A HAND BOOK FOR H.R. MANAGERS

ARTICLE ON

AXIOMATIC TRUTH – DISCIPLINE

IN THE ORGANISATION

By

P.B.S. KUMAR
B.Sc,MA(PM),MA(Ind.Eco.).MBA(HR),BGL,DLL,PGDPM











- PBS.KUMAR -1-
 AXIOMATIC TRUTH –DISCIPLINE IN THE ORGANISATION

1. INTRODUCTION:

Discipline is the force that prompts an individual or a group to observe the rules,
regulations and procedures which are deemed to be necessary for the attainment of an
objective, it is force or fear of force which restrains an individual or a group from doing
things which are deemed to be destructive of objective. It is also the exercise of restraint
or the enforcement of penalties of the violation of group regulations. It is like an
axiomatic truth that no organization can flourish without proper and conducive
atmosphere of discipline.

Discipline is defined in dictionary meaning as “as mode of life in accordance with rules”.
The concept of industrial discipline arises from this definition while the purpose is to
ensure that order and place are preserved in an organization by enforcing a mode of life
in accordance with the laid down rules.

The aims and objects of discipline are :

 To obtain a willing acceptance of the rules, regulations and procedures of an

organization so that organizational goals may be achieved.
 To import any element of certainty despite several differences in informal
behavioural patterns and other related changes in an organization.
 To develop the spirit of tolerance among employees and a desire to make
adjustments.
 To give an seek direction and responsibility.
 To create an atmosphere of respect for the human personality and relations, and
 To increase the working efficiency and morale of the employees so that their
productivity is stepped up, the cost of production brought down, and the quality of
production improved.

Discipline in general speaking in three ways.

⌦ The first one is known as self-discipline:-

It refers to one’s efforts at self-control for the purposes of adjusting oneself to certain
needs and demands. This form of discipline is bases on psychological principles.
First, punishment seldom produces the desired results, often it produces
undesirable results. Second, a self-respecting person tends to be a better that one
who is not.

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⌦ The Second one is Principle is the necessary condition of orderly behaviour:-

This refers to discipline as the condition which must exist for any orderly behaviour
in an organization through efforts that build up morale and high spirits.

⌦ The Third principle considers discipline as a judicious process:-

Based on training and punishment. Its purpose is not a change past behaviour but
to prevent its recurrence in future. It is a process of training a worker so that he can
develop self-control and can become more effective in his work.

Discipline, in part, is an attitude of mind, product of culture and particular environment

which impels an individual to willingly co-operate in the observance of the rules of the
organization to which he belongs. This conformity and willingness to work for the
objective of his organization have to come from within, through at times they may have
to imposed by an external agency. To get the things in the organization in a successful
attainment of goals, it may be punitive or a big stick approach which imposes a penalty
or punishment, if the rules and regulation, which have been laid down by an
organization, are ignored or disobeyed.

2. CAUSE OF INDESCIPLINE:

Before coming to the important aspect of the ways to ensure the maintenance of
discipline, it is necessary to know the causes of indiscipline. Some of the causes that
have been enumerated are:

A) Job Satisfaction :

Non-placement of right person on the right job which is suitable for

his qualification, experience and training.

B) Lack of proper Training :

Undesirable behaviour of senior officials, who may have set a pattern of behaviour
which they expect their subordinates to follow, but their expectations are belied,
and an infringement of rules follows.

C) Lack of proper Communication Skills:

Lack of upward communication, as result of which the thoughts, feelings and reactions
of employees cannot be conveyed to the top management. This generally leads
to aggressive or rebellious behaviour.

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D) Lack of Leadership Qualities :

Leadership which is weak, flexible, incompetent distrustful of subordinates is often an

instrument which makes for the creation of indiscipline among employees.

E) Lack of proper supervision:

Lack of properly drawn rules and regulations and also absence of good supervisors.

F) Psychological and Sociological reasons :

The divide and rule policy of the management, as a result of which friction and
misunderstanding are created among the employees which destroy their team spirit.
Also misunderstanding rivalry and distrust among workers and supervisors which leads
to fellow feeling , a widespread sense, of injustice, or apathy on the part of
management.

G) Lack of proper Working Environment :

Bad working conditions, inborn tendencies to flout rules, discrimination in the matters of
selection, promotion, transfer and placement and improper coordination, delegation of
authority and fixing of responsibility.

The success of any rules of discipline depends on the existence of a high degree of
cooperation between the employers and employees, on faith an belief in on another’s
motives. Disciplinary measures have serious repercussions on employee, they should,
therefore, be based on certain principles so that they may be fair, just and acceptable
to employees and their representatives. As far as possible, all the rules should be
framed in cooperation and collaboration with the representatives of employees. The
rules should be appraised at frequent and regular intervals to ensure that they are and
continue to be appropriate, sensible and useful. The rules should vary with changes in
the working conditions of employees. They should be uniformly enforced if they are to
effective. They must be applied without exception and without bending them or ignoring
them in favour of any worker.

Before taking any disciplinary action, it should be made sure to get and keep adequate
records of misconducts and warnings. It is always better to let the subordinate fully
explain what happened and why it happened. It may then be discovered whether there
were mitigating circumstances or that he was not aware of the rules, or that the person
had conflicting orders or even permission to break the rule for some reasons. Getting
facts is a good management practice, especially when defending the decision to
superiors, arbitrators and others. Although there is no hard and fast procedure to be
followed to maintain the discipline but in each case and situation it has to be judicious
and should be based on the principles of natural justice.

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3. GUIDE LINES FOR INITIATION OF DISCIPLINARY ACTION:

I. CHARGE-SHEET

The object of the Charge - Sheet is to tell the delinquent what he is supposed or alleged
misconduct during his employment. Under the Industrial law, there is no form prescribed
for a Charge-Sheet hence it becomes more important to draft it more carefully with
precision and clarify. The framing of a Charge-Sheet being the first necessity for
disciplinary action and it is the main pillar for record purpose.

The Charge-Sheet should also take care to mention the particulars of time, place,
occurrence and the manner in which the incident alleged to have taken places so as to
remove vagueness and make the charge definite by mentioning these essential
factors.(Just like a provisions in the vegetable soup) :

ESSENTIAL INGREDIENTS :

 A Charge Sheet being root of the disciplinary action. When vague,

will vitiate the whole proceeding hence the penalty imposed on
delinquent will be quashed.

 The object of a charge sheet is that the delinquent must know what he is
charged with and have the adequate opportunity to mete the charges and to
defend himself by giving a proper explanation.

 A delinquent employee must be provided with the copies of the documents as

relied upon by the Disciplinary Authority and the burden, to show that non-
supply of documents required by the delinquent did not cause any prejudice
to him, lies upon the Disciplinary Authority.

 Failure to enclose the list of witnesses along with the charge memo will violate
the Conduct Regulations, hence the entire disciplinary proceedings will be
vitiated when it is so stipulated.

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 GUIDENCES:
 The Charge-Sheet must be specific and must set out all the necessary
particulars. It will serve no useful purpose at all to presume that the employee is
fully informed of the charges because of any previous proceeding against him.

 Any warnings that might have been given to a workman previously or from time
to time or that his attention had been drawn to any fault, lapses on his part
previously can, by no means, take the places of a regular enquiry.

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

 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.

 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.

 When, under the Standing Orders or service rules, and 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 and
essential constituent of the charge and must be expressly mentioned in the
charge sheet.

 If the charge is for arrogant conduct towards a superior, then it must be so stated
in the charge sheet given in the occasion on which the misconduct was
committed and in respect of which particulars.

 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.

 When an employee is charged for using objectionable and offending language,

then the actual words used must be stated in the charge sheet.

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  While verbiage is to be avoided, use of any abbreviations such as etc., must be
equally shunned. Phrases such as any other document is vague and ineffective
and so, only reference should be made to a specific thing or a particular person.

 It is important to remember that the language of a charge sheet while being

precise, must be give the impression that the employer has taken the question of
the employee’s guilt as a foregone conclusion.

 The delinquent employee be furnished with the documents and reports as

referred to in the charge sheet otherwise his termination will be quashed.

 As far as practicable the language of a charge sheet must be simple and be one
that is commonly understood or in common usage.

 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.

 Another thing is , pm which caution is necessary, is to make use of the term

about in relation to the date and time of a particular incident of misconduct.

 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.

 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.

 The charge sheet must be signed by the competent authority.

 A Charge sheet, issued after long delay of the misconduct, will vitiate the enquiry.

 Another important, on request of the delinquent the employer may serve the
charge sheet in his mother tongue (along with English version).

 One of the fundamental rules of natural justice is that the person affected should
have full and true disclosure of the facts sought to be used against him. He must
know the nature of the misconduct alleged against him and must be acquainted
with it in the first instance, it means that the charge sheet is the sine qua non of
the domestic enquiry. The heart of the matter is that no disciplinary action can be
initiated against the employee or a workman unless he is first served with a
charge sheet containing all charges and their essential particulars. So while
drafting a charge shet the attempt should be to ensure that the charge mentioned
in the charge sheet is specific as well as complete in all essential constituents.

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  Principles of natural justice require that the person charged should know
precisely the nature of the offence so that he may be able to explain what he has
to say about it an prove innocence in the matter. Vague allegations should be
avoided while drafting a charge sheet.

MODEL PRO-FORM FOR GENERAL CHARGE-SHEET

To

Mr./ Ms……………………..
Emp.No…………………….
Designation………………..

It is reported against you that on ________(date) at ________(time) you_____ (mention

clearly the act or acts of misconduct alleged).

The acts, as alleged above to have been committed by you, amount to misconduct
which, if proved, would warrant serious disciplinary action against you.

Accordingly, you are hereby required to show cause within _______ days of the receipt
hereof as to why you should not be dismissed or other wise punished.

Should you fail to submit your explanation as required, It will be presumed that you
admit the charges and have no explanation to offer and the matter will be disposed of
without any further reference to you.

Since the charges, leveled against you, are of grave and serious nature, you are herby
suspended pending further proceedings and final orders in the matter.

The receipt of this letter should be acknowledged.

AHTOHRISED SIGNATORY

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PRO-FORMA FOR NOTICE FOR SUSPENSION ORDER PENDING ENQUIRY:

To

Mr./ Ms……………………..
Emp.No…………………….
Designation………………..

Whereas the charges amounting to gross misconduct (s) and indiscipline againt you
have been leveled in accordance with Company Service Rules / Standing Order
No……as per charge-sheet dated………..sent to you.

Now, therefore, you are hereby placed under suspension with effect from………under
clauses………..of the Factory / Company Rules / Standing Orders. Your suspension
has been considered necessary in order to maintain proper discipline in the Factory /
Company / Establishment and to conduct proper enquiry against you.

You will be entitled to receive subsistence / suspension allowance of Rs……. During the
period of suspension.

AHTOHRISED SIGNATORY

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II. DOMESTIC ENQUIRY

The domestic enquiry in a private employment is that of mistrust which arises

essentially because the Charge-Sheet is given by the employer and the enquiry is also
held by an officer or an outsider appointed by the employer. As such the employer is
represented both, the prosecutor and the Judge. A suspicion of bias is inevitable in such
a situation. This is the main reason that the delinquent employees do not have faith in
the enquiry officer. They participate reluctantly and take every possible step to frustrate
the enquiries. They raise number of objections right from the validity of the appointment
of enquiry officer. They also demand to be represented either by a lawyer or the union
leaders. They ask for a number of documents whether relevant or not. Also, the
delinquent employees or their representatives do not restrict the cross-examination of
the witnesses and the enquiry officer has to take a decision under the given
circumstances. Even when the enquiries are held by top bureaucrats or the judicial
officer, one flaw or the other can be found which vitiates the whole enquiry. An attempt
is made to clarify various aspect which should be taken care while holding an enquiry.

GUIDELINES FOR HOLDING AN ENQUIRY:

 A domestic enquiry is held by an Enquiry Officer who is not a Judge but at the
same time the Principles of Natural Justice have to be complied with so that
proper opportunity is given to the charge-sheeted employee Ex.: to be heard,
to cross- examine the witnesses, to produce his document, with witnesses and
himself.
 The enquiry officer should neither be the Disciplinary Authority nor in any way
connected or witness to the misconduct(s).
 An advocate can also be appointed as an Enquiry Officer.
 When an Enquiry officer is appointed from the establishment, he should preferably
be superior in status of the charge-sheeted employee.
 The notice for holding of enquiry with time, date and venue of enquiry be sent by
the Enquiry Officer to the charge-sheeted employee and to the Management by
Registered A.D. Post . A personal delivery of the notice through a messenger can
be appropriate when the charge-sheeted employee has not been placed under
suspension.

 While fixing the hearing o enquiry, the charge-sheeted employee be given

reasonable time for appearance so that he could prepare his defence.

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 First of all, the attendance of the parties including the Enquiry Officer, charge-
sheeted employee and the management representative are to be recorded and
duly signed by them to this effect in the proceedings or the order sheet, if made
separately.

 The whole procedure be carried out in good faith and without any bias or intent of
malice.
 For the sake of brevity, the abbreviations are used as EO (Enquiry Officer) , CE
(Charge-Sheeted employee), MR (Management Representative),CER ( Charge-
Sheeted employee’s Representative) and MW (Management Witnesses) 1,2
and so on. CEW (charge-Sheeted employee’s Witnesses) 1,2 and so on.
The documents which are produced are to be exhibited as Exh.No. 1,2
and ……..Management documents also be exhibited like that.

 The Enquiry Officer should refrain from asking leading or probing questions to the
charge-sheeted employee.

 The Management Representative be asked by the Enquiry Officer to produce the

list of witness along with documents which should be duly exhibited (by exhibition
of the documents it mean it is construed that they from part of the proceedings in
the enquiry).

 The enquiry proceedings be recorded in triplicate Ex.: one copy for the Enquiry
Officer, one for charge-sheeted employee and the third copy to the Management
Representative.

 The Representation in the enquiry by a lawyer is not permitted unless the Service
Rules or the Standing Orders or Regulations of the Establishment so provide
whereas the Charge Sheeted Employee can be advised to be represented by
any of his co-employees.

 If the management representative as a legally trained person, the charge-sheeted

employee can have representation through a lawyer of his choice.

 The charge-sheeted employee and / or his representative be given an opportunity

to cross examine the witnesses and the evidence should be recorded as produced
by the Enquiry Officer. Thereafter, the charge-sheeted employee be asked to
produce his witnesses and himself, The Management representative be given an
opportunity to cross examine the witnesses of the Management

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 Every page of the proceedings be signed by EO, CE and MR. If there is any
objection either by the CE or MR, it should be dealt by asking the comments of the
other party.

 The next date and time for recording of evidence be duly recorded in the enquiry
proceedings or the order sheet. If made separately, and signatures of both Ex: CE
and MR be obtained at the enquiry proceedings.

 The adjournment, when sought by the CE or CER, be given by the EO even if the
requests to this effect are opposed by the MR.

 The Management Representative should be asked to cross-examine the

witness(es) and if he cross examinees the witness(es), it should be recorded. If the
Management Representative does not want to cross examine the witness(es), the
Enquiry Officer should record this in the following manner.

 After the enquiry proceedings are concluded, the Enquiry Officer should give his
findings of the facts, evidence oral as well as documentary, by dealing with the
salient features of the evidence on the record. The Enquiry Officer should give
finding as to whether the charge has been proved or not or partly proved, as the
case may be.

 The Enquiry Officer should not recommend any punishment to be imposed upon
the charge sheeted employee by the Disciplinary Authority.

