WELCOME TO WORKSHOP

ON
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 TO 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 TO WORKMAN ABOUT PROPOSED

PUNISHMENT
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 AVOID ANY TAPMERING / DAMAGE BY 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

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 (NEMO

DEBET ESSE JUDEX IN PROPRIA CAUSA)

 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.

 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 NOTICE TO BE GIVEN TO
DELINQUENT

 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 MEMBER OF FAMILY NOT GOOD

DELIVERY ..
.
 . . . 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 EVIDENCE NOT APPLICABLE IN DOMESTIC

ENQUIRY

 PRINCIPLES OF NATURAL JUSTICE CAN NOT BE 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 SHOULD BE GIVEN COPIES OF DOCUMENTS

RELIED UPON BY MANAGEMENT ..
 . . . RECORDING EVIDENCE IN ENQUIRY
 DELINQUENT HAS RIGHT TO ASK FOR MORE DOCUMENTS
RELEVANT FOR HIS DEFENCE

 STATEMENTS OF MANAGEMENT WITNESSES SHOULD BE

RECORDED FIRST AND IN THE PRESENCE OF DELINQUENT

 DELINQUENT SHOULD BE GIVEN OPPORTUNITY TO 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 QUESTION FROM WITNESS FOR CLARIFICATION

 AFTER COMPLETION OF MANAGEMENT WITNESSES, E.O.

SHOULD ENQUIRE FROM M.R. IF HE HAS NO OTHER
WITNESSES, AND SHOULD RECORD THIS
...
 . . . 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 COMMENTS

 NON 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 / MAINTAIN DISCIPLINE IN 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 COORDIALLY, PEACEFULLY

AND EFFICIENTLY
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 !