INDUSTRIAL DISCIPLINE

DOMESTIC ENQUIRY
1. INTRODUCTION

Discipline, is the foundation on which any well organized and established enterprise exist. It forms the

backbone of the industrial management. With the establishment of relationship of employer and employees,

certain Code of Conduct for mutual relationship develops between employer and employee. Discipline

connotes observance of the prescribed rules of conduct or mode of life. It implies willingness to work and

conforming to the established rules. Obedience to lawful orders is contemplated under the contract of service.

Any violation of this code of conduct is called Misconduct. Misconduct in an establishment entails disciplinary

action. The employers regards the right of disciplinary action critical to the efficiency of the establishment.

As misconduct is the root cause of the disciplinary proceeding it is critical to understand misconduct.

2. MISCONDUCT

'Misconduct' has not been defined either in the Industrial Disputes Act, 1947 or in Industrial Employment

(Standing Orders) Act, 1946 under which most of the standing orders governing conditions of service are

framed.

2.1 Where to find list of misconducts

Miconduct pertaining to ”workmen” and procedure for disciplinary action can be found in the certified

standing order of an establishment , Other Rules of Conduct and Discipline Employees not covered by the

Certified Standing Orders, or working in establishments which are not 'industrial establishments', are

governed by the rules of conduct and discipline that the employer has framed.

Some employees may not be covered by the Certified Standing Orders, or other Rules of Conduct and

Discipline as applicable to employees who are 'workmen' under the Industrial Disputes Act. Their service

conditions would be governed by the contract of employment they have signed at the lime of entering service,

and as amended thereafter from time to time. An employee at 'work', therefore, is expected to follow the

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Standing Orders/ conduct rules of the establishment. He is also expected to observe all lawful instructions

issued from time to time by superior(s), and all administrative circulars issued by the organisation. Cases of

disobedience of rules of discipline/ administrative orders have to be dealt with firmly.

2.2 Acts of misconduct under Standing Orders-Whether Exhaustive

The Standing Order of a company only describes certain cases of misconduct and the same cannot be exhaustive of

all the species of misconduct which a workman may commit. Even though a given conduct .may not come within the

specific terms of misconduct described In the Standing Order, it may be a misconduct in the special facts of a case

provided it is reasonable,

2.3 Absence of Standing orders-Effect

In the absence of a standing order or misconduct not being listed anywhere, the question whether a particular act is a

misconduct would depend on the facts and circumstance of each case.

2.4 Misconduct Classification

Misconduct can be broadly be categorized into three categories:-

Misconduct relating to work i.e. non-performance or negligence of duty; absence without leave or overstaying

sanctioned leave without permission, absence from the place of work without authorization, disregard of

safety equipment and procedure, guidelines.

Misconduct relating to discipline i.e. in sub-ordination or disobedience whether alone or in combination with

others; disobedience of the lawful orders of the superior, striking work or inciting others to strike work; go

slow, gherao, etc.

Misconduct relating to integrity i.e. theft, fraud or dishonesty, giving false information misappropriation of

employers money, etc.

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Under clause I 4(3) of the Industrial Employment (Standing orders) Central Rules, 1946, the following acts

and omissions shall be treated as misconduct.

(a) Willful insubordination or disobedience, whether alone or in combination with others, to any lawful and

reasonable order of a superior.

b) Theft, fraud or dishonesty in connection with the employers business or property.

(c) Willful damage to or loss of employer's goods or property.

(d) Taking or giving bribes or any illegal gratification.

(e) Habitual absence without leave or absence without leave for more than 10 days.

(f) Habitual late attendance.

(g) Habitual breach of any law applicable to the establishment

(h) Riotours or disorderly behaviour during working hours at the establishment or any act subversive of

discipline.

(i) Habitual negligence or neglect of work.

(J) Frequent repetition of any act or omission for which a fine may be imposed to a maximum of2 per cent of

the wages in a month.

(k) Striking work or inciting others to strike work in contravention of the provisions of any law or rule having

the force of law.

