DRAFT Constitution of Disciplinary Section Objective: Discipline is of paramount importance be it workplace, home or anywhere. Discipline means orderly behavior.

It means voluntary and willing compliance of rules and regulations and instructions and also development of right habits of conduct in work with others at the workplace. Discipline is a must in any organisation for improving employee morale as well as to increase the productivity which is the ultimate goal of any organisation. It is the moral responsibility of the employer to not allow a minority of the employees who are indisciplined to affect the life of the majority. How does Indiscipline arise : In most of the cases, indiscipline of a worker is the expression of his reaction to his environment. Usually the causes of indiscipline are !a" !b" !c" !d" !e" #alse promises made by superiors$ %ack of awareness of &ompany's rules and regulations$ (bsence of any procedure to handle grievances$ )o action taken when re*uired$ +ersonal frustrations and misunderstandings.

,ince any case of indiscipline is basically a behavioral problem, it is necessary that before taking any punitive action, all efforts should be made to improve the behavior of an employee by correcting him through education, counseling, persuasion and cautioning. -owever, sometimes it becomes important to take disciplinary action against errant employees in the interest of the organi.ation. ,ince institution of disciplinary proceedings involves lots of knitty gritties since it/s just like *uasi judicial functions. (ny error may lead to litigation, it becomes important that the Disciplinary authority is well aware of the procedures and conse*uences before starting disciplinary proceeding or taking such action against any employee. 0eeping this in mind it has been decided to form a Disciplinary cell which will guide, advice and assist the Disciplinary (uthority in instigating disciplinary action as and when needed. Scope: 1he disciplinary cell shall act as advisor, assistant in guiding the Disciplinary authorities while instituting any disciplinary action against errant employees. 1he Disciplinary cell will not assist the D( during preliminary stage. 1he role of disciplinary cell starts only after the charge sheet is served. It will only provide advice and assistance regarding practice 2 procedures of disciplinary action, laws laid down by courts in this regard and also assisting in providing standard formats regarding preparation of ,tatement of (rticle of &harge of 3isconduct 2 ,tatement of Imputation in support of the (rticles of &harge of 3isconduct. It shall also assist and guide in appeals arising out orders of D( !Disciplinary authority" wherever (43, 43 , Directors and &3D are competent (uthroity .

Constitution:

1he Disciplinary cell shall be headed by Director !+ersonnel" with 43 !+2(" as his advisor. 1he &ell shall constitute members of %2( section, +2( section and two members of 1echnical ,ections not below the rank of ,enior 3anager. Contract of Appoint ent: 5asically the appointment letter issued to an employee governs his employment with the organi.ation. -ence, while taking a disciplinary action against any employee for an act of misconduct committed by him, the management has to keep in mind the terms and conditions stipulated in the offer of appointment given to the concerned employee, over and above which only the other rules and regulations will become applicable to the employee concerned. !rocedure: 1he instigation of Disciplinary process will commence at unit level, the &orresponding D( as mentioned in certified standing orders and &D( rules will instigate the process as the case may be. -e may seek the help of Disciplinary cell in the process. 1he copy of the case file will be maintained at disciplinary cell at corporate. (ny action arising out of vigilance en*uiry shall invariably be sent to disciplinary cell for record keeping. 1he disciplinary cell shall maintain the case file which shall contain the complete history of any vigilance en*uiry being undertaken pending or any disciplinary action taken against the employee. It will mandatory for the concerned D( to send a copy of any action taken in this regard to the disciplinary cell at corporate intimating any action whatsoever taken. ,tep wise flow chart and guidelines for disciplinary procedure for the guidance of D( and (ppellate (uthority is placed at (nnexure-I. ,ince there is lot of complexity involved in disciplinary proceedings, high proportion and fre*uency of the affected employees seeking judicial intervention, high percentage of the cases being subjected to judicial scrutiny and there is huge volume of case law on the subject which mandates for a reference material so as to deal with day to day re*uirement while conducting disciplinary proceedings. -ence, reference handbook is being designed for ready reference.

Preliminary Investigation 35-40 8. Action on Investigation Report 41 9. Consultation it! Central "igilance Commission 4#-5$ 10. %uspension 5&-&1 11. 'inor Penalty Procee(ings &#-&5 1#. )ra*ting an( Issue o* C!arge %!eet &$-8& 13. Appointment o* In+uiring Aut!ority an( Presenting ,**icer 8891 14. -unctions o* In+uiry ,**icer 9#100 15. Role an( -unctions o* t!e Presenting ,**icer 101-110 1$. )e*ence Assistant 111-113 1&. Con(uct o* In+uiry 114-1#3 18. .rie* o* t!e Presenting ,**icer 1#4-131 19. /valuation o* /vi(ence 13#-138 #0. /0-Parte In+uiry 139-143 #1. Post Retirement Procee(ings 144 -154 ##. Common Procee(ings 155-15& #3. .orro e( an( 1ent ,**icers 158159 #4. Report o* In+uiring Aut!ority 1$01$$ #5. Action on In+uiry Report 1$&-1&# #$. Consultation it! t!e 2P%C 1&31&$ #&. 3uantum o* Penalty 1&&-184 #8. %pea4ing ,r(ers 185-190 #9. Appeal5 Revision an( Revie 191#00 30. Action on Receipt o* Court ,r(ers #01-#04 31. %cope o* 6u(icial %crutiny #05#13 3#. %ample -or

CO"STIT#TIO"A$ !RO%ISIO"S R&$ATI"' TO DISIC!$I"AR( !ROC&&DI"'S 6.+art 7I8 of the &onstitution relates to 9,ervices Under the Union and the ,tates/, wherein, (rticles :;<, :6; and :66 are relevant to disciplinary proceedings. (rticle :;< is an enabling provision which gives power to the legislature to enact laws governing the conditions of service of the persons appointed in connection with the affairs of the state. +roviso to this (rticle provides that pending the enactment of the laws, the +resident may frame rules for the above purpose. 1he laws as well as the =ules to be framed for the purpose must be 9subject to the provisions of the constitution/. (rticle :6; of the &onstitution contains what is known as the +leasure Doctrine. It provides that the term of appointment of the union 4overnment ,ervants shall depend upon the pleasure of the +resident. In fact the provision applies to all members of defence services, members of &ivil ,ervices, members of (ll India ,ervices, holders of &ivil +osts and holders of defence posts. 1he same (rticle also provides that the pleasure of the +resident can be over ridden only by the express provisions of the &onstitution and nothing else. 1hus, in case there is any express provision relating to the tenure of appointment of a 4overnment ,ervant, the same will prevail$ otherwise, the tenure of appointment will depend upon the pleasure of the +resident. (rticle :66 basically grants two protections to the civilian government servants !other than the defence civilians, of course". 1he two protections relate to who and how. 1he first part of the (rticle provides that no person shall be dismissed or removed from service by an authority subordinate to the one by which he was appointed. 1hus, the protection is that, before being sent out of service, a 4overnment servant is entitled to have his case considered by the authority who is e*ual in rank to the one who appointed him to the service. If the penalty of dismissal or removal from service is imposed by an authority who is lower in rank than the (ppointing (uthority, the same will be unconstitutional. 1he second protection granted by (rticle:66 is available in &lause > of the (rticle and it states how a 4overnment ,ervant can be dismissed, or removed from service or reduced in rank. It provides that no one can be dismissed or removed from service or reduced in rank except after an in*uiry. 1he same article also indicates that the above mentioned in*uiry must satisfy the following two conditions !a"1he individual concerned must be informed of the charges. !b"3ust be granted a reasonable opportunity of being heard in respect of those charges. ?.1he phrase reasonable opportunity has not been defined in the &onstitution$ but the courts have clarified through a number of decisions that this implies that the accused has a right to @know the charge, @know the evidence led by the Disciplinary (uthority in support of the charge @inspection of documents, @cross examine the witness deposing for the Disciplinary (uthority

@lead evidence in defence, etc.

<.(nother important *uestion relating to the applicability of (rticle :66 is, whether the article provides protection to permanent employees only or even the temporary employees are entitled for the protection. (lthough (rticle :66 does not specifically state as to whether the provisions are applicable to temporary employees also, the ,upreme &ourt has clarified about the applicability of the protection. 1he law laid down by the -on/ble ,upreme &ourt in the case of +arshottam %al Dhingra 8s Union of India A(I=6<B? ,& :CD more than half a century ago is still applicable. (s per the case law on the subject, the protection is available under any one of the under mentioned circumstances !a"Ehere there is a right to hold the post !b"Ehere there is visitation of evil conse*uences 6;.(ll permanent employees have a right to post and hence are entitled for this protection. (s regards the temporary employees, even in their case, a reasonable opportunity of defence will have to be afforded if they are being visited by evil conse*uences.

)ISCO"D#CT 3isconduct means improper conduct or wrongful behaviour. -owever, while we are dealing with employees in an organisation, the term misconduct has to be seen with reference to the rules and regulations applicable to the various categories of employees working in the organisation. 6.; In order to decide whether a particular act of misconduct or not, we have to keep in mind, the following three documents !a" &onduct, Discipline 2 (ppeal =ules !b" ,ervice =ules !c" &ontractF(greement of (ppointment or (ppointment letter. 6.6 Conduct* Discipline + Appeal Rules + Certified Standin, Orders 1hese rules shall apply to all employees of the &ompany including those on deputationFcontract service except those i" in casual employment or paid from contingencies ii" governed by the ,tanding Grders of the &ompany under Industrial Hmployment !,tanding Grders" (ct, 6<IC. -./ 'eneral Ter s + Conditions of Service 1hese are the rules framed by 1-D&I%, defining the terms and conditions of employment and also prescribing the obligations of the employees. 1hese are applicable to all the employees of 1-D&I% except the deputationists unless the terms of deputation otherwise stipulate. (ny act committed by an employee in breach of ,ervice =ules to the extent they are applicable to him, will be considered an act of misconduct. -ence, referring to ,ervice =ules is relevant in this context. -.0 Contract of Appoint ent 5asically the appointment letter issued to an employee governs his employment with the organisation. -ence, while taking a disciplinary action against any employee for an act of misconduct committed by him, the management has to keep in mind the terms and conditions stipulated in the offer of appointment given to the concerned employee, over and above which only the other rules and regulations will become applicable to the employee concerned. R&!ORT OF )ISCO"D#CT >.6 &omplaint is the starting point of any disciplinary action. #or taking disciplinary action against any employee for having committed an act of misconduct, the management should invariably get a specific written complaint. &omplaint is nothing but a clear, se*uential narration of the facts of incidence of indiscipline by the complainant, in the form of a report to his superior.

>.> ,ince any disciplinary action may go hay-way if the complaint is not proper, every complainant should bear in mind the following !a" Do not rely on memory. =educe to writing whatever has happened, immediately. !b" ,ubmit your complaint in the shape of report of misconduct without any delay to superiors. !c" (void dictating the complaint to somebody else. !d" (void type-writing the complaint, if possible. It is advisable to send it in hand writing. !e" Do not add your impressions or guesses but narrate the actual facts. !f" 1ake written statements of all whoever has any facts relating to the complaint or witnessed the incident. >.: 1he =eport of misconduct should invariably give the following details !a" #ull name of the person who committed the act of misconduct$ !b" Designation$ !c" +unch &ard )o.FHmployee )o.$ !d" ,ectionFDeptt.F=egion$ !e" ,hift or =elay in which the employee was working$ !f" Date and time of incident$ !g" +lace of occurrence$ !h" Details of misconduct$ !i" )ames of witnesses, if any$ !j" =ecorded ,tatements, if any.

FLOW-CHART OF DISCIPLINARY PROCEEDINGS

Stage-1 Written complaint (Report of misconduct)

Stage-2 Preliminary Inquiry

If there is no prima facie case, drop the case

Suspension pending Enquiry, if necessary Stage-3

Order for payment of subsistence Allowance

If the situation does not Warrant his immediate Suspension, the employee will be on duty and we get on to the next stage

Stage 4 Framing charge-sheet under CDA Rules

Stage 5 Direct Service Serving Charge Sheet Regd. Post Notice UPC Boards News Papers

Stage 6

Study the reply given by Charge-sheeted employee

If the charge-sheeted Employee pleads guilty and reply is satisfactory

If he does not plead guilty and reply is unsatisfactory, proceed with the enquiry

Major Penalty

Minor Penalty

Innocent Exoneration

Major Penalty

Minor Penalty

Proceed with enquiry or Award Punishment

No further enquiry

Award Punishment/Caution Memo

Stage-7

Appointment of Enquiry Officer & Presenting Officer

Direct Service

Serving Enquiry notice Regd. Post Notice UPC Boards

News Papers

Stage 8 If the employee does not report for enquiry, Exparte enquiry Stage 9 Enquiry proceedings

Enhancement or reduction of Subsistence allowance

Stage 10

Enquiry Report If the employee is found not guilty, exoneration & suspension revokal letter issued

,1(4H-66

If the charge(s) are proved, check the past record and if any conciliation or adjudication proceedings are going on, check Industrial Disputes Act provision, check hether protected

,1(4H-6>

#inal ,how-cause notice before punishment if provided under rules

,1(4H-6:

,tudy the reply given by employees to final chow-cause notice

,1(4H-6I

4ive clarification, if any, asked for in reply to final show-cause notice

+unishments Grder
,1(4H-6B

,1(4H-6C

(ppeal by the accused employee

,1(4H-6J

=eply to appeal after review and final punishment order

,1(4H-6?

Implementation of punishment order and closing the file

!ontest the case if referred to conciliation"adjudication

,1(4H-6<

!R&$I)I"AR( &"1#IR( :.6 (s soon as a complaint is received, we should see whether it is worth dealing with in an elaborate manner by charge-sheeting the employee and conducting a domestic en*uiry or not. 1his is determined by the gravity of the misconduct committed by the employee. :.> Ehen an act of misconduct has been committed and the disciplinary authority receives a complaint, he should conduct a preliminary en*uiry either himself or get it done by another Gfficer !Gfficer other than the one who has made the complaint or who is a witness to the incident". +reliminary en*uiry is done with a view to decide whether there is ade*uate material for proceeding with a domestic en*uiry. Domestic en*uiry starts the moment a charge-sheet is issued and preliminary en*uiry ends with the issue of chargesheet. In all cases, preliminary en*uiry is not essential. If the matter is obvious enough, the domestic en*uiry can start with the issue of charge-sheet. :.: 1he following are the differences between domestic en*uiry and preliminary en*uiry. a" +reliminary en*uiry is not an essential step while domestic en*uiry is a must for taking disciplinary action for major penalty cases. b" Domestic en*uiry aims at determining whether charges are established or not while preliminary en*uiry is conducted for finding out whether a prima-facie case has been made out. c" &onclusions of preliminary en*uiry lead to framing of charge-sheet while the report of domestic en*uiry forms the basis for awarding punishment. d" +reliminary en*uiry is not subject to any rules while conduct of domestic en*uiry is subject to principles of natural justice.
PRINCIPLES OF NATURAL JUSTICE

I.6 1he procedure for taking disciplinary action against any delin*uent employee must be based on principles of Knatural justiceL - which again are in conformity with the principles of a Eelfare ,tate. I.> 1o hold an en*uiry in conformity with the principles of natural justice, the following conditions are to be met a" the employee proceeded against has been informed clearly of the charges leveled against him$ b" the witnesses are examined ordinarily in the presence of the employee in respect of the &harges$ c" the employee is given a fair opportunity to cross-examine the witnesses$ d" the employee is given a fair opportunity to examine his own witnesses, including himself in his defence, if he so wishes$ e" the en*uiry officer records his findings with reasons for the same in his report.

