETTER, ONUS TO PROVE
DELIVERY COMES ON MANAGEMENT

WHEN
SERVICE
/
COMMUNICATION
TO
DELINQUENT IS NOT COMPLETE, MANAGEMENT
SHOULD PUBLISH IN LOCAL DAILY NEWSPAPER
REPRESENTATION OF DELINQUENT BY A
LAWYER

REPRESENTATION THROUGH A LAWYER NOT A
RIGHT

DEPENDS ON STANDING ORDERS / SERVICE
CONDITIONS

DEPENDS ON CIRCUMSTANCES OF THE CASE

WHEN MATTER IS COMPLICATED

WHEN MANAGEMENT IS REPRESENTED BY A
LEGALLY TRAINED PERSON

REFUSED FOR FEAR OF CAUSING COMPLICATIONS
AND DELAY
RECORDING EVIDENCE IN ENQUIRY

E.O., M.R., DELINQUENT, D.A. TO MARK ATTENDANCE IN
THE BEGINNING AND AT THE END OF EACH PAGE.
WITNESSES ALSO TO SIGN AT APPROPRIATE PLACES.

STRICT RULES OF
DOMESTIC ENQUIRY

PRINCIPLES
IGNORED

ENQUIRY NEED NOT BE DONE AT ONE FIXED PLACE
ONLY

ENQUIRY PROCEEDINGS SHOULD BE RECORDED IN
TRIPLICATE, ONE COPY EACH FOR E.O., M.R. AND
DELINQUENT

DELINQUENT
DOCUMENTS
...
OF
EVIDENCE
NATURAL
SHOULD
RELIED
NOT
APPLICABLE
JUSTICE CAN NOT
BE
GIVEN
UPON
BY
IN
BE
COPIES
OF
MANAGEMENT
. . . RECORDING EVIDENCE IN ENQUIRY

DELINQUENT
HAS
RIGHT
TO
ASK
DOCUMENTS RELEVANT FOR HIS DEFENCE

STATEMENTS OF MANAGEMENT WITNESSES SHOULD BE
RECORDED
FIRST
AND
IN
THE
PRESENCE
OF
DELINQUENT

DELINQUENT SHOULD BE GIVEN OPPORTUNITY
CROSS EXAMINE MANAGEMENT WITNESSES

IF DELINQUENT DOES NOT CROSS EXAMINE THE
MANAGEMENT WITNESS, IT SHOULD BE RECORDED BY
THE E.O.

M.R. MAY ASK
CLARIFICATION

AFTER COMPLETION OF MANAGEMENT WITNESSES, E.O.
SHOULD ENQUIRE FROM M.R. IF HE HAS NO OTHER
WITNESSES,
AND
SHOULD
RECORD
THIS
...
QUESTION
FROM
FOR
WITNESS
MORE
TO
FOR
. . . RECORDING EVIDENCE IN ENQUIRY

AFTER COMPLETION OF MANAGEMENT EVIDENCE, THE
DELINQUENT WILL LEAD HIS EVIDENCE

M.R. WILL CROSS EXAMINE DELINQUENT’S WITNESSES.
IF HE DOES NOT, E.O. SHOULD RECORD THIS

WHEN DELINQUENT’S EVIDENCE IS COMPLETE, E.O.
WILL ASK THE DELINQUENT IF THERE ARE NO OTHER
WITNESSES AND WILL RECORD THIS

IN EACH PROCEEDING E.O., M.R., DELINQUENT AND HIS
REPRESENTATIVE HAVE TO MARK THEIR ATTENDANCE
AND SIGN ON EACH PAGE OF THE ENQUIRY
PROCEEDINGS

