XLRI JAMSHEDPUR DR. E.M.

RAO

LABOUR LAW APPLICATIONS

PMIR : 1998-2000 : Term-IV
(Private & for Internal Circulation only)

General observations:

a) A show-cause notice is not a compulsory pre-requisite of a charge-sheet, unless the

Standing Orders expressly provide for it.

b) Where the SO’s provide for it, the show-cause notice, by itself, is not sufficient to take
disciplinary action unless followed by a regular/formal charge-sheet.

c) A show-cause notice does not ‘charge’ the workman of the misconduct alleged in terms
of, and with reference to, the relevant Standing Order. In this sense, it is relatively more
informal than a charge-sheet. In other words, a show-cause notice of this kind should
necessarily be followed by a charge-sheet setting out the allegations in clear terms and
also specifically charging the workman of the commission/omission of the misconduct
with reference to the relevant Standing Order.

d) For instance (in the illustration given below), serving charge-sheets directly on the two
workmen, who figure in the complaint of the Production Manager, is a risky proposition,
because there is no prima facie evidence to show that the said workmen have instigated
the workers of final assembly section to go-slow. The complaint is more inferential in
nature and is in the form of a hunch, which may not be sustained in the course of an
enquiry.

e) It is, therefore, desirable to conduct a preliminary investigation (or, say, a fact-finding

enquiry) with a view to make sure that there is a prima facie case against the two
workmen and that there is enough material by way of documentary and other evidence
to show that the go-slow resorted to by the workers of final assembly is a direct
consequence of instigation by the two.

f) Assuming that these requirements have been complied with, let us now proceed to look
at the drafting aspects.

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 XLRI JAMSHEDPUR DR. E.M. RAO

LABOUR LAW APPLICATIONS

(For Internal Circulation only)

** Specimen (First) Show-cause Notice

Dt. 22 07 99.

Mr. Duryodhan Verma / Mr. Dussasan Kumar (issue separate notices to the two).
E. No. _____ ___

Thro’: proper channel

It has been reported that you along with (name and E. No.) went to the final assembly section on ____
at ___ and again on ___ at ___ and met the workers individually and that you along with ___ spoke
to the assembly workers that the incentive scheme as agreed to in the long-term settlement between
the union and management arrived at on ___ in the course of conciliation proceedings was defective
and that the union leaders ganged up with the management in deceiving the assembly workers by
agreeing to meagre amount as production incentive. It has also been reported that you along with___
further told the said workers that the production norm of 1000 pieces per crew per day, contracted in
the said settlement was too high and unjust. It has been further reported that you called upon the
workmen of final assembly to teach a lesson the management and union by slowing down production
with immediate effect and that you have promised the assembly workers that your group would re-
negotiate with management and ensure reducing the production norm and increasing the incentive
amounts payable for different slabs of production beyond the norm.

As a direct consequence of the said instigation by you, the whole body of workmen of the final
assembly section have resorted to a deliberate go-slow effective 12/7/1999 as reflected in the
following figures. The rejection rates have also gone up beyond the accepted norms.

-------
------

The average daily production and the percentage of rejections for the past 12 months are given here
under together with the average incentive drawn by the workers of final assembly.

- -----
- -----

Records show that there was no breakdown of machinery during the past one week nor was there any
significant power-cut. In these circumstances, the deliberate go-slow resorted to by the whole body of
workers of final assembly was a direct consequence of instigation by you and _____. You are aware
that the said go-slow is an insidious form of strike, and is likely to cause serious long-term damage to
the plant machinery. The wilful slowing down resorted to by the workers of final assembly, in
response to instigation by you has been causing serious losses to the company by shifting customers’
preference in favour of our competitors.
Please show cause, within 48 hours of the receipt of this notice, why disciplinary action should not be
initiated against you. Please note that if no explanation is received within the time stipulated
hereinbefore, it will be deemed that you have no explanation, whatsoever, to offer and the matter will
be dealt with on its merits.

Sd/-
General Manager (Operations)

(**) This is not compulsory. It merely serves the purpose of preliminary investigation or, say, the
“fact-finding” enquiry. It is issued to find out the likely culprit(s) in an otherwise hazy situation,
where the available material/reports do not identify any one as having committed the misconduct. It
is informal. Therefore, the outcome of such a show-cause notice does not lead to the imposition of
punishment straightaway. The disciplinary authority has to issue a formal charge sheet to the
workman and go through the regular procedure of domestic enquiry, etc., before imposing
punishment.
XLRI JAMSHEDPUR DR. E.M. RAO

LABOUR LAW APPLICATIONS

(For Internal Circulation only)

