Preface ������������������������������������������������������������������������������������������������������������������������������� v

CHAPTER 1
Introduction........................................................................................................................1

CHAPTER 2
Positive Approach – Promoting Employees as Human Capital.........................................6
HRD Management – Theories of Motivation ....................................................................8
Conclusion .......................................................................................................................12
Profile of the Disciplinary Authority – Statutory Responsibility
and Accountability ....................................................................................................22

CHAPTER 3
Disciplinary Actions........................................................................................................ .27
Necessity of Domestic enquiry and effect of section 11A of the
Industrial Disputes Act, 1947 ...................................................................................27
What Is Natural Justice? ..................................................................................................30
What are Speaking Orders? .............................................................................................34
Application of Natural Justice In Disciplinary proceedings ............................................39
When natural justice is not required?...............................................................................41
Doctrine of Natural Justice ..............................................................................................41
Concept of Fair Play ........................................................................................................42
Salient Features of Natural Justice...................................................................................42
Conclusion summary .......................................................................................................43

CHAPTER 4
Bipartite Settlement Dated 10.04.2002 ............................................................................44

CHAPTER 5
Some Misconducts For Bank Workmen ..........................................................................53

ix
x Table of Contents

CHAPTER 6
Bank Officer Employees’ (Discipline and Appeal) Regulations, 1979 / 1982...............155
Bank Officer Employees’ (Conduct) Regulations, 1982 ................................................171
IBA Communication CIR/PD/76/M1/2006-07/977 Dated 27.05.2016 .........................182
Tips for Departmental Enquiry ............................................................ 192
Procedural Dissimilarities in the Disciplinary Enquiry .................................................195
Guidelines to Defence Representatives .........................................................................196

CHAPTER 7
Nature of Disciplinary Enquiry......................................................................................199
Setting of the Disciplinary Enquiry ...............................................................................199
Objectives of the Disciplinary Enquiry..........................................................................200
Role of the Participants ..................................................................................................200
What is Preliminary Enquiry?........................................................................................201
Purpose of holding Preliminary Enquiry .......................................................................201
Distinction between Preliminary Enquiry and Disciplinary Enquiry ............................201
When an inquiry can he said to be Contemplated?........................................................202
When the Charge Sheet is to be framed? .......................................................................202
When the Charge Sheet need not be framed? ................................................................202
What is Charge Sheet and/or Imputation of Misconduct? .............................................203
Object of framing the Charge.........................................................................................203
Important Explanatory Notes 1 to 17 on Charge Sheet and
Domestic Enquiry ...................................................................................................204

CHAPTER 8
Provisions Relating to Offences and Punishment Therefor ...........................................233
Procedure for Holding Enquiry......................................................................................239

CHAPTER 9
Appointment of Presenting Officer ................................................................................256
Validity of appointment of Presenting Officer ...............................................................256
Appointment of the Presenting Officer ..........................................................................256
Qualifications and Disqualifications of the Presenting Officer ......................................257
Qualifications of Presenting Officer...............................................................................258
Effect of non-appointment of Presenting Officer ...........................................................258

CHAPTER 10
Suspension and Allied Provisions ..................................................................................266
Tests for Determining whether a particular offence involve moral
turpitude or not .......................................................................................................267
At what stage this power is to be exercised ...................................................................267
Table of Contents xi

Criminal prosecution and deemed suspension ...............................................................268

