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Service & Condition >> PROCEDURE FOR TAKING DISCIPLINARY ACTION: AWARD STAFF

PROCEDURE FOR TAKING DISCIPLINARY ACTION:  AWARD STAFF

 

23.1          Provisions of the Award

 

23.1.1   Procedure for taking disciplinary action for an act of misconduct laid down in paragraphs 520 and 521 of Sastry Award have been retained by Desai Award vide paragraphs 18.19 and 19.20. These are applicable to award employees with modifications agreed upon with the All India State Bank of India Staff Federation as well as industry level bipartite settlements between the members of the Indian Banks Association and the workmen unions.

 

23.1.2       Disciplinary Action and Procedure for Workmen Staff (Memorandum of Settlement dated 10.04.02) are reproduced in Annexure 23.1.

 

23.1.3       It may be added that an infringement of the Rules of Conduct prescribed for the employees would also amount to misconduct. An undertaking to be bound thereby duly signed by each candidate at the time of joining the Bank is obtained. This important undertaking should be carefully preserved alongwith other service papers of each employee. The  Rules of Conduct are enumerated in Annexure 2.19, Chapter 2 of this Compendium.

 

23.1.4       Provisions of Sastry and Desai Awards

 

                  Observance of any restrictive practice shall constitute misconduct  and the delinquent employee shall be liable for disciplinary action for gross and/or minor misconduct depending upon the circumstances of each case. (Detailed instructions with regard to Restrictive Practices are furnished in Chapter 21 of this Reference Book.) (6TH BIPARTITE SETTLEMENT)

 

23.1.5       Disciplinary action for award staff

 

                  Despite provision of paragraph 521 (4) (a) of Sastry Award, which reads "An employee engaging in any trade or business outside the scope of his duties except with the permission of the Bank is guilty of "Gross Misconduct" is liable to be dismissed without notice", members of staff do engage themselves in other trade/business either directly or indirectly. With a view to putting a stop on such activities, a careful investigation and close monitoring of all activities/business connections of the employees should be made. Following steps should be taken to unearth the inconsistencies, if any, in the living styles of the employees vis-a-vis their known source of income.

 

            a)   Monitoring of all possible business pursuits of the employees as also their spouses/dependent parents and brothers and sisters and their living styles etc. to identify early warning signals and take preventive action wherever required.

 

            b)   Reviewing and making a meaningful scrutiny of all staff accounts at the branch to satisfy that the scale of transactions in the account is commensurate with the known source of an employees income. It is also necessary to keep on record the details of Bank accounts including joint accounts maintained by the staff at other branches of the Bank and other banks and the need therefor which have to be clearly established.

 

All Bank employees should be asked to advise the Bank, in writing, the business connections/pursuits of their spouses and close relatives with complete details and these should be kept in view while reviewing their life styles and accounts.

 

Defaulting employees, if any, should be asked to explain their position, in writing, as to why they are doing so in flagrant violation of their service rules and such explanations should be submitted to the controlling authority together with a full report for their necessary action. Details of such employees should also be submitted in the following format.

 

            -------------------------------------------------------------------------------------------------------------------

            Name of the             Designation           Length of               Details of known

            employee                                               service                   business

                                                                                                         connections

            -------------------------------------------------------------------------------------------------------------------

 

 

 

            -------------------------------------------------------------------------------------------------------------------

23.1.6      

 

                  Consequent upon  the Wage Settlement in respect of Award Staff reached between the Indian Banks Association and the Workmen Unions with effect from 1st September, 1978, some of the provisions of the Sastry Award and Desai Award as modified by the Memorandum of Settlement dated the 31st  March, 1967, 24th February 1970, 15th September 1970 and 10th April 2002 have been modified as enumerated in Annexure 23.1.

 

23.2          DISCIPLINARY, APPELLATE  AND APPOINTING AUTHORITIES

 

In terms of paragraph 521(12) of the All India Industrial Tribunal (Bank Disputes) - (Sastry Tribunal) - read in conjunction with paragraph 18.28 of the Desai Award and paragraph 1.1 of the Agreement dated the 31st March 1967 entered into between the Bank and the All India State Bank of India Staff Federation, the Chief Executive Officer or the Principal Officer in India of a Bank or an alternate officer at the Head Office or the Principal Office nominated by him for the purpose shall decide which officer shall be empowered to take disciplinary action in the case of each office or establishment. He shall also decide which officer or body higher in status than the officer authorised to take disciplinary action shall act as an appellate authority to deal with or hear and dispose any appeal against orders passed in disciplinary matters. These authorities shall be nominated by designation. The names of the officers who are empowered to pass the original order or hear the appeal shall be published on the Banks notice board from time to time. The notice should be displayed in English and Hindi/local language.

 

23.2.1       Functions of disciplinary and appellate authorities quasi judicial

 

                  Consequent upon the structural changes brought about in the Bank arising out of the implementation of the recommendations of M/s. Mc-kinsey & Co., the personnel functions have been re-aligned necessitating a reiteration of the Disciplinary and Appellate Authority Structure in the proposed set up. The functions as Disciplinary/Appellate/Appointing Authority are quasi judicial in nature and cannot be exercised by the person who is not designated as such by the Executive Committee of the Central Board.

 

23.2.2       Structure of disciplinary and appellate authority

 

Accordingly the  Executive Committee  of the  Central Board in its meeting held on 30.05.2006 has approved revision of Disciplinary/Appointing  and Appellate Authority for workmen employees in the Bank details of which are given below:-

 

Office/Branch

 

Appointing/ Disciplinary Authority (not below the rank of an AGM)

Appellate Authority (not below the rank of a DGM)

A. Corporate Centre and its establishments

All departments at

State Bank Bhawan

AGM (OAD) at State Bank Bhawan

 

GM (CS & OL)

 

All departments at

CBD Belapur

AGM (OAD) at CBD Belapur

DGM (C&CS), CBD, Belapur

Other Corporate

Centre establishments

Outside Mumbai/ Navi Mumbai

 

Officer-in-charge of Office Administration at the Department/ Establishment or the Head of the Department/ office concerned not below the rank of AGM. In cases where the Head of the Department/office is below the rank of AGM, the controlling authority of the Department/ office not below the rank of AGM.

Controlling authority of Disciplinary/ Appointing Authority not below the rank of DGM.

 

B. Local Head Office and its establishments

All departments at

LHO.

AGM (OAD

DGM & CirDO

LHO establishments

located away from LHOs viz. CSDs, SBLCs etc.

AGM of the establishment. In cases where the Head of the establishment is below the rank of AGM, the controlling authority of the establishment not below the rank of AGM..

DGM & Circle Development

Officer at LHO. In case the departmental head is below

the rank of an AGM and, is reporting direct to the DGM & CDO, LHO, the Appellate

Authority will be GM of concerned Network.

Branches under LHOs

Branches headed

by DGMs.

 

AGM(Accounts& Administration). In cases where Accounts & Admn. Is headed by an officer below the rank of AGM, the seniormost AGM at the branch.

DGM of the branch.

C. Zonal Offices

All sections at Zonal Offices and

staff posted in regions at Zonal Office/On locale regions.

 

AGM (Operations) at Zonal Office. Where position of AGM (Operations) does not exist, Regional Manager of one of the Region in the module as approved and designated by Circle CGM.

DGM (module).

Branches under Zonal Offices headed by

AGM rank officer.

AGM of branch

DGM (module).

SMGS IV or below. As well as

branches under On locale Regional Offices.

AGM (Operations) at Zonal Office. Where position of AGM (Operations) does not exist, Regional Manager of the Region controlling the branch.

DGM (module).

Offices/establishments under Zonal Offices (viz. RACPC, SECC, SMECCC, TFCPC, LCPC, CCPC, CACs, OSF- HL, MPSF/MPST, SARC, CPPC, ACPCs, Locker Centres, Home Centres etc.) and other offices that will be opened under further roll out of BPR initiatives in future.

SMGS V or below

AGM (Operations)/ Regional Manager of one of the regions as approved and designated by Circle CGM.

DGM (module).