Specimen Charge-sheet

Dt ___
Mr._______
____________
______________

Thro’ proper channel

It has been reported against you as under:

a) That while working in the general shift on _____ you left your place of work at ___ (hrs)
without prior permission from your supervisor;
b) That you along with _______ entered the final assembly section at about ___ (hrs) without valid
reason or proper cause and without seeking the permission of the supervisor concerned;
c) That you along with_______ freely went about the assembly shop in an unruly manner disrupting
the work therein;
d) That you called the workers of assembly section in small groups and addressed them without any
authorisation whatsoever, thereby interrupting production and subverting general discipline in the
shop;
e) That in the course of your unauthorised meeting with the assembly workers, you alongwith___
exhorted them that the incentive scheme signed between the union and management in the course
of the conciliation proceedings held in June and July, 1998 was unfavourable to the workers of
final assembly section;
f) That you along with____ further told them that the union and management colluded with each
other and hoodwinked the assembly workers by fixing the norm of production at 1000
pieces/crew/day;
g) That you along with____ told them that the incentive amounts for different slabs of output over
and above the norm were meagre and unjust;
h) That you along with___ instigated the workers of final assembly to teach a fitting lesson to the
union and management by slowing down production below the norm, which instigation, if
followed, amounts to a breach of settlement;
i) That you along with___ promised the assembly workers that your group led by Mr. ___ and
yourself would re-negotiate with management and see to it that the production norm is lowered
and the incentive rates are enhanced, if only the workers of final assembly are willing to
cooperate with you by slowing down production;
j) That as a direct result of the said instigation by Mr. __ and yourself on 9 th and 10st July, 1999, the
whole body of workmen of the final assembly section number around 35 have, in concert and
under a common understanding, resorted to a deliberate go-slow with effect from the first shift
commencing at __ on 12-7-99 which is reflected in the production and figures appended below:

----------
-----------
The above acts alleged against you, if established constitute misconduct under certified Standing
Order No. 20 of the company, reading as under:

“b) ______”
“f) ______”
“h) ______”
“o) ______”
“s) ______”

You are hereby charged with the commission of the aforesaid acts of misconduct. You are required to
explain within 48 hours of the receipt of this charge-sheet why disciplinary action should not be taken
against you. Please note that if no explanation is received within the time stipulated hereinbefore, it
would be deemed that you have no explanation, whatsoever, to offer and the case will be dealt with on
its merits.

Sd/-
General Manager (Operations)
XLRI JAMSHEDPUR DR. E.M. RAO

LABOUR LAW APPLICATIONS

(For Internal Circulation only)

Specimen Notice of Enquiry

Dt._______

Mr._____
________
________

Through: proper channel

Ref: Charge-sheet No.___ dt. _____

Situation I: (Where no explanation was submitted by the CSW)

This has reference to the charge-sheet cited above. We regret to note that no explanation has been
received from you in reply thereto. It has therefore . . . . .

OR
Situation II: (Where the explanation was submitted but not found satisfactory)

Further to the issue of the charge-sheet cited and receipt of your explanation dt._____ in reply thereto,
we regret to inform you that the said explanation has not been found satisfactory. It has therefore . . . .

Common text in both the cases:

. . . . . been considered expedient to hold an enquiry into the charges alleged against you. Mr.
______ (designation) _____ has been nominated to conduct the enquiry as Enquiry Officer.

Situation I:
The enquiry will be held on _____ at ____ (time) in the office of ______ (place).
OR
Situation II:
The Enquiry Officer will directly communicate to you the date, time and venue of Enquiry.

You are required to present yourself at the appointed date, time and venue for the purpose of the said
enquiry. We are enclosing hereto photocopies of all the relevant documents, including the statements
of witnesses,** which form the background of the Charge-sheet. You may, if you so desire, inspect
any document or documents other than those enclosed hereto, provided they are relevant to the
charges alleged against you, and take down the extracts thereof, during working hours on any working
day, in the presence of a representative of the management.

At the enquiry, you will be given every opportunity to conduct your defence by examining your
witnesses, if any, including yourself and cross-examining management’s witnesses, if you so desire.
You may, if you so desire, take the assistance of a co-workman including an office-bearer of the union
(being an employee of the company) to conduct your defence at the said enquiry.
Should you fail to present yourself at the said enquiry without prior permission, valid reason or proper
cause, the enquiry shall proceed ex-parte without any reference to you and further action in the matter
will be taken on the basis of the materials available on record.

Sd/-
General Manager (Operations)

cc: Mr. ____

________
XLRI JAMSHEDPUR DR. E.M. RAO
LABOUR LAW APPLICATIONS
(For Internal Circulation only)

Specimen (second) Show-Cause Notice

Dt. _____
Mr.______
__________

Further to the charge sheet dt. ___ and the receipt of your explanation dt. __ (or, as the case may be,
in the absence of any explanation from you in reply thereto), a written enquiry was held into the
charges alleged against you in terms of the Notice of Enquiry No. ___ dt. ___.