Retrospective suspension ...............................................................................................268
Revival of suspension orders .........................................................................................268
Whether amended Para.12 (b) had given unfettered powers to Management
in the matter of suspension .....................................................................................269
Who is competent to suspend an award staff employee in Banks?................................270
If suspension order is issued by an incompetent authority, the employee
is entitled to full wages ...........................................................................................271
If suspension order is initially illegal, subsequent dismissal cannot
validate the suspension ...........................................................................................271
Claim for wages for suspension period based on invalid suspension
is maintainable u/s. 33-C (2) of the I.D. Act, 1947.................................................271
Whether an employee can be required not to leave the Head Quarter during
period of suspension, without the permission of competent authority ...................271
Whether suspension must be preceded by a show-cause notice ....................................272
Determination of pay and allowances for the suspension period on the
conclusion of enquiry .............................................................................................275
Opportunity to show-cause is necessary before deciding the treatment to be
given to the suspension period after culmination of disciplinary proceeding ........276
Medical aid and hospitalization on suspension .............................................................277
Revocation of the order of suspension and the Review Committee ..............................277
Speedy investigation into cases in which an officer is under suspension ......................277
Reasons for suspension to be communicated.................................................................279
Duration of the order of suspension – CCA Rule 10 (6) and 10 (7) ..............................280
Suspension not to be ordered in minor penalty cases ....................................................280
Miscellaneous Provisions...............................................................................................280
Whether order should be signed and not merely initialed by the
Competent Authority ..............................................................................................280
When does the order of termination/suspension become effective? ..............................281

CHAPTER 11
Role of the Presenting Officer........................................................................................282
How the Presenting Officer should proceed with the Case? ..........................................282
When and at what point of time Admission, Confession and Apology
could be tendered? ..................................................................................................282
Whether admission of facts could be construed as plea of guilty? ................................283
What is confession? .......................................................................................................283
It’s Procedure .................................................................................................................283
How to cure retracted confession? .................................................................................284
Whether admission and/or confession are divisible? 284
Evidentiary value of admission......................................................................................284
xii Table of Contents

CHAPTER12
Mechanism of Presentation of a Case ............................... ..... 327
How to examine the witness? ....................... .... 327
Admission of documents ..................... ..... 329
Oral Enquiry or Enquiry Proper .... 329
Examination of Witness ....................... .... 330
Proof of Documents .................................................................. ..... 330
Order of Production and/or Examination of Witnesses ..................................... .... 331
Whether a person called upon to produce documents becomes witness? Standard ..... 331
of Proof .............................................................................................. Whether it .... 332
could be said that the burden of proof or standard of
proof is changed? ....................................................................... .... 334
Standard of Proof ........................................................................... ..... 334
Working Definitions of Offence under the Indian Penal Code .... 340
Cases having Vigilance Angle........................................................... ..... 343

CHAPTER13
How to Disprove a Case? .................................................. ..... 351
Role and responsibilities of the Defence ........................... Is ..... 351
Defence to consult the charged officer/employee? ..... 351
Rights of the charged officer/employee ............................................. ..... 352
Defence Representative of Employee in the Domestic Enquiry ..... 352
Representation by a lawyer when should be allowed ................................................... 354
Facilities to be given to the defence representative of charge-sheeted employee ......... 355
Practical Hints ............................................................................................................... 355
Responsibility of the Defence to scrutinize facts ..... 356
How to use the Complaint? ........................................................................... ..... 357
Defence Representative to see whether there is any omission to name
any eye witness in the letter of complaint .............................................. ..... 357
Standard of Proof and Burden of Proof ..................... ..... 357
Whether suspicion can take the place of proof? ....................................... ..... 358
Whether the charged-officer is entitled to take alibi in his defence? .... 358

CHAPTER14
Mechanism for Defence ........................................................................... ..... 360
What should be the objection as to appointment of inquiry officer? ................ .... 361
What should be the objection as to appointment of Presenting Officer? ..... 362
Production and Inspection of Documents ......................................................... .... 362
Is the charged officer entitled to inspect documents? ................................................... 365
Whether charged-officer can ask for clarification for preparing his written
Statement of Defence? ............................................................................... .... 365
Table of Contents xiii