D. Departments under Business Groups other than NBG viz. CAG, Mid Corp., SAMG etc.

Administrative

Offices at Mumbai, including State Bank Bhawan.

 

AGM (OAD) at State Bank Bhawan.

 

GM (CS & OL).

Branches/offices under Business Groups other than NBG viz. CAG, Mid-

Corp., SAMG etc. located away from State Bank Bhawan

Headed by GM

 

Chief Operating Officer (COO)/Any other AGM designated by concerned Strategic Banking Unit CGM if Chief Operating Officer is not posted or is below the rank of AGM.

Controlling authority of the Appointing / Disciplinary authority not below the rank

of DGM.

 

Headed by DGM.

Chief Operating Officer (COO)/Any other AGM designated by concerned Strategic Banking Unit CGM if Chief Operating Officer is not posted or is below the rank of AGM.

DGM of the branch.

Headed by AGM

AGM of the branch/office

Controlling authority of Appointing / Disciplinary Authority not below the rank of DGM.

Headed by SMGS

IV and below

 

Senior most AGM at controlling office/AGM designated by the CGM of the Business Group.

Controlling authority of Appointing/ Disciplinary Authority not below the rank of DGM.

                  e-Circular No. CDO/P&HRD-IR/7/2006-07 dated 07-06-2006

            and Chandigarh LHO NO. CIRDO/HR/21/2006-07 dated 10-06-2006

 

 

23.3          APPOINTING AUTHORITIES

 

In terms of the provisions of "explanation" for Regulation 55 (2) (b) of the SBI General Regulations, no officer or employee of the Bank shall be dismissed, discharged, removed or retired from the service of the Bank or reduced to a lower grade or post or to a lower stage in a time scale by an authority lower than the "Appointing Authority". Accordingly the Executive Committee of the Central Board approved the undernoted authority structure of appointing authorities for award staff.

 

 

Appointing Authority

 

I)Employees working at Branches

i) Subordinate Staff

Concerned Branch Manager/Asstt. General Manager/Dy. General Manager in charge of the Branch.

 

 

ii)Clerical Staff

 

a)

Clerical staff at branches (with Scale V or VI incumbency)

Asstt General Manager or Dy. General Manager in charge of the Branch.

b)

Clerical staff at branches

other than (a) above

The concerned Asstt. General Manager at Zonal Office

 

II)Emloyees working at LHO/Zonal Office/C.O. establishments

 

Employees in clerical and subordinate cadre working Local Head Office/Zonal

Office/Central Office establishment and CAG branches

The concerned Asstt. General Manager(Office Administration)/Asstt. General Manager of a Region (to be appointed as DA by competent authority)/ Concerned Dy. General Manager for CAG branches

       

 

 

23.4          Suspension

 

23.4.1       Situations in which employees can be suspended

 

                  An employee can be suspended in two situations. Firstly, when in the opinion of the management an employee has committed an offence, unless he be otherwise prosecuted, the bank may take steps to prosecute him or get him prosecuted; and in such a case, he may also be suspended (paragraphs 521 (2)(a) of the Sastry Award). Secondly, an employee may also be suspended pending domestic enquiry for the misconduct alleged to have been committed by him. The effect of suspension is that the contract of employment is suspended and during the period of suspension the mutual obligation of an employer and employee remain in abeyance. It should be borne in mind that his suspension is not by way of punishment and should be resorted to only when it is considered against the Banks interest to allow the employee to continue in active service or  is likely to tamper with the documents or influence the witness. While charge sheet should ordinarily precede suspension or should accompany the latter in cases where it is not possible for unavoidable reasons, charge sheet after suspension must be served on the employee without any delay.

 

23.4.2       Time of effect of suspension order

 

                  The  suspension order comes into effect when it is communicated. Passing of the order is not enough. The Courts have held that although communication of an order is essential yet its actual receipt or actual knowledge is not necessary and when the letter was despatched the information was deemed transmitted or imparted.

23.4.3       Payment of subsistence allowance

 

                  Subsistence  allowance during  the period of suspension should be granted to an employee on the following scales :

 

(a)       For the first three months, one-third of the pay and allowances which the workman would have got but for the suspension; and

 

(b)       Thereafter, (i) where the enquiry is departmental by the Bank, one-half of the pay and allowances for the succeeding months; (ii) where the enquiry is by an outside agency, one-third of the pay and allowances for the next three months and thereafter one-half for the succeeding months until the enquiry is over, and

 

(c)        After one year full pay and allowances if the enquiry is not delayed for reasons attributable to the concerned workman or any of his representatives. Where the investigation is done by an outside agency and the said agency has come to the conclusion not to prosecute the employee, full pay and allowances will be payable after 6 months from the date of report of such agency or one year after suspension whichever is later and in the event the enquiry is not delayed for reasons attributable to the workman or any of his representative.

 

23.4.4       Deductions from subsistence allowance

 

All compulsory deductions like income tax and repayment of loans and advances granted by the Bank should be recovered from the subsistence allowance payable to the suspended employee though such allowances may not be treated as part of salary. Further, from the subsistence allowance, it will be in order to effect other optional deductions like insurance premia, dues to co-operative credit societies etc., unless this is objected to by the concerned employee. Provident Fund contributions should not however, be deducted from the subsistence allowance.

 

23.4.5    Refusal to accept suspension order

 

                  In case the employee refuses to accept the suspension order; his refusal should be recorded in the presence of two witnesses and the following procedure should be followed :

 

i)          A copy of the suspension order should be displayed on the Notice Board, and

 

ii)         a copy thereof should be sent to the employee by Registered A.D. post on the recorded address. The cover, if returned, should be retained unopened,

 

iii)         A further copy should be sent by ordinary post under certificate of posting.

 

Where possible, a copy of the suspension order should be served on the concerned employee through a messenger/representative of the Bank and his statement recorded in writing.

 

It will then be an effective service of the suspension order. In case the concerned employee is on leave, the date and time for which the suspension order will be effective should be specified in the suspension order and the procedure given above should be followed. The suspension order will then be deemed to be effective from the specified date irrespective of the fact whether or not the envelope containing the order is received by the concerned employee. A format of suspension letter is furnished at Annexure 23.2.

            Note : Only the Disciplinary Authority is empowered to sign the order of suspension.

 

23.4.6       Death of suspended employee

                  If an employee has been under suspension and he died during suspension, he has to be treated as having died on duty and the period of suspension till his death should be treated as on duty. (PA:CIR:3:DTD. 7.4.1995)

 

23.4.7       Suspension orders not to be put up to higher authorities for control

 

                  In some cases, suspensions ordered by the Disciplinary Authorities are put up to the next higher authority for administrative control. Such practice is not in order as a Disciplinary Authority has to take an independent view in such cases. (NBG:ADM:SPL:1375 DTD. 5.6.1997)

 

23.5          Chargesheet : Preparation and Service

 

23.5.1       Issuance of charge sheet

 

                  The employee, against whom disciplinary proceedings are proposed or likely to be initiated, should be served with a chargesheet clearly setting forth his acts and omissions and asking him to file his statement in defence thereto within a time to be specified therein. Generally a time of 7 days for submitting reply to the chargesheet is considered reasonable. However, sufficiency of time will be determined by the circumstances of each case. For example, if lengthy charges are framed running into number of pages, the time of one week may not be sufficient. Whether reasonable opportunity was given or not, will depend upon the facts and merits of each case.

 

When the employee proceeded against requests for additional time and it is based on reasons the denial of which may cause denial of reasonable opportunity to him for adducing his defence, the authority empowered to do so, may grant further time. Where, however, it is not considered justified to grant further time, the employee concerned may be informed in brief the reasons for not permitting extension of time.

 

23.5.2       Language of charge sheet

 

                  The chargesheet should be in the language easily understood by the employee. It may be kept in mind that the chargesheet is sometimes given to such employees who may not have adequate educational attainments. If the employee asks for the chargesheet in a language which he can understand and if the Bank is satisfied about the reasonableness of such a request, it may be acceded to.