The Enquiry Officer has submitted his findings holding you guilty of the charges alleged against you,
namely, _____________. On a perusal of enquiry proceedings, the connected papers and documents,
it has been observed that the enquiry was conducted in accordance with the principles of natural
justice and in compliance with the procedure laid down in the Standing Orders of the company. It has
been observed that you were given full opportunity to conduct your defence and that you did
participate in the said enquiry. It is found that the findings of the Enquiry Officer are well supported
by the materials on record and, in these circumstances, we see no reason not to accept his findings.
Accordingly, we accept the same in toto. A copy of the said report is enclosed herewith.

The charges alleged and established against you being grave and serious, the punishment warranted is
that of dismissal. We have referred to your past record of service with a view to find if there exist any
extenuating circumstances, and regret to note that there is none. On the contrary, your past record of
service with us is unclean in so far as you were punished earlier on ___ occasions. It was only on an
assurance/undertaking given by you against repetition of the same or commission of any other
misconduct in future that we took a lenient view and let you off with the following punishments:

(Example):
1. Severely warned for habitual unauthorised absence for 50 days - letter dt. _____
2. Suspended for 15 days without wages for insubordination - - letter dt. ______
3. Reverted from Grade-III to Grade-IV for unauthorised absence for 75 days – lr. Dt.____

We regret to note that, in spite of the above, there was no improvement, whatsoever, in your conduct
in so far as you remained absent for 83 days without authorisation, which shows a total lack of interest
on your part in attending to your duties regularly, contrary to the undertakings given by you. Please
note that chronic absenteeism on your part has been adversely affecting the company both in terms of
production, manpower allocation and other costs. Thus, even your past record of service does not lend
support to a punishment less than dismissal from service. In the light of the above, and after carefully
considering all the relevant facts and circumstances of the case, it has been decided that it is a fit case
for warranting the imposition of the extreme punishment of dismissal.

You are, therefore, hereby directed to show cause why you should not be dismissed from service for
the acts of misconduct alleged and established against you as detailed here-in-before within 48 (forty-
eight) hours from the date of receipt of this notice, failing which it will be construed that you have no
explanation to offer and action as proposed herein will be taken against you.

Sd/-
General Manager
(Disciplinary Authority)
Encl: a/a
XLRI JAMSHEDPUR DR. E.M. RAO

LABOUR LAW APPLICATIONS

(For Internal Circulation only)

Specimen Order of Dismissal

Dt. _______
Mr. ________
_____________
_______________

With reference to the charge sheet dt. ___ , and the receipt of your explanation dt. ___, an enquiry was
conducted into the charges alleged against you. The Enquiry Officer submitted his findings and found
you guilty of the acts of misconduct alleged against you vide charge-sheet under reference.

After a careful perusal of the enquiry proceedings and the findings of the Enquiry Officer, it was
found that a fair and proper enquiry was conducted into the acts of misconduct alleged against you,
giving you a fair and reasonable opportunity to defend yourself, and in accordance with the principles
of natural justice. The Enquiry Officer found you guilty of the following acts, namely,

“ . . . . . . . . . . . insubordination . . . . ”
“ . . . . . . . . . . . fraud or dishonesty in connection with the company’s property”
“ . . . . . . . act subversive of discipline”
“ . . . . . . breach of rules, regulations, instructions . . . . . etc., of the company”- which constitute
misconduct under certified Standing Order No. 22 (a), (d), (o) and (s) of the company.

The findings of the Enquiry Officer are based on the material on record and we see no reason not to
accept the said findings and, therefore, the same are accepted in full. A copy of the enquiry report
was already furnished to you under cover of the Show Cause Notice No ___ dt. ___. (&&)

You are found guilty of the acts of misconduct, i.e., insubordination, fraud or dishonesty in
connection with the company’s property, act subversive of discipline and breach of rules, regulations,
instructions, etc., of the company, as per the certified Standing Order No. 22 (a), (d), (o) and (s) of the
company, as charged vide charge-sheet No. ___ dt. ___.

The charges alleged and proved against you are grave and serious in nature, and your past record of
service with us does not provide any extenuating circumstances. After a careful consideration of the
gravity and seriousness of the misconduct proved against you, your past record of service, your reply
to the show-cause notice dt. ____ (&&) and after taking all other relevant circumstances into account,
we have come to the conclusion that it is a fit case warranting imposition of the punishment of
dismissal on you as proposed in our show-cause notice No. ___ dt.___.

You are, therefore, hereby dismissed from the services of the company as at the close of business on
______ for the misconduct alleged and proved against you in the course of the enquiry as detailed
hereinbefore. You are hereby advised to settle your accounts and receive the legal dues, if any, from
the Accounts Department.

Sd/-
(Designation)
DISCIPLINARY AUTHORITY