How to Take Disciplinary Action against Your Employees? (7 Steps)

The following should be the steps for taking disciplinary action are mentioned below:

Steps

1. Preliminary Investigation:

The first step should be to hold a preliminary investigation in order to find out whether a prima facie case of misconduct exists. Only if a prime facie case of misconduct exists, the management should proceed further. Otherwise, the case should be dropped.

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2. Issue of a Charge Sheet:

If a prima facie case of misconduct exists, the management should proceed to issue a charge sheet to the worker. The following guidelines may be following in framing the charges:

(a) Each charge must be very clear and precise.

(b) There should be a separate charge for each allegation.

(c) Charges must not relate to any matter which has already been decided upon.

(d) Mention of proposed punishment should be avoided in the charge sheet.

3. Suspension Pending Enquiry (If Needed):

If the nature of misconduct is grave and if it is in the interest of discipline and security in the establishment, the management may suspend a worker even before the charge-sheet is issued. In case the worker is sus­pended, he should be paid subsistence allowance at the following rates

(a) For the first 90 days of suspension, half his wages

(b) For the remaining period of suspension, three-fourths of his wages

4. Notice of Enquiry:

On receipt of reply to the charge-sheet, 2 situations may arise

(i) The worker may admit the charge. In such a case, the employer may award punishment without further enquiry.

(ii) The worker may deny the charge. In this case, the employer must hold the enquiry.

5. Conduct the Enquiry:

The enquiry officer is a judge, so it is necessary that he must be impartial and qualified to act in that capacity. A fair opportunity should be given to the charge-sheeted employee to examine the management witnesses.

6. Recording of Findings by the Enquiry Officer:

At the conclusion of the enquiry proceedings, the enquiry officer should decide as to whether the charges made are valid or hot along with reasons for his findings.

7. A warding Punishment:

The punishment awarded to the accused employee should be communicated to him quickly. The letter should contain the following

(i) The charge sheet,

(ii) The enquiry

(iii) Findings of the enquiry

(ii) Decision

(iii) Date from which the punishment is to be effective.