DISCIPLINARY ACTION

Name:-Sayali Diwate
Roll No:- 1315FM0005

Meaning
Written, step-by-step process which a firm commits itself to follow in
every case where an employee has to be warned, reprimanded, or
dismissed.
Failure to follow a fair, transparent, and uniform disciplinary
procedure may result in legal penalties (damages) and/or annulment of
the firm's action.
Section 14 of the Act give the rights to the employer to dismiss,
downgrade, suspend without pay for a max of 14 days or a lesser
punishment such as warning to employee who is doing misconduct

Misconduct
Violation of Employment
Expectations
Failure to follow law, rule,
regulation, policy,
directive, instruction, or
order
Stealing, damaging etc.

Discipline
a tool for management use to maintain an
effective,efficient, and orderly control over workplace
used by supervisors to resolve the misconduct
Corrective in nature
generally, Progressive

Disciplinary Action

Any employee, regardless of occupation, position, or profession

may be warned, demoted, or dismissed.

All employees with permanent full-time, permanent part-time, or

trainee appointments are subject to the Disciplinary Policy.

Disciplinary Actions are valid for 18 months.

2 Reasons for Disciplinary Action:

Unsatisfactory Job Performance
Unacceptable Personal Conduct

Continued

Sometimes, an employer might need to raise more serious concerns

with an employee.

In these cases, the employer may wish to commence disciplinary

action.

Disciplinary action can take many forms: primarily - corrective measure (preventing further misconduct or poor
performance)
warnings (The most common types of disciplinary action are ) and,
dismissal (serious cases )
suspension from work, or the removal of certain privileges, or, in rare
instances, demotion.

Continued

To be lawful, disciplinary action or dismissal must be fair and

reasonable in all the circumstances (with some limited exceptions).

There are two aspects to this:

The employer must have good reason for the dismissal or disciplinary
action, and
The employer must follow a fair process in reaching and implementing its
decision.

Why indiscipline?
Ignorance of rules
Physical/ mental incapability
Absence of proper training
Discontented workmen
Misguidance by Trade Union leaders
Absence of standard policies of handling discipline
Uncongenial working conditions

Indiscipline requiring action

Absenteeism
Habitual Late coming
Overstaying leave
Disobeying rules/ standing orders
Insubordination
Misappropriation of funds or
valuables
Misconduct

Process

Progressive Discipline

removal
reassignment Adverse
grade reduction Action
suspension >14 days
suspension of 14 days or less Formal
Discipline
written reprimand
written counseling / warning
oral warning
oral counseling

Informal
Discipline

Standing Orders
Standing Orders framed under the
Industrial Employment
(StandingOrders) Act, 1946 to be
followed: Serving Charge sheet
Holding of Domestic Enquiry
Serving Shaw Cause Notice
Order of punishment

Charge Sheet

Memorandum of charges

Statement of allegations of misconduct/ omission/ negligence

No particular format prescribed for charge sheet in any Labour

enactment

The object is to give the employee exact idea of the misconduct

committed by him so that he may get reasonable opportunity to
defend.

Requisites of Charge sheet

It should contain complete picture of misconduct

It should state that the act of commission or omission resulting in

misconduct is violation of a particular clause of standing order

Language to be as per Standing Orders or as required by the

delinquent

Enclose a list of witnesses in support of charges

Service of Charge sheet

As stated in the Standing Orders

Serve the charge sheet personally against signature on the

duplicate copy/ delivery book

If absent/ on leave/ under suspension, paste it on the wall of the

residence of the delinquent

By Registered Post

Displaying in the Notice Board of the company

Publishing in the regional newspaper

Domestic Enquiry

Follow rules laid down in Standing Orders

Purpose of domestic enquiry

Provide delinquent an opportunity to defend the charges

Provide employer an opportunity to evaluate the situation and decide the
penalty to be imposed

Notice of Enquiry to be served

Notice to show the Date and Time of enquiry

Venue of holding enquiry

Name of the Enquiry Officer

Notice to be served in the same manner as followed to serve charge

sheet

Workman shall have right to appoint a Defense Helper

When legally trained person represents management in enquiry,

workman shall also be allowed to be represented by lawyer

Recording the Evidences

Not mandatory that procedure laid down in the Code of Criminal

Procedure, 1973 or the Evidence Act, 1872 to be followed.