 The charge sheeted employee be allowed to cross examine the Management

witnesses and call his own witnesses.

 The charge-sheeted employee be given ample interpretation facilities if the

language of enquiry is not his own.

The following is the model enquiry proceedings

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III. PROCEEDINGS OF AN ENQUIRY

Recording of enquiry proceedings (in triplicate) one for enquiry officer, one for
management’s representative and one for the worker concerned.

Enquiry proceeding into the charge sheet No.________dated______ issued to

Shri______________( name & designation)

Ticket No._______________

Time______________
Date_______________
Place of enquiry________

Present:
(1) Concerned Worker Shri_______
(2) Worker’s representative, Shri_____
(3) Management’s representativeShri_______

The contents of the Charge sheet No.________dated________were read over and

explained to the worker. Since the concerned worker does not admit the charge(s) let
the proceeding of the enquiry be recorded.

OR

As the concerned worker admits the charge(s) leveled against him, it is not necessary to
proceed further with the enquiry, but to record his statement.

Procedure for Recording Evidence

Since the management has to prove the charges the evidence of the management
should be recorded first. The management’s representative should narrate in detail
circumstances I detail leading to the charge-sheet and it should be supported by the
documents/record produced in the enquiry. If the pre-recorded statements are to be
used in the evidence, the concerned worker must be given an opportunity to cross-
examine the person whose statement has been so recorded. Such a person can be
examined as a witness de novo.

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Examination of the witness in support of the charge(s)
Management’s witness No. (M.W.1)
Statement of Shri___________________(name & designation)
Ticket No.________________________
(Record of statement)

Date___________________

_______________________
(Signature of the witness)

Read over, explained and admitted, that the above statement has been correctly
recorded in my presence.

________________________
(Signature of the concerned
worker)

Date__________

(Signature of worker’s representative)

Date___________

_______________________________
(Signature of the enquiry officer)

(After recording the statement of the witness, he concerned worker be asked by the
enquiry officer whether he desires to cross-examine the witness, and if so desired, he
should proceed further with the cross-examination.)
Qs.(By the concerned worker or hi representative)
As. (By Shri____________witness)
(If the concerned worker refuses to cross-examine or does not wish to cross-examine
the witness then the statement to this effect should be recorded as under):
“Opportunity given to the concerned worker as well as his representative to
cross-examine the witness but he refuses to ask any question (s) to the witness/he does
not wish to cross-examine the witness.”

Read over, explained and admitted, that whatever is recorded above, ahs been
recorded in my presence.

____________________________
(Signature of the concerned worker)
Date

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 ___________________
(Signature of MR)

________________________________________
(Signature of the enquiry officer with date & stamp)

If some clarification are to be sought from the witness in support the charges MR may
put specific clarifications, and these clarifications must be recorded in the enquiry
procedure. Re-examination should be permitted only if there is any ambiguity.

Some procedure is to be adopted for recording the other witness. When witness of the
management are examined, the enquiry officer should record the statement of the
management representative to the effect that the management has no other witness to
prove, hence he closes the evidence.

___________________________
(Signature of MR)

Date__________________

When the examination of the witness of the management in support of the charge(s) is
over, the EO should record the statement of the MR to the effect that the management
has no other witness to produce, hence he closes his evidence.

_____________________________
(Signature of the concerned worker)

Date______________

When the examination of witness of the Management in support of the charge(s) is

over, the concerned worker be asked to make a statement or proceed with his
evidence.

_____________________________
(Signature of the concerned worker)
Date_________________

__________________________________
(Signature of worker’s representative)
Date_________________

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 _____________________________
(Signature of the MR)
Date__________________

________________________________
(Signature of the concerned worker)
After the statement of the concerned worker is recorded, the enquiry officer should ask
the management’s representative whether he would like to cross-examine the worker or
his witness (es).

Qs.______________
As.______________
So on and so forth

Date_____________ ________________________
(Signature of concerned worker)

________________________________
(Signature of worker’s representative)

_________________________
(Signature of MR)
Date_______________

If the management’s representative has no questions to ask from he concerned worker,

a statement to this effect should b recorded in this manner:

“Opportunity given to the management’s representative to cross-examine the concerned

worker, but he had no questions to ask from the concerned worker.”

Thereafter the concerned worker should be asked to produce his witness(es).

Worker’sWitness (W.W.1)
Statement of Shri___________________(name, designation and address)
Ticket No.__________etc (if any)
(Record the statement)

________________________
(Signature of the witness)

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Read over, explained and admitted that the statement of W.W.1 has been recorded in
my presence.

______________________
(Signature of worker)
Date__________
_________________
(Signature of the EO)
Date__________

The MR should be asked to cross-examine the witness (es) and if he cross-examines

the witness (es), it should be recorded. If the MR does not want to cross-examine the
witness (es), the EO should record this in the following manner:

“The MR does not want to cross-examine the witness(es), of the worker despite an
opportunity given to him to this effect.”
_______________________________
(Signature of the MR)
Date___________

_______________________________
(Signature of the concerned officer)
Date___________
-
______________________________
(Signature of worker’s representative)
Date___________

In a domestic enquiry, no arguments are required t be advanced by either of the parties

after producing evidence for or against. The EO, should thereafter submit his written
finding to the management.

Finding/Report of the EO

In the matter of charge sheet No._______dated______issued by

M/S___________hereinafter referred to as ‘Management’ to
Shri______________(hereinafter referred to his concerned worker)

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 PRESENT

____________________________
(Name & designation of the EO)

APPEARANCES

1. Shri________________(MR)
2. Shri________________(concerned worker)
3. Shri________________(representative of the concerned worker)

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 REPORT

This report is the subject matter of the enquiry instituted by

M/S_____________hereinafter called the ‘Management’ against
Shri____________hereinafter called the ‘Concerned worker’ and arises out of the
charge(s) framed against him in the charge-sheet
No._________dated_________whereby the Management has leveled the charges
which, in brief are as under:

(Briefly narrate the charges)

since the concerned worker has denied the charges, the MR who was directed to
produce the evidence in support of the charge(s) has produced the following
documents:
(Herein give the detail and description of the documents.)

1.________________
2.________________
3.________________

the management has further produced oral evidence by producing_______witness, who

have stated__________(number)

(herein narrate in seriatum the important points of evidence of the Management)

the concerned worker has produced the following documents:

1.__________
2(herein give the detail and description of the documents)
3.___________

the worker concerned has produced oral evidence by producing__________witness

who have stated___________(number)

(herein narrate in seriatim the important points of evidence of the witnesses of the
concerned worker)

Finding (Report of the enquiry)

Guidelines for preparing the findings/report by the EO
1. It should be self-contained
2. The facts be stated briefly and embody the reasons for the conclusions arrived at
3. The conclusion should be based on the evidence led by the parties
4. There should be no perversity
5. There should not any bias or partiality
6. The EO should not recommend the punishment even when the charges as leveled are proved against the
delinquent employee.
7. The report of the enquiry officer must be a speaking order in the sense the conclusion is to be supported by
reasons.

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4. MODEL FORMS

PRO-FORMA FOR A LETTER TO THE ENQUIRY OFFICER FOR CONDUSCTING

ENQUIRY AND CONVEYING HIS ACCEPTANCE

To

Mr. / Ms…………………………..
……………………………………

Sir / Madam,

The Management has issued a charge-sheet to one of the employees calling for his
explanation thereto. The explanation, has been found to be as unsatisfactory. The
Management has decided to hold an enquiry by giving an opportunity to the delinquent
employee to defend himself.

The Management has decided to appoint you as an Enquiry Officer and we need your
formal approval which may kindly be conveyed at your earliest.

Please be assured that the Management will extend full co-operation in this context and
Mr. / Ms……………. Has been appointed as its representative.

Thanking you,

Yours Sincerely,
For & on behalf of the Management

Authorised Signatory

CC: Mr./ Ms.---------------------------, you are appointed as Management’s Representative

to co-ordinate with the Enquiry Officer.

Note: After the disciplinary authority decides to order an enquiry, it may hold the same itself or appoint an
Enquiry Officer for that purpose in the absence of a provision to the contrary in the in the service or
discipline rules concerned. The Enquiry Officer functions only as a delegate of the disciplinary authority,
whose conclusions and recommendations may or may not find favour with the disciplinary authority.

The prerequisites of a person to be Enquiry Officer may thus be summarized as under.:

(a) The appointment of the Enquiry Officer should be made by an authority competent to take
disciplinary action against the workman concerned.
(b) Before making the appointment of a person to act as Enquiry Officer, it must be seen that he is a
person with open mind, a mind which is not biased against the workman concerned.
(c) A person to be Enquiry Officer must be a Responsible Officer or High Status commanding
respect from the workman. He should not be a person of lower status and should not be judge in
his own cause.

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PRO-FORMA FOR A NOTICE TO THE CHARGE-SHEETED EMPLOYEE FOR
HOLDING ENQUIRY:

To

Mr./ Ms………………….
Emp.No…………………
Designation……………..

Ref: Your explanation dated ………………..in response to the charge-sheet

dated………………

We are in receipt of your explanation dated…….in response to the charge-sheet

dated……..After careful consideration of your explanation, which has been found
unsatisfactory, it is considered desirable and necessary to conduct an enquiry into the
charges leveled against you. You are hereby informed that the enquiry will be
conducted by Sri……………….who has been entrusted with assignment to hold the
enquiry.

You are, therefore, directed to attend and participate in the enquiry proceedings with all
the necessary document, evidence and witness (es) that you may seek to rely upon in
your defense. You are further intimated that if you fall to attend the enquiry proceedings
without sufficient cause, the enquiry will be proceeded ex-parte without notice to you.

For & on behalf of the Management

Authorised Signatory

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 DRAFT OF NOTICE AFTER RECIEPT OF ENQUIRY REPORT

To
----------------------
----------------------
----------------------

This has reference to the charge sheet dated __________ issued to you and the
enquiry held thereafter. We have since received the report of the enquiry officer,
wherein the charges leveled against you have been proved.

Before we consider the findings of the enquiry officer, you are hereby given an
opportunity as to what you have to say o the findings. You are given a period of three
days to submit your reply. In case we do not hear from you within the stipulated time
period, necessary action will follow, without further reference to you.

Manager/ Competent Authority

- PBS.KUMAR - 22 -
NOTICE OF DISCHARGE TO AN EMPLOYEE

To
_______________
_______________
_______________

This has reference to the charge sheet dated_________ issued to you & enquiry held
thereafter. We have duly considered the report of the enquiry officer and are satisfied
that the charges as leveled against you have been proved against you in the enquiry.

In view of the serious nature of misconduct committed by you & fully proved against
you, it has been decided to dispense with your services. However, on compassionate
grounds considering extenuating and aggravating circumstances, the management,
instead of dismissing you from services has decided to impose lesser punishment of
discharge on you with immediate effect from____________

Your final payment of dues including wages for 1 month in lieu of notice will be made to
you in the office on or before____________ during office hours on any working day
after you hand over the charge.

Manager/ Competent Authority

- PBS.KUMAR - 23 -
 ORDER OF DISMISSAL

To
_______________
_______________
_______________

We have received the enquiry report that was held on_______________ against you
consequent to the charge sheet dated______________. After going through the
proceedings of the enquiry, we find that the charges have been proved against you.

Since the charge (s) committed by you is/are of serous nature, the appropriate
punishment is dismissal from service. You are therefore, hereby dismissed from service
with effect from ____________ you can collect your dues, if any, and settle your
account on any working day during the office hours from Accounts Department.

Manager/ Authorised person with designation

C.C : - The Accounts Deptt. for information if necessary action.

- PBS.KUMAR - 24 -
 ORDER OF REDUCTION IN RANK

To
_______________
_______________
_______________

Your past conduct and service records reveal that you have no initiative or sense of
responsibility. Frequently, you have stayed away from duty & neglected your work. Time
& again you were warned/ reprimanded but there has been no improvement. We tried
our best to motivate you to take interest in the work & to observe regularity & punctuality
but of no avail. You have been as careless as ever & have refused to perform your
duties seriously. Your carelessness has not caused the work to suffer but it is also likely
to effect the discipline among other members of the staff.

Under circumstances we are of the concerned opinion that the post held by you entails
greater responsibility that you can shoulder as you lack necessary initiative, which is
required for the post. Therefore, we hereby give you 1-month notice to relieve you from
the present post and instead assign you post of____________ with immediate effect
from_______________. This post entails lesser responsibility & we feel that you will be
able to perform your duty more satisfactorily in this capacity. However, you will be
entitled to only those benefits and salary that the post caries.

We must also make it clear that if you fail to show marked improvement & continue to
conduct yourself in the way you have been doing, we shall be constrained to dispense
with your services after holding enquiry, if necessary.

Manager/Authorized person with designation

C.C: - The Accounts deptt for information & necessary action.

- PBS.KUMAR - 25 -
 ORDER OF WITHOLDING ANNUAL INCREMENT/(S)

To
_______________
_______________
_______________

In continuance of the charge sheet dated_____________ issued to you & the Enquiry
held into the charges, this is to inform you that we were satisfied that you are found
guilty of the charges leveled against you and severe punishment including
dismissal/discharge can be inflicted upon you.

However, on going through your past record & considering the nature of the misconduct
by you the undersigned decide that this time a milder punishment will meet the ends of
justice. Therefore, it has been decided to withhold your annual increment
for___________year/years.

During the period for which your annual increment is being withheld the management
will watch your performance and conduct and if found satisfactory the grant of
increment/ increments to you will be reconsidered on the expiry of the said period.

Manager/ Authorized person with designation

C.C: - The Accounts deptt for information & necessary action.

- PBS.KUMAR - 26 -
 ORDER OF IMPOSING FINE AS A PUNISHMENT

To
_______________
_______________
_______________

This is in continuance of the charge-sheeted dated__________ issued to you & the

enquiry held in pursuance thereof. As a result of the enquiry, the management is
satisfied that the charges leveled against you amply proved.

On the bases of the charges proved against you, dismissal from service would be rather
appropriate in the ordinary course but in consideration that this for the first time that you
have been found guilty of the charge, the management decides to afford you an
opportunity to improve yourself & instead of awarding the extreme penalty, impose upon
you a fine of Rs._________ as punishment.

Manager/ Competent Authority

Date: -

C.C: - The Accounts Dept

- PBS.KUMAR - 27 -
PROFORMA SUGGESTED FOR A CHARGE SHEET TO AN EMPLOYEE FOR
HABITUAL ABSENTEEISM

TO

Following are the charges against you:

Perusal of your attendance record reveals that you are in habit of absenting yourself
from your duties without any information and proper sanction of leave. Your absentee
spells are on an increase and your absentee record for the preceding ________years
are reproduced hereunder.
MONTH DATES NO. OF DAYS OF
UNAUTHORIZED
ABSENCE
________ __________ ________________
XXX XXX XXX
XXX XXX XXX

You have been verbally advised to improve you attendance record and not to indulge in
unauthorized absence from duties. But despite these verbal advises/reprimands and
assurance given by you, you have not shown any improvement in your attendance.

The above act of habitual absence on your part constituted major misconduct under
certified standing orders of the company applicable to you and also affects the work of
the company.

You are hereby required to submit your explanation, if any to this charge-sheet within 3
days from its receipt failing which it will be presumed that you have no explanation to
offer and the management will be free to take any action that may be deemed proper in
you case.

For _________________________

(Authorized Signatory)

- PBS.KUMAR - 28 -
PROFORMA SUGGESTED FOR CHARGE SHEET FOR SLOWING DOWN WORK

To,

It is reported against you as under:

1. That on______(date) at about________(time) while on duty, you in combination

with others, deliberately slowed down the work in a concerted manner and
instigated Mr.B & C to adopt ‘go slow’ tactics. You further threatened Mr. D who
did not want to follow the suit.