 

23.5.3       Serving of charge sheet

 

                  The chargesheet can be served on the concerned employee personally or through an authorised representative i.e. Banks Manager/Clerical Staff/Officer. If he refuses to receive the same, such refusal could be deemed to be good service provided it is witnessed by two persons including the person who goes to effect the service. In case of an absent employee, the chargesheet should be sent by registered post with acknowledgement due. Where such chargesheet is sent by registered acknowledgement due post, the same shall, at the discretion of the Bank, be deemed to have been duly served on the workman if the same has been refused by him (paragraph 529 of Sastry Award and paragraph 18.24 of the Desai Award as retained by Desai Award vide paragraph 18.28 thereof). Refusal to accept a chargesheet is a misconduct and an employee can be proceeded against on this count also.

 

 

23.5.4       Contents of charge sheet

 

                  A chargesheet is an important document and, therefore, great care should be exercised in the preparation thereof. The charges framed should be precise, specific and not vague. The chargesheet should clearly state what the employee is accused of and where a charge relating to a particular incident is framed, brief description of the incident, together with complete details such as time and date of the incident should be given. If the employee is accused of disorderly behaviour or discourtesy to superiors, then the exact words used by the employee which are considered as discourteous or disorderly behaviour should be furnished.

 

23.5.5       Important factors for drafting of charge sheet

 

                  While drafting a chargesheet, undernoted factors should be kept in view :

 

a)         when the complaint is received against an employee, then the facts should be analysed to find out whether the facts contribute to any particular misconduct.

 

b)         it may be found that on some occasions, the same facts may form more than one misconduct and, therefore, on the same facts, an employee can be charged of two misconducts simultaneously or alternatively.

 

c)         charge should not take the form of verbiage. Incident/facts should be clearly and precisely stated.

 

d)         unnecessary matters, not directly relevant to the misconduct, should not be narrated,

 

e)         the charges should be consistent and should carry correct sense.

 

f)          the charge should refer to specific instances, if there are many then a few for sake of example should be mentioned.

 

g)         the language of chargesheet should not indicate conclusion of guilt,

                  

h)         the charges should not be vague (vague can be considered as the antonym of definite. If the ground is incapable of being understood or defined with sufficient certainty, it can be called vague). If on the reading, the charge furnished is capable of being intelligently understood and is sufficiently definite to furnish material to enable the chargesheeted employee to make a representation against the charge, it cannot be called vague.

 

23.5.6       Indication of names of witnesses, list of documents etc.

 

                  The chargesheet should neither indicate the name(s) of the witness(es) and list of documents proposed to be examined and relied upon by the Bank at the enquiry.

 

23.5.7       Mention of charges as per provisions of awards in the charge sheet

 

 

                  It is advisable to indicate as far as possible the relevant provisions of the Award under which a particular misconduct committed by the employee fits in.

 

23.5.8       Charge sheet should invariably be signed by Disciplinary    Authority

 

                  The charge sheet should invariably be signed by Disciplinary Authority.

 

23.6          Examination of Reply to Charge sheet

 

Reply to the charge sheet served upon an employee may or may not be submitted by him. The Disciplinary Authority cannot force an employee to submit his reply to the charge sheet. If a reply is submitted by the employee concerned, it should be examined by the Disciplinary Authority carefully and, if in his opinion, there are grounds to enquire into the truth of any misconduct, an Enquiry Officer will be appointed by the Disciplinary Authority under advice to the branch manager and Disciplinary Proceedings Cell. In case the employee concerned admits some or all charges of misconduct mentioned in the charge sheet, no further enquiry is necessary in respect of such admitted charges. For those charges of misconduct which are not admitted by the delinquent employee, the Disciplinary Authority may have the enquiry conducted through an Enquiry Officer appointed by him.

 

23.7          Appointment of Enquiry Officers (e.o.)

 

23.7.1       E.O. should be unconnected with the incident

 

                  When the disciplinary authority is not satisfied with the reply to the chargesheet, he can order a detailed enquiry and the disciplinary authority can himself hold the enquiry and pass the orders. However, it is advisable that an officer who is not complainant, or witness in the case and is also not in any manner connected with the incident should be appointed as Enquiry Officer. The enquiry is necessary in case of gross misconduct when penalty is dismissal from service though the employee  accepts all the charges in reply to the chargesheet. He should be able to form an independent judgment and should be aware of rules and procedures. Investigation officers should not be appointed as E.O.

 

23.7.2       E.O. should not be changed after commencement of inquiry

 

                  Once the enquiry has commenced i.e. witness etc. have been produced and examined an Enquiry Officer should not be changed as it is desirable that an authority who hears the arguments should decide the case. Allegation of bias or prejudice, if any, received against the Enquiry Officer, is based on facts and reasonable grounds, should be properly examined by the disciplinary authority and reasons for continuing the existing officer or changing him should be recorded.

 

23.7.3       E.O. as agent of disciplinary authority

 

                  Enquiry Officer is an agency of the disciplinary authority as a part of machinery for collecting facts and materials for basing his conclusion. He is engaged in fact finding mission and does not hold any trial. He need not follow rules or procedures of courts or apply the provisions of Evidence Act or any other law.

 

23.7.4       E.O.s role limited to ascertaining facts

 

 

                  The Enquiry  Officer  is not  empowered to give punishment. His jurisdiction is limited to ascertaining facts through means of an enquiry, submit his report to the disciplinary authority together with his findings, indicating reasons thereof. If there is more than one charge, his findings together with reasons should relate to each charge separately.

 

23.7.5       Report of E.O. not binding on disciplinary authority

 

                  The report and findings of the Enquiry Officer are not binding on the disciplinary authority. Where, however, the disciplinary authority differs from the views or findings of the Enquiry Officer, he has to record reasons therefor, in writing, and also convey them to the employee proceeded against.

 

23.8          Holding of a Departmental Enquiry

 

23.8.1       Intimation to charge-sheeted employee (CSE)

 

 

                  The Enquiry Officer appointed to conduct departmental enquiry, against an employee should inform him through his (employees) Branch Manager/Departmental Head/directly in advance. At least seven clear days notice should be given taking into account the transit period, the place, date and time of the enquiry. The employee should be informed that in case (i) he desires to examine any witness(es) on his side or to rely on any document in support of his case, he should produce them at the enquiry; (ii) he wishes to examine any Bank employee, he should give notice to the Enquiry Officer sufficiently in advance so that the said employee should be asked to be present at the hearing. (A draft of notice of the enquiry to an award employee is given at Annexure 23.6). Where the notice is being sent directly to the employee, it should be sent through registered A.D. post both at his recorded address with the bank and his permanent address, if he is not attending his duties.

 

23.8.2       Presence of CSE at the proceedings

 

                  Where the notice of the enquiry is not served on the employee, it is desirable to adjourn the enquiry and fix a fresh date. Where the employee does not attend the enquiry although the notice therefor has been served on him and/or if fully aware of the date, time and place of the enquiry, the Enquiry Officer may hold the enquiry ex-parte after recording his reasons for doing so in the proceedings.

 

If, however, any adjournment is sought and the Enquiry Officer is satisfied that the reasons are bonafide and good, he may grant the adjournment. Absence on account of illness (supported by acceptable medical certificate), leave etc. may be considered as good reasons for adjournment.

 

23.8.3       Grant of adjournment

                 

                  The grant of adjournment is purely at the discretion of the Enquiry Officer and every request for adjournment should be accompanied with reasons therefor, and the Enquiry Officer should carefully examine them and take a decision. If he is satisfied that the employee has been given repeated opportunity to put his defence and he is avoiding to do so and is seeking adjournments on intentional and unjustifiable grounds he may decline such request of adjournments.

 

23.8.4       Presence of other employees of the Bank as defence witnesses

 

                  The employee may request Enquiry Officer to seek presence of witness on his behalf who are employees of the Bank; such requests should be accompanied by reasons for summoning the witnesses. If the Enquiry Officer is satisfied that the request is reasonable and their absence will affect the interests of employee, the Enquiry Officer may ask the Bank to procure their presence at Banks expense. If the departmental proceeding is adjourned at employees or his representatives request, the cost of bringing witness may not be borne by the Bank.