How the claim for details or claim for clarification is skipped

over by the employer? ............................................................................................366
Is the claim of defence could be hypocrisy of the employer?........................................367
Whether the management can refuse inspection on the plea that such
documents are “Confidential Documents” or “Privilege Documents”? .................367
Is defence to establish relevancy of documents? ..........................................................367
Whether withholding of documents are permissible under standing order?..................368
What steps the defence representative should take, when documents are
claimed to be privileged? ........................................................................................369
Whether delay could be a defence? ...............................................................................369
How to decide unreasonable delay in such cases?.........................................................370
Whether disciplinary authority can ignore the mandatory provision
to redress grievance?...............................................................................................370
Whether an employee could be punished twice for the same offence?
How a case of ignorance of trade union serves as a right to management? ...........371
What should be the objection as to the Disciplinary Authority? ...................................372

CHAPTER 15
How to Pick Out Holes in the Charge Sheet? ................................................................374
When and where it can be said that the Charge Sheet has been framed
in closed mind? .......................................................................................................374
Whether vagueness in Charge Sheet is a defect? ...........................................................375
What precaution is to be taken consequent to the amendment to the charge sheet?......376
Whether the action of the management is questionable?...............................................377
What is the distinction between victimization & unfair labour practice?......................377
What is Victimization?...................................................................................................377
What is unfair Labour Practice? ....................................................................................377
What is the plea of discrimination? ...............................................................................378
Whether explanation may be called for before issuing Charge Sheet?..........................379
Is there any Scope for amendment of Charge Sheet? ....................................................379
Is there any scope Second Departmental Enquiry?........................................................380
Is there any Scope for Condonation? .............................................................................380
Who can take Disciplinary Action? ...............................................................................380
When an employee could be suspended?.......................................................................381
Whether Subsistence Allowance is considered as wages?.............................................385
Administrative effects of suspension .............................................................................386

CHAPTER 16
How to Cancel the Enquiry Officer? ..............................................................................388
Disqualifications of the Enquiry Officer ........................................................................388
How to attack the Role of the Enquiry Officer?.............................................................389
xiv Table of Contents

Whether the Enquiry Officer can put leading questions? ..... 391
Mockery inquiry ....................................................................................... ..... 392
Effect of not putting the Statement already recorded to the Witness ............................ 393
Whether witnesses may be allowed to reply in the cross-examination keeping
their earlier statement in hand in the name of refreshing memory? ....................... 394
What important purpose is served in recording evidence before the
concerned workman? ......................................................................... When .... 394
recommendation is required? ..... 396
Specimen for ordering Court of Inquiry .... 396

CHAPTER17
Role of Defence on Enquiry Proper ........................... ..... 397
Technique of Cross-examination ....................................................................... .... 398
Whether the rule of leading question is applicable in cross-examination? .... 399
How to test the witness? ................................................................................... ..... 399
What is the way to discredit a witness? ...................................... ....400
How to handle a witness when he gives evasive reply? .....400
Whether the important document can be withheld? ................... ....400
Whether incomplete or partial testimony can be accepted? ............................. .....401
Whether the management is required to produce the material witness
for cross-examination? .............................................................................. Hints .....401
for examination-in-chief/cross examination. ....410
Regarding withdrawal of funds .................................. .....410
Chief and cross regarding purchase ...................................................... .....411
Borrowing funds from person with whom there is official dealing .....411
Making irregular purchase ..................................................................... .....411
How to bring contradiction? .....415
Trend of misconduct ............................ .....418
Case for defence and summing up .....420
How to sum up? ................................................................. .....420
Is there any Scope for introduction of new evidence Venue .....422
of enquiry and its change ........................................ .....422
Adjournment? When is to be given.................... .....422
Attendance of witness/summoning witness .......................................... .....423
Who is to bear the travelling allowance for the defence witness? .....423
Ex-parte Enquiry, when? ....................................................................... .....424
Bonafide in conducting enquiry ex-parte .....424
When the situation is adverse for enquiry? ............. .....425
When the enquiry can be conducted De novo? Acquittal .....425
and Disciplinary enquiry ............................. Record of ....426
enquiry ............................................. .....426
Table of Contents xv