2. That while you prior production was_____ per day, your production on ________
and thereafter has been deliberately brought down to______ which is much
below the normal production of a worker of average efficiency.

3. That the above acts/omissions on your part are highly objectionable being
prejudicial to the interest of the company, which has to compete with other
efficiently run enterprises.

4. That despite repeated advice not to adopt to ‘go slow’ tactics, by your
superior/superiors, you did not adhere to the actual norms of production, you
have been maintaining earlier but instead, kept on idling away your time.

5. As a result of your ‘Go Slow’ tactics and instigating others to slow down the
work/production has considerably gone down, resulting into loss to the company.

6. The above acts on your part constitute major misconduct under certified standing
orders no.______ and no._____ of the company applicable to you.

You are hereby required to submit your explanation, if any to this charge-sheet within 3
days from its receipt failing which it will be presumed that you have no explanation to
offer and the management will be free to take any action that may be deemed proper in
you case.

For _________________________

(Authorized Signatory)

- PBS.KUMAR - 29 -
5. THE IMPORTANCE OF Sec.9-A ‘NOTICE OF CHANGE’ IN INDUSTRIAL
DISPUTIES ACT, 1947.

Under this section ‘No’ employer, who purposes to effect any change in the conditions
of Service applicable to any workman in respect of any matter specified in the IVth
Schedule of the I.D. Act., shall effect such change or changes;

(a) Without giving to the workmen likely to be affected by such change a notice in
the prescribed manner of the nature of the change or changes proposed to be
effected ; or
(b) Within 42 days of giving such notice ;
Provided that no notice shall be required for effecting any such change or
changes.

(a) Where the change is effected in pursuance of any settlement or award or

(b) Where the workmen likely to be affected by the change are persons to whom the
Fundamental and Supplementary Rules, Civil Services (Classification, Control
and Appeal) Rules, Civil Services (Temporary Service) Rules, Revised Leave
Rules, Civil Services Regulations. Civilians in Defence Services (Classification.
Control and Appeal) Rules of the Indian Railway Establishment Code or any
other rules or regulations that may be notified in this behalf, by the appropriate
Government in the Official Gazette apply.

- PBS.KUMAR - 30 -
PRO-FORMA FOR NOTICE FOR CHANGE UNDER SECTION 9-A OF THE
INDUSTRIAL DISPUTES ACT, 1947;

ON LETTR HEAD OF THE ORGANISTION

CHANGE OF EMPLOYEES SERVICE CONDITIONS NOTICE

(UNDER Sec. 9-A)

In accordance with section 9-A of the Industrial Disputes Act, 1947, we hereby give
notice to all concerned that it is our intention to effect the change specified in the
annexure, with effect from………….(it should be after expiry of 21 days) in the
conditions of service applicable to workmen in respect of the matters specified in the
IVth Schedule to the said Act.

Yours Sincerely,
For & on behalf of the Management

Authorised Signatory

CC: To
1. Secretary of the Registered Trade Union.
2. Dy. Commissioner of Labour.
3. Asst. Commissioner of Labour.

ANNEXURE 2
FORM B

There has been erratic electric supply on Sunday when the weekly off day is observed.
On representation made to the Authorities under the Electricity Board, the Management
has been allowed to change the weekly of Sunday to Monday and as such all the
workers are notified that after expiry of the notice period, they will have to work on
Sunday instead of Monday.

NOTICE: Any employer intending to effect any change in the conditions of service applicable to any workman in
respect of any matter specified in the Fourth Schedule (to the Act) shall given notice of such intention in Form-E.

The notice shall be displayed conspicuously by the employer on a notice board at the main entrance to the
establishment in the Manager’s Office besides that it will be sent to the concerned workmen individually more
particularly when there is no trade union.

Provided that where any registered trade union of workmen exists, a copy of the notice shall also be served by
registered post on the Secretary of such union.

- PBS.KUMAR - 31 -
6. COMPLAINTS AND ITS DISPOSAL

1. A written complaint is desirable to initiate disciplinary proceedings.

2. Disposal of complaints by factory manager.
(a) Non-performance of duty
(b) Insubordination
(c) Disobedience

PRELIMINARY ENQUIRY

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.

- PBS.KUMAR - 32 -
 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.

- PBS.KUMAR - 33 -
 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.

CONFESSION: -

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.

- PBS.KUMAR - 34 -
7. GRIEVANCES AND GRIEVANCE HANDLING

1. Grievances or conflicting thoughts are part of industrial life.

2. It is essential to bring this conflict to the surface.

3. All conflicts cannot be eliminated but their exposure will contribute towards their
reduction.

4. Such exposures lead to adjustments and further improved organizational

effectiveness.

METHODS OF BRINGING CONFLICT TO SURFACE

1. Grievance procedure
2. Direct observation
3. Suggestion boxes
4. Personal counselor
5. Exit interviews
6. Miscellaneous channels

GREIVANCE

(A) Dissatisfaction is any state or feeling of discontent

(B) Dissatisfaction orally made known by one employee to another is a

complaint.

(C) A complaint becomes a grievance when brought to the notice of the

management.

According to Fillipo, “The term would include any discontent and dissatisfaction that
affects organizational performance. It can either stated or unvoiced, written or oral,
legitimate or ridiculous.
(a) A complaint is a discontent that has not assumed importance.
(b) A complaint becomes grievance when the employee feels that
injustice has been committed.

- PBS.KUMAR - 35 -
CHARACTERISTICS OF GRIEVANCES

(i) It may be unvoiced or expressly stated.

(ii) It may be written or oral
(iii) It may be valid, legitimate or untrue or false.
(iv) It may relate to the organizational work.
(v) An employee may feel an injustice has been done.
(vi) It may affect the performance or work.

Grievances generally give rise to unhappiness, frustration, indifference, discontent, poor

morale, and poor efficiency THAT IS CHANGE IN ATTITUDE, PERCEPTION AND
BEHAVIOR.

TYPES OF GREIVANCE

(a) Visible grievances

(b) Hidden grievances

An employee may feel that there has been an infringement of his rights.

Grievances exist in the minds of individuals.

Grievances may be concerning employment, working conditions, change of service

conditions, biased approach, non-application of principle of natural justice, work loads
and work norms.

NEED FOR GRIEVANCE PROCEDURE

(i) Identification and analysis of grievances, nature nod causes.

(ii) Helps at formulating and implementing the policies and programmes.
(iii) It is problem solving, dispute-settling mechanism.
(iv) Strengthen good industrial relationship.
(v) It detects the flaws in working conditions and helps to take corrective
measures.
(vi) Build good morale, maintains code of discipline.
(vii) Brings uniformity in handling grievances.
(viii) It develops faith of employees.
(ix) Reduces personality conflicts.
(x) It acts as a pressure valve.
(xi) Provides judicial protection to the employees.
(xii) Provides avenues to present the problems.

- PBS.KUMAR - 36 -
GRIEVANCE REDRESSAL SYSTEM

Enables the parties to resolve differences in peaceful, orderly and expeditious manner.

Enables the parties to investigate and discuss the problem

(i) Open-door policy
(ii) Step ladder type
(iii) Grievance handling committee

BASIC ELEMENT OF GRIEVANCE PROCEDURE

1. Existence of sound channel.

2. The procedure should be simple, definite and prompt.
3. It should be clearly defined.
4. Helpful attitude of management.
5. Fact-oriented system.
6. Respect for decisions.
7. Adequate publicity.
8. Periodic Review.

STEPS IN HANDLING GRIEVANCES

1. Receive and define the nature of dissatisfaction.

(a) Manner and attitude when complaint is received
(b) Assessment must be made that the complaint is presented fairly.
(c) Statement and issues must not be pre-judged.
(d) Proper time and attention is given.

2. Get the facts

(a) Facts be separated from impressions and opinions.
(b) Consult the policies.
(c) Consult the records.

3. Analyze and decide.

4. Apply the answer.

5. Follow-up

- PBS.KUMAR - 37 -
DO’S IN HANDLING GRIEVANCES

1. Investigate and handle each case carefully

2. Talk to the employee.

3. Enforce the time limit.

4. Visit the work area or place of grievance.

5. Determine witnesses.

6. Examine records.

7. Examine witnesses.

8. Evaluate grievance.

9. Permit full hearing.

10. Identify the relief an employee is expecting.

11. Command the respect of all.

12. All discussions privately.

13. Keep superiors informed.

14. Ensure proper productivity.

15. Stick to labour agreements.

- PBS.KUMAR - 38 -
 8. MISCONDUCT AND DISCIPLINARY ACTION

WHAT IS MISCONDUCT?

Any act or omission on the part of an employee which is a breach of any duty, obligation
or assignment arising under or flowing from any law or contract of employment or
service rules or standing orders, settlements or awards or improper conduct or wrongful
behavior is a misconduct.

TYPE OF MISCONDUCTS

Minor Misconducts

The following acts or omission on the part of an employee shall amount to minor
misconduct:
1. Late coming
2. Absence from duty without leaves for a period of less than six days
3. Loitering, gossiping in department during working hours
4. Failure to ware tight clothes/specified uniform.
5. Negligence of duties or neglect of work.

Major Misconducts

The following acts or omission on the part of an employee shall amount to major
misconduct:
1. Willful insubordination or disobedience of any lawful and reasonable order of a
superior.
2. Going on legal strike or abetting, inciting, instigation.
3. Willful slowing down in performance in work or instigation there of.
4. Theft, fraud or dishonesty in connection with the employer’s business or
property.
5. Taking or giving bribes or any illegal gratification.
6. Habitual absenteeism without leave for more than 10 consecutive days or over
staying the sanctioned leave without sufficient grounds.
7. Habitual breach of any standing order or any law applicable to establishment.
8. Collection without the permission of the manager or any money within the
premises of establishment.
9. Engaging in trade within the premise sof establishment.
10. Drunkenness, Riotous, Disorderly or indecent behavior on the premises of the
establishment.
11. Commission of any acts subversive of discipline or rude behavior on the
premises of the establishment.
12. Habitual neglect of work or habitual negligence.
13. Canvassing for union membership or collection of union funds within the
premises of the establishment.

- PBS.KUMAR - 39 -
 14. Willful damage to work in process or any property of te establishment.
15. Holding meetings inside the premises of establishment without the permission of
the manager.
16. Disclosing to any unauthorized person any information in regard to the
processes of the establishment.
17. Gambling within the premises of establishment.
18. Smoking or spitting on the premises of the establishment, where it is prohibited.
19. Failure to observe safety instructions notified by the employer or interference
with the safety devices.
20. Distributing or exhibiting within the premises of establishment and bills,
pamphlets and posters.
21. Refusal to accept a charge sheet order or other communication served in
accordance with the standing orders.
22. Unauthorized possession of lethal weapon in the establishment.

PENALTIES FOR MINOR MISCONDUCT

Warning, fine, passing adverse entry in service records, recovery of loss of goods for
which the concerned workman is accountable, recovery from wages of the whole or part
of any loss caused by the workman through negligence.

PENALTIES FOR MAJOR MISCONDUCTS

The following penalties may be imposed for good and sufficient reasons if an employee
found guilty of major misconduct.

Warning or censure, withholding of increment, fine, stopping promotion, demotion,

suspension, discharge, dismissal, vacation of company quarter or any other punishment
which the manager may deem fit.

PROCEDURE FOR AWARDING PENALTIES FOR ACTS OF MINOR MISCONDUCT

Where allegation of misconduct against the workman are of minor nature, he is called
upon the position verbally or otherwise. The manager or his authorized representative
after hearing the concerned workman will decide if the workman deserves any
punishment an if so pass orders accordingly. It is not necessary to hold enquiry in such
cases.

- PBS.KUMAR - 40 -
PROCEDURE AND CONDUCT OF ENQUIRY

1. The I.D Act or any other law does not prescribe any procedure to be followed by
the employer in domestic inquiry.

2. In the absence of any statutory provision, the domestic enquiry do need not
confirm to all the requirements of judicial proceedings, they however, must satisfy
the essentials of principle of natural justice.

3. The guiding principle therefore, is that domestic enquiry should be conducted

without bias and by giving the delinquent employee an opportunity for adequately
presenting his case.

4. Apart for compliance with the rules and principles of natural justice, the domestic
enquiry must be held honestly and bonafidely.

COMPLIANCE WITH RULES

1. In holding enquiry standing order in industrial employment should be followed as

the standing orders have force of law and constitute statutory terms of
employment.
2. In holding enquiry statutory rules framed for the purpose should also be followed.
3. The enquiry must be conducted by an authorized person.

SUSPENSION PENDING ENQUIRY

A workman who committed a major misconduct may be placed under suspension by the
manager. A workman under suspension shall not leave the town during the period of
suspension without prior permission of the manager. A workman who placed under
suspension pending enquiry shall be entitled during the period of such suspension to
subsistence allowance in the following manner:

(a) From the date of suspension till the date he replies to the charge sheet is
received by the manager (nil.)

(b) For the first 30 days from the date of receipt of reply of the charge sheet—
50% of the normal wages and dearness allowance.

(c) For the next 30 days--- @ 60% of the normal wages and dearness
allowance

(d) From the 91st day onwards--- @ 75% of normal wages and dearness
allowance.

The workman shall not be entitled to subsistence allowance in case he takes up

employment during the period of suspension.

- PBS.KUMAR - 41 -
CHARGE SHEET AND ENQUIRY

A) A workman against wage misconduct is alleged and is placed under suspension

shall be served with a charge sheet within a week from the date of suspension.
The charge sheet should be specific and give full details for the charges leveled
against him. The date, time and place of incident should be mentioned in the
charge sheet. When the misconduct depends on offending language, then actual
words used should be specified in the charge sheet. The workman shall be called
upon to submit his explanation within 48 hours, which may be extended for 6
days for sufficient reason on request in writing from the workman concerned.

B) If the workman admits the charges against him, no enquiry need to be held and it
shall be open to the manager to award punishment as he deems proper without
holding the enquiry.

C) If the workman does not submit his written explanation or explanation submitted
by him are not found to be satisfactory or if he denies the charges alleged
against him, an enquiry shall be held.

D) The workman concerned in enquiry shall sign at the end of each statement
recorded in his presence. Such workman may be assisted by another workman
of his choice but he must be working in the company.

E) The enquiry may be conducted either by the manager or any officer or person
appointed by him for the purpose.

F) The manager shall appoint an enquiry officer and management representative for
the purpose of conducting domestic enquiry.

G) Copy of the charge sheet along with all relevant documents should be handed
over to the enquiry officer.

- PBS.KUMAR - 42 -
NOTICE OF ENQUIRY

a) it is very necessary to convey to the charge sheeted workman the name of

the officer before whom he is to appear. The time, date and place of
enquiry should also be communicated in the notice of enquiry.

b) The management should give its evidence first to prove the charges
alleged against the workman.

c) The enquiry officer can ask the management to serve the notice of
enquiry.

d) The enquiry officer should decide in the beginning as to which procedure

for major misconduct should be followed.

e) If the charges rest on documents alone, it is not necessary to adduce oral

evidence.

EX-PARTE PROCEEDINGS

1. If the employee does not attend on the date of enquiry fixed and
communicated then ex-parte proceedings can be taken against
him.

2. When the worker insist that he must be allowed to be represented

by is council and on refusal of the same he boycott the enquiry
the such enquiry could be held ex-parte.