 

23.8.5       Perusal of documents by CSE

 

                  The employee proceeded against has also got the right to, if he so desires, the summoning of any documents in custody or in power of the Bank for being produced before the enquiry or shown to him. Such request from the employee should be carefully examined. If the documents are relevant to the case and are necessary for the defence of the employee, and the Enquiry Officer so directs, arrangements may be made for showing the documents to the employee at the enquiry or being produced before the Enquiry Officer.

 

23.8.6       Holding of joint enquiry

 

                  On some occasion, the misconduct is committed jointly by two or more persons or they are associated either as an abetter or principal or in some other way. In all such cases, joint enquiry may be held. A separate enquiry is, however, not invalid.

 

23.8.7       Venue for the enquiry

 

                  The departmental enquiry should be held ordinarily on working days at the place where the accused is posted or at the place where the misconduct was committed. Normally, it should be held at the place where the misconduct was committed so that it is easy to arrange for the witness and for procurement of documents etc. without any delay. Enquiry Officer may, however, fix date, time, and venue of the enquiry at his discretion.

 

23.8.8       Defence through representative of registered union of the Bank

 

                  It is permissible for the employee to be represented and defended at the enquiry by a representative of a Registered Union of the Bank who should submit a letter of authority in his favour duly executed by the employee. The letter of authority should be on the lines of proforma enclosed (Annexure 23.12). The defence representative will have the right to write, seek adjournment or represent the employee before the Enquiry Officer only after the letter of authority is filed. Where, however, the employee gives in writing that defence representative may not necessarily be a representative of the registered employees union, he can seek services of any other employee of the Bank.

 

23.8.9       Decision by presenting officer with regard to production of evidence,    witnesses, documents etc.

 

                  The presenting official (who is normally the Branch Manager or any other official deputed for the purpose) should, before the date of enquiry, consider and decide as to what documentary and oral evidence should be adduced on the side of the bank to establish a charge. If it is regarded that any witness should be examined on behalf of the Bank at the enquiry, they should be notified sufficiently in advance about the place, date and time of the hearing in consultation with the controlling authority. If certain documents are necessary, they should be obtained well in advance. It may sometimes happen that the Bank may have to rely on documents in the possession of third parties to establish the charges against employees. In such cases written requests should be made to the concerned parties to produce the required documents at the hearing and, if necessary, to render oral evidence before the Enquiry Officer. Normally, the Presenting Officer should be junior to the Enquiry Officer.

 

23.9          Procedure at the Enquiry

 

23.9.1       Attendance of presenting officer

 

 

                  The presenting officer should present himself before the Enquiry Officer at the appointed time with the relevant papers and documents which he proposes to produce at the enquiry as exhibits and accompanied by the persons whom he proposes to examine as witnesses on behalf of the Bank.

 

23.9.2       Attendance of CSE and his representative

 

                  The employee  proceeded against should  also appear before the Enquiry Officer at the appointed time with his representative, if any, and his witnesses, If the employee and his representative fail to attend the hearing, the Enquiry Officer has authority to proceed with the hearing of the enquiry ex parte. Before holding the enquiry ex parte, the Enquiry Officer should exercise great care and should satisfy himself beyond doubt that despite being aware of the date, time and venue of the enquiry the employee or his representative has not appeared at the enquiry intentionally or purposefully. If it is for the first time that the employee or his representative are absent, it is desirable to wait for sometime for their arrival at the place of the enquiry or to adjourn the enquiry to some other date. Normally, it is desirable to give to the employee atleast three opportunities to appear at the enquiry and adduce his defence. Where the employee or his representative appears and seeks adjournments and Enquiry Officer finds the request bonafide and grant the adjournment it should be recorded in the proceedings. No fresh notice in such cases would be necessary as the request for adjournment; Enquiry Officers decision thereon and the date, time and place of the next hearing would be recorded in the proceedings of the date and which will be duly signed by all concerned.

 

23.9.3       Record of enquiry proceedings

 

                  The Enquiry Officer should maintain a book to record the proceedings of the enquiry. The proceedings may also be recorded on sheets of paper or typed. He should record in this book, preferably in his own handwriting, the date or dates on which the proceedings take place, the name of the employee proceeded against, the charge or charges, the deposition of the witnesses (the mode of recording deposition of witnesses is discussed below) as well as the contents of the documentary evidence tendered by both parties, the arguments of presenting official and the employee and his representative and the findings of the Enquiry Officer in full with reasons. (The manner in which proceedings should be recorded is explained in Annexure 23.7).

 

23.9.4       Reading of charges by E.O.

 

 

                  The enquiry starts with the Enquiry Officer reading out to the employee the charges and asking him whether or not he admits the charges.

 

23.9.5      Acceptance of charge by CSE

 

                  If the employee admits the charges against him, the Enquiry Officer can record the fact and obtain the signatures of the presenting officer, the employee and his representative at the bottom of each page of book and thereafter close the enquiry. He may, in the event, send his report containing his findings to the disciplinary authority.

 

23.9.6       Denial of charge by CSE

 

 

                  If the employee denies the charges, the Enquiry Officer should ask the presenting official to open the case. The presenting official may then explain to the Enquiry Officer the facts of the case. The employee and if he is defended by a representative of a Registered Union of Bank employees, the latter may then be allowed to explain the employees case. This should be duly recorded by the Enquiry Officer.

 

23.9.7       Ex-parte enquiry

 

Whenever the charge-sheeted employee deliberately avoids attending the inquiry or boycotts the same, it is open for the EO to proceed ex-parte. The circumstances leading to an ex-parte inquiry may be as under :

 

a)    When the charge sheeted employee, despite notices, fails to attend the inquiry without submitting valid reasons for having done so;

 

b)    When the charge sheeted person walks out of and boycotts the enquiry proceedings consequent to certain rulings given by the enquiry officer, or

 

c)    When the charge sheeted person makes a request for an adjournment, and the request is disallowed by the enquiry officer, but the latter subsequently absents.

 

            In the event of the EO deciding to go ex-parte, he has to ensure the following :

 

1.    He should record in the proceedings about the opportunities given and adjournments granted to the charged sheeted employee,

 

2.    While the PO, as usual, should be called upon to lead the evidence first, and prove the charges, the EO has the added responsibility to see that the absence of the charge sheeted employee does not lead to the latters interest being ignored. The EO has therefore to fully satisfy himself about the facts by putting relevant questions to the witnesses and get clarifications before arriving at the conclusions/findings,

 

3.    The EO has to be quite careful to see that there is no lacuna in the inquiry, and the formalities are strictly and properly observed, and all necessary evidences produced and recorded,

 

4.    A copy of the daily proceedings of inquiry should invariably be sent to the charge sheeted employee on an on-going basis, irrespective of the fact that he absented at any stage(s) of inquiry. This serves two purposes : The charge sheeted employee is kept posted with the progress so that he can intervene if he so desires, and that he can exercise the option to rejoin at any stage in the mid of the proceedings. He cant under the circumstances claim that he was not given a hearing.

 

 

 

23.10        Production of Documents

 

23.10.1     Production of evidence in the form of statements witnesses or documents

 

                  The evidence  which is  produced before an Enquiry Officer either consists of the statement of witnesses or documents relating to the matters in issue.

 

23.10.2     Principles of natural justice for utilisation of material against CSE

 

                  The principles of natural justice firmly establish that no material should be utilised against chargesheeted employee unless it is disclosed to him in a departmental enquiry and he is given an opportunity to explain and rebut the same. As such any document which will be used as evidence, on acceptance or rejection of which turn the decision as to the guilt or innocence of the employee proceeded against, must be disclosed to him and if he so desires, he may be supplied copies thereof or may make his own notes therefrom, at the discretion of the Enquiry Officer. Documents produced by the Banks should be marked PE Ex. 1, PE Ex. 2, PE Ex. 3, etc. and documents produced by defence representative or employee should be marked DE Ex. 1, DE Ex. 2, DE Ex. 3 etc. If the presenting officer so desires, copies of the documents/papers produced by the employee may be perused by him, copies may be taken or notes may be made at the discretion of the Enquiry Officer.