3. Natural Justice

Rules of Natural Justice is meant those basic Principles of Justice which are founded on Equity and reason

and without which no Justice can be done. It is not possible to make a complete list exhausting all the rules

of Natural Justice in brief It can be said that the Rules of Natural Justice are those rules which it is absolutely

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 essential to Natural Justice? Rules of Natural Justice is a matter of substance, not of form. It has been

crystallised into two basic principles of Equity.

1. No one shall be a judge in his own cause (nemo judex in propria causa sua) I.e. he must not have

anything like personal interest in the case,

2. No decision shall be given against a party without affording it a reasonable hearing (audi-alterem partem).

There are many derivatives of this principle;

i. Nemo prohibetur plures negotiations sive artex exercere- No one can be prohibited from making

use of several defences,

ii. Nemo debet esse testis in sua propria causa-No one ought to be a witness in his own cause,

iii. Judcis (nostrum) est judicare secendum allegata et probate-It is the duty of a judge to determine

according to what us akkeged and proved.

iv. Non Referi quid notum sit judici, si noium non sit in forma judicii: No judge should import his

private knowledge of the facts into a case

v. Probandi neccassitas incumbit illi qui agit-The necessity of proving lies upon him who brings the

charge

vi. Nihil habet forum ex scena- The court has nothing to do what is not before it.

vii. Qui aliquid statureit, parte inudita altera,aequum licet dexerit, haud aequum facerit- He who

determines any matter without hearing both sides though he may have decided right, has not done

justice.

viii. Culpa pona par esto- Punishment should be proportionate to the offence

ix. Nemo bis punitur vexatur pro sodem delicto- No man is punished twice for the same offence.

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4. PRELIMINARY ENQUIRY

Before framing charges, the disciplinary authorities occasionally and especially in complicated case conduct a

Preliminary Enquiry/Investigation into the allegations/accusations against an employee, for finding out whether there

is any prima facie case justifying initiation of formal proceedings. It is not mandatory but desirable because the

Domestic enquiry process can be tedious and a drain of resources ti both the establishment and the employee involved,

Preliminary enquiry is made solely with a view to decide whether there is adequate material for initiating a Domestic

Enquiry against a workman. In other words, the preliminary enquiry is merely for the purpose of framing a charge and

for determining whether a prima facie case for a formal enquiry is made out or not and results cannot be deemed to

be conclusive. It is conducted merely for the satisfaction of the employer and it is only when the employer decides to

held a regular Domestic Enquiry for the purpose of inflicting punishment that the employee gets an opportunity of being

heard and defends himself. The Statements recorded during the preliminary enquiry make nothing to do with the

regular enquiry unless they are produced by the Management in the course of the enquiry proceedings. After this is

done, if the statement given by any witnesses during the preliminary enquiry differs from that of the final enquiry, the

enquiry officer may draw the attention of the witness to the same and seek clarification on those points. If the reports

of the preliminary enquiry are used against the delinquent worker, they must be properly proved in the course of

enquiry.

4.1 Common Practice

A common practice of conducting a preliminary enquiry is depicted in the flow chart below; Annexure 1) A

notice for show cause is also provided (Annexure 2)

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5. SUSPENSION PENDING ENQUIRY

Sometimes, when the workman/employee is facing grave and serious charges, it may be considered

advisable by management to keep the employee away from the workplace, pending enquiry, or till conclusion

of disciplinary proceedings. The employee may then be 'suspended' during a contemplated or a pending

enquiry, or till the conclusion of the enquiry. The conduct rules applicable to the employee may also provide

for automatic suspension when certain serious types of misconduct are alleged to have been committed, or

'deemed suspension' in some cases like arrest/imprisonment of the employee. Suspension is not regarded

as punishment; it only prevents an employee from having access to his place of work, and discharging the

duties of office or post held by him. In other words, he is prevented from being able to perpetrate the alleged

misconduct again, and also signals to other employees that dereliction of duty would be adversely noticed,

and the offending employee cannot get away even pending inquiry without any disadvantage, and to prevent

an opportunity to the delinquent officer to interfere with the inquiry or investigation or to win over the

witnesses, or the delinquent having had the opportunity in office to impede the progress of the investigation

or inquiry.

