workers discipline and grievance procedure

discipline of workers

1. Misconduct & Disciplinary Action Charge Sheet & Domestic Enquiry

2. MISCONDUCT

3. WHAT IS MISCONDUCT? Any act or omission on the part of an employee which is a breach of any duty, obligation or assignment arising under or flowing from any law or contract of employment or service rules or standing orders, settlements or awards or improper conduct or wrongful behaviour is a misconduct.

4. TYPES OF MISCONDUCT

5. MINOR MISCONDUCT Minor Misconducts The following acts or omission on the part of an employee shall amount to minor misconduct: Late coming Absence from duty without leaves for a period of less than six days Loitering, gossiping in department during working hours Failure to wear tight clothes/specified uniform. Negligence of duties or neglect of work.

6. MAJOR MISCONDUCT Habitual absenteeism without leave for more than 10 consecutive days or over staying the sanctioned leave without sufficient grounds. Theft, fraud or dishonesty in connection with the employer’s business or property. Taking or giving bribes or any illegal gratification. Habitual breach of any standing order or any law applicable to establishment. Collection without the permission of the manager or any money within the premises of establishment. Going on legal strike or abetting, inciting, instigation. Willful slowing down in performance in work or instigation there of. Willful insubordination or disobedience of any lawful and reasonable order of a superior.

7. MAJOR MISCONDUCT Engaging in trade within the premises of establishment. Drunkenness, Riotous, Disorderly or indecent behavior on the premises of the establishment. Commission of any acts subversive of discipline or rude behavior on the premises of the establishment. Habitual neglect of work or habitual negligence. Canvassing for union membership or collection of union funds within the premises of the establishment. Willful damage to work in process or any property of the establishment. Holding meetings inside the premises of establishment without the permission of the manager. Disclosing to any unauthorized person any information in regard to the processes of the establishment.

8. MAJOR MISCONDUCT Gambling within the premises of establishment. Smoking or spitting on the premises of the establishment, where it is prohibited. Failure to observe safety instructions notified by the employer or interference with the safety devices. Distributing or exhibiting within the premises of establishment and bills, pamphlets and posters. Refusal to accept a charge sheet order or other communication served in accordance with the standing orders. Unauthorized possession of lethal weapon in the establishment .

9. PENALTIES FOR MINOR MISCONDUCT Warning letter fine Passing adverse entry in service records, Recovery of loss of goods for which the concerned workman is accountable, Recovery from wages of the whole or part of any loss caused by the workman through negligence.

10. PENALTIES FOR MAJOR MISCONDUCT The following penalties may be imposed for good and sufficient reasons if an employee found guilty of major misconduct : Warning or censure, Withholding of increment, Fine, Stopping promotion, Demotion, Suspension, Discharge, dismissal, Vacation of company quarter or any other punishment which the manager may deem fit

11. Disciplinary Action

12. 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

13. Indiscipline requiring action Absenteeism Habitual Late coming Overstaying leave Disobeying rules / standing orders Insubordination Misappropriation of funds or valuables Misconduct

14. Procedures for taking action Standing Orders framed under the Industrial Employment (Standing Orders) Act, 1946 to be followed. Ensure principle of natural justice. Serving Charge sheet Holding of Domestic Enquiry Serving Show Cause Notice Order of punishment

15. Sequential Order of Action Examination of complaints Preliminary Enquiry/Investigation Drafting and issue of charge-sheet Memo. Minor penalty proceedings Major penalty proceedings Inquiry proceedings

16. Charge Sheet

17. Charge Sheet – A Legal Document 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. It is advisable to obtain a written complaint before issuing a charge-sheet and as far a possible conduct a preliminary enquiry. The charge-sheet should be drafted in a clear and unambiguous language. Wher e ver possible , th e relevant claus e of th e company ’ s standing orders should be mentioned. If the charges are related to a incident, the date, time, place of occurrence should be mentioned. The charge sheet framed should be signed by the disciplinary authority. If the charge sheet is vague, whole enquiry will be vitiated.

18. 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

19. 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 Charges leveled should be specifically stated- avoid ‘ etc...etc.’/ ‘ other’/ ‘any’/ ‘ some people’ like expressions. The amount misappropriated should be specific sum and not ‘ around’. Person manhandled should be Mr./Ms. X and not ‘ some one’. Time of misconduct should be exact- avoid ‘around’ time. Charge sheet for using offending language should contain the exact word used. Be specific

20. Serving of Charge sheet The charge-sheet framed should be served personally with Acknowledgement. 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

21. Suspension Pending Enquiry This is required when management considers that his physical presence might endanger the safety of other workman or if it is apprehended that he might intimidate (Scare) others or tamper with the evidence. In such case subsistence allowance should be paid as per law.

