Downloaded 419 times
Uploaded bySelf-employed
Disciplinary procedure -jdes
The document discusses the importance of having a written disciplinary policy and procedure in organizations. It explains that such a policy protects both the manager and organization, guarantees employee rights, and teaches managers how to properly discipline employees. The document also provides examples of model disciplinary procedures, letters, and guidelines for conducting domestic inquiries and investigations to ensure natural justice and fairness in disciplinary processes.
More Related Content
Similar to Disciplinary procedure -jdes
More from Self-employed
Disciplinary procedure -jdes
- 1.
- 2.
- 3.
- 4. ©Jayadeva de Silva ThePurpose of Employee Discipline Employee Discipline A tool used by managers to improve poor performance and enforce appropriate behavior to ensure a productive and safe workplace.
- 5. Discipline Principles Discipline Preventive Corrective PositiveNegative Progressive Sandwich Counseling Hot Stove Rule Contingencies Victimization False allegations Biased No Inquiry Natural Justice ' Malice
- 6. © humantalents Organizational Policyand Procedure Importance of a written disciplinary policy and procedure Protects manager and organization Guarantees rights of employee Teaches manager how to discipline employees
- 7.
- 8.
- 9. © jdes Organizational Policyand Procedure – Components Procedure - usually has a minimum of 4 steps: Verbal warning Written warning Suspension Termination
- 10. Purpose to havea disciplined work force Strict adherence to gain the confidence of employees towards the disciplinary procedure Disciplinary Procedure
- 11. Why indiscipline? Ignorance ofrules Physical/ mental incapability Absence of proper training Discontented workmen Misguidance by Trade Union leaders Absence of standard policies of handling discipline Uncongenial working conditions
- 12. Indiscipline requiring action Absenteeism HabitualLate coming Overstaying leave Disobeying rules/ standing orders Insubordination Misappropriation of funds or valuables Misconduct
- 13. Preliminary Investigation Show cause/ charge sheet Receipt of explanation Domestic Inquiry Findings of the Inquiry Report Punishments Subsequent Actions after Termination Labour Tribunal Appeal against the decision of the L.T. Steps
- 14.
- 15. Record a statementof the complainant Materials and documents connected to the incident should be removed, sealed and taken to the custody of the relevant authorized officer immediately, giving no room to alter Preliminary Investigation
- 16. Record the statementsof the witnesses to the incident Study fast and gain an idea what exactly has happened Record a statement from the suspected employee/employees as soon as possible Analyze all these evidence to establish whether there is any act of misconduct to pursue further
- 17.
- 18. A place withoutdisturbances A reliable person to take down in clear handwriting No erasing/tipp-ex Start with mentioning place date & time In direct speech Continuation of the pages and page numbering Conclusion Recording statements
- 19. Recording statements withfresh memories before influences Identifying witnesses Facts for better decision to hold an inquiry or not Facilititate in preparing counts in show cause Advantages of holding a Preliminary Inquiry
- 20. Outcome of thePrelim. Invest. Prima facie case Separate counts for each misconduct Start of the letter Reply before when (sufficient notice0 State action if no reply receives (ex-parte inquiry) Show cause / charge sheet
- 21. When the employeeis involved in a major misconduct and the chances are high to prove such, which warrants termination Where the presence of the employee in the work place could seriously affect the inquiry, specially the possibility of influencing the witnesses or tampering documents relevant to the inquiry Payment during interdiction Interdiction
- 22. Reply to thecharges may be ◦ Denying / rejecting all charges ◦ Pleading for mitigatory circumstances ◦ Pleading guilty for all or some charges ◦ Request for further time ◦ No reply at all Receipt of explanation / no reply
- 24. Advantages of holdinga domestic inquiry Respect for the principle of natural justice of giving a reasonable opportunity to the employee of being heard in his defense Establishing employer’s bona fides at a subsequent L.T. inquiry Domestic Inquiry
- 25. Recording allevidences, of which some may not be able to locate at a later stage (L.T.) Recording of all incidents which may not be able to remember by witnesses at a later stage (L.T.) Accused employee will not be able to change his stand at a later stage
- 26. Reasonable notice ofthe case must be given to the accused employee. Reasonable opportunity of being heard in his/her defense (allowing the accused to defend/present his side of the case) Principles of Natural Justice
- 27. Independent inquiry officer(not a person directly involved in the issue) Inquiry officer to act in reasonably & in good faith, not arbitrarily and to ensure fair play BALANCE OF PROBABILITY
- 28. What is balanceof probability? MADHU.T.K
- 30. Caliber of person Therole of the inquiry officer is to decide whether charges stated in the charge sheet are proved or not based on evidence laid before him Role of the inquiry Officer
- 31. The charges shouldbe explained to the accused and asked whether the accused plead guilty or not for each count separately Prosecuting officer to lead evidence-in-chief, cross examine by defense, re-examine by prosecution & question by the Inquiry Officer
- 32. After finishing witnessesfor the prosecution, evidence-in chief by defense, cross examine by prosecution, re-examination by defense & question by the Inquiry Officer for witnesses for the defense Inquiry Officer can call any witness again to clarify any point Leading questions are not permitted Written submission may be allowed after concluding the oral evidence
- 33. Prosecuting Officer Prosecuting/inquiring together Defense Silent observer Defending officer Fellow worker Branch union official Parent union Official Outsider/not a lawyer Other Roles
- 34. Inquiry report Decisionon each count Facts based on for the judgment No recommendation for punishment Punishment According to the outcome Past record Industrial relations aspects Conclusion of the inquiry
- 35.
