Prima Facie Case of Misconduct Exists

DISCIPLINE & DISCIPLINARY ACTION PROCEDURE
Meaning of Discipline
Discipline means orderliness or the absence of disorder, chaos, and confusion in human behaviour
and action. It occurs when employees behave in an orderly and disciplinary manner. It can be defined as
the force that prompts individuals or groups to observe rules, regulations, standards and procedures
deemed necessary for an organisation. It is the orderly conduct of affairs by the members of an
organisation who adhere to its necessary regulations to work harmoniously and to achieve the group
goals.
Objectives of Discipline
1. To gain willing acceptance of the rules, regulations, standards and procedures of the
organisation from the employees.
2. To develop the feeling of cooperation among the workers
3. To maintain good industrial relations in the organisation
4. To promote morale and efficiency of workers
5. To develop a sense of tolerance and respect for human dignity.
PROCEDURE FOR DISCIPLINARY ACTION
1. Preliminary Investigation: First of all a preliminary inquiry should be held to find out whether a
prima facie case of misconduct exists.
2. Issue of a charge sheet: Once the prima facie case of misconduct is established, the management
should proceed to issue a charge sheet to the employee. Charge sheet is merely a notice of the charge and
provides the employee an opportunity to explain his conduct. Therefore, charge sheet is generally known
as a show cause notice. In the charge sheet, each charge should be clearly specified. There should be a
separate charge for each allegation and charge should not relate to nay matter which has already been
decided upon.
3. Suspension Pending Enquiry: In case the charge is grave a suspension order may be given to
the employee along with the charge sheet. According to the industrial Employment (Standing Orders)
Act, 1946, the suspended worker is to be paid a subsistence allowance equal to one-half of his wages for
the first ninety days of suspension and three-fourths of the wages for the remaining period of suspension
if the delay in the completion of disciplinary proceedings are not due to the worker’s conduct.
4. Notice of Enquiry: In case the worker admits the charge, in his reply to the charge sheet, without
any qualification, the employer can go ahead in awarding the punishment without further inquiry. But if
the worker does not admit the charge and the charge merits major penalty, the employer must hold
enquiry to investigate into the charge. Proper and sufficient advance notice should be given to the worker
indicating the date, time and venue of the enquiry so that the worker may prepare his case.
5. Conduct of Enquiry: The enquiry should be conducted by an impartial and responsible officer.
He should proceed in a proper manner and examine witness. Fair opportunity should be given to the
worker to cross examine the management witnesses.
6. Recording the Findings: On the conclusion of the enquiry, the enquiry officer should record his
findings and reasons thereof. As far as possible he should refrain from recommending punishment and
leave it to the decision of the appropriate authority.
7. Awarding Punishment: The management should decide the punishment on the basis of findings
of the enquiry, past record of the worker and gravity of the misconduct. Warning, fine, withholding
increments, demotion, suspension and termination are the types of punishment that may be used.
8. Communicating Punishment: The punishment awarded to the worker should be communicated

to him quickly. The letter of communication should contain reference to the charge sheet, the enquiry and
the findings. The date from which the punishment is to be effective should also be mentioned.
9. Follow-up: After taking the disciplinary action, it is necessary to see whether the action had the
desired effect on the employee.
RED HOT STOVE RULE -This rule is based on an analogy between touching a hot stove and violating
rules of discipline.
When a person touches a hot stove-
1. The burn is immediate

2. He had a warning (that he will get burned on touching the hot stove)
3. The effect is consistent (everyone who touches hot stove would be burned)
4. The effect is impersonal
5. The effect commensurate with the gravity of misconduct.
The same is with discipline
1. The disciplinary process should began immediately after the violation of rules/
regulations is noticed
2. It must give a clear warning that penalty would be imposed for a given offence.
3. The same kind of punishment should be consistently imposed for the same offence
4. The punishment should be impersonal or should be imposed regardless of the status of

the offender.
5. Punishment should commensurate with the gravity of the offence.
DISCIPLINARY ACTION: PENALTIES AND PUNISHMENTS
Oral Warning -Written Notice -Suspension -Demotion -Pay Cut -Dismissal/ Discharge

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DISCIPLINE & DISCIPLINARY ACTION PROCEDURE

PROCEDURE FOR DISCIPLINARY ACTION

8. Communicating Punishment: The punishment awarded to the worker should be communicated

When a person touches a hot stove-

1. The burn is immediate

The same is with discipline

4. The punishment should be impersonal or should be imposed regardless of the status of

DISCIPLINARY ACTION: PENALTIES AND PUNISHMENTS

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