5.1 Who can pass an Order to suspend?

An order of suspension can be passed by the de jure or de facto Appointing Authority. It can also be passed

by a superior authority, if he is the Disciplinary Authority. But it cannot be passed by a subordinate authority

to the appointing authority.

5.2 Suspension Order

Suspension Order need not contain detailed Charges It is not necessary that the Order of Suspension should,

in the body of the Order, mention the details of charges against the suspended employee, but in that case,

the authority should follow it up by issuing a charge-sheet. The subsequent charge-sheet should contain

details of alleged acts of misconduct

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5.3 Subsistence Allowance

Quantum of Substance allowance is as per the Standing Orders or Service rules if not provided full wages

Non-payment of subsistence allowance will vitiate the enquiry. Subsistence allowance can be reduced for

delaying the enquiry purposefully.

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6. DOMESTIC ENQUIRY PROCESS

The purpose of the domestic enquiry process is to investigate into the allegations against the employee

and to establish the truth thereof, in accordance with well-established principles of Natural Justice.

6.1 Legend

CS-Charge Sheet
CSE-Charge Sheeted Employee
D A-Disciplinary Authority
DC Defence Counsel
EO-Enquiry Officer
PO-Presenting Officer

6.2 Disciplinary Authority

The term 'Disciplinary Authority' has been explained in Union of India v. J.A. Munaff,
"The expression disciplinary authority has a two-fold meaning. For the purpose of imposing penalties it can

only be the appointing authority, whereas for the purpose of issuing charge-sheets, etc., it can be any

authority competent to impose penalties. The Head of the Department who was competent to impose some

of the penalties, was competent to issue the charge-sheet and then the appointing authority cold impose the

penalty of dismissal.

Going by the decisions of courts, the expression 'Disciplinary Authority' has two-fold meaning even for the

purpose of imposing punishment:

• Appointing Authority – for the purpose of imposing penalty of discharge or dismissal.

• Other Competent Authority – for the purpose of imposing any other punishment.

[Note.—The Board of Directors of a company, or the authority delegated the power by the Board, can

authorise any officer to take disciplinary action.]

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6.3 Appointment of Enquiry Officer

The enquiry officer is the pivotal point around which the entire enquiry rotates. It is the enquiry officer who
actually conducts the enquiry, and verifies whether the charges made against an employee are correct or
not. As such, an enquiry officer plays the role of a judge in recoding witnesses and examining evidences.
Based on the material facts present at the enquiry he takes a decision whether the charges levelled against
the employee stands fully proved, partially proved or not proved at all.

An Enquiry Officer is appointed by the Disciplinary Authority. The same Disciplinary Authority who inflicts
charges of misconduct on the delinquent employee, also appoints a Presenting Officer to prove the charges
inflicted on the delinquent employee. Therefore, the enquiry officer is always looked upon with suspicion by
the charged employee. It requires tremendous amount of goodwill and impartiality on the part of an enquiry
officer to win the confidence of both the charged employee and the management to successfully discharge
his role of an impartial judge in the enquiry. Though the Enquiry Officer is appointed by the DA, he is not
subject to the directions or influence of the latter with regards to the conduct of Enquiry. If any influences
is found that will vitiate the enquiry

Points to be noted when appointing the Enquiry officer are;

• Enquiry Officer An outsider or insider can be appointed as EO if standing order permit.

• EO Should not be biased

• Enquiry Officer should not be subordinate to the delinquent

• An advocate can also be appointed as an EO but if he represent the Management in the same case
before the court there is bias

• EO should not be person who conducted the preliminary investigation

• If the EO is author of any material evidence then he cannot act as EO

• If there is no claim of bias by the CSW during the enquiry then he cannot claim bias later.

• Bias has to be specifically pleaded before the adjudicator.

• Enquiry officer should not add new charge or amend the charge sheet.

• Personal Knowledge of material on record of the EO might vitiate an Enquiry.

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6.4 Presenting Officer

When the disciplinary authority after considering the reply of the charged employee, if any, decides to

proceed with the oral Inquiry, he may also appoint simultaneously along with the appointment of the Enquiring

Officer, any person including a legal practitioner as the Presenting Officer to present on its behalf the case

in support of the charge before the Enquiring Officer so appointed.