3. When the worker knows the date of enquiry and does not
corporate then he enquiry officer or does not attend the
proceedings, he cannot complaint if the proceedings are ex-parte.

4. If the worker intentionally refuses to participate in the enquiry,

enquiry can be held ex-parte.

5. If the worker withdraws from the enquiry, it does not mean that he
admits the charges alleged against him. The enquiry officer has to
record evidence of the management in support of the charges.

- PBS.KUMAR - 43 -
JUSTIFICATIONOF NON-ATTENDANCE BY WORKERS

1. Absence on account of protest is not justified. Even if some facility is denied the
worker is not justified to withdraw from the enquiry.

2. If certain documents or copies are not supplied to the workman and he withdraw
from the enquiry, it is not justified and enquiry could proceed ex-parte.

3. When a request of worker for being represented by an outsider or an advocate is

disallowed, he cannot walk out and if he does so, ex-parte proceeding is valid.

4. If absence is on account of genuine illness and he has asked an adjournment on

death grounds, it must be granted.

5. If an employee is on sanctioned leave and seeks adjournment on that ground, it

must be granted.

6. If an employee is on hunger strike and it is not possible for him to defend himself,
adjournment must be granted.

7. Adjournment is sought on the plea that the workman fears physical assault, the
adjournment may not be granted.

8. Enquiry can be held on a holiday also and in the absence an application of

adjournment, the enquiry officer is competent to proceed ex-parte.

9. Enquiry can be held even at night in case the concerned works day and night.

Grant of adjournment s discretion of the enquiry officer, but as such a discretion must
be exercised in a judicial and reasonable manner. An employee cannot be compelled to
attend enquiry. If an employee does not attend an enquiry, then it can be held ex-parte
but he cannot be charged for disobedience of orders.

- PBS.KUMAR - 44 -
ROLE OF THE MANGEMENT REPRESENTATIVE

1. In departmental enquiries, the punishing authorities play a dual role. The said
authority or its nominee conducts the enquiry on behalf of the management and
judges the action of the delinquent employee.

2. The role of management representative is similar to the case of public prosecutor

as he also conducts and pleads the case of management.

3. The role of MR is to conduct the case fairly and with full sense of responsibility.

4. It is not the duty of the MR to suggest any falsehood or suppress any facts.

5. The MR is also not expected to produce evidence, which stands to demolish his
own case.

6. The role of MR can only be discharged properly if he sis equipped with the full
knowledge of the case. The MR should also have the basic knowledge or
procedure and process of domestic enquiry as well as to carry out the cross-
examination of the charge sheeted employee as well of his defense witnesses.

PRODUCTION AND INSPECTON OF DOCUMENTS

When the charge sheeted employee thinks that certain document is likely to be useful
for his defense and is in the possession of the management when he can apply for its
production.

1. When a document is used against an employee, it should be disclosed to him.

2. Records of preliminary investigation if relied upon the management should be

disclosed to the employee.

3. Documents having no evidentiary value need not be disclosed.

4. If no reliance is placed on a document during enquiry then it need not to be

disclosed.

5. Documents necessary for cross-examination or defense should be made

available if asked for.

6. If no prejudice is caused to the delinquent employee by non-production of

documents, enquiry is not vitiated.

7. Inspection of documents can be given as an alternative to production of

documents.

- PBS.KUMAR - 45 -
BIAS IN DEPARTMENTAL ENQUIRIES

A domestic enquiry must be held by an unbiased person. The bias in its proper
significance is departure from the standard of even-handed justice which the law
requires from those who occupy judicial office the doctrine of bias:

1. No man shall be judge in his own case.

2. Justice shall not only be done but manifestly and undoubtedly seem to be done.

APPRECIATION OF EVIDENCE

1. Even though the onus of proving the guilt rest on the management, the
probability or otherwise of the version of incident put forth by he workman has to
be taken into consideration in determining his guilt and it cannot be altogether
ignored.

2. The E.O. while appreciating the evidence should take care that the charges
against the delinquent workman should no deemed to be proved merely on the
facts that the worker could not put up strong defense.

3. If the employee has not produced any defense during enquiry, it cannot give rise
to any presumption that whatever the employer witness states is correct.
Disposition of the witnesses has to be judged on their merits.

4. It is not necessary to prove motives behind the act of misconduct.

5. While appreciating the evidence the E.O. should be extra careful for the
disposition of chance witnesses.

6. The E.O. should not simply disbelief the witness or think unreliable, as the
witnesses are a close relation of either party. Similarly, merely that middle and
senior level officers depose for the management and the workers for the
delinquent employee is no reason to disbelief them.

7. The E.O. while appreciating the evidence should be conscious of the fact that the
credit of a witness does not depend upon his status. Truthfulness is not the
monopoly of persons who are rich and who hold high status.

8. it is not necessary that there should always be one witness to prove any charge.
The reason is that the evidence weighed and not counted.

- PBS.KUMAR - 46 -
 9. The E.O. should not consider the events subsequent to incidence for which an
employee was charge sheeted.

10. In domestic enquiry the Doctrine of Benefit of Doubt is not applicable. Therefore,
an E.O. is under obligation to arrive at conclusion of facts.

11. It is not the concern of the E.O. as to whether the act mentioned in the charge
sheet has been proved or not.

12. E.O. is not interested with the power of imposing the punishment. His duty ends
with the finding of facts.

13. While drafting enquiry report, specific findings should be given on each charge
and in case of each person.

14. The finding should be specific and E.O. should come to conclusive findings of
guilt.

- PBS.KUMAR - 47 -
FINDINGS OF ENQUIRY

1. The whole object of holding a domestic enquiry against a delinquent workman is

to enable EO to decide upon the merits of charges leveled against the employee.
It is therefore, essential that the EO should submit the enquiry report indicating
clearly his conclusion and reasons in support thereof.

2. The EO should not hold anyone guilty of the charges on suspicion. Suspicion,
however reasonable, is not sufficient to punish the employee.

3. EO should not give the findings on assumption of facts and circumstances not
supported by evidence on record.

4. The findings of the enquiry should be based upon the enquiry records and the
EO should not impose his own knowledge of things while writing the report.

5. The EO is not justified in parting extraneous consideration while writing the

enquiry report.

6. While writing the findings, EO cannot omit from considering any material on
record. When EO disbelieves the worker and his witnesses he should give
sufficient reasons.

7. The EO should bear in mind that the interpretation of document is a question of

law. Admission of document thereof should be distinguished from the admission
of the contents of the document.

8. EO should not give findings outside the scope of the enquiry. The scope of the
enquiry is limited to the charges as mentioned in the charge sheet.

- PBS.KUMAR - 48 -
9. FLOW CHARTS
FLOW CHART OF DRAFTING OF CHARGE SHEET

It is the first formal document containing the Articles of charge leveled against the
delinquent employee, enabling him to file his statement of defense against these charges by
specific date.

CHARGE SHEET OF TWO TYPES

MAJOR PENALTY MINOR PENALTY

CONSISTS OF MEMORANDUM CONSISTS OF MEMORANDUM

WITH 4 ANNEXURES: WITH STATEMENT OF
IMPUTATION AND
ANNEX I: Definite articles of charge MISCONDUCT
ANNEX II: Imputation of misconduct
ANNEX III: List of documents
ANNEX IV: List of witnesses

COPIES OF LISTED DOCUMENTS

SHOULD BE GIVEN ALONG WITH
CHARGE SHEET

CO. TO FILE WRITTEN STATEMENT OF

DEFENSE AGAINST THE CHARGES BY
THE STIPULATED DATE

CHARGE SHEET SHOULD CONTAIN

Each charge Rules to be Charges Each article of The proposed

expressed in mentioned framed n a charge to be penalty
clear & precise correctly language accompanied should not be
term. Separate understood by by a separate mentioned in
charge for each the delinquent statement of the charge
allegation official. imputation sheet

- PBS.KUMAR - 49 -
FLOW CHART OF DISCIPLINARY PROCEEDINGS
Not entertained Complaint rejected dropped
Admin action*

Preliminary IRO IRO DA’s

Complaint Pursued investigation Pursued investigation finding decision
s

MAJOR PENALTY MINOR PENALTY

Action Action
Preliminary
hearing of Appointment Witness Charge
by IO/PO statement of sheet Statement of
appointment imputation of
by Def. A defense
misconduct

Inspection of docs Regular Prosecution case Defense case Representation

& defense hearing EC/CE/RE EC/CE/RE to the
statements statement of
imputations

Written
Copy of inquiry Inquiry report brief by PO Mandatory
report to CO questions Decision
& Def.A by DA

Representation of Decision by DA A. Major penalty A. Minor Penalty

CO B. Minor penalty B. Exoneration
C. Exoneration C. Administrative action
D. Administrative action*

INDEX

IRO: INDUSTRIAL RELATIONS OFFICER

DA: DEISCIPLINARY AUTHORITY
DEF.A : DEFENSE ASSISTANT
IO: INQUIRY OFFICER
PO: PRESENTING OFFICER
EC: EXAMINATION-IN-CHIEF
CE: CROS-EXAMINATION
RE: RE-EXAMINATION
CO: CHARGED OFFICIAL
DOCS: DOCUMENTS

*ADMINISTRATIVE ACTION
1. System improvement 2.Advisory Memo 3.Caution Memo 4. Warning 5.Recordable Warning

- PBS.KUMAR - 50 -
FLOW CHART OF DISCIPLINARY PROCEEDINGS

STAGE 1:
Written complaint (report of
misconduct)

STAGE 2: Preliminary enquiry

If there is no prima facie, drop

the case

Suspension pending
STAGE 3: Enquiry if necessary

If the situation does not warrant

Order for payment of his immediate suspension, the
subsistence allowance employee will be on duty and
we get on to the next stage.

STAGE 4: Framing charge sheet under Standing Orders

SERVING CHARGE SHEET

Direct service
STAGE 5: Regd. Post/U.P.C
Notice boards
Newspapers

- PBS.KUMAR - 51 -
STAGE 6: Study the reply given by the charge sheeted employee

If the charge sheeted employee If he does not plead guilty and

pleads guilty and reply is the reply is unsatisfactory,
satisfactory proceed with the enquiry.

Major penalty minor penalty indecent exoneration

Proceed no further enquiry

enquiry
Award/punishment

Caution/memo Appointment of enquiry

officer & presenting officer.
STAGE 7:

SERVING ENQUIRY NOTICE:

Direct service/Regd. Post/UPC
STAGE 8: Notice boards/newspapers

If the employee does not report for

enquiry, ex-parte enquiry

ENQUIRY PROCEEDINGS

STAGE 9:
Enhancement or
reduction of
subsistence allowance

STAGE 10: ENQUIRY REPORT

If the employee is fond not guilty,

exoneration & suspension revokal letter
issued.
- PBS.KUMAR - 52 -
STAGE 11: If the charge(s) are proved, check the past record and if any
conciliation or adjudication proceedings are going on, check
Industrial Disputes Act provisions, check whether protected
workman.

STAGE 12: Final show cause notice before punishment, if provided under
rules

STAGE 13:
Study the reply given by the employee to final show-cause notice

Give clarifications, if any asked for in reply to final show cause

STAGE 14: notice

STAGE 15:
Punishment order

STAGE 16: Appeal by the accused employee

STAGE 17: Reply to appeal after review and final punishment order

STAGE 18:
Implementation of punishment order and closing the file

STAGE 19: Contest the case if referred to conciliation/adjudication

- PBS.KUMAR - 53 -
 REGULAR HEARING (ORAL ENQUIRY)

(A) PRESENTATION OF PROSECUTION CASE

Examination of prosecution witness Documents

Questions placed on
Exam In-Ch. By Cross from IO if records and
P.O. if any exam Re- marked as
exam necessary,
witness turns by at any time exhibits
hostile, PO to get CO/Def by
PO during
him declared .A enquiry &
hostile & with if so, he is
IO’s permission, to allow
cross-exam him cross-
and ask loading examine to
questions both the
parties.

(B) PRESENTATION OF DEFENSE CASE

Examination of defense witnesses Defense

document
Questions from placed on
Exam-in-ch by Cross- Re- Io if necessary, record and
CO/Def.A exam by exam at any time marked as
PO by during inquiry & exhibits
CO/Def if so, he is to
.A allow cross-
exam too both
the parties

© CO. MAY GET HIMSELF EXAMINED IN HIS OWN DEFENSE

If he does then, If he does not

then,
Exam-in-ch by Def.A. Cross exam Re-exam
if no Def. A then suo by PO by CO/Def. IO to ask
moto can make a A mandatory
statement questions

- PBS.KUMAR - 54 - Oral enquiry closes

 (D) SUBMISSIONOF BRIEFS & REPORTS OF IO

First by Prosecution with a copy to CO

Then, Defense to give the brief within the stipulated time

(E) EVALUATIONOF BOTH THE BRIEFS

ON THE BASIS OF:

Judicious & objective approach Assessment of evidence on the

without the rigorous procedure of basis of ‘preponderance of
courts. probability’ and not that of ‘beyond
reasonable doubt’

For each stage IO to give his findings whether

a charge is:

PROVED NOT PROVED PARTIALLY

PROVED

Report of IO goes to DA along with extra copy for CO.

- PBS.KUMAR - 55 -
FLOW CHART OF ENQUIRY PROCEEDINGS OF MAJOR PENALTY CASES

DA APPOINTS

INQUIRY OFFICER PRESENTING

OFFICER

Receives appointment
orders

Check records
Presents the case on
Fixes preliminary enquiry behalf of management
and issues notice

Charges read out in

preliminary hearing
Presents the listed
documents for inspection
If not admitted by DA and taking on record.

Directs CO to give

a) Name of Def.A if not already done

b) List of defense documents
c) List of defense witnesses

Fixes the date of regular hearing

Direct P.O to produce witness

Oral enquiry starts

- PBS.KUMAR - 56 -
10. PRINCIPLES OF NATURAL JUSTICE

The Industrial Disputes Act, 1947 lays down that conduct of domestic enquiry in utter
disregard of the principles of natural justice is an unfair labour practice. Therefore, the
principles of Natural Justice need to be kept in mind during the enquiry proceeding: of
course strict rules of Civil Procedure Code and of Evidence Act do not apply to domestic
enquiry.

Natural justice is a term, which summarizes certain minimum standards of

fairness to secure justice or to put it negatively to prevent miscarriage of justice.
The concept of natural justice is varying one and all that it implies is that that
there should be a fair deal for all concerned. Natural justice has no straight jacket
and application of its principles would depend upon facts and circumstances of a
particular case. There cannot be an exhaustive list of principles of Natural
Justice. However, broadly speaking, the following rules of natural justice are of
universal application: -

1. “Audi alterm partem” i.e. hear the other party. It means that no one should be
punished without the proper opportunity of being heard. The employee
proceeded against should be informed clearly of the charges leveled against him.

2. “Nemo judes in cause sua” i.e. no man can be the judge of his own case. To
illustrate, the Inquiry Officer should not be a complainant or a witness of the
alleged misconduct.

3. Justice must not only be done but should also seem to be done. Therefore, the
whole conduct of the Enquiry Officer should be transparent, honest and in good
faith.

4. The procedure with regards to disciplinary action prescribed in the Service Rules
or Standing Orders must be followed both in letter and in spirit.

5. The notice of enquiry should be given sufficiently in advance. If the enquiry is

started straight away without giving such notice to enable the person charged to
prepare his defense, the enquiry would be in violation of the principles of natural
justice.

6. The enquiry should be conducted in the language understood by the employees

proceeded against.

7. the enquiry should be conducted in an orderly manner and not with haste.

