1. A written complaint is desirable to initiate disciplinary proceedings.
2. Disposal of complaints by factory manager.
(a) Non-performance of duty
1. Purpose of holding preliminary enquiry
2. When preliminary enquiry is to be held.
3. Preliminary enquiry is not compulsory.
4. Preliminary enquiry is not judicial in character.
5. Preliminary enquiry can be ex-parte.
6. Preliminary enquiry is of informal character.
7. Preliminary is not substitute of departmental enquiry.
8. Failure to take part in preliminary enquiry does not prejudice delinquent workman.
9. Report of the preliminary enquiry is not part of the formal enquiry.
10. Decision after preliminary enquiry.
11. Informal corrective methods after preliminary enquiry.
12. Right of the worker to get copy of preliminary enquiry and statement of witnesses.
CHARGE-SHEET AND ITS DRAFTING
1. Absence of charge sheet violates the principle of natural justice.
2. Whether explanation should be called before issuing charge sheet.
3. Who can issue charge sheet?
(i) Appointing authority or any other higher authority,
(ii) Charge sheet can be issued by disciplinary authority.
(iii) Officer other than appointing/disciplinary authority can issue chare sheet if authorized by rules.
(iv) Charge sheet can be issued with consent or approval of appointing or disciplinary authority.
4. Vagueness of the charges: charges should not be vague.
5. There is no particular form of charge sheet.
6. Whether show-cause notice can be charge sheet?
7. Drafting of charge sheet and its essential ingredients.
8. Amendment in charge sheet.
9. Time to reply to charge sheet.
SERVICE OF CHARGE SHEET
1. Whether C.S. should be sent by post if refused.
2. Employer should give addresses of workers as required under Factories’ Act.
3. If registered letter is refused by addressee it amounts to service.
4. Endorsement “not met” or “not turned up to take delivery of the letter” is no service.
5. No service if registered letter delivered to someone else.
6. Putting up on the notice board is no service.
7. Sending copies of charge sheet to labor department or unions is no service.
8. Proof of Service: If sent through peon or watchman, then his evidence is material. AD must be produced unless AD receipt is produced before the authorities, a presumption of registered letter having been served cannot be taken. GURBACHAN SINGH V/S YAGYASU RE-ROLLING MILLS 2001(4) LLN 1157 (P&H HC)
9. Provision of service of charge sheet in standing order will prevail.
10. When charge sheet is not served by court, in absence of any provisions in the standing orders, it should be published in some local newspaper in some regional language.
REPLY OF CHARGE SHEET AND ITS CONSIDERATION
1. It is within the discretion of the discretionary authority to initiate the enquiry.
2. Even if no reply to charge sheet is received, it is incumbent for the employer to hold enquiry.
3. Whether reply of charge sheet should be considered by the enquiry officer.
A. Confession or admission of misconduct obviates holding of enquiry. There can be simple termination on receive of such reply to the charge sheet
B. Confessional statement should be scrutinized with caution.
C. Confession should be in terms of misconduct.
D. Confession should be interpreted as a whole.
E. Confession should be unconditional and unqualified.
F. Confession should not be secured by threat or coercion or inducement.
G. Confession subsequent to dismissal whether can be relied upon?
ADMISSION: If admission does not amount to confession then it can be used in evidence.
APOLOGY: It should be unconditional with confession and admission where worker denies the charges and also backs for burden then his confession is not sufficient to dispense with enquiry.