Is a 10-Day Suspension Fair for Misconduct After a Preliminary Inquiry? Seeking Advice

Respected seniors,

This is Ramu, working as Manager-HR. My query is: is it justified to suspend a workman for 10 days due to his misconduct after conducting a preliminary inquiry? I have been asked by the Plant Head to issue a suspension order. Kindly advise me on this issue. Your response would be highly appreciated.

Opportunity for Employee to Present Case

Did the employee who is to be suspended have an opportunity to present his case in the preliminary inquiry?

Nature of Misconduct

What is the nature of the misconduct?

Imposing punishment based on a preliminary inquiry

Imposing a punishment on the basis of a preliminary inquiry is premature as the principles of natural justice are normally not complied with during the preliminary inquiry. However, if the charges are clearly communicated to the employee and the delinquent has unambiguously admitted to the charges, then punishment can be imposed.

Regulating suspension for misconduct

If a suspension for ten days is being imposed as the punishment for misconduct, then it is to be regulated as provided in the applicable rules, whether it be your Standing Orders or the Model Standing Orders. Even otherwise, the employer has an inherent right to suspend an employee.

This is by way of further note to what Mr. KK!HR has correctly stated directly in response to the query raised.

Purpose of a Preliminary Enquiry

The object of the preliminary enquiry is only to find out whether a prima facie case is made against the employee. Therefore, a preliminary enquiry is just advisable or desirable but not a statutory obligation. Since it is only a fact-finding investigation conducted by the employer before framing a charge of misconduct, it is not necessary to afford an opportunity to the employee during the preliminary enquiry; it can be done without the employee's knowledge.

Preliminary Enquiry vs. Domestic Enquiry

A preliminary enquiry is considered purely informal and not subject to any specific rules. In contrast, a domestic enquiry is formal and subject to the rules of natural justice. The findings of the enquiry officer, who is distinct from the disciplinary authority, form the basis for the punishment to be awarded to the delinquent or otherwise.

Therefore, even if the delinquent employee involved in any way in the preliminary enquiry admits to the misconduct, in my considered opinion, they cannot be immediately punished without issuing a formal charge sheet. However, if the employee admits the charges unconditionally, the process of a domestic enquiry can be bypassed, and punishment can be awarded accordingly.

Analysis of Proposed Suspension

Based on the analysis of the process and position of a preliminary enquiry in disciplinary proceedings, it is not justifiable to impose the punishment of a 10-day suspension as proposed by the Plant Head. Since this would constitute punitive suspension, the entire period of suspension would be considered a break in service.

Therefore, the poster may revert back to the Plant Head with a polite note incorporating all the above legal points.

I generally share the views of the learned colleagues.

Preliminary inquiry

Preliminary inquiry is a fact-finding step before issuing the charge sheet. No punitive action can be taken before a full opportunity in the domestic inquiry is given, as per the principles of natural justice.

Suspension provisions

I have not come across a provision for a 10-day suspension by way of punishment in either the Standing Orders or Service Rules. The maximum suspension provided is for 4 days under the Model Standing Orders.

Regards,
Vinayak Nagarkar HR and Employee Relations Consultant