6.5 Standard of Evidence

Strict rules of Evidence Act are not applicable in cases of domestic enquiry. In domestic enquiry the cases

are not decided on the basis of `beyond all reasonable doubt' as in case of a criminal prosecution in a law

court, but on the basis of 'preponderance of evidence'. The judge in a criminal law suit gives benefit of doubt

to the accused. The age old legal theory is that a thousand culprits can be acquitted, but no innocent person

should be punished. But, in domestic enquiry an enquiry officer cannot give benefit of doubt to a delinquent

employee. In domestic enquiry a 'Preponderance of evidence' is held sufficient to decide a case. This means

a logical conclusion or probability which a rational person can draw by weighing the evidences can become

basis for deciding the guilt of a delinquent employee. In other words, the preponderance is based on the

more convincing evidence and its probable truth or accuracy only. This does not however mean that a

delinquent employee can be held guilty on speculation or surmise. A logical derivative from the materials on

record is essential to prove the charge. It is because, it is only on the basis of evidence adduced during the

enquiry that the person facing the enquiry may effectively exercise his right of being heard in respect of the

charges against him by showing that charges have not been established and the penalty of dismissal,

removal or reduction in rank is not justified.

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6.6 Commencement

Domestic Enquiry Commences with the Issue of the Charge Sheet.

6.6.1 Show Cause Notice

a) A show-cause notice is not a compulsory pre-requisite of a charge-sheet, unless the Standing Orders

expressly provide for it.

b) Where the SO’s provide for it, the show-cause notice, by itself, is not sufficient to take disciplinary

action unless followed by a regular/formal charge-sheet.

c) A show-cause notice does not ‘charge’ the workman of the misconduct alleged in terms of, and with

reference to, the relevant Standing Order. In this sense, it is relatively more informal than a charge-

sheet. In other words, a show-cause notice of this kind should necessarily be followed by a charge-

sheet setting out the allegations in clear terms and also specifically charging the workman of the

commission/omission of the misconduct with reference to the relevant Standing Order.

6.6.2 Charge Sheet

Its a document which formally communicates to the workman the omissions or commissions alleged

against him. The object of a charge-sheet is that the delinquent must know what he is charged with

and have the adequate opportunity to meet the charges and to defend himself by giving a proper

explanation. It explains the misconduct in detail. It should have a reference to the SO under which

the workman is being charged. The DA issues the charge sheet Vagueness in a charge sheet will

vitiate the enquiry. (Sample Charge sheet Annexure 3 )

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 6.6.2.1 Dos and Donts of a Charge Sheet

1. The charge-sheet must be specific and must set-out all the necessary particulars. It will serve no

purpose at all to presume that the employee is fully informed of the charges because of any previous

proceedings against him.

2. It is imperative to hold a regular enquiry before terminating the services of a workman. The enquiry

itself must be preceded by serving on the workman concerned, a regular charge-sheet devoid of any

vagueness. Any warnings that might have been given to a workman previously or form time to time

or that his attention had been drawn to any fault, lapses on his part previously can , by no means,

take the place of a regular enquiry.

3. Vague accusation, which the workman could not possibly follow, should not be made in the charge-

sheet.

4. The charge-sheet must accurately and precisely state whether the act of commission or omission

constituting misconduct is in violation of any standing order or not. The test is whether the charge

conveys to the employee concerned, the exact nature of misconduct in a way that would enable him

to mete the charge.

5. Where, for instance, the charge is for unauthorized collection of subscription on the work premises,

the purpose for which such a subscription was collected need not be stated. But the time, date and

place i.e. when and where the collection was made must be clearly mentioned.

6. When under the standing orders or service rules, an act such as absence without leave, late

attendance, negligence or disobedience is misconduct, when it is committed habitually then in such

a case the word, habitual forms an essential constituent of the charge and must be expressly

mentioned in the charge-sheet.

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7. Similarly, if the standing orders or service rules provide that damage to property or disobedience or

insubordination must be willful then the willfulness is an essential part of the charge and must be

stated in the charge-sheet.