2.3 CHAR'&4SH&&T B.6 If on the basis of preliminary en*uiry or otherwise, the disciplinary authority is satisfied that a prima-facie case exists and decides to take disciplinary action against the employee concerned, the first thing to be done is to issue a charge-sheet to delin*uent employee. B.> &harge-sheet is a memorandum of charges or allegations levelled against the employee which are acts of misconduct as per the &onduct, Discipline and (ppeal =ules. 5.3 C6ec74$ist for preparation of C6ar,e4S6eet Ehile framing a &harge-sheet, the following items may be kept in mind so that nothing relevant would be missing from the &harge -sheet a" Date of charge sheet. b" &orrect )ame and &ard )o.FHmployee )o. of delin*uent employee. c" ,pecify date of incident. d" Description of incident. e" =eproduce the language in verbatim if there are words of abuse, defamation or threat. f" 4ive reference of relevant rules as &onduct, Discipline and (ppeal =ules. g" ,pecify within how much time and to whom the reply should be submitted. h" &heck the authority competent to issue the &harge-,heet !,ee &onduct, Discipline and (ppeal =ules or Delegation of +owers, as the case may be". i" Decide whether employee is to be kept under suspension or not. j" Decide whom to send the copies of &harge-sheet. 8.3 'uidelines for preparin, C6ar,e4S6eet a" 1he &harge-,heet should be specific and must spell out all the relevant particulars of the misconduct. b" (s far as possible, it should be precisely mentioned in the &harge-sheet as to under which rule or clause, the charges constitute acts of misconduct so as to enable the employee as to which rules are applicable to him in this context. c" 1he &harge-sheet must be signed by the competent authority so as to avoid facing a situation where the &harge-sheet is made invalid because it is signed by incompetent authority. !=efer to schedule of &onduct, Discipline and (ppeal =ules or Delegation of +owers, as the case may be".

d" (void loose usage of words such as 9-abitual/ and 9Eilful/ in the &harge-sheet. Do not use such *ualifying words unless the charges are really so. e" If the charge is of abusing or threatening, reproduce the exact words used in the &hargesheet. f" (void using abbreviations such as Ketc.L and also phrases such as Ksuch other thingsL. g" If the previous record of the employee is referred to, then sufficient particulars of the previous record should be given in the &harge-sheet. 8.- Ti e for reply to C6ar,e4s6eet ( reasonable period of time should be given to the employee to submit his reply to the &harge-,heet. 1ime as stipulated in the &onduct, Discipline 2 (ppeal =ules, but not less than I? hours from the receipt of the &harge-sheet by the employee should be allowed for submission of his reply. If the &harge-sheeted employee re*uests for extension of time, such re*uest!s" may be considered on its own merits. 8./ 96o si,ns t6e C6ar,e4S6eet Unless it is delegated otherwise, Disciplinary (uthority is the &ompetent (uthority to sign &harge-sheet. #rom the (nnexure, it may be seen that for major penalties, the Disciplinary (uthorities are different from those for minor penalties. (t the stage of issuing the &harge,heet it may always not be very clear whether the offence is such that a major penalty may be imposed ultimately or the decision would be only in favour of a minor penalty. Hxcept for very simple cases where beyond doubt the offence may lead to imposition of only a minor penalty, it will be desirable to have the &harge-sheet issued under the signature of Disciplinary (uthorities empowered to impose major penalty. 8.8 Service of C6ar,e4s6eet ,erving the &harge-sheet on the delin*uent employee plays a very important role in disciplinary proceedings. -ence, all efforts should be made by the employer to see that the &harge-sheet is served on the delin*uent employee. 1he &harge-,heet may be handed over to the employee and his signature or thumb-impression of his having received the same obtained on the office copy. - In case he refuses to accept the &harge-sheet, an endorsement to the effect should be made on the office copy in the presence of at least two witnesses whose signatures should be obtained. - In case the concerned employee receives the &harge-sheet but refuses to sign or give his thumb-impression on the office copy, an endorsement to the effect should be made on the office copy and signatures of at least two witnesses may be taken.

If the employee concerned asks for the &harge-sheet being made out in the language which he knows, the same should be done. - If the employee either refuses to accept or give acknowledgement of the &hargesheet or is not present within the organi.ation due to suspension or any other reason, the &harge-sheet should be sent to his last known and recorded address !both local as well as permanent" by =egistered +ost with acknowledgments due. - If the employee concerned refuses to accept the registered letter carrying the &harge-sheet and there is an endorsement by the +ostal (uthorities to that effect on the envelope, the same may be treated as ade*uate service. 1he returned postal envelope in that case should be retained, without opening, in record. - In case of absence or refusal of the employee to take the &harge-sheet or refusal to give acknowledgement of its receipt, a copy of the same should also be displayed on )otice 5oard. - If all efforts to serve the &harge-sheet on the employee fail, the &harge-sheet may be published in some localFregional newspaper with a wide circulation. :.3 S#S!&"SIO" :.- 96at is Suspension; ,uspension from duty means keeping an employee away from work-place temporarily for reasons of discipline. ,uspension does not mean removal from service. If a person is suspended, he continues to be in service, but is in a state, as it were of suspended animation. :./ 96en to Suspend; 1he suspension of an employee from duty often arises under the following three different types of situations a" ,uspension +ending Domestic Hn*uiry If an employee has committed serious acts of misconduct such as assault, sabotage etc. and his presence inside the work premises poses a threat to the safety of the men and material, he may be kept under suspension immediately, pending investigations. 1his is called ,uspension +ending Domestic Hn*uiry. (t this stage, a suspension cannot be called a punishment. It is desirable to issue the order of suspension along with charge-sheet but if it is not possible, the charge-sheet must follow within J days of issue of suspension order. b" ,uspension +ending &ourt/s Grder 1he disciplinary authority has the right to keep an employee under suspension, if he is accused in a court of law for any criminal offence, until the disposal of the trial. c" ,uspension as +unishment Hven though an employee is not suspended pending en*uiry, if it is decided to punish him by way of suspension for the acts of misconduct committed by him, the disciplinary authority may do so after the conclusion of en*uiry in which case the suspended employee will not be entitled to any payment for the period of suspension since it is a punishment imposed on him.

:.0 Status of Suspended & ployee !a" During the period of suspension, the suspended employee shall not enter the work-premises without the permission of the disciplinary authority or any other authority competent to do so. !b" 1he suspended employee shall not leave the station without the written permission of the competent authority. !c" 1he employee suspended pending en*uiry shall be paid subsistence allowance as admissible to him under &D( =ules, which will increaseFdecrease depending upon the merits of the case if the period of suspension gets prolonged. !d" )o leave shall be granted to a suspended employee during the period of suspension. !e" 1he suspended employee will not be paid subsistence allowance if he is engaged in any other employment, business, profession or vocation. !f" If it is decided after the conclusion of en*uiry not to remove the suspended employee from service, he will be simply allotted the job treating the period of suspension as on duty or leave as decided by the disciplinary authority. !g" If an employee suspended pending en*uiry submits resignation, it is normally not accepted unless it is in the company interest. ?.I Subsistence Allowance ,ubsistence allowance is the payment made to an employee who is kept under suspension pending en*uiryFcourt/s order only, as per &D( =ules, as under a" ,ubsistence (llowance is payable at the rate of B;M of his basic pay. In addition, Dearness (llowance as admissible on such ,ubsistence (llowance and any other &ompensatory (llowance of which he was in receipt on the date of suspension, are also admissible. b" If the period of suspension exceeds six months !i" Due to reasons not directly attributable to the employee, subsistence allowance, is payable at the rate of JBM of his basic pay and allowances thereon. !ii" Due to reasons directly attributable to the employee, subsistence allowance is payable at the rate of >BM of his basic pay and allowances thereon. c" 1he payment of above subsistence allowance will be subject to a written declaration by the employee concerned that he is not engaged in other employment or business or profession or vocation as well as his observance of the instructionsF advice contained in the order of suspension issued to him.

d" If the suspended employee is found guilty of the misconduct alleged against him or some other misconduct brought out in the course of the en*uiry and punishment is awarded, he shall be entitled to such proportion of pay and allowances, only as the competent authority may prescribe. e" If the suspended employee is found not guilty of the misconduct, he shall be paid the difference between the subsistence allowance already paid and the emoluments consisting of pay and allowances which he would have received if he had not been suspended.
9.0 DOMESTIC ENQUIRY

<.6 If the explanation submitted by the delin*uent employee in reply to the charge-sheet is not found satisfactory, the Disciplinary (uthority may institute domestic en*uiry by appointing an Hn*uiry Gfficer !or Hn*uiry &ommittee consisting of more than one person" and the +resenting Gfficer and inform the charge-sheeted employee about the same. 1he Hn*uiry Gfficer would send a )otice of Hn*uiry giving him sufficient time to attend the en*uiry. <./ Role of !articipants in Do estic &n=uiry 1he persons concerned with domestic en*uiry and who participate in any domestic en*uiry are a" &n=uiry Officer : 1he Hn*uiry Gfficer is the officer appointed by the disciplinary authority to conduct an en*uiry into the allegations levelled against the charge sheeted employee. 1he Hn*uiry Gfficer/s job is to listen to and record the statements of both the parties i.e., the accused employee and the management representative$ allow both the parties to submit to him the relevant documents in support of their contentions$ allow both the parties to examine their witnesses as well as cross-examine the other/s witnesses$ allow both the parties to submit arguments and counter arguments in respect of the charges and evidence adduced in the en*uiry$ and finally submit his en*uiry report to the disciplinary authority. b" !resentin, Officer +resenting Gfficer is the officer appointed to present the case of the management before the Hn*uiry Gfficer relating to the charges leveled against the accused employee. 1he +resenting Gfficer will produce in the en*uiry, all the relevant documents relating to charges levelled against the employee and also examine the witnesses of the &ompany as well as cross-examine the witnesses of the charge-sheeted employee. In other words, he plays the role of the +rosecutor. In cases where felt appropriate, complainant may also be appointed as +resenting Gfficer. c" C6ar,e4s6eeted & ployee It is necessary that the en*uiry should be held in the presence of the accused. If, however, the employee failed to report for the en*uiry at the appointed place, date and time, the Hn*uiry Gfficer may proceed with the en*uiry ex-parte, provided the chargesheet or the en*uiry notice included a provision to that effect.

d" Defence Assistant of t6e Accused & ployee If the accused employee wishes another employee of his choice to assist him at the en*uiry in the conduct of his defence, it should be allowed, if a re*uest is made for a non-employee union office-bearer, he may be allowed if there is a provision to that effect under the &onduct, Discipline and (ppeal =ules. e" Interpreter : 1he presence of an interpreter, from amongst the employees, would be desirable in case the accused employee is not familiar with the language in which the en*uiry is conducted. f" )ana,e ent 9itnesses 1hese are the persons who appear in the en*uiry to give their statements in support of the charges levelled against the charge-sheeted employee. g" C6ar,e4s6eeted & ployee>s 9itnesses 1hese are the persons who appear in the en*uiry to give their statements in defence of the charge-sheeted employee. <.0 96o s6ould be &n=uiry Officer !a" If a person is the witness in the case, he should not be Hn*uiry Gfficer. !b" Hn*uiry Gfficer should not be appointed by an Gfficer who is a witness in the case. !c" Hn*uiry Gfficer can be any Gfficer of the &ompany. In exceptional cases, if it is felt desirable, any public servant or retired honest public servant may be appointed as en*uiry officer !N,ubject to the provisions of =ules". !d" ( person to be Hn*uiry Gfficer must be a responsible Gfficer commanding respect from the employee. -e should not be a judge in his own case. !e" ( person to be Hn*uiry Gfficer should be open minded and unbiased. <.? Docu ents to be forwarded to &n=uiry Officer 1he disciplinary authority shall forward to the Hn*uiry Gfficer a" ( copy of the charge-sheet$ b" ( copy of the reply, if submitted by the charge-sheeted employee$ c"N %ist of witnesses, if available$ d"N %ist of documents to be produced in en*uiry, if available$ d" &opy of order appointing the +resenting Gfficer. !N )ot mandatory at this stage". !rocedure of Do estic &n=uiry a" (t the commencement of the en*uiry, the charges should be read out and explained to the charge-sheeted employee and he should be asked whether he pleads guilty to the charges or not. If the employee admits his guilt it will be open to the Hn*uiry Gfficer to examine the employee himself even in the first instance, so as to enable him to offer any explanation for his conduct, or to place before the Hn*uiry Gfficer any circumstances which may go to mitigate the gravity of the offence. If, after the examination of the employee, the +resenting Gfficer chooses to examine any witness, the employee must be given a reasonable opportunity to crossexamine those witnesses and also to adduce any other evidence that he may choose including his own further statement. If, on the other hand, the employee denies the charge, the burden of proving the truth of the charge and the allegations will be on the management and the witnesses for establishing the same should be examined first.