 

23.10.3     Powers of E.O. to reject production of irrelevant documents

 

                  Wherever the Enquiry Officer is satisfied that demand of production of a document in possession of the Bank or employee proceeded against is not justified i.e. the documents is irrelevant, he may decline the request but in such case demand and the reason for denial should be recorded in the proceedings.

 

23.10.4     Permission to CSE for inspection of documents/taking notes

 

                  The  employee proceeded against, if  requests  for  inspection of documents/papers etc. which are relevant to the issues and will be relied upon against the employee, he may be permitted to inspect them and take notes thereof.

 

23.11        Examination of Witnesses

 

i)          The next stage is the examination of the Banks witnesses who may be designated PW 1, PW 2, etc. The examination of a witness is in the form of questions put to him together with his answers thereto. Before starting the examination of the first witness for the Bank, all other witnesses for the Bank as well as those for the employee should be asked to stay outside the room where the hearing is conducted. The examination of a witness by the side which cites him as witness is called Examination-in-Chief. In Examination-in-Chief of the Banks witnesses, the presenting official should ask questions to elicit answers on the points which he wishes to be established through him.

 

ii)         The  Enquiry Officer should not permit questions which themselves suggest the answers thereto. He may also rule out any questions which he considers irrelevant and unnecessary but if he does so he may record the question and his view that it is irrelevant and unnecessary and that he has ruled it out.

 

iii)         The questions put to the witness and the answers thereto should be recorded with precision. During the course of the Examination-in-Chief, the Enquiry Officer is not precluded from putting questions to any witness. The question by E.O. should be to clarify the position which was narrated by the witness. Here E.O. should refrain from entering into the shoes of the P.O.

 

iv)        If it is necessary to prove any document exhibited on the side of the Bank through the witness, the presenting official may have it proved by the witness and if necessary have the contents thereof fully explained by him.

 

v)         After the presenting official completes his Examination-in-Chief of the witness, witness is cross examined by either the employee or, if he is represented at the hearing, by his representative. In cross-examination, the Enquiry Officer can rule out any question which he considers irrelevant or unnecessary but he should record the question, the fact that he has ruled it out and also the reason therefor. He may also ask questions to the witness to clarify any points left in doubt or left ambiguous during the cross-examination.

 

vi)        After the cross-examination of the witness is over, if any points elicited in cross-examination require to be explained or clarified, and if the presenting official thinks fit to do so, he may, with the permission of the Enquiry Officer, re-examine the witness by putting questions on the points requiring clarification or explanation. The Enquiry Officer  can, in his discretion, permit new matters to be introduced provided the employee or his representative is permitted to again cross-examine the witness on the new points introduced.

 

vii)       After the Examination-in-Chief, cross-examination and re-examination of the witness is completed, he, the presenting official, the employee and his representative should be asked to sign just below each page of the deposition in the record book of the Enquiry Officer. However, if the Examination-in-Chief, cross examination or re-examination of the witness is not completed in one day, the Enquiry Officer should obtain the signature of the above mentioned persons, just below the deposition recorded until the end of the day it had begun. The presenting official, the employee and his representative should besides sign at the bottom of each page of the record of proceedings.

 

viii)       The presenting  official should  then call his next witness and the procedure set out in paragraphs 23.11.1 to 23.11.7 above should be followed in his Examination-in-Chief, examination and re-examination.

 

ix)         After the evidence of all the witnesses for the Bank is taken, the Enquiry Officer should ask the employee or his representative whether he desires to examine the employee as a witness on his side and also whether he has got any other witnesses to be examined. If the employee says that he does not propose himself or any other witnesses to be examined on his side to disprove the charge, the Enquiry Officer may treat the evidence as closed and adopt the procedure set out in paragraph 23.11.1 above.

 

x)         On the other hand if he says that he proposes to examine himself and witnesses on his side, his evidence may be recorded first after asking the other defences witnesses to go out of the room. The employee and his witnesses may be designated DW 1, DW 2, DW 3 etc. First he should be examined-in-Chief by his representative, then cross-examined by the presenting official and re-examined (if necessary) by his representative.

 

xi)         The  procedure to be  followed in recording  the evidence of the employee and his witnesses is the same as set out in paragraphs 23.11.1 to 23.11.7 above. They should be examined-in-Chief by the employees representative and cross-examined by the presenting official.

 

xii)        It might happen that the employee does not engage anybody to assist and defend him at the enquiry but would still desire to examine himself and some others as witnesses on his side. In such a case the Enquiry Officer would have to formulate the questions in examination-in-Chief and re-examination, the cross-examination being conducted by the presenting official.

 

xiii)       After the recording of the evidence of all the witnesses is completed, the Enquiry Officer can ask the presenting official to make his comments, if any, about the case. Thereafter, he may ask the employee or his representative, in case he is defended by a Registered Bank Employees Union representative, to make his submissions. The Enquiry Officer may, after hearing the submissions made by both sides close the enquiry. If the submissions are sought to be given in writing, the same may be accepted and recorded. The enquiry be thereafter closed.

 

23.12        Report and Finding of the Enquiry Officer

 

23.12.1     Preparation of report by E.O.

 

            The Enquiry Officer should thereafter prepare his report containing the findings in respect of all charges i.e. his conclusion whether or not the employee is guilty of the charges levelled against him and the reasons in support thereof. The findings should be supported by cogent reasons to be set out clearly in the report. He should, where he does not agree with any evidence led in, give his reasons therefor.

 

23.12.2     Maintenance of unbiased and impartial attitude by E.O

 

            The  Enquiry  Officer should maintain an unbiased and impartial attitude throughout the proceedings and that he should not prejudice or show any interest in the development or projection of the respective cases of either of the two contesting parties to the enquiry.

 

23.12.3     Forwarding of report to Disciplinary authority

 

            The report and findings of the Enquiry Officer should be forwarded to the concerned authority by Registered post. Five copies each of the report and findings should be sent.

 

 

23.13        Processing of Enquiry Report by the Disciplinary Authority

 

23.13.1     Scrutiny of E.O.s report and issuance of show cause notice

 

            The Disciplinary  Authority  would scrutinise the proceedings of the enquiry and the findings of the Enquiry Officer, and if he is satisfied that the enquiry has been properly conducted and that the charges have been established, he would tentatively decide the punishment to be imposed on the concerned employee. While doing so the Disciplinary Authority will record his reasons for the tentative punishment stating the points considered by him. A notice would then be sent through the branch manager or concerned departmental head for being served on the employee asking him to show cause, specifying the period in which he has to reply why the proposed punishment should not be imposed on him. The employee will also be advised to request for a hearing with the Disciplinary Authority, if he so desires. (A specimen of show cause notice is enclosed, see Annexure 23.8 and 23.8(a)) The employee would also be furnished with a copy of the proceedings of the enquiry and a copy of the findings of the Enquiry Officer, to enable him to show cause against the proposed punishment. If the employee does not make any statement within stipulated time, the Disciplinary Authority would presume that the employee has no submissions to make and may proceed to take the final decision. If the employee makes any submission or request for a personal hearing with the Disciplinary Authority, the branch manager should forward the same to the concerned Disciplinary Authority without any delay. The Disciplinary Authority would then peruse statement made by the employee in writing or at the time of personal hearing. Thereafter, the Disciplinary Authority would decide whether he should change the tentative punishment and impose a lesser punishment or impose no punishment at all. If he considers that the employee has not adduced any satisfactory reason to change the proposed punishment, the Disciplinary authority would confirm his tentative decision and impose the proposed punishment. It is desirable that separate punishment is imposed in respect of each proved charge.

 

23.13.2     Order of disciplinary authority

 

 

                  The order (as per specimen enclosed Annexure 23.9) accompanied by a suitable memorandum addressed to the concerned employee would be sent to the branch manager for being served upon the employee. The Order will take effect on the date it is served on/communicated to the employee.

 

23.13.3     Refusal for acceptance of order by CSE

 

                  In case the concerned employee refuses to accept the order, his refusal should be recorded in the presence of two witnesses and the procedure given above is regard to the service of chargesheet/suspension order in similar circumstances be followed.

