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 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 – Options before Employer

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

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

• Not a punishment

• Imposed in cases of:

o grave misconduct; or
o where it is apprehended that the CSW is likely to tamper with evidence; or
o that he may intimidate witnesses; or
o 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.O’s.

• 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 it’s 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