b" (t the conclusion of the statement given by each witness in support of the charges, the same should be read over and explained to the charge-sheeted employee in the language understood by him and he must be given a chance to cross-examine the witness. (n endorsement to this effect should be made at the bottom of the statement. 1he Hn*uiry Gfficer may, as well as, put certain *uestions to the witness to elicit certain detailsFclarifications from him but the Hn*uiry Gfficer should not cross-examine the witnesses by putting leading *uestions or making suggestions. If the Hn*uiry Gfficer puts certain *uestions to the witnesses after the cross examination of the said witnesses by the employee is over, the latter may again be given a chance to cross-examine on the basis of the supplementary statement given by the witness. ,imilar facility may as well be afforded to the +resenting Gfficer, after the Hn*uiry Gfficer asks some *uestions to a defence witness. c" (fter the examination and cross-examination of all the witnesses in support of the charge are completed, the charge-sheeted employee should be asked to adduce his defence. -e may offer himself to be examined as a witness and also produce witnesses in his defence. 1he chargesheeted employee may, if he so likes, submit his defence statement in writing, which should be accepted by the Hn*uiry Gfficer as part of the proceedings. 1he burden of bringing the defence witnesses before the Hn*uiry Gfficer is on the charge-sheeted employee. 5ut if the charge sheeted employee re*uests for time to adduce his defence such re*uest should duly and liberally be considered by the Hn*uiry Gfficer. If the employee refuses to examine any witness the same should be recorded by the Hn*uiry Gfficer. (fter the examination of the defence witness is over, the employee should be asked whether he desires to make any further statement. (ny statement which he may make should be taken down and *uestions may be put to him and asking him to clarify any particular point or circumstance. It is advisable for the Hn*uiry Gfficer to put the following *uestion to the charge-sheeted employee before concluding the en*uiry - K-ave you anything further to stateLO and record his answer thereto. <.5 Recordin, of t6e !roceedin,s +roceedings of the en*uiry must be recorded elaborately. 1he statement of the witness and subse*uent examinationFcross-examination should be recorded. 1he statement should be recorded in a narrative form. -owever, on crucial and vital points the actual *uestion put and answer given may, if necessary, be recorded. 5ut as far as practicable *uestion-answer form of recording should be avoided. <.8 $eadin, 1uestions %eading *uestions i.e. *uestions suggesting the desired answer and suggestions, positive or negative, should be disallowed except in cross-examination. ,ome examples of %eading *uestions are given below 6. 7 is charge-sheeted for assaulting P in the latter/s office at 6;.:; a.m. on 6.6.6<<6. 1he +resenting Gfficer puts the following *uestion to the witness for the charge. Q. Did not 3r. 7 enter the office of P at 6;.:; a.m., on 6.6.<6 and slap P on his faceO >. In another case 7 is charge-sheeted for theft of &ompany/s property. 1he +resenting Gfficer puts the following *uestion to the witness for the charge. Q. KEas not 7 going out through the gate with a red packet concealed in his umbrellaOL

<.? (ll documents and records relied upon by the +resenting Gfficer and produced at the en*uiry for establishing the charge should be produced in the presence of the chargesheeted employee and he should be explained the contents thereof relevant for the purpose. <.< 1he charge-sheeted employee andFor his co-employee should be allowed to inspect all such documents and records produced as evidence during the en*uiry and his signature obtained on the documents and records which will show that he had inspected the same. ,uch documents and records should be marked as exhibits for the charge. ,imilarly documents and records produced by the charge-sheeted employee in his defence should also be marked as exhibits in defence. <.6; If the charge-sheeted employee declines to cross-examine any witness examined in support of the charge, the fact of his having declined to do so should be recorded and the signature of the charge-sheeted employee and his co-employee obtained thereon. 1he statements at each page should be signed by the witness, the Hn*uiry Gfficer, the chargesheeted employee and the co-employee. If the charge-sheeted employee does not know the language in which the statement is recorded, the Hn*uiry Gfficer should read it over and explain the statement in the language understood by himFthem and, if necessary, may take the help of an interpreter. 1he Hn*uiry Gfficer then should record at the conclusion of the statement of each witness to the effect that the statement was recorded in presence of the employee and was explained to the witness and the employee in the language understood by them, as the case may be and then ask the witness to put his signature at the end and on each page and so also the employee be asked to sign on each page and at the end. 1he co-employee, if any, should similarly be asked to sign on each page and at the end. If any of the !above referred" persons refuses to sign as re*uired, the same should be recorded by the Hn*uiry Gfficer and attested by any witness present. <.-- &@4parte &n=uiry Ehen the en*uiry is fixed at a particular time, place and date and the charge-sheeted employee does not turn up and seeks a postponement on genuine grounds, the same may be granted. If the charge-sheeted employee makes further attempts for adjournment and the Hn*uiry Gfficer is convinced that it is being done with a view to deliberately delay the proceedings, the Hn*uiry Gfficer may proceed with the en*uiry ex-parte. Hvery adjourned proceedings of the ex-parte en*uiry should be duly notified to the chargesheeted employee. If he presents himself and desires to participate, he should be allowed to do so. In no case the Hn*uiry Gfficer should proceed ex-parte on the first date of en*uiry. Gne exparte hearing does not preclude giving notice for subse*uent hearings. Ehere an ex-parte en*uiry is held, it should not be presumed that the misconduct as mentioned in the chargesheet stands proved. 1he Hn*uiry Gfficer still should hold the en*uiry and the +resenting Gfficer prove the charge against the charge-sheeted employee and adduce ade*uate evidence to that effect. If the +resenting Gfficer fails to prove the charge, the Hn*uiry Gfficer should give his findings accordingly, holding the delin*uent not guilty.

<.-/ !artly Heard &n=uiry If an Hn*uiry Gfficer, after having heard and recorded the whole or any part of the evidence in an en*uiry, ceases to function as Hn*uiry Gfficer for any reason and a new Gfficer is appointed as Hn*uiry Gfficer for conducting the en*uiry, the new en*uiry officer may proceed with the en*uiry from the stage left over by the predecessor and act on the evidence already recorded by his predecessor. <.-0 Aoint &n=uiry Ehere two or more persons are charge-sheeted in connection with the same incident or transaction, the authority competent to take disciplinary action for all of them may direct a joint en*uiry to be held against them. If the authorities competent to impose the penalty are different, an order for joint proceedings may be made by the highest of such authorities. <.-? De4"ovo &n=uiry If the charge-sheeted employee makes a re*uest for re-conducting the en*uiry or the Disciplinary (uthority feels on the merits of the case that the en*uiry has to be reopened and conducted again in the interest of justice, the en*uiry may be re-opened and conducted again as per the orders of the Disciplinary (uthority. 1his is called De-)ovo Hn*uiry. <.-2 &@a ination4in4C6iefBCross4e@a inationBRe4e@a ination Hxamination of a witness by the party who calls him is called as examination-in-chief. 1he witness here may give his statement by himself or reply to the *uestions put by the party who has called him. 1he *uestions cannot be leading *uestions. 1he examination-in-chief of a witness is followed by cross-examination, by the opposite party. If after the cross examination, the party who has called the witness to further examination which is called re-examination. (fter such re-examination the witness should be allowed to be further cross-examined. <.-5 Report of t6e &n=uiry Officer (fter the conclusion of the recording of evidence, the Hn*uiry Gfficer should prepare and submit his report. 1he Hn*uiry Gfficer should record clearly and precisely his findings and indicate the reasons for arriving at such findings in respect of each charge. 1he findings must be based on the evidence on record. -e should not import his personal knowledge or any material which is not on record. 1he oral evidence and the documents and records marked as exhibits at the en*uiry should alone form the basis for arriving at the findings in respect of each charge. 1he Hn*uiry Gfficer need not write a very long or elaborate report, but he must discuss the evidence and state his reasons for accepting or rejecting the same. Hven in a case where the Hn*uiry Gfficer himself is the ultimate disciplinary authority, he must state his reasons for finding the employee concerned guilty, or otherwise of the charges levelled against him.

<.6J 1he Hn*uiry Gfficer should clearly bear in mind that his task is to hold an en*uiry into the charges and to record, in respect of each charge, whether it is established or not. -e should not recommend any punishment to be imposed on the charge-sheeted employee. #acts or documents which have been adduced or produced as evidence before the committee in the presence of the charge-sheeted employee only should be taken into consideration while recording the findings unless the proceedings are ex-parte. i" (fter conclusion of the en*uiry, a report shall be prepared by the Hn*uiry Gfficer and it shall contain a" the articles of charges and the statement of the allegations of misconduct or misbehaviour$ b" the defence of the employee in respect of each article of charge$ c" an assessment of the evidence in respect of each article of charge$ d" the findings on each article of charge and the reasons therefore. ii" 1he Hn*uiry Gfficer, where he is not himself the disciplinary authority, shall forward to the disciplinary authority the records of en*uiry which shall include a" the report prepared by it under clause !i" above$ b" the written statement of defence submitted by the employee$ c" the oral and documentary evidence produced in the course of the en*uiry$ d" the orders, if any, made by the disciplinary authority and the en*uiry authority in regard to the en*uiry. iii" 1he disciplinary authority shall consider the records of the en*uiry, record his conclusions on each charge and pass appropriate order. <.-: Supplyin, Copy of t6e !roceedin,s to t6e & ployee In case, during the proceedings of the en*uiry, the charge-sheeted employee asks for copies of statement for the purpose of cross-examination, he should be supplied with the same provided that he is unable to read and understand the deposition. <.-< Order by t6e disciplinary Aut6ority 1he disciplinary authority has to finally decide the matter. -e may accept the findings of the Hn*uiry Gfficer and decide the penalty or otherwise. Ehile so deciding he has to take into consideration the gravity of the misconduct and the past records of the chargesheeted employee and any other extenuating andFor aggravating circumstances that may exist. If he agrees with the findings, he should take a decision regarding the penalty to be imposed. If, on the other hand, he does not agree with the findings he should record his own findings based on the evidence on record. In case the Hn*uiry Gfficer finds a charge-sheeted employee not guilty and the disciplinary authority, disagreeing with the findings of the Hn*uiry Gfficer records his own findings of guilt, he should afford another opportunity to the charge-sheeted employee to show-cause against the findings of guilt and take into consideration the causes, if any, shown before awarding any penalty. 1he *uantum of penalty imposed on the charge-sheeted

employee should not be disproportionate to the seriousness of the misconduct established, and should be one which any other reasonable employer, under similar circumstances would have awarded. <./3 C6ec7 $ist for Disciplinary Aut6ority 1he disciplinary authority before passing final orders should check up if the following aspects have been taken care of a" Ehether definite and specific charges were framed$ b" Ehether the charge-sheet was properly served$ c" Ehether the charge-sheeted employee was given sufficient time to submit his explanation, as re*uired under the rules. Ehether the explanation, if any, submitted was duly considered$ d" Ehether the person charged was allowed to cross examine the witness produced in support of the charges, to give evidence in person and to call witness on his behalf$ e" Ehether the findings are based on evidence on record, and whether the penalty is proportionate to the gravity of the offence established$ f" 1he disciplinary authority should also look into the past records of the employee and extenuating and aggravating circumstances, if any, while deciding the penalty to be imposed.

9aste portion starts 6ere

R&!ORT OF )ISCO"D#CT

6.6

&omplaint is the starting point of any disciplinary action. #or taking disciplinary action against any employee for having committed an act of misconduct, the management should invariably get a specific written complaint. &omplaint is nothing but a clear, se*uential narration of the facts of incidence of indiscipline by the complainant, in the shape of a report to his superior. ,ince any disciplinary action may go hay-way if the complaint is not proper, every complainant should bear in mind the following !a" !b" !c" !d" !e" !f" Don't rely on memory. =educe to writing whatever has happened immediately. ,ubmit your complaint in the shape of report of misconduct without any delay to superiors. (void dictating the complaint to somebody else. (void type-writing the complaint, if possible. It is advisable to send it in hand-writing. Don't add your impressions or guesses but narrate the actual facts. 1ake written statements of all whoever has any facts relating to the complaint or witnessed the incident.

6.>

6.:

1he =eport of misconduct should invariably give the following details !a" !b" !c" !d" !e" !f" !g" !h" !i" !j" #ull name of the person who committed the act of misconduct$ Designation$ Hmployee )o.$ ,ectionFDeptt.FDivision$ ,hift or =elay in which the employee was working$ Date and time of incident$ +lace of occurence$ Details of misconduct$ )ame of witnesses, if any$ =ecored statements, if any$

,1(4H-66

If the charge(s) are proved, check the past record and if any conciliation or adjudication proceedings are going on, check Industrial Disputes Act provision, check hether protected #inal $ho %cause notice &efore punish'ent if provided under rules

,1(4H-6>

,1(4H-6:

$tudy the reply given &y e'ployees to final cho %cause notice

,1(4H-6I

(ive clarification, if any, asked for in reply to final sho %cause notice

+unishments Grder
,1(4H-6B

,1(4H-6C

(ppeal by the accused employee

,1(4H-6J

)eply to appeal after revie and final punish'ent order

,1(4H-6?

Implementation of punishment order and closing the file

!ontest the case if referred to conciliation"adjudication

,1(4H-6<

!R&$I)I"AR( &"1#IR(
6.I

6.B

(s soon as a complaint is received, we should see whether it is worth dealing within an elaborate manner by charge-sheeting the employee and conducting a domestic en*uiry or not. 1his is determined by the gravity of the misconduct committed by the employee. Ehen an act of misconduct has been committed and the disciplinary authority receives a complaint, he should conduct a preliminary en*uiry either himself or get it done by another Gfficer !Gfficer other than the one who has made the . complaint or who is a witness to the incident". +reliminary en*uiry is done with a view to decide whether there is ade*uate material for proceeding with a domestic en*uiry. Domestic en*uiry starts the moment a charge-sheet is issued and preliminary en*uiry ends with the issue of charge- sheet. In all cases, preliminary en*uiry is not essential. If the matter is obvious enough, the domestic en*uiry can start with the issue of charge- sheet. 1he following are the differences between domestic en*uiry and preliminary en*uiry. !a" !b" +reliminary en*uiry is not an essential step while domestic en*uiry is a must for taking disciplinary action. Domestic en*uiry aims at determining whether charges are established or not while preliminary en*uiry is conducted for finding out whether a prima-facie case has been made out. &onclusions of preliminary en*uiry lead to framing of charge-sheet while the report of domestic en*uiry forms the basis for awarding punishment. +reliminary en*uiry is not subject to any rules while conduct of domestic en*uiry is subject to principles of natural justice.

!c"

!d"

!RI"CI!$&S OF "AT#RA$ A#STIC& 6.C

6.J

1he procedure for taking disciplinary action against any delin*uent employee must be based on principles of Rnatural justiceR - which again are in conformity with the principles of a Eelfare ,tate. 1o hold an en*uiry in conformity with the principles of natural justice, the following conditions are to be met !a" !b" !c" !d" !e" the employee proceeded against has been informed clearly of the charges levelled against him$ the witnesses are examined ordinarily in the presence of the employee in respect of the charges$ the employee is given a fair opportunity to cross- examine the witnesses$ the employee is given a fair opportunity to examine his own witnesses, including himself in his defense if he so wishes$ the en*uiry officer records his findings with reasons for the same in his report.