 

23.14        Right of Appeal

 

Under  the provisions  of  the Sastry Award as modified by industry level Bipartite Settlement dated 10.04.2002, the  employee is given an opportunity to appeal against the order within forty-five days from the date on which the original order has been communicated in writing to the employee concerned. If an appeal is made, the Appellate Authority would consider the case and dispose of the appeal as early as possible. The Appellate Authority may either uphold the order of the Disciplinary Authority or reverse it. However, until the decision of the Appellate Authority is conveyed to the employee, the order made by the Disciplinary Authority will continue to subsist and have effect. The appellate authority may also give personal hearing to the employee, at his request, in case of punishment of dismissal only.

 

            Note :

 

There is no provision in the award or bipartite settlements empowering the Appellate Authorities to enhance the penalty already awarded to an employee. It is pertinent to note that no provision of the review of the order passed either by the Disciplinary Authority or Appellate Authorities exists in the award or bipartite settlements.

 


23.15        General guidelines

 

23.15.1     Admission of charges     

 

                  It may happen that the employee may at the outset admit the charges against him. Where the delinquent employee admits the charges, it is not necessary to hold a formal enquiry into those charges. The admission must, however, be expressed in writing. It is not sufficient to say that it is implied in the statement. If orders are passed on the basis of a clear admission by the delinquent employee, no violation of the principles of natural justice would be involved. If the employee admits the charges against him during the enquiry the proper course for the Enquiry Officer would be to record that fact and obtain the signatures of the Banks representative, the employee and his representative and thereafter close the enquiry.

23.15.2     Tendering of apology by delinquent employee

 

                  If the delinquent employee, after he is served with a chargesheet, tenders an unconditional apology, it implies that he is admitting the charges. In such a case there does not arise any necessity for an enquiry and the Disciplinary Authority is straightway seized with the matter of assessing his guilt on the basis of the information already available on record. It is, however, necessary that the apology tendered by the employee must be unconditional. An apology can be said to be unqualified only when the delinquent owns his fault and throws himself at the mercy of his Superior Officers as distinguished from his politely denying the charge and begging for pardon. In the latter case, since the charges stand denied, the formal enquiry cannot be dispensed with. An apology does not empower the Disciplinary Authority to dispense with the show-cause notice giving the employee a reasonable opportunity of making representation on the penalty proposed/to be imposed on him. It may be noted that in order to dispense with the formal enquiry, the admission or apology must be made by the delinquent employee in reply to the chargesheet issued to him. Further in order to avoid miscarriage of justice and any subsequent legal complications, the order dispensing with the formal enquiry has to be made with utmost caution.

 

23.16        Guidelines for Dealing with Employees who commit an "Offence"

 

i)          It will be observed that the Award defines the expression "Offence" as any offence involving moral turpitude for which an employee is liable to conviction and sentence under any provisions of Law. Section 10 of the Banking Regulation Act lays down that no Banking Companies shall employ or continue the employment of any person convicted of an offence involving moral turpitude. Thus, if an employee, is convicted by a Court of Law for such an offence, it becomes obligatory on the Bank to discontinue his employment in the Bank. And the Award lays down that if an employee is convicted of such an offence, he may be dismissed with effect from the date of his conviction or may be given any lesser form of punishment (which would cover discharge). In cases involving moral turpitude, it is not necessary to follow the procedure laid down for disciplinary action. It may happen that the employee who is prosecuted (either at the instance of the Bank or otherwise) for an offence involving moral turpitude, is acquitted by a Court of Law. In such cases the bank may institute departmental proceedings against him and seek to establish the charges at the domestic enquiry. (In such cases, the guidelines given above for taking disciplinary action must be followed). Here it is important to bear in mind that the level of proof required in a criminal court for conviction is much higher than that required in a domestic enquiry. In a Court of Law, the life and liberty of a person are at stake and, therefore, justice demands that a persons guilt should be established beyond reasonable doubts. The same is not the case with a domestic enquiry. In a domestic enquiry, it is sufficient if the facts as brought out at the enquiry warrant or justify a reasonable inference that the concerned employee is guilty of the charges framed against him. Thus, it is not unlikely that, an employee who is acquitted by a Court of Law may be found guilty in a departmental enquiry.

 

ii)         It may also happen that an employee who is convicted of an offence involving moral turpitude (and, therefore, dismissed by the Bank) by a court may prefer an appeal or a revision application against his conviction and may be subsequently acquitted. In such cases, if he applies to the management for reconsideration of his case, it is obligatory on the part of the management to review his case. On a review of the case, the management may either reinstate him or proceed against him departmentally as laid down in the Award. In case, the Management decides to proceed against him, the guidelines set out above for taking disciplinary action should be followed.

 

23.17        Entry of Adverse Remarks

 

A word may be said about entering of adverse remarks against an employee. It must have been observed that one of the punishments that may be imposed on an employee found guilty of gross or minor misconduct is to have an adverse remark entered against him. Thus, where an adverse remark is to be made against an employee as a punitive measure, then it is necessary to follow the procedure laid down in the Award.

 

i)          Paragraphs 516 of the Sastry Award directs that the bank should in the case of every employee maintain a Service Book containing particulars like his name, date of birth, pay, leave taken, any remarks about his efficiency or character made by his superiors etc. Paragraphs 516 further directs that "when adverse remarks are made against an employee, a gist thereof should be communicated to him in writing with the least possible delay". Thus, where the Bank does not intend to take any punitive action against the employee and it is only in the course of the periodical assessment by a superior officer of an employee working under him that remarks are made by the officer with regard to efficiency (for example slow, careless, unpunctual, prone to make mistakes though not deliberately etc.) and character (for example excitable, rude, quarrelsome, etc.), this may be entered in his service book and communicated to him, if adverse to him. This would not amount to disciplinary action.

 

ii)         The following guidelines should be  followed in case where, in the course of periodical assessment, an adverse remark is desired to be incorporated in an employees Service Record. Assuming that a particular employee is not upto the mark in his work and is not showing sufficient interest in his duties and a remark to that effect is sought to be made in his service record, the following procedure would be necessary :

 

The Branch Manager should, from time to time, issue memoranda to substantiate the charge of negligence or lack of ability. Such memoranda should not contain threats. (A specimen of such a memorandum is given. See Annexure 23.10 and 23.11). In case the employee does not show any improvement; the Branch manager should write to the Controlling Authority advising the shortcomings and seek guidance. After the Controlling Authority has granted its permission, the adverse remark may be made in the Service Record of the employee. This should be communicated to the employee. The fact that the remark has been communicated to the employee should also be noted in the Service Record quoting the date of the memorandum. A copy of the memorandum bearing the employees acknowledgement should be kept attached to his Service Record.

 

 

 

23.18        PRINCIPLE OF NATURAL JUSTICE

 

23.18.1    Importance of observance of principles of natural justice

 

                  It may be mentioned that the principle of natural justice should never be ignored. As according to the fundamental rules of our Constitution, every citizen has to be protected against exercise of arbitrary authority by the State, every power to decide and determine to the prejudice of a person puts the corresponding duty on the officers exercising the power, to act judicially. The courts can question any administrative order which may involve violation of this basic principle. Such an order would be null & void. In the leading case of A.K. Kraipack vs. Union of India, the Supreme Court, apart from observing that the rules of natural justice were also applicable to the administrative enquiries, enumerated the main principles as (i) no one shall be judge in his own case i.e., he must not have anything like a personal interest in the case (ii) no decision shall be given against a party without affording him a reasonable hearing and (iii) quasi-judicial enquiries must be held in good faith, without bias and not arbitrarily or unreasonably. In other words, the domestic tribunal must act honestly, in good faith, with a sense of responsibility and in consonance with its own rules. Further, the suggestion that since departmental proceedings are not judicial in nature, the rules of natural justice are not fully applicable in their case, has been repeated in judicial pronouncements.

 

23.18.2     Guidelines for observance of principles of natural justice

 

                  The  departmental  enquiry  must be conducted fairly and honestly keeping in mind considerations of natural justice and fair play. Violation of the rules of natural justice vitiates the enquiry and renders the order based thereon bad in law. Therefore, the enquiry must be fair and proper both in substance and in its form. An enquiry cannot be said to have been properly held unless :-

 

a)         the employee proceeded against has been informed clearly of the  charge levelled against him.