8. The employee proceeded against should be informed on the very outset, about
the accusations against him in as clear and specific terms as practicable.

- PBS.KUMAR - 57 -
 9. List of witness proposed to be produced by the management should be supplied
before the start of the enquiry.

10. The concerned employee should be allowed to take the assistance of another
employee in accordance with the provisions of Service Rules or Standing Orders.
But he cannot be allowed to engage an Advocate unless the Presenting Officer
pitted against him as an Advocate or he is otherwise a legally trained person or
when complicated questions or fact of law is involved.

11. All the documents sought to be relied upon by the management to prove the
charges be placed on the record, at the outset.

12. The basic and cardinal principle is that one who has to prove the charge has to
lead the evidence first. As the management has leveled the charges, it is its duty
to prove the same. The common mistake is that in the course of the enquiry
proceedings the evidence of the delinquent employee is recorded first. This
vitiates the whole enquiry.

13. At the outset, the Enquiry Officer should read out and explain to the concerned
employee the contents of the charge-sheet and ask him whether he admits or
denies the charges. If he admits the charges leveled against him, it is not
necessary to proceed further with the enquiry, but to record his statement.

14. When the concerned employee does not admit the charges, the enquiry has to
proceed further. The witnesses of the management are to be examined in the
presence of the employee and he should be given full opportunity to cross-
examine them.

15. The employee proceeded against should be given fair and reasonable
opportunity to produce witnesses and documents in support of his defense. If he
does not want to produce any evidence, his statement should be recorded to that
effect.

16. Witnesses should be examined in such a manner that a witness cannot hear
what the previous witness has said.

17. If the delinquent employee wants either to inspect the documents or the
statements of the witnesses or to take notes or to have relevant extracts or make
copies thereof, this should not be denied. The basic idea is not to conceal but
reveal the relevant information.

18. After the completion of production of evidence by both the parties, the Enquiry
Officer may hear the Presenting Officer and the delinquent employee or the
enquiry Officer may permit them, if they so desire, to file written brief of their
respective cases.

- PBS.KUMAR - 58 -
 19. Findings of the Enquiry Officer should be based only on the evidence recorded.

20. Evidence, either oral or documentary, which is not produced before the Enquiry
Officer in the presence of the employee, should not be relied upon to prove the
charges.

21. No material should be relied upon the delinquent employee without his having
been given an opportunity of explaining the same.

22. The Enquiry Officer should not be influenced by any fact which might have come
to his notice in his personal capacity or by any other extraneous considerations,
in arriving at the decision regarding the guilt or other wise of the accused
employee.

23. Reasons given by the Enquiry officer for his findings should be adequate though
the ‘benefit of doubt’ theory has little application in domestic enquiries.

24. The report of the Enquiry officer should be a speaking one. That is to say, he
must give reasons for his findings.

25. Findings of the Enquiry Officer on each of these should be clear, precise and
without any ambiguity.

26. The report of the Enquiry Officer should give a clear impression that he is
impartial and free from bias. Bias means an operative prejudice towards one side
or the other.

27. The employee if suspended should be paid due subsistence allowance. In the
cse of Capt. M Paul Anthony v/s Bharat gold mines 1999 (82) FLR 627, the
Supreme Court has termed non-payment of subsistence allowance, during
suspension, slow poisoning and this vitiates the enquiry.

- PBS.KUMAR - 59 -
11 . CRIMINAL PROCEEDINGS V/S DEPARTMENTAL ENQUIRY

1. When misconduct is offence then choice is with the management to prosecute or

start enquiry,

2. It is not necessary to stay departmental proceedings during proceedings before

criminal court.

3. If departmental proceedings on the same charge is not stayed by the criminal

court, it does not amount to contempt of court.

4. Departmental enquiry should not be stayed during police investigation.

5. Employer can await the decision of the criminal proceedings.

6. Employer is not liable to wait till the final outcome of the criminal case.

7. If the worker starts criminal proceedings, he cannot insist that departmental

proceedings should be stayed.

8. Whether strike should be declared illegal before departmental proceedings.

9. If enquiry is held and the worker is dismissed then, subsequent acquittal by

criminal court does not affect.

10. When a person is convicted then it justifies the dismissal order.

11. Effect on departmental action when conviction is set aside.

12. Whether departmental enquiry can be held after acquittal.

13. Whether acquittal by criminal court is binding on the disciplinary authority.

M. PAL ANTHONY V/S BHARAT GOLD MINES AND ORS 1999 FLR (627) & LLR
(499) SC

- PBS.KUMAR - 60 -
12. NOTES ON INDUSTRIAL EMPLOYMENT (STANDING ORDERS)
ACT, 1946

The Industrial Employment (Standing Orders) Act applies to every industrial

establishment wherein one hundred or more workmen are employed or were
employed on any day of the preceding twelve months. It can be extended even to
establishments whose employment of labour is less than one hundred and it does
not apply to an industry to which Cl.VII of the Mumbai Industrial Relations
Act,1946 applies or to any industry to which the provisions of the Madhya Pradesh
Industrial Workmen (Standing Orders) Act, 1959 applies. In other words, normally
the Standing Orders have to be drafted by the employer and their certification
obtained under the Act wherever establishment employs more than one hundred
workmen. In Section 1 (3) the certifying authority is Dy. Commissioner of Labour
in the respective jurisdiction. The employer should required to define with
sufficient precision the conditions of employment under them and to make such
condition known to workmen employed by them. In case the employer fails to get
his standing orders certified, the respective State Model Standing Orders will
become applicable. It is advisable that instead of applying the model standing
orders the employer should get the standing order certified. The standing orders
which are certified under Industrial Employment (Standing Orders) Act become
part of the statutory terms and conditions of service between the employer and
employees.

Any Term or condition of service which is contrary to the standing orders, certified
under the Industrial Employment (Standing Orders) Act, 1964 if incorporated in
the letter of appointment be implemented or acted upon. If the standing orders
make it obligatory to hold an enquiry into an act of misconduct before dispensing
with the services of the delinquent employee then such a provision cannot be
circumvented by having a resort to the terms in the appointment letter providing
removal without enquiry.

- PBS.KUMAR - 61 -
13. DRAFT STANDING ORDERS OF M/S.___________________

1.

a) APPLICATION AND SCOPE :

i) These orders shall apply to all employees of M/s. Arani Agro Oil Industries
Limited.
ii) These orders shall come into force with effect.............

b) RULES REGULATIONS AND NOTICES :

The company may formulate such rules and regulations not inconsistent with these
Standing Orders, and post such Notices as it may from time to time consider necessary.
The rules, regulations, or notices shall apply to the whole, or to any section or sections of
the Company's Employees as may be notified in the said Rules and Regulations and every
workman shall obey the Rules and Regulations applying to this section.

c) THE COMPANY'S RIGHTS :

The Company's rights relating to fines and deductions under the Payment of Wages Act,
1936 and rules made thereunder shall not be effected or prejudiced by the terms of these
Standing Orders.

d) THE WORKMEN RIGHTS :

These Standing Orders shall not deprive the workman of their right to resort to legal
proceedings under any existing law for the time being in force.

e) AMENDMENTS:

The Company may from time to time, amend these orders in accordance with the
provisions of the Industrial Employment (Standing Orders) Act, 1946 or any amendment
thereof.

- PBS.KUMAR - 62 -
2. DEFINITIONS :

In these orders, unless there is anything repugnant to the subject or context :

a) "Company" means the______________________________, situated at Administrative

Offices and Corporate Offices Branches of the Company wherever they are located.

b) "Management" means Managing Director, and/or Executive Director and/or President,

and/or Vice-President and/or General Manager of Factory or any other person authorised to
act on his or on their behalf or on behalf of the company from time to time.

c) "MANAGER" means the Factory Manager as noticed under the Factories Act, 1948 and
any other Officers nominated by the Company as the Manager, for the purpose of these
Standing Orders.

d) "FACTORY" means the __________________ or any similar Factory situated at or

at any other place where the company may start

e) "MUSTER ROLL" includes the attendance register or Muster Roll or Muster Rolls
normally maintained at the time office or any other place specified by the Management for
the purposes of recording the attendance of the employees before the commencement of
work.

f) "ATTENDANCE " means presence of the workman concerned at the place or places
where he is required to report for getting his attendance and continuance of his presence at
the place of his work throughout the period of the shift or office work.

g) "TIME OFFICE" is a place in the premises where every workman is required to appear
for marking his attendance before and after his duty each day in the manner prescribed
from time to time by the management.

h) "WORK MAN" means any person employed in the establishment within the meaning of
Section 2(i) of the Industrial Employment (Standing Orders) Act, 1946.

i) "WORK PREMISES" means the Factory ____________________ or any

site, its Administrative Office premises and percent’s thereof or any other place of work
where a workman is deputed to work.

j) "HABITUAL" means involving repetition of any of commission or omission for more

than 3 times in a period of 12 calendar months.

- PBS.KUMAR - 63 -
k) "WAGE RATE" means rate of pay per day to per calendar month.

l) "MASCULINE" shall include "Feminine" unless otherwise stated and the "Singular" shall
include the "Plural", wherever the context so requires and vice versa.

m) "NOTICE BOARD" shall mean the Board or any place in or at the main entrance of the
________________________ factory or at any other Conspicuous place in the Factory,
where notices meant for workman are ordinarily displayed.

n) "NOTICE" shall means a notice in writing required to be given or posted or displayed for
the purposes of these standing orders.

3. CLASSIFICATION OF WORKMEN:

a) Regular/Permanent b) Probationer c) Temporary d) Badli

e) Casual f) Apprentice g) Trainee h) Stipend.

a) REGULAR/PERMANENT : A Regular/Permanent workman is one who is appointed as

such by a written order of the management who has been engaged on a permanent basis
and includes any person who has satisfactorily completed a probationary period or
extended period of probation.

b) PROBATIONER : Means a workman who is provisionally employed to work in a

permanent vacancy and who has not completed satisfactory service of probation including
absence due to sickness, accident, leave, lock-out, strike (not being an illegal strike) or
involuntary closure of establishments, provided, in any particular case, the management
may extend the period of the probation of any workman upto a further period not
exceeding 12 months if they are not satisfied with the work and or conduct of any
workman during the period of probation. In any case where the period of probation is
extended, the concerned workman shall be informed in writing at least one week before the
normal date of the completion of probation and in the absence of any intimation, the
workman shall be deemed to have satisfactorily completed the probation on the normal
date.

If a permanent workman is employed as probationer (in a higher post) or a vacancy he may

at any time during the probationary period be reverted to his substantive post without
notice.

- PBS.KUMAR - 64 -
 During the period of probation aforesaid the workman's suitability to work and
performance at his job shall be remainder with him by the superior at least once before he
is confirmed or discharged.

c) TEMPORARY WORK : Means a workman who is employed for any work of causal
nature and who has been issued a casual card by the Company.

d) CASUAL WORKMAN : Means a workman who is employed for any work of causal
nature and who has been issued a casual card by the Company.

e) APPRENTICES : Means a person who is undergoing apprenticeship training in a

designated trade in terms of the Apprenticeship Act 1961 and the rules framed thereunder.

f) TRAINEE : Means a person engaged to undergo training in the training programme

initiated by the management. After completion of the training successfully, he will be
given a certificate to that effect. The trainee may be paid stipend or may not be paid any
stipend by the management. The management may fix the period of training programme
which may not exceed one year. The satisfactory completion of training does not impose
upon the management to absorb the trained person in the organisation. The management
may absorb the trainee in the organisation at their sole discretion after the training
programme is completed provided the management feels that he is suitable and also there
is a vacancy existing as on the date. In case the management cannot provide him with a
job, he will be given a certificate to the effect that he has undergone training successfully
in the organisation fit to be absorbed.

The Management can terminate the training period of a trainee without as signing any
reason whatsoever.

h) STIPEND : Means remuneration paid to the persons concerned which cannot be treated as
a 'wages' as defined in various labour enactments and precedents.

4. IDENTITY CARD :

a) Every workman shall be given Identity Card bearing his photograph, name, token No., and
any other particulars deemed necessary by the company and all other workman will be
issued appropriate Identity Card.

b) Every workman shall always wear on his person during the working hours of the Company
and shall show his Identity Card to the Security Personnel at the gate when entering and

- PBS.KUMAR - 65 -
 leaving the Factory or on demand at any time by the security or any other authorised
person to produce it while the workman is inside the work premises.

c) The Identity Card shall not be transferable nor assignable.

d) In case any workman looses his Identity Card he must immediately report in writing to the
Issuing Authority for issue of New Card on payment of Rs.5.00 towards the cost of Identity
Card.

e) The Identity Card issued to any workman shall be surrendered by him on the termination of
his services, or during period of suspension to the Issuing Authority.

f) Any workman who has forgotten to bring his card shall report such lapse to the Security
Personnel who may issue to him a temporary card/permit on that particular day only and
permit him to enter the Factory/Company . At the time of leaving the company it shall be
duty of the workman to surrender the temporary card/permit to the Security Personnel.

5) ENTRY, EXIST AND SEARCH :

a) All workmen shall enter and leave Farm, Factory, Hatchery, Feed Mill or work premises
only by the gate or gates provided for the purposes by the Company. The gate or gates
may be closed during the working hours at the discretion of the Company and the workman
must not leave the Premises without prior permission in writing from appropriate authority
in the form of a gate pass which shall be shown at the gate.

b) On entering or leaving the Factory/Company or work premises and at any time while on
duty, all workmen are liable to be searched by the persons deputed at the discretion of the
Company. Female employees will be searched by female searcher who may be appointed
for that purpose by the Company, provided that no such search shall be conducted except
in the presence of one other person of the same sex as the workman concerned.

c) Any workman who has been granted leave, laid off, suspended, discharged, resigned or is
not working for any other reasons, shall leave the work premises immediately. In case the
workman does not leave the work premises in the aforesaid events, the company shall be at
liberty to take appropriate steps for his removal from the work premises and shall take such
action as presented under the standing orders.

d) The Company has the right to remove from those searched, any articles belonging to the
company or such other articles as the company may consider would endanger the personnel

- PBS.KUMAR - 66 -
 or property of the company and seize the articles found with him as deemed to be the
property of the company. He shall also be liable to disciplinary action in terms of these
standing orders.

6. PUBLICATION OF WORKING HOURS :

The period and hours of work for all classes of workmen in each shift shall be displayed in
English and Telugu in the Notice Board of the establishment and every workman shall
observe such periods and hours compulsorily.

The periods and hours of work for all classes of workmen in each shift will be signaled by
means of a whistle or siren or bell but will not entitle worker to attend late or depart early.

7. PUBLICATION OF HOLIDAYS AND PAY DAYS :

a) Notices specifying the weekly holidays under section 52 of the Factories Act 1948 and
such other days observed and declared by the Company from time to time as Holidays shall
be displayed in the Notice Board.

b) The day or days on which wages will be paid shall be displayed on the Notice Board.

c) All workmen shall be paid wages on a working day on or before the expiry of the 7th day
after the expiry of the work period in respect of which the wages are payable.

d) All such notices required to be posted under these standing orders, when posted on the
Notice Board shall be deemed to have been served on the workman for whom they are
required to be informed.

8. PUBLICATION OF WAGE RATES :

a) Notices specifying the rates of wages payable to all categories of workmen shall be
displayed in English and Local Language on the Company's NOTICE BOARD.

b) An unclaimed wage day (i.e, a day on which wage due to a workman and not paid on the
usual pay day for want of claim) shall be notified on the Notice Boards along with the
notices to be displayed.

c) The unclaimed amount of wages due to a workman shall be paid on the unclaimed wage
day following the day on which a substantiated claim was presented by the workman or on

- PBS.KUMAR - 67 -
 his behalf by his legal representatives provided that such claim is submitted within one
year from the date the claim falls due.