8. If theft or dishonesty is a misconduct only if it is committed in connection with the employer’s

business or property, then this must be so stated in the charge-sheet in all its details.

9. If the charge-sheet is for arrogant conduct towards a superior, then it must be so stated in the charge-

sheet giving the occasion on which the misconduct was committed and in respect of which particulars

of the superior.

10. When an employee is charged for habitually disobeying the instructions, then each set of

disobedience on his part must be separately mentioned in details in the charge-sheet.

11. The time and date of the incident should be mentioned in the charge-sheet in order to avoid

vagueness and to enable the employee to make defence of alibi.

12. When an employee is charged for using objectionable and offending language, then the actual words

used must be stated in the charge-sheet. In one case the facts were that the dismissal of the

workman, a car driver, was set aside and reinstatement was awarded. The Industrial Tribunal

observed the exact words or at best a substantial reproduction of the same must be held material in

order to come to a conclusion as to whether the words used are insulting or abusive or not,

particularly in view of the fact that a much greater laxity of language is permitted now a days.

13. While verbiage is to be avoided, use of any abbreviations such as etc. must be equally shunned.

Phrases such as another document is vague and ineffective and so, only reference should be made

to a specific thing or a particular person.

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14. It is important to remember that the language of a charge-sheet , while being precise, must not give

the impression that the employer has taken the question of the employee’s guilt as a foregone

conclusion.

15. The delinquent employee be furnished with the documents and reports as referred to in the charge-

sheet otherwise his termination will be quashed.

16. As far as practicable, the language of a charge-sheet must be simple and be one that is commonly

understood or in common usage.

17. When the previous record of the employee is relied upon, then sufficient particulars of the previous

bad record should be specified in the charge-sheet.

18. When the charge to be levelled is that an employee altered the relevant entries in the record with

some ulterior motive then, in such a case, the workman should be informed as to what precisely was

the motive being attributed to him for so doing because unless this is done, the charge-sheet would

suffer from the disqualification of vagueness.

19. Mere cataloguing for recital of charges without the requisite details, a charge-sheet is open to

question of its validly and is an exercise in futility.

20. Make use of the term ‘about’ in relation to the date and time of a particular incident of misconduct.

21. A valid charge-sheet must be in precise terms as there is no room for using loose or vague term

which fails to convey, in the correct sense, a charge brought against an employee.

22. In the case of a theft, it is most necessary to mention full particulars of the goods or articles stolen.

23. Full particulars, with regard to the date and time of the incident including the place of occurrence ,

must be indicated.

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24. The charge-sheet should also not be issued with a bias and closed mind as may show drawing up

of a positive conclusion against delinquent and requiring him to dispel the same.

25. Workman charged for having instigated strike, subsequently executing document of good behaviour,

cannot be punished in absence of any evidence of his going back on such assurance.

26. Another yet equally important point to be noted, while drawing up a charge-sheet is that a workman

charged for tampering and falsification of weighment sheets cannot be punished for having found

guilty of carelessness and negligence.

27. If particulars of misconduct are not incorporated in the charge-sheet, then it will not be considered

charge-sheet and the entire enquiry will become farce in which the principles of natural justice were

not complied with. In such case the dismissal order is liable to be quashed.

28. It is the duty of the employer to indicate to a delinquent employee served with the charge-sheet not

only the precise nature of charges, but also the documents, if any, upon which the charges are

based.

29. In the absence of Regulations, an employee cannot be charge-sheeted under that.

30. The charge-sheet must be signed by the competent authority.

31. A charge-sheet, issued after long delay of misconduct, will vitiate the enquiry

6.6.3 Notice of Enquiry

The Notice of Enquiry should be served on the CSE, communicating the date time and venue of the

proposed enquiry. As also the name of the officer proposed to hold the enquiry. A minimum of 2/3

days should be given to the CSE before the commencement of the enquiry. If Date or time cannot

be included DA shall direct the EO to communicate the same directly to the CSE.Time should be

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 given if required to the CSE. All documents and evidences should be given to the CSE to protect

himself. (Sample Annexure 4)

6.6.3 Enquiry Proper

Domestic Enquiry is a Written Enquiry It should be conducted in Camera and not in public. Strict

privacy must be maintained. The procedure is as follows.