E.O. WILL CLOSE THE ENQUIRY PROCEEDINGS
...
. . . RECORDING EVIDENCE IN ENQUIRY

A WITNESS IS CONSIDERED NEUTRAL UNLESS THERE IS
MATERIAL TO PROVE HIS ENMITY WITH DELINQUENT

RELATIONSHIP WITH MANAGEMENT DOES NOT NEGATE
A WITNESS IF HIS DEPOSITION IS FAIR AND TRUE

THERE IS NO RULE TO DISREGARD THE EVIDENCE OF
LONE WITNESS

IF THERE ARE MANY WITNESSES, THERE IS NO NEED TO
EXAMINE EACH AND EVERY WITNESS

IF THERE ARE MANY WITNESSES, THERE IS NO NEED TO
EXAMINE EACH AND EVERY WITNESS
...
. . . RECORDING EVIDENCE IN ENQUIRY

PROCESS OF CROSS-EXAMINATION IS VERY
IMPORTANT
TO
TEST
THE
VERACITY
OF
WITNESSES

WITNESSES SHOULD BE CROSS-EXAMINED IN THE
PRESENCE OF DELINQUENT

PROCEEDINGS SHOULD BE RECORDED IN LOCAL
LANGUAGE / ENGLISH / HINDI WHICH IS EASILY
UNDERSTOOD BY EMPLOYEE
PRINCIPLES OF NATURAL JUSTICE
NO PERSON CAN BE HELD GUILTY
WITHOUT INFORMING HIM THE CHARGES
AGAINST HIM
NO PERSON CAN BE HELD GUILTY
WITHOUT GIVING HIM FAIR AND PROPER
OPPORTUNITY TO EXPLAIN HIS DEFENCE
NO PERSON CAN BE A JUDGE OF HIS OWN
CAUSE
EX-PARTE ENQUIRY

WHEN EMPLOYEE REFUSES TO PARTICIPATE IN
ENQUIRY

WHEN EMPLOYEE DOES NOT TURN UP IN ENQUIRY
DESPITE ALL EFFORTS OF SERVICE / INTIMATION
BY MANAGEMENT

WHEN EMPLOYEE REFUSES TO CROSS EXAMINE
WITNESSES

WHEN EMPLOYEE WALKS OUT OF ENQUIRY
ENQUIRY REPORT

ENQUIRY
OFFICER
WILL
SCRUTINIZE,
ASSESS,
EVALUATE, CORROBORATE, JUSTIFY AND CONCLUDE
BASED ON ALL DOCUMENTS, STATEMENTS AND ALL
RELEVANT
INFORMATION
FROM
THE
ENQUIRY
PROCEEDINGS RECORDED BY HIM AND BY APPLYING
HIS UNBIASED, IMPARTIAL, FAIR AND JUDICIOUS MIND
AS PER PRINCIPLES OF NATURAL JUSTICE, AND WILL
PREPARE HIS ENQUIRY REPORT / FINDINGS AND WILL
SUBMIT THE SAME ALONGWITH ALL DOCUMENTS TO
THE DISCIPLINARY AUTHORITY

ENQUIRY OFFICER IS REQUIRED TO SUBMIT HIS
FINDINGS ONLY WHETHER THE DELINQUENT HAS BEEN
PROVED GUILTY, PARTLY GUILTY OR NOT GUILTY
...
. . . ENQUIRY REPORT

HE SHOULD NOT RECOMMEND ANY PUNISHMENT
IN CASE THE DELINQUENT IS FOUND GUILTY

FINDINGS OF A DOMESTIC ENQUIRY BASED ON
SUSPICION, SURMISE OR CONJECTURES IS BAD IN
LAW
INVITING COMMENTS

A COPY OF THE ENQUIRY REPORT / FINDINGS PREPARED
AND SENT BY THE ENQUIRY OFFICER WILL BE
PROVIDED TO THE DELINQUENT FOR HIS COMMENTS ON
IT, IF ANY, TO BE SENT BY HIM WITHIN A STIPULATED
TIME PERIOD.

IN CASE THE DELINQUENT GIVES SOME EXTENUATING
REASONS AND POINTS OUT FLAWS IN THE FINDINGS OF
THE ENQUIRY REPORT OF THE ENQUIRY OFFICER, THE
DISCIPLINARY AUTHORITY WILL WEIGH THE ENQUIRY
REPORT IN LIGHT OF SUCH COMMENTS OF DELINQUENT
AND TAKE HIS ACTION.

IF THE DELINQUENT DOES NOT SUBMIT ANY
COMMENTS, THE DISCIPLINARY AUTHORITY WILL TAKE
FURTHER ACTION IN THE MATTER ON THE BASIS OF
FINDINGS OF THE ENQUIRY OFFICER.
...

. . . INVITING COMMENTSNON SUPPLY OF COPY
OF ENQUIRY REPORT TO DELINQUENT IS
VIOLATION OF PRINCIPLES OF NATURAL JUSTICE
AS WELL AS PROVISIONS OF ARTICLES 14 AND 21
OF CONSTITUTION
PUNISHMENT

IN CASE THE DELINQUENT IS ABSOLVED OF THE
CHARGES BEING NOT PROVED IN THE ENQUIRY OR
PARTIALLY PROVED, OR WHEN COMMENTS OF
DELINQUENT ARE ACCEPTED BY DISCIPLINARY
AUTHORITY, HE WILL NOT BE INFLICTED ANY
PUNISHMENT
OR
WILL
BE
INFLICTED
PUNISHMENT IN PROPORTION TO THE PARTIAL
GUILT PROVED, AS THE CASE MAY BE.