22. Considering of Explanation After a charge-sheet has been served, within the specified time for reply, how he may react ? Admitting the charges and requesting for mercy Denying the charges and requesting for an enquiry Not submitting any explanation at all Requesting for more time to submit explanation. Giving an ambiguous or obscure reply. Notice for the enquiry After consideration of the explanation of the charge-sheeted employee or when no reply received with-in the specified time limit, the management should issue an office order appointing an enquiry officer or an enquiry committee, to hold the enquiry of the charge-sheet. Who can be an enquiry officer ? He can be an official of the company or even an outsider, but care should be taken to appoint only such a person who is neither a witness nor personally connected or interested in the matter

23. Domestic Enquiry

24. Objective & Purpose Objective: To highlight the procedure for a fair and proper domestic enquiry as per requirements of law. Why Domestic Enquiry? In today’s context no employer can discharge or dismiss a delinquent workman even for a serious misconduct without following an elaborate procedure for taking disciplinary action. It is only when the workmen is found guilty of the charge in an enquiry conducted as per the principal of natural justice, that the employer after following the procedure can punish him as per the company’s standing orders. Principal of natural justice : No man shall be the judge in his own cause Both sides shall be heard.

25. Rules of natural justice: The employee proceeded against had been informed clearly of the charges leveled against him. The wit n esse s ar e e xamined ordi n aril y i n th e prese n c e of th e employee in respect of the charges The e mploye e i s given fair oppo r t unit y t o cr o s s -examin e t he witnesses The employee has been given reasonable opportunity to defend.

26. 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 (Hindustan Teleprinters Ltd Vs Mr. Rajan Isaac.)

27. Recording the Evidences Question- Answer patter n ma y b e 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. Not mandatory that procedure laid down in the Code of Criminal Procedure, 1973 or the Evidence Act, 1872 to be followed. ( Mahindra and Mahindra Ltd. Vs Sunil Yeshwant Pandit and another ).

28. 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 ( as decided in S. Shenbagaraj Vs Additional Commissioner of Industries and Commerce, Chepauk and others .), it is advisable to give the employee a final opportunity before punishment is inflicted. Enquiry report to be furnished to the employee

29. 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.

30. Charge sheet- absenting without intimation Dat e : To ------------- Sub: Absenting without intimation- You 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/ Authorized Signatory

31. Charge sheet- misbehavior Date: To --- - --- Sub: Misbehaving with fellow Worker 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/- Appropriat e Authority / Authorised Signatory

32. Notice of enquiry T o Dat e : -------- Sub: Enquiry u/r of Standing Orders Ref: Charge sheet No. dated Your explanation dated Since t h e e xplan a tio n giv e n b y y o u a s cit e d abo v e i s 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

33. Enquiry Proceedings Enquiry proceedings in to the charge sheet No dated issued to Mr. (Time, date and place of enquiry) Present Charge sheeted employee Defense helper Management representative The charges leveled against the employee were read over and explained to the employee. (Examination of management witness- statement in support of charges) Name and details of witness Statement/ questions and answers Signature of witness Signature of charge sheeted employee with a declaration that the statement has been recorded in his presence Signature of Enquiry Officer (Cross Examination by Employee/ defense helper) -Same process as above- (Examination of witness against charges) -Same process as above- (Cross Examination by management representative) -Same process as above- * If any one does not want to cross examine, the same may be recorded as “ opportunity given for cross examination but declined to cross examine” with signatures

34. Show Cause Notice To Date --------- Sub: Show Cause Notice Ref: Charge Sheet, Explanation, Enquiry report WHEREAS you were charge sheeted for an offence as stated. AND WHEREAS you were granted an opportunity to defend the charges by way of Domestic enquiry which commenced on _ and ended on (dates) AND WHEREAS 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 Officer’s 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

35. Show Cause Notice To Date --------- Sub: Show Cause Notice Ref: Charge Sheet, Explanation, Enquiry report WHEREAS you were charge sheeted for an offence as stated. AND WHEREAS you were granted an opportunity to defend the charges by way of Domestic enquiry which commenced on _ and ended on (dates) AND WHEREAS 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 Officer’s 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

36. Termination Order Sub: Order of Termination of Service Ref: Charge sheet No dated 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/- Authorized Signatory Date To --- - ----