Disciplinary Actions Procedure

The following procedure is to be adopted and followed while dealing with the disciplinary actions against the employees who have been committed misconduct as per the provisions of standing orders / service rules as the case may be. This system may ensure HR dept to avoid legal complications that may arise out of discharge, dismissal and termination of employees to the maximum extent. While I was working with one leading in Electronic Media at Hyderabad, I have framed this system and implemented successfully for their 11 net work channels successfully.   

1. Advice Letter: If any employee is found to be absent from his training/ duty without leave or intimation to the office for more than one week, you have to give him an advice letter asking him to report for duty within  3 days of receipt of that letter. If the employee responds and report for duty within the specified time then we have to close his case by treating the period of his absence as LOP/Leave as recommended by his HOD. On the other hand, if the covers of advice letters sent to the permanent and present address of the employee returned undelivered to us, we have to send a copy of such letter through his e-mail id. Even there is no response from the employee then we have to go for issuing him charge sheet cum show cause notice in case of permanent employee or show cause notice for discharge in case of trainee/probationer. 

2. Show cause notice for discharge: If there is no response for the advise letter sent to any trainee/probationary employee or explanation offered by them is found to be unsatisfactory, then we have to give him the show cause notice for discharge by mentioning the date of his joining and the terms of agreement if applicable and the period of his absence. Finally we have to ask him as to why he should not be discharged from his training/probationary employment for his unauthorized absence within the stipulated time, without prejudice to our right to recover the compensation amount from him as per the terms and conditions of the agreement. If the employee did not receive this notice and the communication is also not served through his e-mail id and his whereabouts are not known, then we have to go for paper publication of this notice covering his permanent residential address as per our service record. 

3. Discharge Order: If the employee refuses to take the notice, either through post or mail or no response for the paper publication, then we have to give him the discharge order wherein we have to mention from what date his discharge will be effective and we have to ask him to pay the amount of compensation, which is due from him as per the terms and conditions of the agreement. 

4. Charge sheet cum show cause notice: If there is no response or explanation offered by the confirmed employee is not satisfactory for the advice letter given to him as per Para 1 of the above, then we have to issue him the charge sheet cum show cause notice, wherein we have to frame the charge against him under the relevant service rules of our organization. Further, we have to ask him to submit his explanation if any, within 3 days of receipt of that notice. For the service of notice on the employee, the same procedure as stated in Para 1 of the above is to be followed. If there is no response from the employee or explanation offered by him is found to be unsatisfactory to us, then we have to go for conducting enquiry into the charge leveled against the employee. 

5. Charge Sheet cum Enquiry Notice: If the employee does not receive the charge sheet cum show cause notice either through register post or mail and his whereabouts are not known then we have to go for the publication of charge sheet cum enquiry notice in a leading daily news paper covering the permanent residential address of the employee. In this publication the details of his unauthorized absence, the name of the enquiry officer and the time of the enquiry to be held etc are to be mentioned so as to enable the employee to come and participate in the enquiry on the appointed date and time. If the employee fails to come and attend the enquiry as per the schedule time, an exparte will be conducted by the enquiry officer. 

6. Enquiry Notice: If the employee received the charge sheet cum show cause notice as detailed in Para 4 of the above and offer his explanation for the same, which was found to be unsatisfactory to us for one or the other reason, then we have to issue him the Enquiry Notice and the rest of the procedure is to be followed as detailed in Para 5 of the above. 

7. Enquiry Proceedings: The concerned HR-Executive is to be appointed as a management representative by the management to represent them in the enquiry to be held against the charge sheeted employee(CSE)as per the details of charge sheet cum enquiry notice/enquiry notice. During the enquiry proceedings, the management representative has to present the case of CSE in brief to the enquiry officer and he is also required to produce his witness and exhibits to be marked in the enquiry on behalf of the management. If the CSE has attended and participated in the enquiry the management representative is required to cross-examine the CSE for the statement given by him before the enquiry officer. On the other hand, if the exparte enquiry is conducted by the enquiry officer, then the management representative has to give his statement and produce his witness i.e time keeper to give the statement in brief to the enquiry officer about the CSE. The management representative has to mark the following documents as exhibits on behalf of the management. 

8. Enquiry Report: As soon as holding the enquiry, the enquiry officer is required to submit his report within a week or two to the management, wherein he has to give his findings basing on the proceedings of the enquiry which was conducted by him. The enquiry officer, findings shall contains whether the charges leveled against the employee has been proved or not? 

      

9. Comments Letter: If the charges are found to be proved in an enquiry and accepted the same by management, then a comment letter is to be sent to the CSE along with enquiry report, asking him to submit his remarks about the findings of the enquiry officer within 3 days. 

10. Final Show Cause Notice for proposed punishment: If the CSE has received letter cited in para 9 and offers his remarks on the findings of enquiry officer and management found the same unsatisfactory or CSE refuses to take the letter, then management has to issue final show cause notice to the CSE wherein they should mention proposed punishment like Discharge, Dismissal or Cut of annual increment with cumulative or at once or warning etc. But the proposed punishment must be in proportionate with gravity of misconduct as leveled against CSE. 

11. Dismissal / Discharge / Termination Order: If CSE has fails to offer his comments on final show cause notice of management  or management found the explanation offered by CSE is not satisfactory, them management can issue discharge / dismissal / or any order which stipulates the punishment against CSE as per the provisions of the standing orders or service rules of the company. 

12. Suspension Pending Enquiry: If any employee commits grave misconduct such as theft, disorderly behavior, manhandling coworker or threatening superiors while on duty, in such a case, management can put said employee under suspension pending enquiry by way of issuing him an order mentioning the facts of the incident and how it constitutes misconduct under standing orders / service rules of company. Thereafter, detailed charge sheet as stated in para 4 and others are to be followed to completed the disciplinary proceedings. However, suspended employee is to be paid subsistence allowance as per the provisions of standing orders / service rules of the company during  proceedings of disciplinary action provided that delay in completing the proceedings are not attributable to CSE.