CHAPTER 18
Evaluation of evidence...................................................................................................431
Material Evidence ..........................................................................................................431
Some Guide Lines for Writing Report of Enquiry.........................................................432
Report of Inquiring Authority ........................................................................................444

CHAPTER 19
How to pick out holes from the findings of the Enquiry Officer ...................................450
Consideration of the findings by disciplinary authority.................................................454
Does not the imposition of penalty without oral hearing amount to denial
of reasonable opportunity or violation of the principles of natural justice? ...........456

CHAPTER 20
How to pick out holes from the order of the Disciplinary Authority.............................457
What should be the scope for appeal?............................................................................457
Cross test for defence.....................................................................................................459
How to test the enquiry officer? .....................................................................................460

CHAPTER 21
Disciplinary Authority, Appellate Authority and The Provisions
for Appeals..............................................................................................................462
Orders passed in disciplinary matters ............................................................................462
Which orders are appealable? ........................................................................................463
Appeal lies against suspension order passed by the Disciplinary Authority
against an award staff employee .............................................................................463
When hearings are to be allowed by the Appellate Authority .......................................463
Procedure for forwarding the appeal..............................................................................464
Punishing Authority not to make comments which may influence the mind
of the appellate authority ........................................................................................464
As Appellate Authority cannot confirm the void orders ................................................464
The Appellate Authority’s orders must be speaking ones ..............................................464
Power to relax time-limit and to condone the delay in filing an appeal ........................465
Practical Hints ................................................................................................................465
Fault and default of Enquiry Officer and Disciplinary Authority ..................................471

CHAPTER 22
Miscellaneous Points Regarding Enquiry ......................................................................475 (1)
Enquiry officer should be an independent and unbiased person ..............................475 (2)
Findings of the Enquiry officer should be reasoned ones.........................................475 (3)
Enquiry Officer’s report must be supplied to the charged workman
along with show-cause notice .................................................................................476
xvi Table of Contents

(4) If Disciplinary Authority does not agree with the findings of Enquiry Officer,
and where E.O. has exonerated the employee, but Disciplinary Authority
wants to take action-Procedure to be adopted ................................................. .....476 (5)
Written Arguments....................................................... .....476
(6)Authentication of proceedings of enquiry .....476
(?)Adjournments..................................................... ..... 477
(8) Ex-parte proceedings................................................................................... .... 477 (9)
Enquiry Officer should not cross-examine the charged workman .....477 (10)
Place of enquiry......................................................................................... ....477 (11)
Recommendations about punishment .....477 (12)
Witness cannot himself be a judge ............................................................ ....478 (13)
Enquiry Officer can also be constituted as Disciplinary Authority:
(Bipartite Settlement, Clause.l4) ...................................................................... ....478
(14) Remand, when departmental proceedings are quashed as being vitiated ....478
(15) Past conduct of the employee should not be taken into account for
imposing punishment without notice to the employee ............................... (16) ....478
Starting of disciplinary proceedings with a closed mind .....479
(17) Applicability of Evidence Act ................................................... ....479

CHAPTER23
Impact of Dismissal Etc. on Terminal and Other Benefits. Gratuity .....481
....................................................................................... Provident ....481
Fund. .....482
Bonus ............................................................ ....482
Encashment of Privilege/Earned Leave .....483
Practical Hints .............................................. ....484

CHAPTER24
Discharge Simplicitor ........................................................ .....485
Para 522 (1) of Sastry Award .............. .............. .....485

CHAPTER25
Punishment of Taking Leave on False Grounds ................ .....490
Over-stay of Leave ..................................................... .....491
Quantum of punishment for over-stay ...................................... .....492
Actions which can be taken in case of prolonged absence .....492
Overstaying sanctioned leave ........................................................................................ 496
Presumption of Abandonment of Service in case of imprisonment or Detention .........497
Leave for clerical Staff & the operatives .......................................................................498
Leave in case of Dismissal or Discharge and Unavailed leave in case
of Termination of Employment. ............................................................. .....499
Payment in advance of Leave Wages ................. .....499
Table of Contents xvii