8. NOTICE & METHOD OF POSTING :

General Notices required by these standing orders shall be deemed to be sufficient given or
served if posted on the Notice Boards maintained for such purposes and in case of
absentees, if these concern the individual worker or worker who is/are about and are not of
general nature, shall be sent to their last recorded or known address under certificate of
posting.

9. SHIFT WORKING :

a) Shift working will be regulated in accordance with the provision of the Factories Act.
More than one shift may work in a Department or any Section of a Department at the
discretion of the Company. Notices showing the shifts working in each Department shall
be pasted on the Notice Board. It is open to the company to change the number of shifts
and the shift hours depending on the exigencies of work.

b) Workman shall be liable to the transferred from one shift to another at the discretion of the
Company.

c) Shift working may be discontinued or reduced giving a notice as per Section 9A of the
Industrial Dispute Act, 1947 at the discretion of the company. Permanent workmen
affected by such discontinuance or reduction in the number of shifts will be treated in the
manner as provided for in the Industrial Dispute Act and Rules thereunder.

d) No notice of 21 days for discontinuance of any shift shall be necessary if as a result of the
discontinuance of any shift, no regular workman is discharged.

10. ATTENDANCE AND LATE COMING :

a) All workmen shall be at the work spot at the time fixed and notified under standing order
No.6 and register attendance in the manner prescribed. Workmen shall be liable to be shut-
out and treated as absent if they are not at work spot at the schedule time. However,
workmen who come late may be admitted for work at the discretion of the company
subject to wage deduction for the time of absence from duty as per Payment of Wages Act,
1936 and as amended from time to time.

- PBS.KUMAR - 68 -
b) Workmen shall be allowed 5 (five) minutes grace time at the start of the shift only thrice a
month. But no grace time shall be allowed during mid shift break. If a workman is late for
more than three times in a month, it will be treated as half-day absent on the part of the
said workman and wages shall be deducted for such absence accordingly.

c) No Workmen shall be allowed to leave the work spot during working hours without proper
permission from the appropriate authority in the prescribed form as may be prescribed by
the management from time to time.

d) Any workman who, after getting his attendance registered in the manner prescribed, is
found sleeping or absent from his proper place or places of work during working hours
without permission shall be treated as absent from the place of his work and his wages
shall be subject to deduction in accordance with the provisions of the Payment of Wages
Act, 1936 as amended from time to time. He will be further liable for disciplinary action
as presented under these standing orders.

e) No Workman shall leave machine or plant without being relieved by the reliever. In case
his reliever does not turn-up, the worker shall obtain permission from the in charge, before
leaving the place of work. In case he is directed to stay and continue to work, he shall
comply with the instruction so given and failure to continue work shall be treated as
misconduct under these standing orders.

f) Workmen in emergency may be called at any time even outside their duty hours for
attending any of their jobs, refusal will amount to willful insubordination and disobedience
as mentioned in standing order clause 22 of the orders.

11. NATIONAL AND FESTIVAL HOLIDAYS :

The workman will be given National and Festival Holidays as per the provisions of the
Andhra Pradesh Industrial Establishment (National and Festival) Holidays Act, 1964 and
as announced by the Labour Department of the concerned jurisdiction from time to time.

12. STOPPAGE AND SHUT DOWN :

a) The company may at any time in the event of fire, catastrophe, breakdown of machinery or
stoppage of power supply, epidemic, civil commotion, shortage of raw materials, lack of
orders or other causes beyond its control, stop any section/department/sections/departments

- PBS.KUMAR - 69 -
 of the company, wholly or partially for any period or periods without notice subject to the
provisions of the Industrial Disputes Act, 1947.

b) In the event of such stoppage during working hours the workman affected shall be notified
as soon as practicable, by notices put-up on the Company's Notice Board in the
Departments concerned and on the Notice Board near the main entrance, as to when work
will be resumed, and whether they are to remain or leave their place of work. The
workman so detained shall be entitled to receive wages for the said period as a result of the
stoppage. In the case of piece rate workmen, they will be paid for the period of detention
basing on their average daily rate. No other compensation will be admissible in the case of
such stoppage.

13. RESUMPTION OF WORK AFTER SHUT DOWN :

If an when a Department/Departments are to be re-opened after shutdown, closure, lockout

or stoppage, the date of resumption of work in these Departments will be notified by
Notice on the Notice Board at least 40 hours in advance, or by publishing in local News
Paper.

14. ESSENTIAL SERVICE :

The following Departments and workmen comprise the Company's Essential Services.
They should be available at all times and in all times and in all cases of emergency and
shall not resort to any type of strike.

a) Fire protection.

b) Watch and ward Security/Vigilance.

c) Telephone Operators.

d) Welfare Departments/Services.

e) Maintenance Services and Repairs Departments.

f) Transport.

- PBS.KUMAR - 70 -
g) Power and Water Supply/Boiler House.

h) Dispensary & Hospital.

i) Canteen.

15. TERMINATION OF EMPLOYMENT :

a) Services of permanent workmen may be terminated by either party giving to the other one
month notice in writing or paying one month wages in lieu of such notice, as required,
under the rules of the Company.

b) If any Departmental proceedings are pending against the workman, he cannot resign from
the service, giving notice as required in case the management desired to continue the
proceedings against him.

c) If a workman leaves before the expiry of the period of notice of termination by the
Company, he will be paid only for the period he actually worked. If a workman does not
report for work after giving notice of his intention to resign, or reports for duty for a few
days and stays-away without serving the full notice period, he will be treated as a workman
leaving without notice, and an amount equivalent to his salary or wages for the requisite
period of notice shall be recovered. If a workman gives notice of his intention to resign,
the management may accept resignation and relieve him at once or any time before the date
of expiry of the notice period, in which case he will be paid only for period he actually
works.

16. PROCEDURE FOR APPLYING FOR EARNED LEAVE WITH WAGES :

a) Annual leave with wages shall be attend in accordance with the provisions of the Factories
Act, 1948 and the rules made thereunder, and as amended from time to time.

b) A workman who desires to obtain leave of absence shall apply to the Manager through his
Departmental In-charge at least 14 full working days in advance of his proposed leave.
The manager or the person authorised in this behalf shall issue orders on his application
within a week of his application or two days prior to commencement of leave applied for,
whichever is earlier. In case of emergency, the period of 14 days shall be reduced at the
discretion of the sanctioning authority. If the leave asked for is refused or postponed, the
fact of such refusal or postponement, and the reasons thereof shall be informed to the said
workman and recorded in writing in the Register to be maintained for the purpose.

- PBS.KUMAR - 71 -
c) Sanction of all kinds of leave will be at the sole discretion of the Management depending
on the exigencies of the work of the company. The Company reserves the right to refuse,
revoke or curtail the leave as the exigency of work demands.

d) A Workman may apply for earned leave at his credit or for any portion thereof in
prescribed form. The earned leave shall not be granted in more than three installments, in
a year. However the Manager may at his discretion, relax the limit of 3 installments.

e) Earned leave will not be accumulated for more than 30 days at any time and the un availed
leave over and above thirty days will be brought forward to the next calendar year subject
to the accumulation of 90 days maximum.

f) A permanent workman may apply for causal leave, if there is any settlement/agreement for
such causal leave. The casual leave so applied shall not be more than three days at a time,
out of the entitled casual leave for the year as agreed upon by both the parties from time to
time. Unavailed casual leave except to the extent of leave refused by the management due
to any reasons cannot be brought forward to the next calendar year. In the sense that
unavailed casual leave will lapse at the end of Calendar Year.

g) Casual leave will not be combined with any kind of leave.

h) Casual leave (other than refused) and sick leave will lapse at the end of calendar year or as
per the rules that may be framed by the Company in this regard.

i) A workman who is on leave should not take service or accept any employment or do
anything which involves the receipt of any kind of monetary benefit, salary honorarium or
any sort of emoluments and/or have any profit motive without obtaining the previous
sanction in writing from the management, through proper channel. Any workman
indulging into activities as mentioned herein will make himself liable for disciplinary
action and/or forfeiture of all privileges for that year.

j) The Manager, or any other person authorised in writing by the Manager, will be the
sanctioning authority of any kind of leave as stated above.

k) No workman should leave his head-quarters or premises of the work in anticipation of a

grant of leave/permission of the competent authority in writing.

l) In exceptional cases, an extra-ordinary leave up to a period of 15 days may be granted to a

worker on loss of pay during a year at the discretion of the sanctioning authority. If any

- PBS.KUMAR - 72 -
 workman falls sick, the extra ordinary leave applied for can be extended to the extent
prescribed by the Medical Officer of the company provided this shall be withdrawn if the
workman is covered by the Employees State Insurance Act.

17. EXTENSION OF LEAVE :

If a workman after proceeding on leave, desires an extension thereof, he shall apply to the
Manager in advance and the managers reply sanctioning or rejecting such request shall be
communicate to the workman to reaching him before the expiry of the sanctioned leave.

18. LOSS OF LIEN ON THE APPOINTMENT :

a) If a workman absents himself without leave for 8 days or continuously absents himself
beyond the period of any kind of leave originally granted or subsequently extended he shall
loose his lien on his job unless he returns within 8 days from the date on which he
remained absent or within 8 days of the expiry of extended leave as the case may be and
explains in writing to the satisfaction of the Manager, his inability to return before the
expiry of his leave of his absence without leave.

b) A workman losing his lien in the above manner shall be entitled to be kept on the 'BADLI'
list.

19. ANNUAL INCREMENT :

If any workman fails to put in 240 days of attendance including breaks due to sickness,
accident, leave, lock-out, strike (not being an illegal strike) or involuntary closure of the
establishment in a year i.e., incremental year, he will not be eligible for the granted
increment for that year.

20. TRANSFER :

a) The company shall have the right to transfer any workman at any time from one job to
another of a similar or equivalent nature of department or section or to any. factory where
the company has got its similar nature of work or any other factory or office as the case

- PBS.KUMAR - 73 -
 may be. Without reducing his emoluments and without effecting his seniority. In case of
refusal of such workman shall be considered as absent from the duty for the period of such
refusal and also corresponding deduction shall be made from his wages in accordance with
the permissions of the Payment of Wages Act. Notwithstanding workmen may be liable to
disciplinary action.

b) If a workman is transferred from one department to another, and allotted another work, he
shall carry out that job and abide by the timing of the work in the changed department,
subject to his emoluments and seniority being protected.

21. RETIREMENT :

The company reserves the right to retire from the service any workman who has attained
the age of 58 years or has completed 35 years of full time service in the company
whichever is earlier. Provided that the management may in the discretion extend the
period of service of any workman on reaching the age of superannuating as the case may
be for such longer period as may be considered necessary. If any workman is found for
any reasons physically, or mentally in capable of carrying out the duties, on being so
certified by the medical officer of the company to that effect, may be terminated from
service by giving due notice or wages in lieu of notice and such other compensation as or
admissible under the law. For this purpose every workman at the time of his recruitment
shall furnish proof of age to the satisfaction of the management. Every workman may if he
so choose, rectifies the age, within a period of two years giving valid reasons for such
changes. After the period of two years the request of the workman to rectify his date of
birth or age will not be considered.

In determining the date of retirement, extract from the Birth Register or a School
Certificate or age admitted in LIC Policy will be admitted as proof of his age. In the
absence of either of these proof the age as determined by a Medical Officer authorised by
the Company shall conclusive evidence as to the age of workman.

- PBS.KUMAR - 74 -
22. ACTS OF MISCONDUCT :

Without prejudice to the general meaning, the term misconduct shall be deemed to mean
and include the following :

a) Willful in-subordination or disobedience whether alone or in combination with

another or others of any lawful or reasonable order of a superior.

b) Striking work or inciting workmen to go on strike in contravention of any agreement

of rule having the force of law.

c) Loitering, idling during duty hours and neglecting duty of work including
malingering, sleeping while on duty or remaining in the company's premises after his
normal or extra duty hours in that permission.

d) Irregular in duty and/or habitual late attendance or absence from appointed place of
work during working hours without permission. Failure to carryout work in
accordance with general or specific instructions given by the superior or officers of
the company directly or though delegated authority.

e) Willfully causing damage or breakage or loss to the company's properties or work-in

process including sabotage or abetment or instigation thereof or irresponsible action
resulting in damage to any goods or properties in the. Factory/Company/premises.

f) Theft, fraud, or dishonesty in connection with Company's business or property or

another employees property or customers property in the Factory/Company premises.

g) Habitual absence without leave or absence without leave for more than three
consecutive occasions or over-staying sanctioned leave without sufficient grounds or
proper or satisfactory explanation including absence from the workman's appointed
place or work without obtaining permission.

h) Disclosure, or communication to any unauthorised person, information or documents

relating to the company's business or security measures or any trade secrets in regard
to any work or process used in the Factory/Company/ which may come into the
possession of the workman or using commercialising any invention, discovery or

- PBS.KUMAR - 75 -
 patent invented, discovered or patented in the course of workman's employment
under the company to the benefit of himself or any other person.

i) Participation or incitement to other to take part in activities detrimental to company’s

interest.

j) Taking, giving, offering or demanding bribes or any illegal gratification whatsoever.

k) Deceptive or corrupt practices in connection with the work of the company.

l) Drunk ness or intoxication while on duty, fighting, riotous or disorderly behavior or

indecent behavior including manhandling, beating, abusing, threatening or
intimidating any one within the premises of the Factor/Company as defined in clause
2 (u), or any act subversive of discipline.

m) Distribution or exhibiting inside the works premises, hand bills, pamphlets, or posters
and collection of any money, except as permitted by any law, for the time being in
force, or doing any propaganda work including canvassing for Union Membership or
collection of Union dues or taking out any procession in the premises of the
Factory/Company without the previous permission of the management.

n) Smoking in the works premises, except in the places where smoking is prohibited.

o) Wrongfully confirming any co-worker or any staff member or officer whether such
act as called charge or not, and obstructing the work of co-worker, staff members or
officers.

p) Refusal to receive any order letter, charge sheet or instructions issued by his superior
or the management or refusal to produce the identity card while in the
Factory/Company premises when demanded by any person authorised by the
management for the purpose.

q) Leaving the machine/plant without being relieved by the reliever or till his substitute
is arranged or handling any machine/plant not entrusted to his charge.

r) Falsifying or refusing to give testimony when accident or other matters including

domestic enquiry are being investigated.

s) Engaging in private work or trade including money lending within the

Factory/Company premises or engaging in other employment calling for profit while

- PBS.KUMAR - 76 -
 still under the services of the company without the written permission of the
management.

t) Making false statement in the application for an appointment including non-

disclosure of disease or diseases suffered or suffering and giving false information
regarding one's age, father's name, permanent address, qualification or previous
experience at the time of employment or thereafter.

u) Proved inefficiency and services defect in workmanship.

v) Repetition of any act or omission for which fine may be imposed under the payment
of Wages Act or any other Act applicable to the establishment.

w) Committing nuisance at the work premises.

x) Over-staying or entering at the work premises while not being on duty, without
reasonable cause and written permission or entry and or exit through the gates other
than the one prescribed by the management.

y) Acts of misconduct.

z) Carrying unauthorised arms or lethal weapons in the factory premises or conduct

within the Factory/Company/ which is likely to endanger the life or safety of any
person or property of the Company.

aa) Conviction in any court of law for any criminal offence involving moral turpitude.

bb) Participation or instigations to any illegal strike.

bbb) Participation in or instigation to a strike without 14 days notice or a sit down or stay-
in-strike for refusal to work.

bbbb)Slowing down in performance of work or inciting others to resort to deliberate "go

slow" policy.

cc) Organising attending or holding meetings inside the premises of the company
without the previous permission of the Management or except in accordance with the
provisions of any law for the time being in force.

dd) Gambling within the premises of the Company.