Question- Answer pattern may be followed

Statement of Management to be taken first

Cross examination by employee/ helper

Take signature of the concerned on record

Examine and cross examine witnesses

Object/ Disallow irrelevant questions

Show Cause Notice

Before punishment is initiated a Show Cause Notice highlighting the

charges, findings of the enquiry and possible penalty imposed on
the delinquent shall also be served calling on him to show cause
why action including discharge or (even dismissal) shall not be
taken against the delinquent.

Though serving of such notice will not make the process of enquiry
invalid, it is advisable to give the employee a final opportunity before
punishment is inflicted.

Enquiry report to be furnished to the employee

Order of Punishment

Principles of natural justice to be followed

Punishment should not violate section 73 of the ESI Act - notice of

dismissal or discharge given to an employee during the period the
employee is in receipt of sickness, maternity or other benefit shall
be invalid.

Order issued without holding a domestic enquiry or after holding a

defective enquiry will not stand since Labour Court/ Tribunal can
interfere with such order as provided u/s 11A of the Industrial
Disputes Act, 1947

Charge sheet- absenting without intimation

To
Date:
------------Sub: Absenting without intimationYou have been absent since_____ (date)/ overstaying leave
granted since_____ (date)
Absenting without leave/ overstaying of leave is an offence as per
rule ___ of our Standing Orders and as such your act of
absenting without intimation is a misconduct which attracts
such punishment including termination of service.
Accordingly you are hereby called upon to explain in writing within
48 hours as to why appropriate action should not be taken
against you.
Sd/Appropriate Authority/ Authorised Signatory

Charge sheet- misbehavior

To
------It is reported that on ____(date) at _____(time) you misbehaved with
Mr./Ms._____ (name), ____ (designation) in the presence of ______ (as
witnesses)
Disobeying orders and misbehaving are serious misconduct as per rule____ of
our Standing Orders which attract punishment including dismissal from
service.
Accordingly you are hereby called upon to explain in writing within 48 hours as
to why appropriate action should not be taken against you.
Sd/Appropriate Authority/ Authorised Signatory

Notice of enquiry
To
Date:
-------Sub: Enquiry u/r ___ of Standing Orders
Ref: Charge sheet No.____ dated______
Your explanation dated____
Since the explanation given by you as cited above is found unsatisfactory, a
domestic enquiry u/r ____ of the Standing Orders has been initiated to
decide on the charges.
The enquiry will commence at 9.30 am on ___ (date) at _____ (venue)
You are hereby required to present in person with or without a helper to give
any clarification to defend the charges against you.
Mr./Ms. ____ will be the Enquiry Officer
Sd/Authorised Signatory

Shaw Cause Notice

To
Date
--------Sub: Shaw Cause Notice
Where as you were charge sheeted for an offence as stated.
And where as you were granted an opportunity to defend the charges by way of
Domestic enquiry which commenced on ____ and ended on ___ (dates)
And where as you have failed to prove your innocence before the Enquiry
Officer.
Now therefore, the management is constrained to take disciplinary action
against you.
Without prejudice and following the Enquiry Officers report your act of
omission/ commission has been proved to be a serious misconduct which
attracts punishment which may extend to dismissal from service.
therefore, you are hereby called upon to show cause why disciplinary action
including dismissal should not be taken against you/ why you should not be
removed from service. A copy of the findings of the Enquiry Officer is
enclosed herewith for your perusal.
Your written reply should reach the undersigned within____ days.
Sd/Authorised Signatory

Termination Order
To
-------Sub: Order of Termination of Service
Ref: Charge sheet No____ dated____

Date

Pursuant to the charge sheet above referred and findings of enquiry report
dated____, the management has come to the conclusion that the charges
leveled against you have been proved categorically.
As you have been found guilty of serious misconduct, the management has
decided to dismiss you from service. However, on compassionate grounds,
we have decided to take a lenient step by imposing a lesser punishment by
discharging you from service with effect from/ with immediate effect.
You are, therefore, directed to settle your dues including salary dues and
handover the charges to Mr________ during office hours on_________
Sd/Authorised Signatory

Thank You