6.6.3.1 Preliminary Hearing:

Preliminary hearing (PH) is the first sitting or first day of domestic enquiry (DE). (This need not

have to be confused with preliminary enquiry).

• It is initiated, moderated and concluded by the Enquiry Officer (EO).

• It will be held only after the charge sheet and notice of enquiry is issued by disciplinary authority
(DA) to the charge sheeted employee (CSE).
• It is meant to introduce and familiarise all the parties in the enquiry.
• Parties shall submit their authorisation letters to represent in the domestic enquiry (DE).
• It is meant to find out by the EO if due process has been followed by DA in issuing the charge
sheet, issuing the notice of enquiry, granting permission to CSE and CE to attend the enquiry or in
paying the allowances if any.
• It is meant to educate all the parties about their rights and obligations in the enquiry.
• Parties have the right to seek necessary assistance and permission during PH.
• It is meant to develop a plan of action for the smooth conduct of domestic enquiry, in the presence
of all the parties.
• Parties may submit their list of witnesses and copies of documents/ exhibits in support of their case
during PH
• Examination or cross examination will not generally take place on the day of PH.
• On the day of preliminary hearing the Enquiry officer will ask the charge sheeted employee

(a) whether and when he has received the charge sheet

(b) whether he understood the contents/charges mentioned therein and

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 (c) whether he accepts the allegations and charges.

• In case the charge sheet is in English and the employee requests for a copy of translation in the
language known to him it must have to be provided.
• The list of the documents and the list of witnesses to be examined in the enquiry to prove or
disprove the charges by either party should be shared with the opposite party.
• Enquiry officer will take on record the order copy of appointment of presenting officer (also called
as MR) and the authorization letter of the charge sheeted employee for the appointment of defence
representative (also called as CE).
• The Enquiry Officer will then read out the charges against the employee.
• The Enquiry officer will ask the employee whether he admits the charges levelled in the charge
sheet. If the employee admits all the charges unconditionally and pleads guilty, the enquiry officer
must record the same and give his report of findings accordingly.
• In case the employee does not admit all the charges leveled against him or does not plead guilty to
the charges, or does not attend the enquiry or he says that he has a defense to make, the same
must be recorded and the process of leading evidences should be initiated.
• here the employee pleads guilty of certain charges and denies other charges the examination of
witnesses or leading of evidences is to be done only in respect of those charges which the
employee has denied.
• Whatever evidences / documents admitted unconditionally by the employee should be taken on
record which do not require examination/cross examination in the regular hearing.
• The enquiry officer should finalize the plan of enquiry in consultation with the charge-sheeted
employee and the presenting officer about the evidences and witnesses to be examined on either
side, issuance of notices to the witnesses to appear in the enquiry and the probable dates on
which hearing should be held.
• The enquiry officer at this stage will ask the presenting officer and the charge sheeted employee to
submit their list of witnesses/documents to be examined in the regular hearing.
• Even if one party (generally the CSE) absents from the enquiry or he is prevented from enquiry by
the order of EO due to misbehaviour/ violence, the enquiry will not come to an end, rather the other
party which is attending and cooperating in the enquiry will be allowed to do its examination, cross
examination and submissions. Then only the enquiry will come to an end.
• Preliminary hearing will generally be held only once before the commencement of regular hearing.

{Sample Minutes of the Preliminary Hearing Annexure5 }

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6.6.3.2 Examination

a) EO to ask the PO to present the case, and call upon him to indicate the names of the witnesses to be

examined on behalf of the Management (in support of the CS) and record the same. After the case against

the CSW is presented by the PO, the 1.0 shall proceed further to examine the Management witnesses, if

any.

b) If the PO himself happens to he a witness to the misconduct, the LI) should examine the PO in the first

instance, before any witnesses on behalf of management are called in The reason is that, if the PO, himself

being a witness, is examined after examining all other management witnesses, he may give an orchestrated

deposition so that it aligns with that of' other witnesses of his side. Such a course of examination corrupts

the evidence and operates to the detriment of the CSW. In all other cases, the Management witnesses shall

he examined one after another as detailed hereunder:

Examination of the PO/MW, as the case may be. Cross-examination by the CSW/DC. iii) Ike-examination

and re-cross.

c) All the witnesses - be they of management or of defence - shall be examined in the presence of the CSW

only. No witness shall, however, be examined in the presence of any other witness.

d) After all the management witnesses arc examined/cross-examined, the LO shall record the fact and obtain

the signatures of all concerned.

e) Thereafter, the EC) should ask the CSW, whether he would like to add anything over and above the

explanation etc., and/or desires to examine himself. If the CSW desires to make any statement or to examine

himself, the same shall be granted and recorded. The C SW should be examined before examining any other

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witnesses on his side, for the same reasons mentioned in (b) above. The names of all the defence witnesses

proposed to be presented shall be obtained and recorded.

f. Alter the examination/cross-examination of CSW, the PO shall examine the defence witnesses, if any, one

after another and the same procedure mentioned in (b) above be followed in respect of examination/cross-

examination/re-examination etc.

g. The responsibility for producing the Defense witness is with CSE. The management cannot be held

responsible in case of failure of the CSW to present his witness(es) for any reason, ‘whatsoever.

3) Marking of Documents

While proceeding with the enquiry, the EO should mark the relevant documents as exhibits, whiich thereafter

become a valid part of the enquiry proceedings. For example. the original complaint made against the

workman, the charge-sheet and the notice of enquiry be marked as exhibits M-1, M-2 & respectively.

Similarly, the explanation submitted by the CSW, any Other documents materials presented by him in the

course of his defence be marked as W-2_ and so on, and signed by the EO.

b) The marking of exhibits is an important part of the enquiry proceedings. It means taking the documents

and other material objects on record and admitting them as valid pieces of evidence on either side. While

marking the documents etc., as exhibits, care should be taken to present them to the parties first, and then

mark them as exhibits with their consent. If, however, the very admissibility and/or veracity of a document is

contested by either party, then the same should be placed before the contesting party for examination/cross-

examination, and thereafter it can be marked as an exhibit.

,I) Closure .

The process of closing the 'enquiry proper' commences once the examination/cross-examination/re-

examination of witnesses on both sides is completed. The process of closure involves the following:

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a) Summing-up arguments: After the examination of both sides is completed as stated above, the E0 shall

ask the PO whether he would like to sum-up his case. If yes, record the same. A similar opportunity be given

to the DC to sum-up his case. Summing up arguments consist of the salient features of each side with focus

on strong points (brought out in the course of examination/cross-examination) in its favour and the weak

points of the Opposite side. These can be either oral or in writing, presented/submitted by either side.

h) Clarification, sought by the EO: Once the summing up arguments are completed, the EO should close the

enquiry, unless he feels that some points, which are in the nature of missing links essential to arrive at a

decision, require to be clarified by either party. In such a case, he can seek clarifications from them and

record the same. Care should be taken to. see that no leadingg questions' ' are put to the CSW, nor the CSW

is closely cross-examined by the EO This is most important, the fact of concluding the enquiry proceedings

should be recorded together with all the relevant details such as date and time of such conclusion. signatures

of the participants should be obtained at the end of the endorsement.

5) Findings of the EO

a) The E0 shall, within a reasonable time after the conclusion of enquiry proceedings, submit his findings

thereon to the DA.

b) File findings of the E0 shall consist of

I) Brief narration of the case, parties present, number of witnesses examined and exhibits marked on each

side. Appreciation or material/significant evidence adduced on either side, together fitly supporting facts.

iii) Inference/conclusions of the EO, as to the proof or otherwise of the charges levelled against the CSW,

together with the reasons for arriving at the conclusions. The EO should state categorically whether the

charge(s) has/have been proved or not solely with reference to the Enquiry Proceedings and the material

on record.

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iv) The EO should, as a matter of principle, should not recommend punishment. All that he has to do is to

state whether, based on the materials on record, the charges were proved or not; nothing more.

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