Navigating Domestic Enquiries: What's the Right Order for Legal Letters and Timing?

Sir,

What is the sequence of issuing a warning letter, a show-cause notice, a disciplinary letter, and a charge sheet in a domestic enquiry? Additionally, what is the time period for issuing one letter after another?

Regards

Sequence of Disciplinary Actions in a Domestic Inquiry

The sequence is as follows:

1. Show cause notice to the employee for misconduct or irregularity, if noticed.

2. Issue a warning letter (if the charge is not of a serious nature and committed for the first time) or issue a charge sheet (if misconduct is of a serious nature) against the erring employee.

3. Conduct a domestic inquiry by the Disciplinary Authority, or by appointing an independent Inquiring Authority and a Presenting Officer on behalf of the Disciplinary Authority.

4. Supply the Inquiry Report to the accused employee to call for representation, if any, the employee desires to make against the findings of the Inquiring Authority.

5. Issue a penalty order only if the charge is proved against the employee. Otherwise, if not proved, the order has to be issued for his exoneration of the charge.

Show cause notice or the disciplinary letter are synonymous with each other.

Regards

Dear Sir,

What does sequence mean? What is the first letter, and so on? After how much time can one issue the second letter?

Regards

Understanding the Sequence of Disciplinary Proceedings

The sequence has already been given. The rest depends on the conclusion of different stages of one event and the other, depending on the nature of the case and response to the previous sequential step of each event.

It is better to discuss the real problem to find a solution to that specific issue. If you wish to understand the entire process of disciplinary proceedings, it cannot be taught to you all at once. You may need to delve into books by various authors, as the process is neither easy nor quick. It can take months to complete. There are numerous steps to take before finalizing each stage of the events as listed by you. Therefore, no specific time frame can be anticipated due to the complexity of the process and the circumstances involved. You will also need to invest a significant amount of time to grasp the entire process, but you may still feel a lack of perfection in your understanding of it.

You can go through the material in this link for a better understanding of the subject - http://aipnbsf.org/files/Microsoft%2...%20Enquiry.pdf.

Understanding Domestic Inquiry and Guidelines

Normally, the domestic inquiry and guidelines are provided in the Standing Orders of an establishment. The time limits also shall find a place in the guidelines. However, there are certain discretionary powers given to the Presiding Officer who conducts the inquiry with respect to the time limits for every stage and would, in conclusion, give his/her verdict on the charges referred to the Presiding Officer. Time limits would depend on the nature of charges, documents, parties, witnesses involved, etc.

At the same time, the schedule for every stage should be logical and reasonable. If the inquiry is dragging or the parties involved are delaying compliance with the orders of the Presiding Officer, or the Presiding Officer himself is not adhering to a reasonable time, it will be open for criticism, which might jeopardize the inquiry itself. These kinds of time delays might give room for the intervention of courts for judicial review of the process.

Is a Second Show Cause Notice Necessary?

There are two views on whether a second show cause notice, disclosing the proposed punishment, is necessary.

1. After the amendment to Article 311 of the Constitution, it is dispensed with. Many PSU CDA rules have removed the requirement for a second show cause notice.

2. After the following Supreme Court rulings, it is treated as necessary:

- Supreme Court - Union of India Vs Mohd Ramzan Khan, 20-11-1990, 1991 AIR 471
Proposed punishment has to be intimated by a second show cause notice.
"Supply of a copy of the enquiry report along with recommendations, if any, in the matter of proposed punishment to be inflicted would be within the rules of natural justice."

- Supreme Court - The Management of Sri Ganapati Bus Service Vs The Presiding Officer, Labour Court, 13-12-2000
No show cause notice proposing punishment. Dismissal held not valid.
"The labour court also found that before awarding the punishment of dismissal, no show-cause notice as to the quantum of punishment had been issued."

- Supreme Court - Union Of India vs Madhusudan Prasad on 28 October, 2003
Equivalent citations: 2004 (1) BLJR 78, 2003 (4) CTC 796, 2003 (4) JCR 231 SC
Bench: K Balakrishnan, A Lakshmanan
"The above case concerned an employee who was found guilty in an enquiry, but the report was not furnished to the employee, and a show cause notice was not served on him. In view of the facts and circumstances of the case, the Court directed that an appropriate order should be passed regarding the back wages. In the instant case, the appellate authority directed the reinstatement of the respondent and held that he was not entitled to get back wages for the period he was out of service. It may be noticed that the respondent was removed from service without any enquiry, and he was not even given a show cause notice prior to his dismissal from service. There was a fault on the part of the employer in not following the principle of natural justice. These relevant facts were considered, and the learned Single Judge and also the Division Bench ordered the payment of back wages. We do not think this is a fit case where the Fundamental Rule 54 could have been invoked by the authorities. We find no merit in the appeal. The appeal is accordingly dismissed."

- Supreme Court - The High Court Of Judicature At ... vs Shashikant S.Patil And Anr. on 28 October, 1999
AIR 2000 SC 22, 2000 (67) ECC 16, JT 1999 (8) SC 493
Author: K Thomas
Bench: K Thomas, A Mishra, S S Quadri
"Legal position on that score has been stated by this Court in A.N. D' Sitva v. Union of India, that neither the findings of the Inquiry Officer nor his recommendations are binding on the punishing authority. The aforesaid position was settled by a Constitution Bench of this Court way back in 1963, Union of India v. H.C. Goel. The Bench held that 'the Government may agree with the report or may differ, either wholly or partially, from the conclusion recorded in the report.' Their Lordships laid down the following principle: If the report makes findings in favor of the public servant and the Government disagrees with the said findings and holds that the charges framed against the public servant are prima facie proved, the Government should decide provisionally what punishment should be imposed on the public servant and proceed to issue a second notice against him in that behalf."

A domestic enquiry, once started, can take many months (from 10-20 sittings) depending on the nature of the charge that is to be established, volume of documentary evidence that is to be relied upon, the number of witnesses from both sides to depose and cross-examined, general adjournments due to problems of both parties, and any other circumstances, etc. It is practically not possible to predict the timeframe at this stage.

For more info, you can read my blog too at - www.labourlawhub.com

Procedure for Handling Employee Misconduct

Immediately upon receipt of a complaint against any employee, a show cause notice must be issued. If the alleged misconduct is serious, suspension pending inquiry along with the show cause notice can be issued. Based on the explanation from the charged employee, further disciplinary actions, such as the award of punishment as detailed in the standing orders, or if a domestic inquiry is warranted, such letters need to be issued.

Following the completion of the domestic inquiry, if the charges are proven to be of a grievous nature and the punishment of dismissal is warranted, a second show cause notice detailing the proven charges and the proposed punishment must be issued.

In the case of domestic inquiry matters, there may be no specific time frame. In other cases, it must be completed as soon as possible; otherwise, the impact of the disciplinary action will not be felt or seen.

Regards, bgramesh