CHAR'& SH&&T 6.? If on the basis of preliminary en*uiry or otherwise, the disciplinary authority is satisfied that a prima- facie case exists and decides to take disciplinary action against the employee concerned, the first thing to be done is to issue a charge-sheet to delin*uent employee. &harge-sheet is a memorandum of charges or allegations levelled against the employee which are acts of misconduct as per the ,tanding Grders or the &onduct, Discipline and (ppeal =ules, as the case may be. &heck-%ist for preparation of &harge-,heet Ehile framing a &harge-sheet, the following items may be kept in mind so that nothing relevant would be missing from the &harge-sheet a. Date of &harge-sheet b. &orrect )ame and Hmployee )o. of d el in *u e nt employee c. ,pecify date of incident d. Description of incident e. =eproduce the language in verbatim if there$ are words of abuses, defamation or threat f. 4ive reference of relevant rules such as ,tanding Grders or &onduct, Discipline and (ppeal =ules, as the case may be g. ,pecify wi t hin how much time and to whom the r epl y should be submitted. h. &heck the authority competent to issue the &harge-sheet !,ee &onduct, Discipline and (ppeal =ules or Delegation of +owers, as the case may be" i. Decide whether the employee is to be kept under suspension or not j. Decide whom to send the copies of &harge-sheet.

6.<

>.;

'uidelines for preparin, C6ar,e4s6eet:

!a"

1he &harge-sheet should be specific and must spell out all the relevant particulars of the misconduct. (s far as possible, it should be precisely mentioned in the &harge-sheets to under which rule or clause, the charges constitute acts of misconduct so as to enable the employee as to which rules are applicable to him in this context. 1he &harge-sheet must be signed by the competent authority so as to avoid facing a situation where the &harge-sheet is made invalid because it is signed by incompetent authority. !=efer to schedule of &onduct, Discipline and (ppeal =ules or Delegation of +owers as the case may be". (void loose usage of words such as '-abitual' and 'Eillful' in the &harge-sheet. Do not use such *ualifying words unless the charges are really so. If the charge is of abusing or threatening, reproduce the exact words used, in the &harge- sheet.

!b"

!c"

!d" !e"

!f" !g" >.6

(void using abbreviations such as RetcR and also phrases such as Rsuch other thingsR. If the previous record of the employee is referred to, t h en sufficient particulars of the previous record should be given in the &harge-sheet.

Ti e for reply to C6ar,e4s6eet: ( reasonable period of time should be given to the employee to submit his reply to the &harge-sheet. 1ime as stipulated in the ,tanding Grders or &onduct, Discipline 2 (ppeal =ules, as the case may be, but not less than I? hours from the receipt of the &hargesheet by the employee should be allowed for submission of his reply. If the &hargesheeted employee re*uests for extension of time, such re*uest!s" may be considered on its own merits. 96o si,ns t6e C6ar,e4s6eet Unless it is delegated otherwise, Disciplinary (uthority is the &ompetent (uthority to sign &harge- sheet. !,ee (nnexure '( 2 5 as the case may be'". #rom the (nnexure, it may be seen that for major penalties, the Disciplinary (uthorities are different from those for minor penalties. (t the stage of issuing the &harge-sheet it may always not be very clear whether the offence is such that a major penalty may be imposed ultimately or the decision would be only in favour of a minor penalty. Hxcept for very simple cases where beyond doubt the offence may lead to imposition of only a minor penalty, it will be desirable to have the &harge-sheet issued under the signature of Disciplinary (uthorities empowered to impose major penalty.

>.>

/.0

Service of C6ar,e4s6eet ,erving the &harge-sheet on the delin*uent employee plays a very important role in disciplinary proceedings. -ence, all efforts should be made by the employer to see that the &harge-sheet is served on the delin*uent employee. 1he &harge-sheet may be handed over to the employee and his signature or thumbimpression of his having received the same obtained on the office copy. In case he refused to accept the &harge-sheet, an endorsement to the effect should be made on the office copy in the presence of at least two witnesses whose signatures should be obtained. In case the concerned employee receives the &harge-sheet but refuses to sign or give his thumb-impression on the office copy, an endorsement to the effect should be made on the office copy and signatures of at least two witnesses may be taken. If the employee concerned asks for the &harge- sheet being made out in the language which he knows, the same should be done. If the employee either refuses to accept or give acknowledgement of the &harge-sheet or is not present within the Grganisation due to suspension or any other reason, the &hargesheet should be sent to his last known and recorded address !both local as well as permanent" by =egistered +ost with acknowledgement due. If the employee concerned refuses to accept the registered letter carrying the &hargesheet and there is an endorsement by the +ostal (uthorities to that effect on the envelope, the same may be treated as ade*uate service. 1he returned postal envelope in that case should be retained, without opening, in record.

In case of absence or refusal of the employee to take the &harge-sheet or refusal to give acknowledgement of its receipt, a copy of the same should also be displayed on )otice 5oard. If all efforts to serve the &harge-sheet on the employee fail, the &harge- sheet may be published in some localFregional newspaper with a wide circulation. >.I Ehile preparing a &harge-sheet, the guidelines suggested in the format in the (nnexure may be followed.

S#S!&"SIO" >.B

96at is Suspension : ,uspension from duty means keeping an employee away from work-place temporarily for reasons of discipline. ,uspension does not mean removal from service. If a person is suspended, he continues to be in service, but is in a stage, as it were, of suspended animation.

>.C

96en to Suspend : 1he suspension of an employee from duty often arises under the following three different types of situations !a" Suspension !endin, Do estic &n=uiry :

If an employee has committed such serious acts of misconduct such as assault, sabotage etc. and his presence inside the work promises poses threat to the safety of the men and material, he may be kept under suspension immediately pending investigations. 1his is called ,uspension +ending Domestic Hn*uiry. (t this stage this suspension cannot be called a punishment. It is desirable to issue the order of suspension along with &harge- sheet but if it is not possible, the &harge-sheet must follow within J days of issue of suspension order . !b" Suspension !endin, CourtCs Order :

1he disciplinary authority has a right to keep an employee under suspension, if he is accused in a court of law of any criminal offence, until the disposal of the trial. !c" Suspension as !unis6 ent :

Hven though an employee is not suspended pending en*uiry, if it is decided to punish him by way of suspension for the acts of misconduct committed by him, the disciplinary authority may do so after the conclusion of en*uiry in which case the suspended employee will not be entitled to any payment for the period of suspension since it is a punishment imposed on him.

Status of Suspended & ployee:

!a"

During the period of suspension, the suspended employee shall not enter the work-premises without the permission of the disciplinary authority or any other authority competent to do so. 1he suspended employee shall not leave the station without the written permission of the competent authority. 1he employee suspended pending en*uiry shall be paid subsistence allowance as admissible to him under &D( =ules or ,tanding Grders, as the case may be, which will increaseF decrease depending upon the merits of the case if the period of suspension gets prolonged. )o leave shall be granted to a suspended employee during the period of suspension. 1he suspended employee will not be paid subsistence allowance if he is engaged in any other employment, business, profession or vocation. If it is decided after the conclusion of en*uiry not to remove the suspended employee from service, he will be simply allotted the job treating the period of suspension as on duty or leave as decided by the disciplinary authority.

!b" !c"

!d"

!e" !f"

!g" >.J

If an employee suspended pending en*uiry submits resignation, it is normally not accepted unless it is in the company's interest. Subsistence Allowance: ,ubsistence allowance is the payment made to an employee who is kept under suspension pending en*uiryF court's order only, as under Hmployees governed by &.D.( =ules Hmployee governed by ,tanding Grders

a. ,ubsistence (llowance is payable at the rate ,ubsistence (llowance is payable at the rate of of B;M of his basic pay. In addition half his basic wage S Dearness (llowance for the Dearness (llowance as admissible on such period of his suspension. subsistence allowance and any other &ompensatory (llowance of which he was in receipt on the date of suspension, are also admissible.

b. If the period of suspension exceeds six months

If the period of suspension exceeds three months

c. Due to reasons not directly attributable to the employee, subsistence allowance is payable at the rate of JBM of his basic pay and allowances thereon.

Due to reasons attributable to the employer, subsistence allowance is payable at the rate of :FIth of his basic wages S Dearness (llowance.

d. Due to reasons directly attributable to the employee, subsistence allowance is payable at the rate of >BM of his basic pay and allowances thereon.

Due to reasons attributable to the employee, subsistence allowance is payable at the rate of 6FIth of his basic wages S Dearness (llowance.

1he payment of above subsistence allowance will be subject to a written declaration by the employee concerned that he is not engaged in other employment or business or profession or vocation as well as his observance of the instructionsF advice contained in the order of suspension issued to him. !d" If the suspended employee is found guilty of the misconduct alleged against him or some other mis-conduct brought out in the course of the en*uiry and punishment is awarded, he shall not be entitled to any remuneration for the period of suspension pending en*uiry other than the subsistence allowance already paid to him, if he is governed by the ,tanding Grders. In case of an employee governed by the &onduct, Discipline2 (ppeal =ules, he shall be entitled to such proportion of pay and allowances only as the competent authority may prescribe. If the suspended employee is found not guilty of the misconduct, he shall be paid the difference between the subsistence allowance already paid and the emoluments consisting of pay and allowances which he would have received if he had not been suspended. DO)&STIC &"1#IR(
>.?

!e"

If the explanation submitted by the delin*uent employee in reply to the &harge-sheet is not found satisfactory, the Disciplinary (uthority may institute domestic en*uiry by appointing an Hn*uiry Gfficer !or Hn*uiry &ommittee consisting of more than one person" and the +resenting Gfficer and inform the &harge-sheeted workman about the same. 1he Hn*uiry Gfficer would send a )otice of Hn*uiry giving him sufficient time to attend the en*uiry. =ole of +articipants in Domestic Hn*uiry 1he persons concerned with domestic en*uiry and who participate in any domestic en*uiry are !a" &n=uiry Officer: 1he Hn*uiry Gfficer is the officer appointed by the disciplinary authority to conduct an en*uiry into the allegations levelled / against the &hargesheeted employee. 1he Hn*uiry Gfficer's job is to listen and record the statements of both the parties i.e., the accused employee and the management

>.<

representative$ allow both the parties to submit to him the relevant documents in support of their contentions$ allow both the parties to examine their witnesses as well as cross-examine the other's witnesses$ allow both the parties to submit arguments and counter arguments in respect of the charges and evidence adduced in the en*uiry$ and finally submit his en*uiry' report to the disciplinary authority. !b" !resentin, Officer +resenting Gfficer is the officer appointed to present the case of the management before the Hn*uiry Gfficer relating to the charges levelled against the accused employee. 1he +resenting Gfficer will produce in the en*uiry, all the relevant documents relating to charges levelled against the employee and also examine the witnesses of the &ompany as well as crossexamine the witnesses of the &harge-sheeted employee. In other words, he plays the role of the +rosecutor. In cases where felt appropriate complainant may be also appointed as +resenting Gfficer. C6ar,e4s6eeted & ployee: It is necessary that the en*uiry should be held in the presence of the accused. If, however, the employee failed to report for the en*uiry at the appointed place, date 2 time, the Hn*uiry Gfficer may proceed with the en*uiry ex-parte provided the &harge-sheet or the en*uiry notice included a provision to that effect. Defence (ssistance of the (ccused Hmployee If the accused employee wishes another employee of his choice to assist him at the en*uiry in the conduct of his Defence, it should be allowed, if a re*uest is made for a non-employee union office-bearer, he may be allowed if there is a provision to that effect under the ,tanding Grders or &onduct, Discipline and (ppeal =ules.

!c"

(e)

Interpreter: 1he presence of an interpreter, from amongst the employees, would be desirable in case the accused employee is not familiar with the language in which the en*uiry is conducted.

!f"

)ana,e ent 9itnessesD 1hese are the persons who appear in the en*uiry to give their statements in support of the charges levelled against the &hargesheeted employee. !g" :.; &harge-sheeted Hmployee's Eitnesses 1hese are the persons who appear in the en*uiry to give their statements in defence of the &harge-sheeted employee. 96o s6ould be &n=uiry Officer: If a person is the witness in the case, he should not be Hn*uiry Gfficer. Hn*uiry Gfficer should not be appointed by an Gfficer who is a witness in the case. Hn*uiry Gfficer can be any officer of the &ompany. In exceptional cases if it is felt desirable an outsider N can also be the Hn*uiry Gfficer in which case approval of the 43 should be taken. !,ubject to the provisions of ,tanding Grders". !d" ( person to be Hn*uiry Gfficer must be a responsible Gfficer commanding respect from the employee. In short, he should not be a judge in his own case. !e" ( person to be Hn*uiry Gfficer should be open minded and unbiased.

!a"

(b) (c)

:.6

Docu ents to be forwarded to &n=uiry Officer: 1he disciplinary authority shall forward to the Hn*uiry Gfficer !a" !b" !c"
N!d"

( copy of the &harge-sheet$ ( copy of the reply if submitted by the &harge-sheeted employee$ %ist of witnesses, if available$N %ist of documents to be produced in en*uiry, if available &opy of order appointing the +resenting Gfficer.

!e"

!N)ot mandatory at this stage" !rocedure of Do estic &n=uiry: !a" (t the commencement of the en*uiry the charges should be read out and explained to the charge-sheeted employee and he should be asked whether he pleads guilty to the charges or not. If the employee admits his guilt it will be open to the Hn*uiry officer to examine the employee himself even in the first instance, so as to enable him to offer any explanation for his conduct, or to place before the Hn*uiry Gfficer any circumstances which may go to mitigate the gravity of the offense. If after the examination of the employee, the +resenting officer chooses to examine any witness, the employee must be given a reasonable opportunity to cross-examine those witnesses and also to adduce any other evidence that he may choose including his own further statement. If, on the other hand, the employee denies the charge, the burden of proving the truth of the charge and the allegations wi l l be on the management and the witnesses for establishing the same should be examined first. (t the conclusion of the statement given by each witness in support of the charges, the same should be read over and explained to the charge-sheeted employee in the language understood by him and he must be given a chance to cross-examine the witness. (n endorsement to this effect should be made at the bottom of the statement. 1he Hn*uiry Gfficer may, as well, put certain *uestions to the witness to elicit certain detailsFclarification from him but the Hn*uiry Gfficer should not cross-examine the witnesses by putting leading *uestions or making suggestions. If the Hn*uiry Gfficer puts certain *uestions to the witnesses after the cross-examination of the said witnesses by the employee is over, the latter may again be given a chance to cross-examine on t he basis of the supplementary statement given by the witness. ,imilar facility may be as well be afforded to the +resenting Gfficer, after the Hn*uiry Gfficer asks some *uestions to a defence witness. (fter the examination and cross-examination of all the witnesses in support of the charge is completed, the charge-sheeted employee should be asked to adduce his defence. -e may offer himself to be examined as a witness and also produce witnesses in his defence. 1he charge-sheeted employee may, if he so likes, submit his defence statement in writing, which should be accepted by the Hn*uiry Gfficer as p a r t of the proceedings. 1he burden of bringing the defence witnesses before the Hn*uiry Gfficer is on the charge-sheeted employee. 5ut if the charge-sheeted

!b"

!c"

employee re*uests for time to adduce his defence such re*uest should duly and liberally be considered by the Hn*uiry Gfficer. If the employee refuses to examine any witness the same should be recorded by the Hn*uiry Gfficer. (fter the examination of the defence witness is over, the employee should be asked whether he desires to make any further statement. (ny statement which he may make should be taken down and *uestions may be put to him and asking him to clarify any particular point or circumstance. It is advisable for the Hn*uiry Gfficer to put the following *uestion to the charge sheeted employee before concluding the en*uiry-R-ave you anything further to stateRO-and record his answer thereto. Recordin, of t6e !roceedin,s +roceedings of the en*uiry must be recorded elaborately. 1he statement of the witness and subse*uent examinationFcross-examination should be recorded. 1he statement should be recorded in a narrative form. -owever, on crucial and vital points the actual *uestion put and answer given may, if necessary, be recorded. 5ut as far as practicable *uestion-answer form of recording should be avoided. :.> $eadin, 1uestions: %eading *uestions i.e. *uestions suggesting the desired answer and suggestions positive or negative, should be disallowed except in cross-examination. ,ome examples of leading *uestions are given below 7 is charge-sheeted for assaulting P in the latter's office at 6;.:; a.m on 6.6.6<<<. 1he +resenting Gfficer puts the following *uestion to the witness for the charge. Did not 3r. 7 enter the office of P at 6;.:; a.m. on 6.6.6<<< and slap P on his face O In another case 7 is charge-sheeted for theft of &ompany's property. 1he +resenting Gfficer puts the following *uestion to the witness for the charge. REas not 7 going out through the gate with a red packet concealed in his umbrella O (ll documents and records relied upon by the +resenting Gfficer and produced at the en*uiry for establishing the charge should be produced in the presence of the charge-sheeted employee and he should be explained the contents thereof relevant for the purpose.