- PBS.KUMAR - 77 -
 ee) Picketing and/or violent demonstrations or any other demonstrations except
representations with the factory premises.

ff) Impersonation.

gg) Spreading false rumors or giving false information which may bring into dis- repute
to the factory workman or spreading panic amongst the workman.

hh) Collection of any money within the premises for purposes not sanctioned by the
management.

ii) Unauthorised use or forcible occupation of factory quarters, land or other properties
belonging to the factory.

jj) Refusal on the part of the workman to work on another job or on another machine or
similar machine, other than job or machine on which he is usually employed, or
refusal to work overtime as per provisions of law, including on Sunday/weekly offs'
and other holidays when exigencies demand it.

kk) Willful discourtesy to all persons connected with the affairs of the factory.

ll) Failure to wear prescribed uniform, overall safety clothing and other equipment etc.,
while on duty.

mm) Deliberate abuse of any leave privileges or concessions or benefits for the time being
in-force.

nn) Failure to observe safety instructions and indulging in acts which endanger the lives
and safety to self or others or properties of the Company.

oo) Refusal to take transfer order as per standing order No.20 supra or refusal to accept
transfer from one shift to another or from one section to another or one establishment
within the same management.

pp) Not taking reasonable precautions to safeguard Company's properties and to prevent
accident or damage to it.

qq) Failure to report at once to his superior or foreman or manager regarding any defect
which a workman may notice in any equipment connected into his work or material
in process.

- PBS.KUMAR - 78 -
 rr) Interfering with the record of attendance or means of recording attendance of himself
any other workman or willful falsification defacement or destruction of records of the
.Factory/Company.

ss) Refusal to accept a charge sheet or order or other communication served in

connection with the conditions of service in the interest of discipline.

tt) Making false statement before a superior or forging the signature of the superior or
controller in any record or register of the Factory/Company.

uu) Willful and serious defect in workmanship.

vv) Willful damage or sabotage to the machines, tools, equipment or material in the
process belonging to the Factory/Company.

ww) Quarrelling or abusing or assaulting or threatening to assault any co worker or

superior.

xx) Instigate, incite or abetment or commitment of any act in furtherance of the above
acts of misconduct.

23. Workman found guilty of any of the misconducts mentioned in Standing Orders 22 is
liable for punishment amounting to dismissal or discharge or suspension or removal.
However, the management may at its discretion award one of the lesser punishments
as mentioned below :

a. Warning or

b. Censure or

c. Fine, consistent with the provisions of the payment of Wages Act or any other
Act applicable to the establishment. or

d. Stoppage for a specific period not exceeding three years on increment either
cumulative or without cumulative, if due under graded scale of pay whenever
applicable; or

e. Suspension for a period not exceeding 4 Days without wages.

f. Reversion to the next lower grade.

- PBS.KUMAR - 79 -
23.02 If any report or compliant, verbal or written, received by the Manager discloses on the
face of it that the accusation made against a workman, constitute one or more acts or
misconduct and entail disciplinary action the Manager shall order to hold an enquiry
against the workman or workmen.

23.03 No order of punishment for misconduct shall be made except after holding an enquiry
against workman concerned in respect of the alleged misconduct in the manner set-
forth below. However, no enquiry shall be necessary to administrator a warning or
fine or in case where the concerned workman had admitted the charges, leveled
against him.

23.04 (i) A workman against whom an enquiry has to be held shall be given a charge sheet
clearly setting forth the circumstances appearing against him and requiring
explanation.

(ii) The workman shall be given time not less than three days to file a written
statement to the charge.

(iii)While conducting an enquiry the following procedure shall be followed.

(a) Workman shall be given notice of the date and time and venue of the enquiry.

(b) The oral statement of the workman if any at the time of enquiry shall be reduced in
writing.

(c) The witnesses to prove the acts of omissions and commissions shall be examined in
the presence of the workman and the workman shall be given an opportunity to cross
examine the witness in the ordinary course. A workman shall be entitled to avail the
assistance of co-worker to defend him in such enquiry.

(d) The workman shall be given opportunity to defend himself and to examine witnesses,
if any, on his behalf.

(e) The proceedings of the enquiry shall be recorded in English or in Telugu whichever
is preferred by the workman.

(f) The proceedings of the enquiry shall be completed within a period of 45 days
provided that the period of 45 days may, for reasons to be recorded in writing be

- PBS.KUMAR - 80 -
 extended by such further period as may be deemed necessary, by the Enquiry
Officer.

(g) The report of the Enquiry Officer shall be furnished to the workmen.

(h) In awarding punishment, the punishing authority shall take into account the gravity
of the acts of omission and commissions, the previous record if any, of the workman
and or any other extending or aggravating circumstances that may exist.

(i) A copy of the final orders in a disciplinary case shall be supplied to the workman.

(j) In case of his absence and/or refusal the order shall be sent to the workman by
"Registered Post with acknowledgement due" to his last known address and in the
case it shall be effective on the third day of posting.

24.01 SUSPENSION :

Where a disciplinary proceeding against a workman is contemplated or is pending or where

criminal proceedings against him in respect of any offence are under investigation or trail and the
employer is satisfied that it is necessary or desirable to place the workman under suspension
pending enquiry he may, by order in writing suspend him. Pending Enquiry, trial, investigation,
final decision with effect from such date as maybe specified in the order. A statement setting out
in detail the reasons for such suspension shall be sent to the workman within a week from the
date of suspension.

24.02 SUBSISTENCE ALLOWANCE :

A workman who is placed under suspension pending enquiry under clause (24.01) shall, during
the period of such suspension, be paid a subsistence allowance at the following rates namely:-

(i) Where the enquiry contemplated or pending is departmental, the subsistence

allowance shall, for the first ninety days from the date of suspension be equal to 50%
of pay, dearness allowances and other compensatory allowances, to which the
workman would have been entitled if he was on duty.

(ii) If the departmental enquiry gets prolonged and the workman continues to be under
suspension for a period exceeding ninety days, the subsistence allowance shall for
such period be equal to three fourths of such basic, wages, dearness allowance and
other compensatory allowance provided that where such enquiry is prolonged beyond

- PBS.KUMAR - 81 -
 a period of ninety days for reasons directly attributable to the workman, the
subsistence allowance shall, for the period not exceeding ninety days, be reduced to
one fourth of such basic wages, dearness allowances and other compensatory
allowances.

24.03

(i) Where the enquiry is by an outside agency or the case may be, where criminal
proceedings against the workman are under investigation or trial the subsistence
allowance shall for the first one hundred and eighty days from the date of suspension
be equal to one half of his basic wages, dearness allowance and other compensatory
allowances to which the workman would have been entitled to if he were on leave. If
such enquiry or criminal proceedings gets prolonged and the workman continued to
be under suspension for period exceeding one hundred and eighty days, the
subsistence allowance shall be for such period be against three-fourths of such
wages; provided that where such enquiry or criminal proceedings is prolonged
beyond a period of one hundred eighty days for reasons directly attributable to the
workman, the subsistence allowance shall, for the period exceeding one hundred and
eighty days, be reduced to one fourth of such wages.

(ii) If on the conclusion of the enquiry or, as the case may be of the criminal
proceedings, the workman has been found guilty or the charges framed against him
and it is considered, after giving the workman concerned a reasonable opportunity of
making representation on the penalty proposed, that an order of dismissal/discharge
or suspension or fine or stoppage of annual increment or reduction in rank would
meet the ends of justice the employer shall pass an order accordingly:

(a) Provided that when an order of dismissal is passed under this clause, the workman
shall be deemed to have been absent from duty during the period of suspension and
shall not be entitled to any remuneration for such period, and the subsistence
allowance already paid to him shall not be recovered:

(b) Provided further that where the period between the date on which the workman was
suspended from duty pending the enquiry or investigation or trial and the date on
which an order of suspension was passed under this clause exceeds fifteen days, the
workman shall be deemed to have been suspended only for fifteen days or for such
shorter period as is specified in the said order of suspension and for the remaining

- PBS.KUMAR - 82 -
 period he shall be entitled to the same wages as he would have received if he had not
been placed under suspension, after deducting the subsistence allowance paid to him
for such period.

(c) Provided also that where an order imposing fine or stoppage of annual increment or
reduction in rank is passed under this clause, the workman shall be deemed to have
been on duty during the period of suspension and shall be entitled in the same wages
as he would have received if he had not been placed under suspension, after
deducting the subsistence allowance paid to him for such period.

(iii) If on the conclusion of the enquiry, or as the case may be, of the criminal
proceedings, the workman has been found to be not guilty of any of the charges
framed against him, he shall be deemed to have been on duty during the period of
suspension and shall be entitled to the same wages as he would have received if he
had not been placed under suspension after deducting the subsistence allowance paid
to him for such period.

(iv) The payment of subsistence allowance under this standing order shall be subject to
the workman concerned not taking up any employment during the period of
suspension and furnishing certificate to that effect.

(v) The authority suspending the workman may direct the person to be present at the
appointed time and mark his attendance in the manner as directed.

(vi) When an order of dismissal has been passed and requires to be approved before it is
implemented under the Industrial Disputes Act, the workman shall be eligible to
draw 50% of his basic pay and dearness allowance and other compensatory
allowance as subsistence allowance for the period under which he is kept under
suspension automatically pending approval by the authority under the Industrial
Disputes Act and when the punishment confirmed no recovery shall be made or if the
punishment is revised he shall be paid full wages deducting the subsistence
allowances already paid, if any, payment of subsistence allowance is subject to the
individual not gainfully employed during the period for which he is paid subsistence
allowance on his furnishing to that effect before drawing the allowance.

- PBS.KUMAR - 83 -
24.04 SPECIAL PROCEDURE :

If a workman has been convicted by the court of law for an offence involving moral
turpitude, the employer may issue an order of dismissal or suspension or fine or stoppage
of annual increment or reduction in rank after giving the workman concerned a reasonable
opportunity of making a representation on the penalty proposed.

25. Workman wishing to go on strike shall issue a notice to the management fourteen days in
advance, mentioning clearly the reasons for such a strike

26. DEDUCTION :

Not withstanding to the disciplinary action the company may take under standing orders
No.23, the Company will also be entitled to make the deductions as per the Payment of
Wages Act, 1936.

27. MEANS OF REDRESS FOR EMPLOYEES AGAINST UNFAIR TREATMENT OR

THE WRONGFUL EXPLANATIONS BY THE EMPLOYER OR ITS AGENTS OR
SERVANTS :

All complaints arising out of his employment including those relating to unfair treatment or
wrongful extractions on the part of Company or any of its agents or servants shall be
submitted (except in the case of grievances relating to leave) by the employees to the
Manager or such officers as he may appoint, the Manager, or such officer or officers shall
personally investigate the complaint of the employee, and the action, if any taken shall be
intimated to the Complaint.

28. SERVICE CERTIFICATE & NO DUES CERTIFICATE:

Every employee shall, on request be entitled to such Service Certificate on leaving the
Company's Service.

29. PASTING OF STANDING ORDERS ON NOTICE BOARD :

A copy of Standing Orders in English and Telugu, shall be posted at the Main-gate of Factory and in such other place in
the Factory premises, as the manager may decide and shall be kept in legible condition.

30. If there is any conflict of meaning between these Standing Orders in their English version and in the Regional Language,

the English Version of the Standing Orders, as certified by the certifying officer of the Appellate Authorities as the case
may be deemed to be authentic.

- PBS.KUMAR - 84 -
14. AN INDUSTRIAL UNREST ACTIVITIES & AGITATIONS

1. Background

Industrial unrest is growing all over at an unprecedented scale on account of

discontentment amongst workers. The demonstrations, ‘dharnas’, strikes, hunger
strikes, sit in strikes, tool-down strikes, pen down strikes, picketing, gherao, go-slow,
processions and ‘work-to-rule’ etc. have become the order of the day. The workers
resort to the coercive measures in order to compel the employer to accept their demand
without having recourse to the machinery provided for the law and in wanton disregard
of it. Sometimes the workers even go to the extent of barricading themselves inside the
establishment and succeed in even preventing the police and civil authorities from
forcing their entry into the premises to rescue the top executives of the organization.
The alarming feature of these conflicts is the violence that erupts in some of them. The
most tragic is the situation when workers seize the establishment and management for
days together. Sometimes the unrest amongst the workers leads to the proclamation of
prohibitory orders and arrest of labour leaders for instigating and / or creating unrest
amongst the workers. To some extent union rivalry is also responsible for industrial
unrest amongst the workers. A strike may also happen for capturing position in trade
union field. Yet another reason for the workers to go on strike is the lack of efforts on
the part of an employer to satisfy them in regard to their long standing economic
demands. This is because the workers cannot be expected to remain passive when
prices rise to such an extent that their standard of living is lowered. What efforts should
be made by an employer to remove the causes which drive the workers to resort to the
dangerously coercive measures are discussed hereinafter.

DEMONST-
RATION

HUNGER
STRIKE STRIKE

UNREST

GO-SLOW PICKETING

GHERAO

- PBS.KUMAR - 85 -
2. Demonstration

A demonstration is visible manifestation of the feelings or sentiments of a individual or a

group and is thus a communication of one’s ideas to others to whom it is intended to be
conveyed. Though the employees have got the fundamental right to demonstrate, yet it
is not necessary in the exercise of that right that the demonstration should be at the
work place. In the first place, the work premises are owned by the employer and
therefore, the employees have not right to use those premises for the purposes of their
own. The property rights are themselves fundamental rights under the Indian
Constitution. Secondly, any demonstration at the work place is likely to disturb the
orderly working of the business of the employer. The commission of an act subversive
of discipline or good behaviour on the premises of the establishment would refer to an
act which creates disturbance such as shouting of slogans or carrying on trade union
activities during office hours not permitted by the employer. The civil courts, when
approached, grant injunctions against demonstration etc which are to be staged at
particular distance from the place of work.

3. Hunger Strike

It is resorted to instill sympathy into the heart of the employer and to attract other
workers and the public in general. Hunger Strike is not generally looked upon as such
heinous offence as to justify dismissal from service. In fact, hunger strike is resorted to
exert moral force and when a worker starts ‘hunger strike’ or propagating indiscipline
amongst the workers. So resorting to ‘hunger strike’ to redress any real or imaginary
grievance cannot be described as an act of misconduct provided it is of a non-violent
nature and is resorted to peacefully. The reason is that the industrial workers have
fundamental right to resort to ‘hunger strike’, a means for enforcing their legitimate
demands. When demands for securing improvement in conditions of service in matters
such as wages, dearness allowance, gratuity etc., are made by the workmen and they
are either ignored by the employer or their consideration is prolonged for an unduly long
period, it is open to the workmen to resort to hunger strike for inducing the employer to
agree to those demands or at least open negotiations in that behalf. Such a ‘hunger
strike’ must, prima facie, be considered to be justified provided that it remains peaceful
and the provisions of the Industrial Disputes Act, 1947 are not contravened. Resort to
‘hunger strike’ also does not offend the Criminal Law and no exception can be taken. In
other words, by going on ‘hunger strike’ the workers do not commit any offence under
the Criminal Law and it cannot also be described as an act of misconduct.