IN CASE THE CHARGES ARE PROVED AGAINST THE
DELINQUENT OR THE COMMENTS OF DELINQUENT
ARE NOT ACCEPTED BY THE DISCIPLINARY
AUTHORITY, APPROPRIATE DISCIPLINARY ACTION
AS PER STANDING ORDERS / SERVICE CONDITIONS
ETC. WILL BE INFLICTED ON THE DELINQUENT.
KINDS OF PUNISHMENT

PREVENTIVE

RETRIBUTIVE

CORRECTIVE
PURPOSE OF PUNISHMENT

TO
PREVENT
RECURRENCE
OF
ACTS
OF
MISCONDUCT BY SAME EMPLOYEE OR BY OTHERS
IN FUTURE

TO
ENFORCE
/
ESTABLISHMENT

TO SEND MESSAGE OF FEAR OF LOSING JOB IN
CASE SOME GROSS MISCONDUCT IS COMITTED BY
ANY EMPLOYEE, AND THUS KEEP THEM AWAY
FROM ANY ACT OF MISDEMEANOR

TO RUN THE ESTABLISHMENT
PEACEFULLY AND EFFICIENTLY
MAINTAIN
DISCIPLINE
IN
COORDIALLY,
FAIRPLAY IN PUNISHMENT

PUNISHMENT SHOULD BE JUST, FAIR AND IN
PROPORTION TO THE ACT OF MISCONDUCT
PROVED

PUNISHMENT SHOULD NOT BE ARBITRARY,
VINDICTIVE, MALA FIDE, LESS OR EXCESSIVE

PUNISHMENT SHOULD BE AWARDED BY TAKING
ALL FACTORS INTO CONSIDERATION

PUNISHMENT SHOULD BE AWRDED BY THE
DISCIPLINARY AUTHORITY AFTER APPLYING HIS
JUDICIOUS MIND

A DELINQUENT CAN NOT BE HELD GUILTY SIMPLY ON
PRESUMPTIONS
...
. . . FAIRPLAY IN PUNISHMENT

SINCE FINDINGS OF DOMESTIC ENQUIRY CAN
TAKE AWAY THE LIVELIHOOD OF DELINQUENT,
THE ENQUIRY OFFICER SHOULD APPLY HIS OWN
MIND VERY JUDICIOUSLY IN WRITING HIS
REPORTDOMESTIC

ENQUIRY IS A QUASI JUDICIAL ENQUIRY AND
THUS IT MUST SHOW REASONS FOR ITS
CONCLUSION
TERMINATION SANS ENQUIRY

IN EXTREME / EXCEPTIONAL CIRCUMSTANCE
WHEN IT IS NOT PRACTICALLY POSSIBLE TO
CONDUCT AN ENQUIRY, MANAGEMENT MAY
RECORD SUCH CIRCUMSTANCES AND REASONS
BEFORE TERMINATING THE EMPLOYEE.

MANAGEMENT MAY LEAD EVIDENCE BEFORE THE
COURT IN SUCH CIRCUMSTANCES IF SO REQUIRED
SECTION 11-A OF I.D. ACT, 1947 AND
POWERS OF LABOUR COURTS /
TRIBUNALS

ONCE THE EMPLOYEE IS PROVED GUILTY OF THE
CHARGES
LEVELLED
AGAINST
HIM
IN
A
DOMESTIC ENQUIRY, THE JURISDICTION TO
AWARD
PUNISHMENT
RESTS
WITH
THE
MANAGEMENT

WHEN A DOMESTIC ENQUIRY IS CONDUCTED
FAIRLY, PROPERLY AND AS PER PRINCIPLES OF
NATURAL JUSTICE, NORMALLY LABOUR COURTS
/ TRIBUNALS DO NOT INTERFERE WITH THE
PUNISHMENT AWARDED BY THE MANAGEMENT
...
. . . SECTION 11-A OF I.D. ACT, 1947 AND
POWERS OF LABOUR COURTS / TRIBUNALS

IN EXTREME CASES WHERE THE COURT FEELS
THAT THERE IS A CASE OF VICTIMISATION OR
UNFAIR LABOUR PRACTICE AND PUNISHMENT IS
DISPROPORTIONATE TO THE ACT OF MISCONDUCT,
IT MAY INTERFERE WITH THE PUNISHMENT

LABOUR COURT / TRIBUNAL IS CLOTHED WITH
POWER TO
RE-APPRAISE THE EVIDENCE IN
DOMESTIC
ENQUIRY
AND
SATISFY
ITSELF
WHETHER THE SAID EVIDENCE RELIED UPON BY
THE
MANAGEMENT
ESTABLISHED
THE
MISCONDUCT ALLEGED AGAINST THE CONCERNED
EMPLOYEE
THANK YOU !