6 Q. >. Q :.:

1he charge-sheeted employee and or his co- employee should be allowed to inspect all such documents and records produced as evidence during the en*uiry and his signature obtained on the documents and records which will show that he had inspected the same. ,uch documents and records should be marked as exhibits for the charge. ,imilarly, documents and records produced by the charge sheeted employee in his defence should also be marked as exhibits in defence. :.I

If the charge-sheeted employee declines to cross-examine any witness examined in

support of the charge, the fact of his having declined to do so should be recorded and the signature of the charge sheeted employee and his co-employee obtained thereon. 1he statements at each page should be signed by the witness, the Hn*uiry Gfficer the charge sheeted employee and the co-employee. If the charge-sheeted employee does not know the language in which the statement is recorded, the Hn*uiry Gfficer should read it over and explain the statement in the language understood by himFthem and, if necessary, may take the help of an interpreter. 1he Hn*uiry Gfficer then should record at the conclusion of the statement of each witness to the effect that the statement was recorded in presence of the employee and was explained to the witness and the employee in the language understood by them as the case may be and then ask the witness

to put his signature at the end and on each page and so also the employee be asked to sign on each page and at the end. 1he co-employee, if any of the !above referred" person refuses to sign as re*uired, the same should be recorded by the Hn*uiry Gfficer and attested by any witness present. :.B &@4parte &n=uiry: Ehen the en*uiry is fixed at a particular time, place and date and the charge- sheeted employee does not turn up and seeks a postponement on genuine grounds, the same may be granted. If the charge-sheeted employee makes further attempts for adjournment and the Hn*uiry Gfficer is convinced that it is being done with a view to deliberately delay the proceedings, the Hn*uiry Gfficer may proceed with the en*uiry ex-parte. Hvery adjourned proceedings of the ex-parte en*uiry should be duly notified to the chargesheeted employee. If he presents himself and desires to participate he should be allowed to do so. In no case the Hn*uiry Gfficer should proceed ex-parte on the first date of en*uiry. Gne ex-parte hearing does not preclude giving notice for subse*uent hearings. Ehere an ex-parte en*uiry is held it should not be presumed that the misconduct as mentioned in the &harge-sheet, stands proved. 1he Hn*uiry Gfficer still should hold the en*uiry and the +resenting Gfficer prove the charge against the &harge- sheeted employee and adduce ade*uate evidence to that effect. If the +resenting Gfficer fails to prove the charge, the Hn*uiry Gfficer should give his findings, accordingly holding the delin*uent not guilty. !artly Heard &n=uiry:
If an Hn*uiry Gfficer, after having heard and recorded the whole or any part of the evidence in any

en*uiry, ceases to function as Hn*uiry Gfficer for any reason and a new Gfficer is appointed as Hn*uiry Gfficer for conducting the en*uiry, the new en*uiry officer may proceed with the en*uiry from the stage left over by the predecessor and act on the evidence already recorded by his predecessor. :.C Aoint &n=uiry: Ehere two or more persons are chargesheeted in connection with the same incident or transaction, the authority competent to take disciplinary action for all of them may direct a joint en*uiry to be held against them. If the authorities competent to impose the penalty are different, an order for joint proceedings may be made by the highest of such authorities. :.J De4"ovo &n=uiry: If the &harge-sheeted employee makes a re*uest for re-conducting the en*uiry or the Disciplinary (uthority feels on the merits of the case that the en*uiry has to be re-opened and conducted again in the interests of justice, the en*uiry may be re-opened and conducted again as per the orders of the Disciplinary (uthority. 1his is called De-)ovoHn*uiry. ETHDC CDA Rules does not spea7 of De4"ovo en=uiry 6oweverF :.? &@a ination4in4C6ief Cross4e@a inationBRe4e@a ination: Hxamination of a witness by the party who calls him is called as examination-in-chief. 1he witness here may give his statement by himself or reply to the *uestions put by the party who has called him. 1he *uestions cannot be leading *uestions. 1he examination-in-chief of a witness is followed by cross-examination, by the opposite party. If after the cross examination, the party who has called the witness desires to clarify points raised in crossexamination, he may put the witness to further examination which is called reexamination. (fter such re-examination, the witness should be allowed to be further cross examined. :.< Report of t6e &n=uiry Officer:

(fter the conclusion of the recording of evidence, the Hn*uiry Gfficer should prepare and submit his report. 1he Hn*uiry Gfficer should record clearly and precisely his findings and indicate the reasons for arriving at such findings in respect of each charge. 1he findings must be based on the evidence on record. -e should not import his personal knowledge or any material which is not on record. 1he oral evidence and the documents and record marked as exhibits at he en*uiry should alone form the basis for arriving at the findings in respect of each charge. 1he Hn*uiry Gfficer need not write a very long or elaborate report, but he must discuss the evidence and state his reasons for accepting or rejecting the same. Hven in a case where the Hn*uiry Gfficer himself is the ultimate disciplinary authority, he must state his reasons for finding the employee concerned guilty or otherwise of the charges levelled against him. 1he Hn*uiry Gfficer should clearly bear in mind that his task is to hold an en*uiry into the charges and to record, in respect of each charge, whether it is established or not. -e should not recommend any punishment to be imposed on the charge-sheeted employee. #acts or documents which have been adduced or produced as evidence before the committee in the presence of the charge-sheeted employee only, should be taken into consideration while recording the findings unless the proceedings are ex-parte. i" (fter conclusion of the en*uiry, a report shall be prepared by the Hn*uiry Gfficer and it shall contain !a" the articles of charges and the statement of the allegations of misconduct or misbehavior$ the defence of the employee in respect of each article of charge$ an assessment of the evidence in respect of each article of charge$ the findings on each article of charge and the reasons therefor.

!b" !c" !d" ii"

1he Hn*uiry Gfficer where he is not himself the disciplinary authority, shall forward to the disciplinary authority the records of en*uiry which shall include !a" !b" !c" !d" the report prepared by it under clause !i" above$ the written statement of defence submitted by the employee$ the oral and documentary evidence produced in the course of the en*uiry$ the orders, if any, made by the disciplinary authority and the en*uiry authority in regard to the en*uiry.

iii" I.;

1he disciplinary authority shall consider the records of the en*uiry, record his conclusions on each charge and pass appropriate orders.

Supplyin, Copy of t6e !roceedin,s to t6e & ployee : In case during the proceedings of the en*uiry, the &harge-sheeted employee asks for copies of statement for the purpose of cross-examination he should be supplied with the same provided that he is unable to read and understand the deposition.

Order by t6e Disciplinary Aut6ority:

1he disciplinary authority has to finally decide the matter. -e may accept the findings of the Hn*uiry Gfficer and decide the penalty or otherwise. Ehile so deciding he has to take into consideration the gravity of the misconduct and the past records of the &harge-sheeted employee and any other extenuating andFor aggravating circumstances that may exist. If he agrees with the findings, he should take a decision regarding the penalty to be imposed. If, on the other hand, he does not agree with the findings he should record the reasons for differing with the findings of the Hn*uiry Gfficer records his own findings of guilt, he should afford another opportunity to the &harge-sheeted employee to show cause against the findings of guilt and take into consideration the causes, if any, shown before awarding any penalty. 1he *uantum of penalty imposed on the &harge-sheeted employee should not be disproportionate to the seriousness of the misconduct established, and should be one which any other reasonable employer, under similar circumstances would have awarded.
I.6

C6ec7 $ist for Disciplinary Aut6ority: 1he disciplinary authority before passing final orders should check up if the following aspects have been taken care of

(a)
!b" !c"

Ehether definite and specific charges were framed$ Ehether the &harge-sheet was properly served Ehether the &harge-sheeted employee was given sufficient time to submit his explanation, as re*uired under the rules. Ehether the explanation, if any, submitted was duly considered$ Ehether the person charged was allowed to cross examine the witness produced in support of charges, to give evidence in person and to call witness on his behalf$ Ehether the findings are based on evidence on record, and whether the penalty is proportionate to the gravity of the offence established. 1he disciplinary authority should also look into the past records of the employee an extenuating and aggravating circumstance, if any, while deciding the penalty to be imposed. 1he disciplinary authority should also see if permission or approval is to be taken from the appropriate authority under Industrial Disputes (ct because some dispute is pending with conciliation etc or the employee is a +rotected Eorkman. 1he disciplinary authority should also check-up if a final show-cause notice is to be given to the charge- sheeted employee before passing the punishment order. unication of Order to t6e C6ar,e4s6eeted & ployee:

!d" !e" !f"

(g)

!h" Co

(fter the disciplinary authority decides to impose a major penalty it should be communicated to the employee as early as possible in the specimen form as in (nnexures. 1he orders should be unambiguous and must related to the charge. It should be signed by the authority competent to sign the order and in no case by any subordinate officers as Rfor and on behalf ofR the disciplinary authority.

I.>

& ployee on Deputation fro

t6e Central 'ovt. or t6e State 'overn ent etc.:

Ehere an order of suspension is made or disciplinary proceedings is taken against an employee, who is on deputation to the &ompany from the &entral or a ,tate 4overnment, or another public undertaking, or a local authority, the authority lending his services !hereinafter referred to as the Rlending authorityR" shall forthwith be informed of the circumstances leading to the order of his suspension, or the commencement of the disciplinary proceedings, as the case may be.
I.:

In the light of the findings in the disciplinary proceeding taken against the employee !a" If the disciplinary authority is of the opinion that any of the minor penalties should be imposed on him, it may pass such orders on the case as it deems necessary after consultation with the %ending (uthority$ provided that in the event of a difference of opinion between the disciplinary authority and the %ending (uthority, the services of the employee shall be placed at the disposal of the %ending (uthority. !b" If the disciplinary authority is of the opinion that any of the major penalties should be imposed on him, it should place his services at the disposal of the %ending (uthority and transmit to it the proceedings of the en*uiry for such action as it deems necessary.

I.I

If the employee submits an appeal against an order imposing a minor penalty on him under sub-rule !a" it will be disposed of after consultation with the %ending (uthority$ provided that if there is a difference of opinion between the (ppellate (uthority and the %ending (uthority, the services of the employee shall be placed at the disposal of the %ending (uthority and the proceedings of the case shall be transmitted to that authority for such action as it deems necessary.

!&"A$TI&S I.B

Gn the basis of the conclusions arrived at in the domestic en*uiry, if it is found that the charges levelled against the employee are not proved, he may be exonerated and a letter to that effect may be issued. If one of the charges or all the charges are proved, then the appropriate penalty may be imposed on the employee by referring to the penalties provided under the =ules.

Action not considered G!enaltyG: 1he following shall not amount to a penalty i" ii" iii" Issue of warning$ Eithholding of increment of an employee on account of his work being found unsatisfactory or failure to pass a prescribed test or examination$ ,toppage of an employee at the efficiency barFtest in a time-scale on the ground of his unfitness to cross the efficiency barFtest. )on-promotion, whether in an officiating capacity or otherwise, of an employee to a higher post for which he may be eligible, but for which he is found unsuitable$ =eversion to a lower class, grade or post of an employee officiating in a higher class, grade or post on the ground that he is considered, after trial, to be unsuitable for such higher class, grade or post, or on administrative grounds unconnected with his conduct$

iv" v"

vi"

=eversion to the previous class, grade or post of an employee, appointed on probation or another class, grade or post, during or at the end of the period of probation, in accordance with the terms of the appointment or probation$ 1ermination of service$ Gf an employee appointed on probation during or at the end of the period of probation, in accordance w i t h the, terms of his appointment Gf an employee appointed in a temporary capacity otherwise than under a contract or agreement, on the expiry of the period for which he was appointed earlier in accordance with the terms of his appointment$ Gf an employee appointed under a contract or agreement, in accordance with the terms of such contract or agreement$ and Gf an employee on reduction of establishment.

vii"

I.C

!enalties and t6eir I position: 1he penalty proposed should normally be commensurate with the gravity of the 'misconduct'. 1hough it is the management's discretion to award a lesser penalty than stipulated under the rules, major penalty for a minor misconduct cannot be awarded. 1he management has the discretion to decide the appropriate penalty for a particular misconduct, subject to the obvious *ualification that the penalty should not be unduly excessive. 1he penalty must be imposed for good a n d sufficient reason.

I.J

9arnin,: Earning may be oral or in writing. Ehen it is in writing it forms a part of one's record of service and reflects on the conduct and efficiency of the employee. It can also be used in awarding severe punishment in future in case of habitual repetition of the same offence. Issue of warning does not affect wages of the employee nor does it have any bearing on the status or future increment of the employee. It merely amounts to a displeasure by the management that such an act of the employee is not looked in with favour by the management and is just to inspire awe in the mind of the employee to be a bit more vigilant, careful and responsible and make it clear to him that if he persists in that action it is likely to bring him into trouble. Earning letter may be issued

I.?