 

b)         the witnesses in  respect of  the charges are  examined in the presence of the employee.

 

c)         the employee  is given a fair opportunity  to cross examine the witnesses.

 

d)         the employee being proceeded against is given a fair opportunity to put up his defence by examining defence witnesses, and

 

e)         the enquiry officer makes a report recording his finding and the reasons therefor.

 

23.18.3     Compliance of standards of principles of natural justice

 

                  Principles of Natural Justice will generally imply, complying with the following standards :

 

a)         The employee accused of misconduct should be presumed innocent till he is found guilty. The burden of proving the charges lies on the Bank.

 

b)         The accused employee should be informed, in clear terms, of the charges levelled against him.

 

c)         The employee should be given a proper notice and be permitted a reasonable time, so that he can make arrangements for his defence.

 

d)         No enquiry should be conducted by a person who is a party to the case either directly or indirectly.

 

e)         The EO/IA should act in good faith. He should not suffer from any improper motive. He must treat both the contending parties before him equally, giving neither of them an advantage not enjoyed by the other.

 

f)          The EO/IA should not give evidence in the enquiry he is conducting.

 

g)         The evidence in support of the charges should normally be taken in the presence of the charged employee, and he should be given proper opportunity of adducing all relevant evidence on which he relies. No material against him should be relied upon without the employee being given an opportunity of explaining them.

 

h)         The witness against the accused employee should be examined in his presence, and he should have the opportunity to cross-examine the witnesses deposing against him. He should similarly be allowed to examine the witnesses presented by him.

 

i)          The EO/IA can only on bonafide grounds refuse to get a person appear as a witness. Similarly, he can refuse to admit a document only if he considers it irrelevant to the case.

 

j)          The EO/IA should not refuse adjournments sought on reasonable grounds by the charged employee.

 

k)         There should not be excessive and unjustifiable delay in initiating and completing the action, and

 

l)          The quantum of punishment should be decided only after giving a copy of the EO/IAs report to the charged employee so that he may exercise the option of making further submissions, if he so desires.

 

m)        It should be ensured that the punishment imposed (or proposed to be imposed) is not grossly disproportionate with the nature of the offence or misconduct.

 

23.19        RULES APPLICABLE FOR MISCONDUCT PRIOR TO PROMOTION AS OFFICER

 

                  The following shall be added as sub clause (f) in clause 19.12 of the first Bipartite Settlement dated 19th October 1966 and in clause 10 of paragraph 521 of the Sastry Award as applicable to State Bank of India :-

 

For a misconduct which occurred prior to the promotion of the employee to officers cadre, disciplinary action shall be in terms of the rules applicable to workmen employees.

 

23.20        TRANSFER OF EMPLOYEES DURING PENDENCY OF DISCIPLINARY PROCEEDINGS

 

Where, during the pendency of the disciplinary proceedings, an employee is transferred, the Disciplinary Authority and Appellate Authority for the staff at the transferee branch or Office should function as such for the transferred employee. Further, where enquiry report has been submitted to the Disciplinary Authority before the transfer of the employee concerned, the findings of the Enquiry Officer, as well as the entire enquiry proceedings should be withdrawn from the original Disciplinary Authority and sent to the Disciplinary Authority for the staff at the transferee branch/office for necessary action.

 

23.21       DISCIPLINARY AUTHORITYS ROLE AND REVIEW

 

(a)       A recent review of the disciplinary proceedings against members of the Award Staff has revealed that the punishments inflicted are not commensurate with the seriousness of charges proved against the concerned employees. It appears that the Disciplinary Authorities in respect of the staff under their Region/Branch are prone to following a line of least resistance, especially in those cases in which the local staff unions are vitally interested. In a glaring instance, a messenger found guilty of preparing two fraudulent withdrawals for Rs. 100/- each by forging the signatures of two account holders and using one form to debit the constituents account to misappropriate the money was initially advised that he would be discharged from service. However, the Disciplinary Authority, after a personal hearing decided to inflict the penalty of stoppage of three increments only. In another instance, where one of the staff members was found guilty of assaulting an official at the Branch by fists, legs and chair, when the latter was taking out cash from the strong room for a cash remittance, and was also found guilty of manhandling a constituent at the Branch and refusing to obey lawful orders of superiors, the Disciplinary Authority issued a show cause notice for stoppage of two increments which he toned down later to only one increment in the final order, on the grounds that the employee is "young and the proposed punishment would cause serious financial loss to him". Yet in some other instance where an employee while working on deputation as Manager of the Staff Consumers Co-operative Stores, misappropriated the stores funds and committed some other offences related to misconduct; the disciplinary authority observed that the suspension of the employee for the last six years, which in itself has been quite a punishment for his acts of commission and passed an order which was silent as to how the period of suspension should be treated. The Staff Union raised an Industrial Dispute claiming payment of full salary and allowances for the period of suspension and the Bank had to contest the case.

 

(b)       From  these  and other  cases,  an  impression is got that the Disciplinary Authorities have not been able to perceive their roles clearly in a manner which would enable them to render full justice between the two sides ranged against each other in a case of disciplinary action, viz., the charge-sheeted employee and the Bank as an organisation. It should be understood that the decision of a Disciplinary Authority in an individual case, particularly when it is incompatible with the seriousness of the charges, becomes final and incapable of being rectified. Also, in an appeal by the charge-sheeted employee, it is not possible to enhance the punishment. It is therefore, imperative that the officials designated as Disciplinary Authorities exercise sound judgement on an objective and impartial basis to ensure that the ends of justice are adequately served, without being either prejudiced against or prepossessed in favour of the employee, which if not done, will only result in miscarriage of justice. When the malafides are proved or a person has committed a fraud, there can be no compromise and we shall have to see that the employee with a propensity to commit frauds does not continue in the Banks service.

 

(c)        Having  regard to the  foregoing, a  review of the work of the disciplinary authorities at the Circle Management Level will be made periodically in order to assess their work and performance and guide them in the proper discharge of responsibilities.

 

 

 

 

 

23.22        EMPLOYEES RELEASED UNDER PROVISION  OF PROBATION OF OFFENDERS ACT

 

(a)       An employee in one of our Associate Banks, sentenced by the  Court to undergo three months rigorous imprisonment and pay a fine of Rs. 50/- for committing certain criminal offences under sections 420, 467, 471 and 477-A of the Indian Penal Code was subsequently dismissed from the Banks service under Paragraph 19-3(b) of the Bipartite Settlement. Later, the Appellate Court partly allowed the appeal filed by the employee. The Court gave benefit of doubt and acquitted the employee of the offence under Section 467 of Indian Penal Code read with Section 471 ibid and set aside the judgement of the lower court in this regard. In respect of offences under Sections 420 and 477-A of Indian Penal Code, the Appellate Court upheld the judgement of the lower court, but directed that the accused be released on probation under Section 4 of the Probation of offenders Act, 1958.

 

(b)       The employees representation for  revocation  of  the dismissal orders and his reinstatement in the Bank in view of the Appellate Courts judgment was referred to the Indian Banks Association, who gave the following clarifications:

 

"When an employee is released under provisions of Probation of Offenders Act, he is not deemed to have been acquitted. An element of offence is always present. This is because the order of release on Probation comes into existence only after the accused is found guilty and is convicted of an offence. Hence, it is in order in having taken action against the employee under paragraph 19-3(b) of the Bipartite Settlement. There is no necessity to conduct any sundry enquiry in the matter".

 

23.23        RELIEF OF EMPLOYEES FOR ATTENDING DOMESTIC ENQUIRIES

 

(a)       The employees who have been listed as witnesses in departmental enquiries will be directly intimated by the Enquiry Officer of the date, time and venue fixed for their deposition. The Enquiry Officer will endorse copies of these intimations to the Controlling Authorities of the witnesses concerned. It shall be the responsibility of the administrative authority concerned to ensure that arrangements are made for relief of the witnesses in time.