CHAPTER 26
Second Show Cause Notice & Appeal...........................................................................501

CHAPTER 27
(Remedies available to a terminated workman of a Bank) ............................................508
Disputes..........................................................................................................................508
Following are the remedies available to the terminated workman of a Bank................509
Remedies available under the Industrial Disputes Act, 1947 ........................................510
Permission or approval of Termination orders...............................................................516
Scope and applicability of Section 33 and 33-A to the cases of termination etc. ...........516
Applicability of Section 33 to case of discharge simplicitor, or to cases
of termination of probation at the end of probation period ....................................517
Effect of giving permission under Section 33 ................................................................517
Effect of rejection of an application for approval ..........................................................517
Effect of granting approval under this section ...............................................................517
Tribunal’s powers to reinstate in proper cases under Section 33-A...............................517
Procedure ...................................................................................................................... .518
Section 17-B of I.D. Act ................................................................................................518
Section 33-C (2) of the Industrial Disputes Act, 1947...................................................518
Remedy of Civil Suit .....................................................................................................519
Applicability of the above principles to Bank workmen ...............................................520
Contract of personal service cannot be enforced ...........................................................520
If suit for declaration of dismissal as wrongful includes claim for damages,
the suit is maintainable ...........................................................................................520
Writ Jurisdiction of High Courts in matters relating to termination/dismissal
(Under Art. 226 of Constitution) ............................................................................522
Existence of Alternate Remedy under S. 2-A.I.D. Act ..................................................522
Practical Hints ................................................................................................................522
Remedy under Shops Act of different States .................................................................523
Whether retired workmen can approach for remedy before
the labour authorities ..............................................................................................524

CHAPTER 28
Importance of Discipline, Conduct and Appeal Regulations.........................................543
Whether unbecoming conduct is defined? .....................................................................543
What is misconduct? ......................................................................................................543
What is unbecoming conduct? .......................................................................................545
Section 5 of the Official Secret Act 1923.......................................................................547
What are the remedies available to “persons employed” in shops
and commercial Establishment? .............................................................................548
How to determine the cause to be sufficient?.................................................................548
xviii Table of Contents

CHAPTER29
Employer's Misconduct ....................................... ..... 549
A Concept: A fact! ............................................................................. .... 549
When it could be said that the employer has misconducted? ..... 549
What is Misconduct? ......................................................................................... .... 550
What should be the element of misconduct Committed by employer? ............. .... 550
What is conspectus of circumstances? ..................................................... ..... 550
Is there any law detailing employers' misconduct? ................................... .... 550
Acts and Omissions and Commissions, which should be construed
as employer's misconduct.................................................................. .... 551
Principles ..................................................... ..... 552
To ensure better Discipline in Industry .... 552
Criteria for Recognition of Unions ............. ..... 554
Unfair Labour Practices ............................... .... 555

CHAPTER30
Procedure to be followed in Case CBI Advises the Disciplinary Authority
to Institute Departmental Proceedings on the Basis of their Investigation ..... 558
Relevant guidelines of CVC in their Manual are reproduced................................. ..... 558

CHAPTER31
Can Disciplinary Proceedings be instituted against Retired employees? ............... ..... 561
Our Bipartite Settlement is Silent on Disciplinary Action After Retirement. ..... 561
Additional Notes Post Retirement Proceedings ....................................................... ..... 565

CHAPTER32
Special chapter on vigilance management in public sector enterprises and
the role and functions of the eve .................................................................... ..... 572

CHAPTER33
The Disciplinary Authority vis-a-vis the Central Vigilance Commission ..... 575

CHAPTER34
Scope of Judicial Scrutiny ................................................................................. 598
CHAPTER35
Important Case Laws And Domestic Enquiry ................... Index ............................................................................
..... 606
.... 606