Censure: &ensure is a minor penalty that can be imposed as a formal punishment. 1he conditions for imposing this penalty are i" ii" iii" that the employee has been held guilty of some blame-worthy act or omission$. that it is imposed for good and sufficient reason$ that his explanation is received in writing and is found unsatisfactory, or his explanation has not been received.

( &ensure should be recorded in the service document of the employee. %etter awarding the punishment of &ensure may be issued. I.< Suspension:

,uspension may be ordered as a punishment. It is different from suspension pending en*uiry. ,uspension as a penalty can be inflicted on an employee after the completion of the formalities of the disciplinary proceedings. ,uspension letter may be issued. I.6;. 9it66oldin, of Incre ents: Hmployees in time-scale of pay get annual increment in normal course, subject to passing of the efficiency bar or test, if any, prescribed. Eithholding of increment of an employee either on account of his work b e i n g found unsatisfactory or for failure to pass the prescribed testFexamination is different from withholding of increment as a penalty. Ehile the former is only an administrative action taken by the management against an employee for his inefficiency, the latter is a result of disciplinary action. (s a penalty, their increment can be withheld after following the procedure prescribed. ( letter to this effect may be issued.

B.;

Reduction to a $ower 'rade or !ost or Sta,e: 1he expression reduction to a lower grade or post means a transfer from a higher position to a lower position at a lower rate of salary. =eduction in rank may be either by way of punishment or it may be on administrative grounds. Ehen an employee is reverted from a higher post in which he does not hold a lien, it cannot be considered either a punishment or forfeiture of emoluments. Ehile ordering the punishment of reduction to a lower grade or post the disciplinary authority shall state the period for which it shall be effective and whether on restoration the period of reduction shall operate to postpone his future increment$ if so, to what extent. Hvery order passed by a disciplinary authority imposing the penalty of reduction to a lower stage in a time-scale should indicate i" ii" the stage in the time scale !in terms of rupees" to which the employee is reduced$ and the date from which it will take effect.

It is a major penalty and the acts of misconduct for which reduction in rankFgrade may be awarded are almost the same as those for which the penalty of removal or dismissal can be awarded. B.> Re oval and Dis issal: 1he Dictionary meaning of the word removal means 'to discharge,' 'to get rid of, 'to dismiss'. 1he word dismissal means 'to let go', to relieve from duty. In ordinary parlance both these words mean the termination of an employee's service. -owever, there is a slight distinction between the two in the sense that the removal from service does not dis*ualify an employee from re-employment in the &ompany whereas dismissal from service does dis*ualify him from such re-employment$ and thus, dismissal is the severest of all the penalties. =emoval or dismissal is due to gross misconduct on the part of an employee and is resorted to generally for a" b" ,uch conduct on the part of the employee as may be deemed to be inconsistent or incompatible for discharge of his duties$ and ,uch immorality on his part as may bring the employer in disrepute.

)o order of removal or dismissal from service shall be made by an authority lower than the appointing authority of the employee concerned, notwithstanding the fact that the appointing authority might have subse*uently delegated the power of appointment of employees of the categoryFrank to which the employee belongs to such lower authority. )ames of the dismissed employees shall be communicated to the different unitsFoffices in order to prevent their re-employment in the &ompany.

A!!&A$ A"D R&%I&9 B.: (n employee on whom any of the penalties is imposed shall have the right of appeal to the authority notified in this behalf. 1he appeal shall be submitted within :; days of the receipt

of the order of the disciplinary authority !within >6days in case of 3odel ,tanding Grders" and the (ppellate (uthority shall dispose of the appeal within :; days !: months when &onduct, Discipline 2 (ppeal =ules are applicable" of the receipt of the appeal. B.I B.B !rovisions under Conduct* Discipline + Appeal Rules: (n employee governed by &onduct, Discipline 2 (ppeal =ules may also prefer an appeal against an order of suspension to the appellate authority as shown in (nnexure-'I'. 1he appeal shall be addressed to the appellate authority and submitted to the authority whose order is appealed against. 1he latter authority shall forward the appeal together with its comments and the records of the case to the appellate authority within 6B days. 1he appellate authority shall consider whether the findings are justified or whether the penalty is excessive or inade*uate and pass appropriate orders within three months of the date of appeal. 1he appellate authority may pass order confirming, enhancing, reducing or setting aside the penalty or remitting the case to the authority which imposed the penalty or to any other authority with such direction as it may deem fit in the circumstances of the case +rovided that if the enhanced penalty which the appellate authority proposes to impose is a major penalty and an en*uiry as provided under rules has not already been held in the case, the appellate authority shall direct that such an en*uiry be held in accordance with the provisions of the rules and thereafter consider the record of the en*uiry and pass such orders as it may deem proper. If the appellate authority decides to enhance the punishment but an en*uiry has already been held as provided in rules, the appellate authority shall give a show cause notice to the employee as to why the enhanced penalty should not be imposed upon him. 1he appellate authority shall pass final order after taking into account the representation, if any, submitted by the employee. Review: #or employees governed by the ,tanding Grders, an authority higher than the appellate authority may review the case after appeal at any time either on its own motion or on the application of the employee concerned. #or employees governed by &onduct, Discipline 2 (ppeal =ules, the reviewing authority may call for the record of the case within C months of the date of the final order and after reviewing the case pass such orders thereon as it may deem fit. +rovided t h a t if the reviewing authority proposes to impose any enhanced penalty, in the nature of a major penalty, the reviewing authority shall deal with the case in the same manner as indicated in the proviso to para B.C.

B.C

B.J

B.? B.<

B.6;

$IST OF A""&H#R&S 6. >. :. (nnexure-'(/ (nnexure-'5' (nnexure-'&' (cts of 3isconduct as per 3odel ,tanding Grders (cts of 3isconduct as per &onduct, Discipline & (ppeal =ules =eport of 3isconduct

I. B. C. J. ?. <. 6;. 66. 6>. 6I. 6B. 6C. 6J. ).5.

(nnexure-'D' (nnexure-'H/ (nnexure-'#' (nnexure-'4' (nnexure-'-' (nnexure-'I' (nnexure-'T' (nnexure-'0' (nnexure-'%' (nnexure-'3' (nnexure-')' (nnexure-'G' (nnexure-'+'

&harge-sheet Grder of suspension pending en*uiry Grder of suspension pending &ourt's Grder Grder appointing the Hn*uiry GfficerF &ommittee Grder appointing the +resenting Gfficer )otice of en*uiry Hxoneration letter Earning letter +unishment Grder - &ensure +unishment Grder - ,uspension +unishment Grder - Eithholding ,toppage of increment +unishment Grder +unishment Grder - =eduction in rankFpay +unishment Grder - =emoval Dismissal

1he proforma given in these (nnexures may be suitably modified, wherever necessary, to suit the facts and circumstances of a particular case.

(nnexure-( ACTS A"D O)ISSIO"S CO"STIT#TI"' )ISCO"D#CT: ( workmen shall comply with the provisions contained in the ,tanding Grders of the &ompany in force from time to time.

Eithout prejudice to the general meaning of the term misconduct, the following acts and omissions shall inter-alia constitute specific acts of misconduct on the part of workmen

>:.6 Insubordination or disobedience or instigation thereof whether alone or in combination with others of any lawful and reasonable orders of a superior or refusal to accept any communication served by the 3anagement. >:.> )on-observance of safety precautions or the rules on the subject or failure to use safety e*uipment or wear protective clothing supplied to the employees by the &ompany while on duty. >:.: 3aking any misstatement or false or untrue statements or suppressing any information andFor facts etc., regarding his name, age, father/s name, *ualification, previous service, conduct or any other matter germane to the employment etc., by an employee in his application for employment or at the time of interview in support of his candidature for a post or at any time thereafter during the course of his employment with the &ompany. >:.I -abitual late attendance !or late attendance of more than three occasions within one calendar month" or leaving work or place of work without permission or habitual absence from duty without leave or without sufficient cause. >:.B -abitual negligence or neglect of duty, malingering or deliberate slowing down of work or interfering with the work of other workmen sleeping or lying down while on duty or inciting others to slow down work. >:.C (cting in any manner prejudicialFdetrimental to the interests of the &ompany. >:.J (ll actions and omissions calculated to injure the reputation of the &ompany or bring disrespect or disrepute to the top management. >:.? %eaving station without permission of the 3anagement except in emergent cases. >:.< ,eeking grant of leave under false pretext. >:.6;(pproaching higher authorities through other people for personal promotion or any other personal favour or gain. >:.66 Gffering, soliciting or accepting bribes or an illegal gratification or indulging in other disruptive or corrupt practices. >:.6> 4ambling, drunkenness, intoxication, fighting, riotous, disorderly or indecent behaviour or any act subversive of discipline and good behaviour whether committed inside or outside the work premises or public places including +roject township and whether within or outside duty hours.

>:.6: ,moking in prohibited areas. >:.6I ,abotage or willful damage to or loss of, &ompany/s goods or property or interference with any safety devices installed in or about the works premises. >:.6B Demonstrating, picketing, agitating, detaining or gheraoing any officer or supervisory staff whether inside or outside the &ompany/s premises. >:.6C =efusal to be searched by the ,ecurity +ersonnel or by a person authori.ed by the competent authority in accordance with these ,tanding orders. >:.6J Eillful failure to inform a 3edical Gfficer of the &ompany of the occurrence in his house of a notifiable disease vi.. &holera, small pox, leprosy, typhoid, mumps, epidemic, dropsy, measles. >:.6? Unauthorised communication of official documents or information and disclosure to any unauthori.ed person of information relating to the &ompany/s operations and business. >:.6< &arrying on money lending or any other private business without the written permission of the 3anagement and entering into speculation in any investment or commodity. >:.>; ,preading false rumours or giving false information which tends to bring into disrepute the &ompany or its employees or spreading panic among them. >:.>6 Eriting of anonymous or pseudonymous letters critici.ing superiors of the &ompany, or conduct prejudicial to the interests or reputation of the &ompany. >:.>> Grgani.ing, holding, attending or taking part in any meeting shouting slogans, organi.ing processions within company premises or its precincts without previous written permission of the management. >:.>: ,triking work or inciting others to strike work in contravention of the provisions of any law, rule, agreement, settlement or award or decision made from time to time, for the time being in force. >:.>I (cceptance of gifts from subordinate employees. %ending or borrowing money to or from subordinate employees. >:.>B -abitual indebtedness or insolvency. >:.>C Unauthori.ed use of &ompany/s *uarters or land including sub-letting for rent or otherwise or addition or alteration of &ompany/s *uarter. >:.>J &onviction in any court of law for any criminal offence involving moral turpitude. >:.>? -abitual breach of any law applicable to the EorksFGfficeF+roject FHstablishment. >:.>< 5reach of any of the ,tanding Grders or any rules or instructions for the maintenance and working of any department, plant or section or for the maintenance of cleanliness. #re*uent repetition of any act of omission for which a fine or censure may be imposed.

>:.:; &ollection or canvassing for collecting of any money by the employees within the EorksFHstablishment premises without the written permission of the 3anagement,

distributing or exhibiting any newspapers, pamphlets, hand-bills, posters or the like without the previous written sanction of the 3anagement. >:.:6 )ot starting work by starting time of duty hours or leaving work before working hours are over or refusal on the part of a workman to work on a job or a machine which does not call for any special skill or previous experience and can be done by the workman without adversely affecting the ,ervice conditions. >:.:> &ontinuous absence without permission and without satisfactory cause for more than J days. >:.:: (betment or attempt to commit any of the above acts of misconduct. >:.:I #alsificationFdefacement or destruction or unauthori.ed removal of &ompany records whether maintained by workman himself or other employee or willfully committing serious mistakes or errors in the maintenance of records or giving incorrect information for preparing them, or giving wrong testimony when accidents or other matters such as misconduct etc., are being investigated. >:.:B =efusal to accept order of transfer from one officeF department FsectionFbranch or shift to the other provided such transfer does not affect the grade and pay of the workman. >:.:C %oitering or idling during working hours, either alone or in groups, within the establishment or staying, after the authori.ed hour of work, without permission. >:.:J Hntering into bigamous marriage or marrying any person who has the other spouse living without prior permission of the management. >:.:? Disclosure regarding trade secrets and taking photographs of the project and machinery where it is prohibited. >:.:< (betment of or attempt to commit, or commission of any act of indiscipline or any act subversive of discipline or habitual negligence. >:.I; Disclosing to any unauthori.ed personFpersons including fellow workers any information regarding the working of any process used in any of the manufacture or construction undertaken by the management which comes into his possession during the course of his work or otherwise. >:.I6 +ossession of pecuniary resource or property disproportionate to the known sources of income by the workman or on his behalf by another person, which the workman cannot satisfactorily account for. >:.I> 1heft, fraud or dishonesty or deception or corrupt practices in connection with the business or property or work of the &ompany or of property of another person within the &ompany/s premises, or estate or work premises or misappropriating the &ompany/s funds temporarily or otherwise. >:.I: Disregard of sanitary instructions within the &ompany/s premises or establishment or work premises either by committing any nuisance or by unauthorisedly keeping milch and other cattle or in any other manner, whatsoever. >:.II &ollecting signature on collective representation during working hour andFor within the &ompany/s premises. >:.IB Eriting any letter or application to &ompany/s officials containing disrespectful or improper language.

>:.IC &arrying any kind of weapons, explosive materials whether licencedF unlicenced in &ompany/s premises. >:.IJ Unauthorised absence from place of duty after reporting for work. >:.I? 4iving or taking dowry. >:.I< +lying vehicles under intoxication. >:.B; 1aking part in politics and elections. a" )o workman shall be a member of or be otherwise associated with, any political party or any organi.ation which takes part in, subscribe in aid of , or assist in other manner , any political movement or activity. b" If any *uestion arises whether any movement or activity falls within the scope of this rule, the decision of the management thereon shall be final. c" )o workman shall canvass or otherwise interfere or use his influence in connection with, or take part, in elections to any legislator or local authority.

)ote 1he above instances of misconduct are only illustrative in nature and not exhaustive.

(nnexure-5 )isconduct

Eithout prejudice to the generality of the term KmisconductL the following acts of omission and commission shall be treated as misconduct and will make the concerned employees liable to disciplinary action

6. 1heft, fraud or dishonesty in connection with the business or property of the &ompany or of property of another person within the premises of the &ompany. >. 1aking or giving, offering or asking for bribes or any illegal gratification whatsoever or indulging in corrupt practices. :. +ossession of pecuniary resources or property disproportionate to the known sources of income by the employee or on his behalf by another person, which the employee cannot satisfactorily account for. #urnishing false information regarding one/s name, age, father/s name, *ualification etc. for the purpose of employment or concealing any facts about the previous employment or any other matter germane to the employment at the time of employment or during the course of employment, or giving false evidence at the time of any departmental en*uiry.