- 36.
- 37. Charge Sheet Memorandum ofcharges 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.
- 38. Requisites of Chargesheet 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
- 39. Be specific Charges leveledshould 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.
- 40. Service of Chargesheet 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
- 41. Domestic Enquiry Follow ruleslaid 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
- 42. Notice of Enquiryto 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.)
- 43. Recording the Evidences 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
- 44. Show Cause Notice Beforepunishment 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
- 45. Order of Punishment Principlesof natural justice to be followed 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
- 46.
- 47.
- 48.
- 49. Charge sheet- absentingwithout intimation To Date: ------------- 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/ Authorised Signatory
- 50. Charge sheet- misbehavior To ------- Itis 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
- 51. 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
- 52. Enquiry Proceedings Enquiryproceedings in to the charge sheet No____ dated ___ issued to Mr.___ (Time, date and place of enquiry) Present 1. Charge sheeted employee 2. Defense helper 3. 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
- 53. Show Cause Notice To Date --------- Sub: Shaw Cause Notice 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
- 54. Termination Order To Date -------- 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 with effect from/ with immediate effect. You are, therefore, directed to settle your dues including salary dues and handover ……..to Mr________ during office hours on_________ Sd/- Authorised Signatory
- 56.
- 57. Disciplinary decisions are challengedthrough the Industrial Disputes Act No. 43 of 1950. MADHU.T.K
- 58. Industrial Disputes ActNo. 43 of 1950. An industrial dispute “any dispute or difference between an employer and an employee or between employers and employees connected with the employment or non employment or the terms of employment or with conditions of labour or the termination of employment or the reinstatement in employment of any person”
- 59. Selection of witnesses& preparing them for the trial Availability of the witness Reliability of the witness specially if the witness is no longer in the employment LABOUR TRIBUNAL
- 60.
- 61. Any possibilityof witness is being approached / influenced by the applicant Ability of the witness to give a strong answer (the way the evidence were given at the domestic inquiry) Secondary Evidence Appeal against the decision of the L.T.
- 62.
- 63.
- 64. Question? Why do weneed a Disciplinary Procedure for an organization? MADHU.T.K
- 65. Why do weneed disciplinary procedure? 1) To convince a tribunal a third party that the employer acted in bona fide and that there was no victimization. 2) To show that rules of natural justice had been followed in arriving at a decision 3) The employee has a right which is stemming from rules of natural justice that he should be given an opportunity to be heard. 4) As a means documenting and recording the statements from the eye witnesses at the preliminary investigation stage, to document all the evidence of the witnesses at the domestic inquiry so that witnesses will not subsequently change their stances.
- 66. Why do weneed disciplinary procedure? 5) If it is stipulated by a collective agreement the employer is expected to follow the same procedure. 6) To see whether there are any mitigatory factors that we should take in to consideration before punishment 7) Finally having a good administrative policy is a form of eradicating employee dissatisfaction.
- 67. © Conclusion Employee discipline shouldbe used for the purpose of helping the employee to correct behavioral or performance problems that have a negative impact on the workplace. A disciplinary policy and procedure should be in place that includes a policy statement, the purpose for the policy, and a step-by-step procedure (with specific timelines) for the process.
- 68. © Conclusion The usual stepsin a disciplinary procedure include the following disciplinary actions: Verbal warning Written warning Suspension Termination
- 69. © Conclusion Managers must usejudgment, empathy, consistency, and fairness when administering employee discipline. All disciplinary actions should be documented in a factual, nonjudgmental way.
- 70.