Disciplinary Action Procedure

To start with, based on any misconduct committed by the employee or complaint, a preliminary enquiry is called for. Then disciplinary authority has to initiate action. The following authorities are laid by the organisation for various levels of employees

Disciplinary authority
Appellate authority
Reviewing authority

Based on judicial pronouncement, elaborate procedure has been evolved which has to be followed to avoid infirmities in the disciplinary action. Various stages involved are briefly indicated as under

preliminary enquiry
framing and serving of charge sheet,
holding of domestic enquiry,
report of the enquiry officer,
consideration of the report of the enquiry officer by disciplinary authority,
order of punishment and its communication, and
appeal.

Stages of Disciplinary Action Proceedings in India

Issue of the Charge-Sheet –

The delinquent employee is to be issued a charge-sheet call him to submit his explanation within a specified period of time. This charge-sheet should be drafted in a clear and unambiguous language, usually in the local language so that the workman does not have any difficulty in understanding the charges that he has to answer. In case the charge-sheet is returned unserved with the remarks of the postal authorities, the same should be kept intact without opening. In such a case, the employer should display the charge-sheet on the notice board or act in accordance with the provisions of the standing orders.

Suspension Pending Enquiry

In a case where the charges leveled against a workman are of serious nature and it is considered by the disciplinary authority that his physical presence might endanger the safety of other workmen, or if it is apprehended that he might intimidate others or tamper with the evidence, he may be suspended. During the period of suspension pending inquiry, the workman will get subsistence allowance as per rules.

Consideration of the Explanation

After a charge-sheet has been served on a workman for reply he may submit his explanation

i) admitting the charges and requesting for mercy, or

ii) denying the charges and requesting for an enquiry, or

iii) not submitting any explanation at all, or

iv) requesting for more time to submit explanation.

In a case where the workman admits the charge which is of a minor nature and begs for mercy, no inquiry is held and the decision is taken accordingly on the charge-sheet. If, however, the misconduct is serious enough to warrant discharge or dismissal, the management should still arrange to hold a proper enquiry, the admission of the charges notwithstanding.

Notice for Holding the Enquiry

After consideration of the explanation of the charge-sheeted workman or when no reply is received within the specified time limit, the disciplinary authority should issue an order appointing an enquiry officer or an enquiry committee to hold the enquiry of the charge-sheet. The enquiry officer can be an official of the company or even an outsider, but care should be taken to appoint only such a person as enquiry officer who is neither a witness nor is personally interested in any way in the matter.

Holding of the Enquiry

The object of holding an enquiry is to find out whether the workman is guilty of the charges levelled against him in the charge-sheet, or not. In doing so, the enquiry officer gives the workman a reasonable opportunity to defend himself by cross-examining the witnesses/documentary evidence/exhibits produced against him and by examining the witnesses/documentary evidence in his defence.

On the appointed date and time, fixed for the enquiry, the following persons should be present apart from the enquiry officer.

Presenting Officer: He is the person who will lead the case from the management’s side by producing witnesses and relevant documentary evidence in support of the charge.
Delinquent Employee: No enquiry can be said to have been held as per procedure in the absence of the charge-sheeted employee. However, if he refuses to take part in the enquiry after presenting himself, or when he does not report for the enquiry despite receiving the notice to him, the enquiry may proceed ex-parte, provided in the notice of the enquiry a specific mention to that effect had been made.
A representative of the Delinquent Employee: If the delinquent employee writes to the charge-sheet or makes a subsequent request that he should be allowed to take a knowledgeable co-worker of his choice to assist him in the enquiry, the same should normally be allowed.

The Procedure of Enquiry

At the commencement of the enquiry, if the delinquent employee is present, the enquiry officer should record the date, time and place of enquiry, names of the persons present and obtain their signatures on the order-sheet. Thereafter, he should proceed as follows

Readout and explain the charges and the reply of the charge-sheet to the delinquent employee and get his confirmation to that effect.
Explain to the delinquent employee concerned the procedure to be followed in the enquiry, viz., that the presenting officer will produce witnesses/documentary evidence/exhibits in support of the charge.
The delinquent employee will have further opportunity to make a statement, if any, in his defence.
Witnesses in support of the charge are to be examined one by one in the presence of the delinquent employee.
The charge-sheeted workman is to be given an opportunity to cross-examine management’s witnesses.
The delinquent employee should be asked to produce his own witnesses one by one and the presenting officer will be allowed to cross-examine them.

Ex-parte Enquiry

If, on the day fixed for the enquiry, the delinquent employee does not turn up, an ex-parte enquiry may be held by following the usual procedure. In such an enquiry, the presenting officer has to lead the evidence against the charge-sheeted workman. The enquiry officer, by putting questions to the witnesses, gets facers to come to a reasonable conclusion about the validity or otherwise of the charges.

Final Decision of the Disciplinary Authority –

The enquiry report is submitted to the Disciplinary Authority. Before he takes a decision on the findings of the enquiry officer, he is required to furnish a copy of the enquiry officer’s report to the concerned employee. An order in writing is passed to that effect and is communicated to the delinquent employee.

Steps in a Progressive Discipline

Step 1. Verbal warning – In this step, employees should receive verbal warnings in private. The exact nature of what took place and why it is in violation of policy, or how it falls short of performance expectations, should be explained, along with corrective actions. HR should be notified of the warning.
Step 2. Formal written warning – In this step, the manager or supervisor should use a write-up form to describe the incident and corrective actions.
Step 3. Formal disciplinary meeting – In this step the employee, manager/supervisor, and an HR representative meet to discuss the problem. HR investigates the problem. The employee is informed that after this point punitive action may take place, up to, and including termination.
Step 4. Suspension or loss of privileges – In this step, the employee may receive penalties, such as a loss of certain privileges, suspension from some or all duties, a demotion, or other appropriate penalties.
Step 5. Termination – In this step, the employee is fired for continued violations. The final decision to terminate will be approved by an HR representative after an investigation to ensure fairness.

Kinds of Punishment

Minor Punishment

Oral Reprimand – When a superior officer verbally warns the employee committing the offence, he expresses that he does not approve of his behaviour.
Written Reprimand – Manager writes up the warnings and mails it to the employee concerned.Department.
Punitive Suspension – It is awarded for minor offences. It may extend for a few days.
Loss of Privilege – Some of the privileges like assigning interesting work, shift preferences, leave, flexible hours, choice of machine etc., may be withdrawn for a given period.
Fine – A deduction may be made from the pay for certain offences like damage to the goods, machines and property of the company or for loss of money he has to account for.
Transfer – An employee may be transferred to a far off place or to a different department for the offence committed.

Major Punishment

Pay cut – Cutting employee’s pay for offences relating to damage or loss of property.
Demotion – When the employee proves himself to be unfit for the present job he is holding, he is downgraded to a lower job carrying lower pay and responsibilities.
Suspension pending enquiry – It is awarded for a serious offence. His regular wages are withheld during the period. The punitive suspension may extend for a longer period say several months till the enquiry is completed.
Discharge – It is awarded for the gravest offence involving integrity, moral turpitude, etc. T