Charge Sheet, Show Cause Notice &

Report of Enquiry
Submitted to: Prof. G. Pandu Naik

Submitted by: Amrita Ganguly

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. 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.

However, indiscipline might spring up due to various reasons like- job dissatisfaction, improper
training, lack of proper communication, lack of proper work environment, lack of supervision,
etc. Hence the charge sheet, show cause notice and report of enquiry are few steps to the
initiation of disciplinary action.

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 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.

Essential Features:-
 A Charge Sheet being the root of the disciplinary action, when vague, will vitiate the
whole preceding 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.
 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.
 A Charge sheet, issued after long delay of the misconduct, will vitiate the enquiry.
  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.
 Vague accusation, which the workman could not possibly follow, should not be made in
the charge sheet.
 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.

SHOW CAUSE NOTICE

A Show Cause Notice the charge sheeted employee is called upon to 'show cause' why
disciplinary action should not be taken against him. Normally show cause notice gives an
accused employee the final opportunity to the accused to prove his innocence after having
undergone the usual domestic enquiry proceedings.

It is sometimes considered to be same as a charge sheet. Charge Sheet is the memorandum of the
confirmed charges on behalf of management and show cause notice is the memorandum of non-
confirmed charges on behalf of management but both are the chance for a delinquent to prove
himself. When both the parties are not able to take the right decision so it needs domestic
enquiry.

Show Cause notice is served to get explanation for a misconduct of an employee and the
employee is expected to give explanation for the same. If the management is not satisfied with
the explanation then Charge sheet is issued and again explanation is sought from the delinquent.
Still if the management is not satisfied then domestic enquiry is carried out.

Normally, for minor misconduct Show Cause notice is issued. In this case management does not
intend to take any legal action. They only want to warn an employee for his bad/riotous behavior.
The show cause notice should be issued after the oral warning once or twice depending on the
seriousness of the problem. It is the first record of legal action from the company side which will
be documented.

Show Cause Notice Charge Sheet

1. Show cause notice is the Charge Sheet is the memorandum of the
memorandum of non- confirmed confirmed charges on behalf of management.
charges on behalf of management.
2. Normally, for minor misconduct Charge sheet is issued when the misconduct is
Show Cause notice is issued. Here a major one and management intends to carry
normally management doesn’t on domestic inquiry for the same.
intend to take any legal action.
3. Show Cause notice is served to get If the management is not satisfied with the
explanation for a misconduct of an explanation then Charge sheet is issued and
employee and the employee is again explanation is sought from the
 expected to give explanation for delinquent.
the same.
The format of a show cause notice is as follows:-

To, Date:

………………………..

………………………...

………………………..

Sub: Show Cause Notice – Mr. /Ms…………………………..

You were granted 15 days of Paid Leave on From (Date :………) to ………. (Date) for
(reason best known to you) ……………………. You did not report back to the office in spite of
various calls and also not responding to the Regd post letter mailed to corresponding address.
This has lead to take Administrative action against you by the Senior Authority. Please, show the
cause on the following as to why the Administrative / Disciplinary action should not be taken
against you.

1. Over Stay of paid leave without informing the concerned authority

2. Refusal to accept the telephonic calls’
3. Not accepting the Registered post

Your reply to this show cause should reach the undersigned by or before Mar 20th, 2008.
In case we do not get the reply on the said points, the legal proceeding will under taken by the
Company/Law.

(Issuing Authority with designation)

REPORT OF ENQUIRY

Once the charge sheet has been issued by the management the explanation given by the
delinquent is considered. If the management feels that the reply given by him to defend himself
is unsatisfactory or the delinquent does not plead guilty then the management can proceed with a
domestic enquiry against that employee. The findings of the enquiry made by the Enquiry
Officer and the Presiding Officer are drafted as report of enquiry.

The various steps in the leading to the formation of a report of enquiry are as follows:-

 First information about the act of misconduct by the head of the department in written
format.
 Show cause notice / charge sheet issued to the delinquent employee.
 Explanation of delinquent employee.
 Explanation satisfactory – matter closed.
 Explanation not satisfactory – domestic enquiry.
 Appointment of enquiry officer.
 Recording of enquiry proceedings.
 Report/ findings of enquiry officer.
 Receipt of enquiry report by the competent authority.
 Supplying copy of enquiry report to delinquent for his comments on it.
 Evaluation and application of mind on the enquiry report and on comments of the
delinquent if any by the competent authority.
 Show cause notice to workman about proposed punishment.
 Punishment

If the report of enquiry states that the employee is not found guilty, exoneration and suspension
revoke letter is issued in his name. If the charge(s) are proved, then the final show cause notice is
given to the employee before punishment. The employee can give clarifications to the final show
cause notice if he wants and this is followed by the issuance of punishment orders. The
disciplinary case against the employee ends with the implementation of the punishment orders.

Conclusion
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. Hence, all put together the above
three were just a few tools to reinforce organizational discipline.