- PBS.KUMAR - 86 -
Section 309 of the Indian Penal Code reads as under :

Whoever attempts to commit suicide and does an ct towards the commission of such
offence, shall be punished with simple imprisonment for a term which may extend to
one year, and shall also be liable to fine ( or with both ). Therefore every striker will into
incur the penalty under this section. When a person goes on hunger strike, a stage may
reached at which death is certain unless prompt action is taken to prevent it by
administering nourishment to that sinking person. If at such a critical stage the person
still refuses nourishment it could be said that there is an attempt to commit suicide.
Mere refusal to take food even for a short period would not amount to any conscious
efforts to put an end to one’s life. It would merely be the stages of preparation after the
stage of intention. Where the accused, a bidi worker on hunger strike, readily of her own
accord, accepted nourishment in jail there was not attempt to commit suicide within the
meaning of Section 309.

The offence is cognizable and warrants are ordinarily issued in the first instance. It is
bailable but not non-compoundable.

The points requiring proof are :

(i) that the act in question was an attempt.

(ii) that the attempt was by doing an act towards the commission of suicide.

3. Picketing

‘Picketing’ which imports an idea of obstruction, violence of intimation, is also an act of

misconduct under in industrial law.

‘Picketing’ is an act of posting pickets and implies patrolling with signs, banners and
placards for the purpose of excluding others from the place. In short, the meaning of the
word ‘picketing’ is , ‘watching’ and dissuading those who want to go to work during a
strike. ‘Boycott’ and ‘picketing’ are twin weapons of the same effect to disrupt the
normal functioning of the enterprise. ‘Boycott’ is an appeal to all the voluntary
withdrawal of co-operation and so, it is persuasive in nature. ‘Picketing’ on to other hand
connotes necessary and adequate measures to disallow co-operation by others for the
normal function and flow of business.

Though the right to strike is not a fundamental right yet the free expression of view is a
fundamental right. If a person has to express his view then the people must meet
together. It is this basic idea which forms the basis of three freedoms guaranteed to
citizens under Article 19(1) (a) (b) and (c) of the Constitution of India. In view of this, the
peaceful picketing is always considered to be a protected activity and the employer is
not entitled to take any disciplinary action against the employees simply for indulging in
peaceful picketing. So, ‘picketing’ it being a qualified right must be free from
intimidation,

- PBS.KUMAR - 87 -
coercion, duress, fraud, threats and violence and must not be exercised in a way so as
to affect the property rights of the employer. But the right of freedom of speech and
expression does not entitle a person to incite others to commit offence. Without
expressing any definite opinion whether peaceful picketing is unconstitutional, it was
held that even if prohibition of some of the acts is unconstitutional, if does not follow that
prohibition of other acts also is unconstitutional and it is possible to separate the valid
part from the invalid part.

5. Gherao

‘Gherao’ is a physical blockade of a target, either by encirclement intended to block the

egress and ingress from and to a particular office, or even residence or forcible
occupation. The target may be a place or a person or persons, usually the managerial
or supervisory staff of an establishment. The blockade may be complete r partial and is
invariably accompanied by wrongful restraint, and / or wrongful confinement, and
occasionally accompanied by assault, criminal trespass, mischief to person and
property, unlawful assembly and various other criminal offences.

6. Go-slow

‘Go-slow’ means any thing less than normal work or output by a body of persons
employed in any industry acting in combination, or a concerned refusal or a refusal
under a common understanding of an number of persons who are or have been so
employed to continue to carry out their work in a normal manner with normal energy.

‘Go-slow’ is a technical word which is used in describing the tactics of workers when
they intentionally reduce the speed of the work or adopt dilatory tactics to reduce the
production or efficiency while pretending to be engaged in the factory.

‘Go-slow’ is a serious misconduct

‘Go-slow’ which is insidious in its nature and cannot be countenanced, is picturesque

description of deliberate delaying of production by workmen pretending to be engaged
in the factory and is one of the most pernicious practices that discontented or
disgruntled workmen sometimes resort to strike. The reason why ‘Go-slow’ is
considered to be more serious is hat it is likely to be much more harmful to employers
than the total cessation of work by strike. In view of the above, ‘Go-slow’ is regarded as
very serious misconduct and it is held that the workers who resort to ‘Go-slow’ can be
dismissed.

- PBS.KUMAR - 88 -
7. Strike

Strike is defined in Sec.2 (q) of the Industrial Disputes Act, 1947 as meaning a
cessation of work by a body of persons employed in any industry acting in combination
or a concerted refusal or refusal under a common understanding of any number of
persons who are or have been so employed to continue to work or to accept
employment. It can take various shapes, such as ‘pen down’ ‘sit down’ ‘sympathetic’
‘token’ ‘hunger’ ‘lightning’ ‘relay’ ‘wild-cat’ and ‘mass causal leave’.

Strike as such is not illegal but an illegal strike amounts to misconduct and calls for
disciplinary action. Instigation and inciting illegal strike is also an act of misconduct.
Strike in breach of Sec.22 and Sec.23 of ‘Industrial Disputes Act, 1947’ is illegal.
Refusal to work for some time is also a strike, which is called a ‘lightning strike’ and is
illegal when resorted to without notice in public utility service.

“Sit-down” strike is defined and occurring whenever a group of employees or others

interested in obtaining a certain objective in a particular business forcibly take over
possession of property of such business, establish themselves within the establishment
and refuse access to the owner or to others desiring to work. The strike in question cn
be more accurately defined as a strike in the traditional sense to which is added the
element of trespass of the strikers upon the property of the employer. All cases have
uniformly outlawed the “Sit-down” strike.

The act of striking workmen remaining in the work premises after working hours will
amount to seizure and holding of the property practically depriving the employer of his
property. Therefore the act of the workmen remaining on the work premises after the
working hours will be unlawful and will also amount to trespass.

Precautions and steps to meet strikes etc.

The Industrial Disputes Act, 1947 provides as to when a strike is illegal and it also
prescribed the penalty for illegal strike as well as for its instigation, vide Sec.22,23,24,26
and 27. The penalty for giving financial aid to an illegal strike has also been prescribed
in Sec.28 of the said Act. It is also generally provided in the standing orders of service
rules that inciting or instigating others to take part or otherwise act in furtherance of a
strike in contravention of the provisions of any law for the time being in force, on the part
of an employee shall be an act of misconduct. If a worker is guilty of going on strike, it is
necessary to examine whether the said strike is a misconduct, under the standing
orders or service rules and if so, in what circumstances.

When a strike is said to be misconduct, three questions generally crop up, The first is
whether the strike is unjustified, the second is whether the strike is illegal and the third is
whether the strike is a misconduct under the standing orders or the service rules. Even

- PBS.KUMAR - 89 -
if there is no such provision, the illegal strike is looked upon with much disfavour by
industrial adjudication and it constitutes misconduct in certain circumstances. The
restriction on the power to strike has been imposed by section 22,23,24,26, and 27 as
stated above. Besides this, it may also be considered whether and to what extent the
strike was accompanied by intimidation, coercion or other violent activities which may
themselves constitute misconduct. This shows that unlawful, disastrous, coercive or
violent use of even a legitimate weapon, i.e. a strike, cannot be appreciated. In other
words, the right to go on strike cannot give the right to go on strike in an illegal,
illegitimate or unlawful manner without any justification, in the same was as the authority
to hold a gun does not give the further authority to make misuse of it.

Herein below are the precautions or steps to be taken to avoid a strike or to meet a
strike if it has already commenced.

(A) HOW TO AVOID STRIKE

(i) The first precaution to avoid a strike is to keep a close watch on the day-to-
day activities of the active union workers. If a close watch is kept on the day-
to-day trade union activities of the active trade union workers then to some
extent at least a sudden strike without notice can be avoided. There are
always some reasons for the workers to strike work and if the employer keeps
himself acquainted or informed about the day-to-day activities of the trade
union workers then there are very little chances for a strike to commence. The
reason is that if an employer is aware about the activities of the workers, he
can take necessary steps to persuade the workers to arrive at some amicable
settlement or to explore the possibility of some settlement or to make them to
agree to move the labour authorities for the redress of their grievances if
otherwise they are genuine.
(ii) Sometimes a strike commences because the disputes or difference involved
are not given due attention and such type of non-co-operative attitude on the
part of the employer makes the workers to go on strike. If proper attention is
given at the appropriate time then there are chances to avert such strike.
(iii) Sometimes demands for securing improvements in the conditions of service
in matters such a wages, bonus, leave holidays etc. are made by the
workmen or their union acting on their consideration is prolonged for an
unduly long period, until the workers indulge in violence or until a crisis
develops. The reason is that workers cannot be expected to remain passive
when their standard of living is lowered on account of the rise is prices, the
other reason for the workers to adopt coercive measures are the indecisive
policies and action of the employer. It should, therefore, be understood that a
strike may not happen on account of the default or lack of due and proper
attention at the appropriate stage by the employer due to his indecisive
policies or action. If,

therefore all the aspects of the issue involved keeping in view of the possible
consequences of non- settlement of the demands before the strike

- PBS.KUMAR - 90 -
 commences, are considered sympathetically then also there are chances of
the strike being averted. It therefore follows that another necessary step to
avert a strike is to examine carefully and make sure that every thing possible
has been done.

(B) HOW TO MEET A STRIKE

(i) in spite of all this, a notice of strike is given by the workers or their union
action on their behalf, then the first step to be taken is to examine thoroughly
whether the strike is unjustified, the second is whether it is illegal and the third
is whether it is a misconduct under the standing orders of the service rules or
whether it is in violation of sections 22 and 23 of the Industrial Disputes Act,
1947 and if it is so then notices on the notice board of the factory or the
establishment as well as to the union be posted bringing to the notice of the
workers and the union the illegality and or unjustifiability of the strike and its
consequences for the workers and they be called upon to desist from such
illegal and / or unjustified strike. A copy of such notice should also be sent to
the Labour department, Factories department, PF and ESI authorities,
pointing out the illegality and / or unjustifiability of the strike and describing the
circumstances which existed prior to the receipt of the notice of strike. A
request should also be made to the labour authorities to intervene and to use
their good offices in order to avert the strike, also request has to sent to ESI
authorities not to entertain any ESI Leaves to the members of the
organization to avoid sickness benefits etc. In the meantime the necessary
arrangements for the safety of the factory / establishment, goods, machinery
and other properties also be made. The utility service should be alerted.
(ii) Yet another most important step is before commencement of the strike. The
management should educate the workers about the consequences of an
illegal strike in order to encourage them to exercise their influence on the
workers by discouraging them to go on strike. All the concern HODs may
also be utilized to avert the strike by virtue of their social relations and other
means. An offer to open negotiations can also be made by informing the
workers and the union that the doors o the management are still open for a
dialogue and that no settlement is possible under pressure or preconditions.
Some loyal and willing workers should also be taken into confidence in order
to face or to avert a strike successfully. Police protection arrangement should
be taken for the safe guard the factory machinery and some loyal and willing
workers and also managers to avoid any assault on them by the striking
workers. Any un to word incidents took places and evidence inthis behalf
should be collected and the police authorities be kept informed about such
violent activities of the workers. The workers who indulge in acts of
indiscipline should be charge sheeted even during strike and their
explanations be called. An injunction

order may also enable the willing workers to attend their duties without any
fear and would also prevent the damage being caused to the properties.

- PBS.KUMAR - 91 -
 (iii) Another step which is required to be taken after the strike is over is that stern
action must be taken against the persons who are found responsible for
instigating the workers to go on strike and who indulge or instigate others to
indulge in acts of violence, intimidation, coercion or acts subversive of
discipline by launching criminal, civil, and departmental proceedings. The
object should be, as far as possible, to curb lawlessness that is growing
in ranks of labour.

(C) CHECK LIST TO MEET A STRIKE

 To make sure that everything possible is done to avoid strike, without, of course,
compromising the basic principles. Once a strike takes palace it is then a trial of
strength and measures that would be reckoned unfair in normal times, should no
longer be considered a such.
 A team should be formed which has to face strike. It should consist of
experienced Managers / Senior Staff / Senior Loyal Workers (Not participating in
strike) and sympathetic to management and should be continuously in touch with
each other and the management must inform them of any development.
 Management should be duly posted with correct facts and policies changed in
the light of intelligence reports. The sympathetic staff and officers should be
taken into confidence regarding management’s decision.
 Check legality of strike under Industrial Disputes Act and also whether it is in
violation of the subsisting agreement.
 Paste Notices on the Notice Board pointing out the illegality and unjustifiablility of
the strike and justifying your actions. Advise strikers of the provisions of the
Industrial Disputes Act. Valid agreements, and standing orders ( Certified) and
the consequences of such strike. If necessary, at a later stage copies of the
circular may be sent to individual workers’ residence. Such notices must be sent
ot the union and labour authorities and other Government agencies. Such notice
should be repeated and put on the notice board. Such notices my not have any
impact but these have considerable value when evidence is produced before the
court.
 Security and Fire brigade of the factory / establishment should be tightened up.
 Sufficient food / water arrangement should be preserved in the factory during the
strike period.
 Finished goods of the factory should be dispatched before the strike.
 The important Telephone numbers should be available and also the means of
communications with the outside world in case of emergency.
 Close watch should be kept on instances of indiscipline. When en-masse cases
or indiscipline are noted, a general notice should be pasted drawing attention to
the grave consequences to such actions. Police force should be kept informed.

- PBS.KUMAR - 92 -
  Charge-sheets to the offending workers should be sent by registered post as well
as by courier service to the residential address of such workers.
 The charge-sheet should be very carefully drafted and all the misconducts should
be incorporated during the strike period and before.
 A special request should be made to ESIC authorities so that striking workers do
not get medical leave on wrong pretext.
 The suppliers of raw materials should be notified before strike so that no supply
is brought during the strike.
 Inform to the concern insurance company with which the property in insured
should be kept notified about the strike.
 If criminal offences are committed by the workers either inside or outside the
factory, reports should be made to the police in time and proper evidence should
be obtained for future recordings.
 If the strike continues for a considerable time and is accompanied by acts of
indiscipline, the company my consider the desirability or declaring a LOCK OUT.
Before lock out is declared, it has to be ensured that a very sound case has been
build up by posting notices for the workers and keeping the Government
authorities informed so that the question of payment wages during the lock out
period does not arise.
 Frequent meetings with members of the staff should be held and they should be
encouraged to exercise their influence on the individual workers so that they
understand the futility of the continuance of the strike.
 During strikes, it is usual for the conciliation officer as appointed under the
Industrial Disputes Act to call both the parties for negotiations. Care should be
taken to see that these negotiations are not prolonged. Sometimes when the
workers are weary of strike, the union leaders take up the excuse that the matter
is under conciliation and it is in the interest of the workers to wait for sometime
more and then the strike is prolonged. The best course is to accept what is
reasonable and therefore, to insist if the unions do not accept the proposal, the
conciliation may be deemed to be closed.
 In case of Gherao, when the Government authorities fail to discharge their
obligations under criminal procedure code and other existing law to intervene to
protect the life and property of persons after repeated requests, High Court can
be approached for issuance of a writ of mandamus and the court will direct the
police authorities to intervene and safeguard fundamental rights of the persons
concerned and also prevent Gherao.

There are various other actions which may be taken as counter measures but the
nature of actions will naturally depend upon the circumstances. However, the sense
of ethics should not be thrown to the four winds with an attitude of vengeance
because strike shall come to an end sooner or later and the same workers will be
working together in the Factory / Establishment.

- PBS.KUMAR - 93 -