I.

B. (cting in any manner prejudicialFdetrimental to the interests of the &orporationF &ompany. C. -abitual indiscipline or willful insubordination or disobedience, whether or not in combination with others, of any lawful and reasonable order of higher authority. J. (bsence without leave or over staying the sanctioned leave for more than seven consecutive days without sufficient grounds or proper or satisfactory explanation. ?. -abitual late or irregular attendance or habitual absence from duty without leave or sufficient cause. <. )eglect of work or negligence in the performance of duty including malingering or willfully slowing down in the performance of work, loitering, idling, wasting time during working hours and inciting others to do so. 6;. ,abotage or willful damage or loss of &ompany/s goods or property including unauthori.ed use or occupation of the &ompany/s *uarters, land or other property. 66. )on-observance of safety precautions or rules or interference or tampering with any safety devices installed in or about the premises of the &ompany.

6>. Drunkenness, intoxication or riotous or disorderly or indecent behavior in the premises of the &ompany or outside such premises where behavior is related to or connected with the employment. 6:. 4ambling within the premises of the establishment. 6I. ,moking within the premises of the establishment where it is prohibited. 6B. &ollection without the permission of the &ompetent (uthority of any money within the premises of the &ompany except as sanctioned by any law of the land for the time being in force or rules of the &ompany. 6C. ,leeping while on duty. 6J. &ommission of any act which amounts to a criminal offence involving moral turpitude. 6?. (bsence from the employee/s appointed place of work without permission or sufficient cause. 6<. +urchasing property, machinery, stores etc. from or selling property, machinery, stores etc. to the &ompany without express permission in writing from the &ompetent (uthority. >;. &ommission of any act subversive of discipline or of good behaviour. >6. (betment of or attempt at abetment of any act which amounts to misconduct. >>. ,triking work either singly or alongwith others in contravention of any statute, law, rule or enactment for the time being in force, or inciting any employee to strike work. >:. Disclosing to any un-authorised personFpersons including fellow employees any information regarding the working of or any process used in, any of the manufacture or construction undertaken by the management which comes into his possession during the course of his work or otherwise. Disclosure regarding trade secrets and taking photographs of plant and machinery. >I. (ccepting service in any other establishment FfirmF workshop without prior permission of the &ompetent (uthority or private employment from any person in the &ompany ,ervice. >B. 5reach or violation of any of the terms and conditions relating to the residential accommodation provided by the &ompany. >C. )o employee shall without permission publish or cause to publish an article written by him on any matter whatsoever or any article or any *uestion paper, journals or other publications, provided that such permission shall not be necessary for the publication of the articles which have no bearing on the affairs of the &ompany or which do not affect the &ompany.

>J. =efusal to accept any communication including order of transfer from one jobFshift to another or from one department or section to the other, provided such transfer shall not affect the grade and pay of the employee. >?. #alsification, defacement or destruction of &ompany/s records, impersonation or forgery. ><. &onviction by a court of law for any criminal offence involving moral turpitude or conviction by a court of law for a serious criminal offence. :;. ,urroundingF4heraoing or forcibly detaining 3anagement personnel or any of the &ompany/s officers. :6. 3aking representations to persons or bodies outside the &ompany, whether official or otherwise, on matters connected with the affairs of the &ompany or personal grievances against the management. :>. (ssaulting or intimidating an employee of the &ompany within the &ompany/s premises or outside. ::. 3aking representations or sending grievance petitions to the members of the 5oard of Directors or the senior 3anagement or 4overnment of India except through proper channel. !1his does not prevent submission of appeals to the prescribed (ppellate (uthorities under these rules". :I. ,preading or encouraging casteism, regionalism or communalism. :B. Deliberately spreading false information or rumours with a view to bringing about disruption of the &ompany/s normal work or otherwise to bring disrepute to the &ompany or its &hairmanFDirectors etc. :C. &ontracting another marriage while wife is alive or marrying a person who has a wife living without first obtaining permission of the &ompany. :J. (llowing an unauthori.ed person to operate &ompany/s vehicle or to use of &ompany/s property. :?. )o employee should indulge in any act of sexual harassment of any women at working place. #or this purpose, K,exual harassmentL includes such unwelcome sexually determined behaviors !whether directly or by implication" as a". +hysical contact and advances$ b". ( demand or re*uest for sexual favors$ c". ,exually colored remarks$ d". ,howing pornography$ e". (ny other unwelcome physical, verbal or non-verbal conduct of sexual natureL

(ccordingly, every employee who is Incharge of a work place shall take appropriate steps to prevent sexual harassment of any women at such work place.

)ote 1he above instances of misconduct are only illustrative in nature and not exhaustive and any obvious improper conduct on the part of any employee will be treated as misconduct.

(nnexure-&
R&!ORT OF )ISCO"D#CT

1o,

1he Departmental -ead F +ersonnel Department, ...............................Department.

I wish to report as under *+ )ame 2 Hmployee )o. of Delin*uent Hmployee >. Designation of the Delin*uent Hmployee ,+ 1ime and Date of incident -+ +lace of occurrence .+ Details of misconduct /+ )ame!s" 2 ,ignature of Eitness!es" 0+ Ehether statements recorded and attached PesF)o +osting

Date

,ignature of =eporting Hmployee !&omplainant" )ame Designation

=ecommendation of Departmental -ead !1o be forwarded to the concerned +ersonnel Deptt." &opy to Disciplinary &ell ,ignature of Departmental -ead

Date ).5. 1his report should be filled in duplicate, one copy of which will be forwarded to the concerned +ersonnel Deptt. along with recommendations of Departmental -ead. 1his copy will ultimately be field in the +ersonal #iled of the person concerned. ( copy of the same will also be sent to Disciplinary cell.

A""&H#R& CDC CHAR'& SH&&T

=ef.)o. )ame.........U Hmployee )oU. DesignationU ,ection........... Department...

Date

Ehereas it has been reported that you have committed the following act!s" or omission which constitute!s" misconduct in accordance with ,tanding GrdersF&onduct, Discipline 2 (ppeal =ulesN i) i" ! #ull narration of the accounts of misconduct i) ii" In detail with particular reference ii) iii" to date, time place etc." >. Pou are, therefore, charged with having committed the following act!s" of misconduct i) i" !3ention only relevant portion from the clauses ii) ii" applicable to misconduct and refer to number and iii) iii" sub-clause of the ,tanding GrderF&D( =ules against each of the charges". Pou are re*uired to submit to the undersigned a written explanationFstatement of defenceN on or before.................................. showing cause as to why should you not be dismissed or otherwise punishedN for committing the above mentioned act!s" of misconduct. ,hould you fail to submit your explanationFstatement of defenceN as directed it will be assumed that you have no explanation to offer and the matter will be disposed of ex-parte. +lease acknowledge receipt of this &harge-sheet on the duplicate copy enclosed. ,ignature of the Disciplinary (uthority )ame Designation &opy to 1.&oncerned =eporting Gfficer-e is re*uested to hand over the charge-sheet to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record. &oncerned +ersonnel Deptt.FDisciplinary cell &oncerned #ile

:.

I. B.

>. ,+

NGmit which is not applicable.

A""&H#R& & ORD&R OF S#S!&"SIO" !&"DI"' &"1#IR(

=ef.)o.

Date

)ame.................................................. Hmployee )o...................................... Designation....................................... ,ection...........................................U Department........................................ &ertain allegations amounting to serious misconduct under the ,tanding GrdersF &onduct, Discipline 2 (ppeal =ulesN have been made against you. #ormal charge-sheet is being issued separately. >. :. ,ince the allegations made against you are of a serious nature, you are hereby suspended with immediate effect pending further proceedings and final orders in the matter. During the period of your suspension, you shall not enter the Eorks +remises except with the permission of the competent authority, nor should you leave the station without the written permission of the undersigned. Pou are re*uired to surrender your tokenFidentification cardN to................. immediately. During the period of your suspension, you will be entitled to draw ,ubsistence (llowance as admissible under the rules. +lease acknowledge receipt of this order on the duplicate copy enclosed. ,ignature of the Disciplinary (uthority )ame Designation &opy to 6. &oncerned =eporting Gfficer -e is re*uested to hand over the charge-sheet to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record.

I. B. C.

>. :. I.

+ay 2 (ccounts ,ection. &oncerned +ersonnel Deptt.FDisciplinary &ell &oncerned #ile

NGmit which is not applicable

A""&H#R& F

ORD&R OF S#S!&"SIO" 9H&R& A" &)!$O(&& IS ACC#S&D A CO#RT OF $A9 FOR A CRI)I"A$ OFF&"C&

=ef.)o. Hmployee )o...............................U. Designation...................................... ,ection.............................................. Department.............................UU

Date

Ehereas it has been reported that action is being taken to prosecute youFyou have been prosecuted in a &ourt of %aw for an offenceFunder ,ection!s"............... of the Indian +anel &ode which isFare of serious nature involving moral turpitudeF corruption.N >. Pou are, therefore, placed under suspension with immediate effect until disposal of the &riminal trial contemplatedFpending against you in accordance with =ule....................of the ,tanding GrdersF&onduct, Discipline 2 (ppeal =ulesN During the period of your suspension, you shall not enter the Eorks +remises except with the permission of the competent authority, nor should you leave the station without the written permission of the undersigned.

Pou are re*uired to surrender your tokenFidentification cardN to................. immediately. B. C. During the period of your suspension, you will be entitled to draw ,ubsistence (llowance as admissible under the rules. +lease acknowledge receipt of this order on the duplicate copy enclosed. ,ignature of the Disciplinary (uthority )ame Designation &opy to *+ &oncerned =eporting Gfficer - -e is re*uested to hand over the charge-sheet to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record. +ay 2 (ccounts ,ection. ,ecurity Gfficer. &oncerned +ersonnel Deptt.FDisciplinary &ell &oncerned #ile

>. :. I. B.

NGmit which is not applicable

A""&H#R& C'C

ORD&R A!!OI"TI"' TH& &"1#IR( OFFIC&RBCO))ITT&&

=ef.)o. OFFIC& ORD&R

Date

Ehereas certain allegations constituting misconduct have been made against!name"......................................... designation....................... ,ectionFDeptt................. on which basis the &harge-sheet was issued to him vide letter )o..................... dated............... and whereas the above workmanFemployeeN has denied the allegation!s" and the charge!s"Fhas partly admitted the allegation!s" and the charge!s" necessitating further en*uiryFhis explain-nation is not otherwise considered satisfactoryFhis explanation has not been receivedN N>. 1he undersigned, therefore, appoints........................ as Hn*uiry Gfficer to en*uire into the allegations and submit findings to the undersigned within............... days for consideration. N> 1he undersigned, therefore, appoints an Hn*uiry &ommittee consisting of the following members i".............................................., &hairman. ii".............................................., 3ember. iii"............................................., &onvener. to en*uire into the allegations and submit findings to the undersigned with................. days for consideration. :.,hri........................ !name of delin*uent employee" is directed to appear before the said Hn*uiry GfficerF&ommitteeN and give his testimony and produce witnesses andFor evidence in support of his defence before himFthe &ommitteeN ,ignature of the Disciplinary (uthority )ame Designation Copy to: 6. Hn*uiry GfficerF3embers of the Hn*uiry &ommittee. >. Delin*uent employee. :. &oncerned +ersonnel Deptt.FDisciplinary cell I. &oncerned #ile NGmit which is not applicable.

A""&H#R& CHC ORD&R A!!OI"TI"' TH& !R&S&"TI"' OFFIC&R

=ef. )o.

Date

OFFIC& ORD&R
Ehereas charge-sheet )o......................................dated...........................was issued toUUUU.... ,hri....................................!name"......................designation.....................,ectionF Deptt............... >. Ehereas an Hn*uiry GfficerF&ommitteeN was appointedFconstituted to en*uire into the allegations against the above named employee vide )o............................................ dated........... 1he undersigned, therefore, appoints ,hri...................................................... !name" , Designation.............................. ,ectionFDeptt................................ as the +resenting Gfficer to present the case and adduce evidence in support thereof, before the said Hn*uiry Gfficer &ommittee on behalf of the undersigned. ,ignature of the Disciplinary (uthority )ame Designation Copy to: 6. >. :. I. B. ,hri........................!+resenting Gfficer". Hn*uiry GfficerF3embers of the Hn*uiry &ommittee. Delin*uent employee. &oncerned +ersonnel Deptt.FDisciplinary cell &oncerned #ile

:.

NGmit which is not applicable.

A""&H#R&C IC "OTIC& OF &"1#IR( R&'IST&R&D ABD #.!.C.

=ef. )o. )ame................................................. Hmployee )o...................................... Designation........................................ ,ection............................................... Department....................................... Sub: &n=uiry !roceedin,s

Date

In the matter of charge-sheet )o............................................dated............................ issued to you, it is hereby informed that the undersignedFthe Hn*uiry &ommitteeNconstituted vide Gffice Grder )o.................................................................... dated............................................will hold en*uiry in...............................................................................UUUUUUUUUUUUUUUUU !+lace" in the said matter on............................................................. !date" and at............................. UUUUUUUUUUUU............... !time". >. :. Pou are advised to appear at the above mentioned en*uiry and produce all your witnesses and evidence in support of your defence. (t the en*uiry, the management evidence and witnesses will be examined first. Pou will be given full opportunity to examine the evidence and cross-examine the management witnesses on which the charges are based. Pou will then be given the opportunity to produce defence evidence and witnesses. 1he +resenting Gfficer will have the right to examine defence evidence and cross-examine defence witnesses. In the en*uiry, you may conduct your defence in person 2 take the assistance of a representative as per the provisions of the ,tanding GrdersF&onduct, Discipline 2 (ppeal =ulesN applicable to you. 1herefore, you may bring a representative to assist you in the en*uiry, if you so desire. Pou should nominate your representative before the en*uiry proceeds and should attend along with him if you wish to be so assisted at the en*uiry. 1he evidence and witnesses you intend to produce in the en*uiry should also be kept available. ,hould youFthe prosecution side fail to appear at the en*uiry as aforesaid, undersignedF&ommitteeN will be constrained to proceed with the en*uiry ex-parte. ,ignature of the Hn*uiry GfficerF &onvener of the Hn*uiry &ommittee )ame Designation the

I.

B.

C.

&opy to 6......................................!+resenting Gfficer" >.....................................!3embers of the Hn*uiry &ommitteeN" :....................................!,ecurity Gfficer" I....................................!Disciplinary authority" NGmit whichever is not applicable.

Anne@ure4A

&HO"&RATIO" $&TT&R

=ef.)o )ame............. Hmployee )oU. Designation.U.. ,ection.........U. Department.U. 6. >. N:. NI.

Date

+lease refer to the letter of charge )o...................... dated............. issued to you and the subse*uent en*uiry into the allegations mentioned therein. Pou are, hereby, exonerated of the charges levelled against you vide above mentioned letter dated.............. Pour suspension order dated............... in the above case is hereby revoked$ and you are advised to report for your duties forthwith, but not later than....................... ,ubject to !:" above, the period of your suspension will be treated as on duty and you will be paid the difference between the subsistence allowance already paid to you and the emoluments consisting of pay and allowances which you would have received had you not been suspended. ,ignature of the Disciplinary (uthority )ame Designation:

Copy to: 6. &oncerned =eporting Gfficer -e is re*uested to hand over this letter to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record.

>. :. I.

+ay 2 (ccounts ,ection &oncerned +ersonnel Deptt.FDisciplinary cell &oncerned #ile

NGmit if the employee was not placed under suspension.

A""&H#R& CIC

9AR"I"' $&TT&R
=ef.)o Date )ame............. Hmployee )oU Designation.U.. ,ection.........U Department.U. (s a result of the departmental en*uiry held in your presenceFex-parte,N you are found guilty jointlyN and severallyN of the charge!s" levelled against you .!If all the charges are not proved, mentioned only those charges which are proved as per the charge sheet dated....................N". In the circumstances, the undersigned would have been fully justified to take a serious view in the matter and inflict upon you severe punishment. -owever, in consideration of the fact that your past record is satisfactoryFyou have admitted your guilt and re*uested for pardonFwith a view to offer you a fair chance to improve your conductN, I have decided to let you off with a written warning this time. It is hoped that you will appreciate it and improve your conduct in future. -owever,you should note that in future, if you are found guilty of this or similar misconducts the 3anagement will not hesitate to take a very serious-view, if justified by the facts and circumstances of the case. ,ignature of the Disciplinary (uthority )ame Designation Copy to: 6. &oncerned =eporting Gfficer -e is re*uested to hand over this letter to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record.

>. :.

&oncerned +ersonnel Deptt.FDisciplinary &ell &oncerned #ile

''Gmit which is not applicable.

A""&H#R& C$C

!#"ISH)&"T ORD&R4C&"S#R&

=ef.)o )ame............. Hmployee )oU Designation.U.. ,ection.........U Department.U.

Date

(s a result of the departmental en*uiry held in your presenceFex-parte,N you are found guilty of the charge!s" levelled against you !if all the charges are not proved, mentioned only those charges which are proved as per the &harge-sheet dated...............". In the circumstances, the undersigned would have been fully justified to take a serious view in the matter and inflict upon you severe punishment. -owever, in consideration of the fact that your past record is satisfactoryFyou have admitted your guilt and re*uested for pardonNFwith a view to offer you a fair chance to improve your conductN, you are hereby &ensured. ,ignature of the Disciplinary (uthority )ame Designation Copy to 6. &oncerned =eporting Gfficer -e is re*uested to hand over this letter to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record.

>. :.

&oncerned +ersonnel Deptt.FDisciplinary cell &oncerned #ile

NGmit which is not applicable

A""&H#R& J)>

!#"ISH)&"T ORD&R4S#S!&"SIO" =ef.)o Date )ame............. Hmployee )oU Designation.U.. ,ection.........U Department.U. #urther to the &harge-sheet )o..............................dated.............issued to you and receipt of your explanation dated.............an en*uiry was held into the charge!s" levelled against you. >. 1he undersigned finds from the proceedings of the en*uiry that reasonable opportunity was provided to you for conducting your defence at the en*uiry by cross-examining management witnesses and producing your defence. 1he undersigned has carefully gone through the records of the en*uiry, the connected papers, documents and findings of the Hn*uiry GfficerF&ommitteeN and based on the findings at the en*uiry, it is found that the following charge!s" levelled against you hasF have been sufficiently provedFestablishedN. )ot only your previous record is not goodFunsatisfactoryN and there are no extenuating circumstances, your present acts of misconduct are serious and by themselves warrant severe disciplinary action. In the circumstances, it has been decided to punish you by way of suspension from duty forUU.......day !s" w.e.f...........!date". (ccordingly you will remain suspended from duty from.............to...............!date". Pou are to report back for your duties on................ !date".

:.

IN.

B.

C. +lease note that you will not be entitled for any wages for the aforesaid period of your suspension. ,ignature (uthority )ame Designation Copy to 6. &oncerned =eporting Gfficer -e is re*uested to hand over this letter to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record. of the Disciplinary

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+ay 2 (ccounts ,ection

:. &oncerned +ersonnel Deptt.FDisciplinary &ell I. &oncerned #ile

NGmit which is not applicable.

A""&H#R& C"C !#"ISH&)&"T ORD&R K STO!!I"' OF I"CR&)&"T

=ef.)o )ame............. Hmployee )oU Designation.U.. ,ection.........U Department.U.

Date

#urther to the &harge-sheet )o..............................dated.............issued to you and receipt of your explanation dated.............an en*uiry was held into .the charge!s" levelled against you. >. 1he undersigned finds from the proceedings of the en*uiry that reasonable opportunity was provided to you for conducting your defence at the en*uiry by cross-examining management witnesses and producing your defence. 1he undersigned has carefully gone through the records of the en*uiry, the connected papers, documents and findings of the Hn*uiry GfficerF&ommitteeN and based on the findings at the en*uiry, it is found that the following charge!s" levelled against you hasF have been sufficiently provedFestablishedN. )ot only your previous record is not goodFunsatisfactoryN and there are no extenuating circumstances your present acts of misconduct are serious and by themselves warrant severe disciplinary action. In the circumstances, it has been decided to punish you by with-holdingFstopping your next.............annual increment!s" withFwithoutN cumulative effect. ,ignature of the Disciplinary (uthority )ame Designation &opy to 6. &oncerned =eporting Gfficer -e is re*uested to hand over this letter to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record.

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5. B.

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+ay 2 (ccounts ,ection &oncerned +ersonnel Deptt.FDisciplinary cell

I.

&oncerned #ile NGmit which is not applicable.

A""&H#R&COC !#"ISH)&"T ORD&R4R&D#CTIO" I" !A(BRA"I

=ef.)o.

Date

)ame...........UUU Hmployee )oUUU Designation.UUU. ,ection.........UUU. Department.UUU #urther to the &harge-sheet )o..............................dated.............issued to you and receipt of your explanation dated.............an en*uiry was held into the charge!s" levelled against you. >. 1he undersigned finds from the proceedings of the en*uiry that reasonable opportunity was provided to you for conducting your defence at the en*uiry by cross-examining management witnesses and producing your defence. 1he undersigned has carefully gone through the records of the en*uiry, the connected papers, documents and findings of the Hn*uiry GfficerF&ommitteeN and based on the findings at the en*uiry, it is found that the following charge!s" levelled against you hasF have been sufficiently provedFestablishedN. )ot only your previous record is not goodFunsatisfactoryN and there are no extenuating circumstances, your present acts of misconduct are serious and by themselves warrant severe disciplinary action. In the circumstances, it has been decided to reduce your pay from =sUUUU.to =sUUU.in the scale of =sUUU!present scale of pay" with effect fromUUUU. In the circumstances, it has been decided to reduce you to the lower post of.........................!lower designation" and you will draw a basic pay of =s.............. in the scale of =s............................. !lower scale of +ay" with effect from................ for a period of............ !monthsFyears". Gn the expiry of the aforesaid period, you will be restored to the position of................. !present designation" in the scale of =s................ !present scale of pay" and you will draw a basic pay of =s................ in the scale of =s............... !present scale of pay"

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I.N

BN

C.N

J.N

In the circumstances, it has been decided to reduce you to the post of.......................... !lower designation" in the scale of =s.......................................!lower scale of pay" and you will draw a basic pay of =s............... in the scale of =s.............................. !lower scale of pay" with effect from.......................... Pou are posted to...............................!,ection"..................!Deptt."

?.N

,ignature of the Disciplinary (uthority

)ame

Designation Copy to

&oncerned =eporting Gfficer -e is re*uested to hand over this letter to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record. +ay 2 (ccounts ,ection

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&oncerned +ersonnel Deptt.FDisciplinary &ell

I.

&oncerned #ile

NGmit which is not applicable.

A""&H#R& C!C

!#"ISH)&"T ORD&R4R&)O%A$BDIS)ISSA$ =ef.)o Date )ame............. Hmployee )oU. Designation.U.. ,ection.........U. Department.U. 6. #urther to the &harge-sheet )o.............................. dated............. issued to you and receipt of your explanation dated............. an en*uiry was held into the charge!s" levelled against you. I find from the proceedings of the en*uiry that reasonable opportunity was provided to you for conducting your defence at the en*uiry by way of examination of the documentsF materials produced by the prosecution side andFor cross-examination of prosecution witnesses and production of your own documentsF materials and examination of your own witnesses including yourself. I have very carefully gone through the records of the en*uiry, the connected papers, documents and findings of the Hn*uiry GfficerF&ommitteeN and fully agree with the findings that on the evidence at the en*uiry, the following charge!s" levelled against you hasFhave been established beyond doubt Gn due consideration of the gravity of your misconduct, your previous recordN, I find that the charges levelled against you are of grave nature and warrant severe punishment. N3oreover, there is not extenuating or aggravating circumstances. In the circumstances, I hereby removeFdismiss you from the services of the &ompany with effect from................immediate effect. ,ince you are a workman concerned in anFtheN industrial dispute pending before............. !name of the authority", you are being paid wages for one month amounting to =s..............F wages for one month amounting to =s............... is being remitted to you by money orderN and simultaneously an application is being made to the !name of the authority before which the proceeding is pending" for approval of the action taken against you under ,ection ::!>"!b" of the Industrial Disputes (ct, 6<IJ. Pou should surrender the identification cardN, medical card, and all other properties of the &ompany issued to youFin your possession. Pou are also re*uired to vacate the &ompany's *uartersF accommodation, if any, in your occupationFpossession by VVVVVVVVVVV. #inal payment will be made to you subject to receipt of ')o Demand &ertificate' from all and adjustment of outstanding dues, if any. ,ignature of the Disciplinary (uthority )ame Designation:

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I.

B. C.

J. ?. <.

Copy to: 6. &oncerned =eporting Gfficer -e is re*uested to hand over this letter to the above named employee after obtaining his dated signatureFleft hand thumb impression on the duplicate copy enclosed 2 return the same to the undersigned for record.

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+ay 2 (ccounts ,ection,

I.

&oncerned +ersonnel Deptt.FDisciplinary &ell

B. ).5

&oncerned #ile 1his order is not to be made by an authority lower than the appointing authority of the employee concerned, notwithstanding the fact that the appointing authority might have subse*uently delegated the power of appointment of employees of the categoryFrank to which the employee belongs, to such lower authority.

NGmit which is not applicable.

)odified Dele,ation of !owers under THDCI$ CDA Rules

!Hmployees in HxecutiveF,upervisory &ategories" (nnexure-( ,l. )o. ,cale of +ay N 2 %evel 3inor +enalties #or penalties specified in =ule >C !a", !b", !c", !d", 2 !e" Disciplinary (uthority &3D (ppellate (uthority HxecutiveF(uthority next higher to the one which imposed the penalty &3D #unctional Directors D43 F (43 !H-J F H-J(" 3ajor +enalties #or penalties specified in =ule >C !f", 2 !g" Disciplinary (ppellate (uthority (uthority &3D HxecutiveF(uthority next higher to the one which imposed the penalty #unctional Directors 43FHD !H-< F H-?" D43F(43 !H-JFH-J(" &3D #unctional Directors 43FHD !H-< F H-?" #or penalties specified in =ule >C !h", !i" 2 !j" Disciplinary (ppellate (uthority (uthority (ppointing HxecutiveF(ut (uthority hority next higher to the one which imposed the penalty (ppointing -do(uthority (ppointing (uthority (ppointing (uthority (ppointing (uthority -do-do-do-

>;B;;- >CB;; !H-< to H-?"

> : I B

6<B;;->BC;; to 6<;;;->IJB; !H-J( to H-J" 6JB;;->>:;; to 6?B;;->:<;; !H-C to H-B" 6C;;;->;?;; to ?;;;-6:I;; !H-I to H-6" Hmployees in ,upervisory 4rades

#unctional Directors 43FHD !H-< F H-?" ,r. 3anager !H-C"

3anager !H-B" F ,r. 3anager F D43 -ead of ,ectionF !H-C F H-J" Division in the ,cale of +ay not lower than H-I

,r. 3anager D43 F (43 !H-C" !H-J F H-J("

N ,cale of pay indicated are provisional and same shall be deemed to have been replaced on their finalisationFrevision. )ote 6. If the disciplinary authority by virtue of subse*uent appointment or otherwise becomes (ppellate (uthority, an appeal against his order will lie to the authority to whom he is immediately subordinate. >. #or 4roup cases, the Disciplinary (uthority shall be as for the highest ranking officer. 6. )ormally the powers of imposing penalty conferred under &onduct, Discipline and (ppeal =ules shall be exercised by the Disciplinary (uthority as indicated in &ol!I" above. If the penalty considered by the Disciplinary (uthority happens to be compulsory =etirement, =emoval, Dismissal, then in that case, the case will be re*uired to be put up by the Disciplinary (uthority to the (ppointing (uthority for consideration. >. In case of introduction of ,election 4rade in non-undersigned ,upervisory category, the delegation of powers under &D( =ules shall be the same as applicable to Hmployees in H-6 grade.

THDC I"DIA $I)IT&D

(++GI)1I)4F DI,&I+%I)(=PF(++H%%(1H ()D =H8IHEI)4 (U1-G=I1P, U)DH= ,1()DI)4 G=DH=, (nnexure-5 ,l. )o &ategory of Hmployees (ppointing (uthority Disciplinary (uthority #or 3inor +enalties #or 3ajor +enalties under =ule >I.> W!excluding penalty of Dismissal under =ule >I.>!c"X 3anager #or 3ajor +enalty of Dismissal under =ule >I.>!&" (ppellate (uthority =eviewing (uthority

6.

Eorkmen in the D43F(43 Dy.3anager grade of E-: 2 below Eorkmen in the D43F(43 grade of E-I to EJ Eorkmen in the D43F(43 grade of E-? to E66 3anager

D43F(43

(43F43

43FHD

>.

,r.3anager

D43F(43

(43F43

43FHD

3anager

,3FD43

D43F(43

(43F43

43FHD

)G1H i". In the DepartmentFDivision, where the designation as shown in this scheduled do not exist, Gfficer in the sameFe*uivalent scale shall exercise the powers. ii". Ehere Gfficers of the level indicated in this scheduled are not available, Gfficer in the higher scale!s" shall exercise the power.