 

(b)       However, if for some unavoidable reasons it is not possible for the administrative authorities to send appropriate instructions in time, it would in order for the witnesses to proceed to the venue of the enquiry, after obtaining permission from their immediate superiors on the strength of the intimation received from the Enquiry Officers. In such circumstances, the Controlling Authority, if it is not the same as the immediate superior authority of the official, should be advised immediately. Care should, however, be exercised that the necessary precautions or procedures for emergency relief are strictly followed.

 

(c)        Enquiry Officers who issue intimations to witnesses to depose at enquiries should issue certificates to the witnesses indicating the date when the witness concerned appeared at the enquiry and the date when the witness was discharged from the enquiry. The witnesses concerned on reporting back for duty should furnish this certificate to their Branch Manager/Departmental Head for perusal and doing the needful.

 

(d)       It should be remembered that it is binding upon the Prosecution witnesses/Court witnesses to depose at the enquiries and their failure to do so will be viewed seriously. However, such defence witnesses who show their willingness to depose at enquiries may be relieved on the same basis as the Prosecution/Court witnesses. The Charged employee/Defence Representative would be personally responsible for ensuring the attendance of his witnesses.

 

23.24        DEFENCE WITNESSES : TRAVELLING EXPENSES

 

Defence witnesses are eligible for payment of travelling expenses and duty leave. Outsiders, who appear as defence witnesses are not eligible for travelling expenses. Enquiry Officers should judiciously decide on the relevance of each witness cited by the defence and disallow a defence witness whose testimony is not considered relevant to the case.

 

23.25        SOLICITING INAM/BAKSHISH

 

The staff members soliciting for "inam/bakshish" etc., from the Banks constituents at the time of festivals like "Dasera", "Diwali" etc., are liable for disciplinary action.

 

23.26        MAINTENANCE OF DISCIPLINE BOOK

 

Of late it is observed during the disciplinary proceeding initiated against the employees, both award and Supervising Staff, under the charges of i) disorderly or indecent behaviour in the premises of the bank ii) wilful insubordination or disobedience of any lawful or reasonable order of the management or of a superior, the presenting Officer is not able to substantiate the charges for want of sufficient evidence. There are instructions for maintenance of discipline book at branches wherein such misbehaviour/omission / breach of rules by the employees is recorded.  The purpose of book is to record such incidence with full facts, so that if the matter is pursued further, the Branch Manager does not find himself handicapped for want of sufficient proof on the basis of allegations.  While recording such incidence in the book, statements of witnesses are also recorded there below.  The recordings in the book should confine only to the incidence and no comments/opinion should be recorded therein.

 


          Annexure 23.1

 

Disciplinary Action and Procedure for Workmen Staff (Memorandum of Settlement dated 10th April 2002)

 

1.         A person against whom disciplinary action is proposed or likely to be taken shall in the first instance, be informed of the particulars of the charge against him and he shall have a proper opportunity to give his explanation as to such particulars.  Final orders shall be passed after due consideration of all the relevant facts and circumstances.  With this object in view, the following shall apply.

 

2.         By the expression "offence" shall be meant any offence involving moral turpitude for which an employee is liable to conviction and sentence under any provision of Law.

 

3.a)      When in the opinion of the management an employee has committed an offence, unless he be otherwise prosecuted, the Bank may take steps to prosecute him or get him prosecuted and in such a case he may also be suspended.

 

   b)      If he be convicted, he may be dismissed with effect from the date of his conviction or be given any lesser form of punishment as mentioned in Clause 6 below.

 

   c)      If he be acquitted, it shall be open to the management to proceed against him under the provisions set out below in Clauses 11 and 12 infra relating to discharges.  However, in the event of the management deciding after enquiry not to continue him in service, he shall be liable only for termination of service with three months pay and allowances in lieu of notice.  And he shall be deemed to have been on duty during the period of suspension, if any, and shall be entitled to the full pay and allowances minus such subsistence allowance as he has drawn and to all other privileges for the period of suspension provided that if he be acquitted by being  given the benefit of doubt he may be paid such portion of such pay and allowances as the management may deem proper, and the period of his absence shall not be treated as a period spent on duty unless the management so directs.

 

  d)       If he prefers an appeal or revision application against his conviction and is acquitted, in case he had already been dealt with as above and he applies to the management for reconsideration of his case, the management shall review his case and may either reinstate him or proceed against him under the provisions set out below in Clauses 11 and 12 infra relating to discharge, and the provision set out above as to pay, allowance and the period of suspension will apply, the period up-to-date for which full pay and allowances have not been drawn being treated as one of suspension.  In the event of the management deciding, after enquiry not to continue him in service, the employee shall be liable only for termination with three months pay and allowance in lieu of notice, as directed above.

 

4.         If after steps have been taken to prosecute an employee or to get him prosecuted, for an offence, he is not put on trial within a year of the commission of the offence, the management may then deal with him as if he had committed an act of "gross misconduct" or of "minor misconduct", as defined below; provided that if the authority which was to start prosecution proceedings refuses to do so or comes to the conclusion that there is no case for prosecution it shall be open to the management to proceed against the employee under the provisions set out below in Clauses 11 and 12 infra relating to discharge, but he shall be deemed to have been on duty during the period of suspension, if any, and shall be entitled to the full wages and allowances and to all other privileges for such period.  In the event of the management deciding, after enquiry, not to continue him in service, he shall be liable only for termination with three months pay and allowances in lieu of notice as provided in Clause 3 above.  If within the pendency of the proceedings thus instituted he is put on trial such proceedings shall be stayed pending the completion of the trial, after which the provisions mentioned in Clause 3 above shall apply.

 

5.         By the expression "gross misconduct" shall be meant any of the following acts and omissions on the part of an employee:

 

  a)       engaging in any trade or business outside the scope of his duties except with the written permission of the Bank;

  b)       unauthorised disclosure of information regarding the affairs of the Bank or any of its customers or any other person connected with the business of the bank which is confidential or the disclosure of which is likely to be prejudicial to the interests of the bank.

  c)       drunkenness or riotous or disorderly or indecent behaviour on the premises of the bank.

  d)       wilful damage or attempt to cause damage to the property of the bank or any of its customers;

  e)       wilful insubordination or disobedience of any lawful and reasonable order of the management or of a superior;

  f)        habitual doing of any act which amounts to "minor misconduct" as defined below, "habitual" meaning a course of action taken or persisted in, notwithstanding that at least on three previous occasions censure or warnings have been administered or an adverse remark has been entered against him.

  g)       wilful slowing down in performance of work;

  h)       gambling or betting on the premises of the bank

  i)        speculation in stocks, shares, securities or any commodity whether on his account or that of any other persons;

  j)        doing any act prejudicial to the interest of the bank or gross negligence or negligence involving or likely to involve the bank in serious loss;

  k)       giving or taking a bribe or illegal gratification from a customer or an employee of the bank;

  l)        abetment or instigation of any of the acts or omissions above- mentioned.

  m)      Knowingly making a false statement in any document pertaining to or in connection with his employment in the bank.

  n)       Resorting to unfair practice of  any nature whatsoever in any examination conducted by the Indian Institute of Bankers or by or on behalf of the bank and where the employee is caught in the act of resorting to such unfair practice and a report to that effect has been received by the bank from the concerned authority.

  o)       Resorting to unfair practice of any nature whatsoever in any examination conducted by the Indian Institute of Bankers or by or on behalf of the bank in cases not covered by the above Sub-Clause (n) and where a report to that effect has been received by the bank from the concerned authority and the employee does not accept the charge.

  p)       Remaining unauthorisedly absent without intimation continuously for a period exceeding 30 days.

  q)       Misbehaviour towards customers arising out of banks business.

  r)        Contesting election for parliament/legislative assembly/legislative council/local bodies/municipal corporation/panchayat, without explicit written permission of the bank.

  s)        Conviction by a criminal Court of Law for an offence involving moral turpitude.

  t)        indulging in any act of sexual harassment of any woman at her workplace.

           

            Note: Sexual harassment shall include such unwelcome sexually determined behaviour (whether directly or otherwise) as

 

            a)         physical contact and advances;

            b)         demand or request for sexual favours;

            c)         sexually coloured remarks;

            d)         showing pornography; or

            e)         any other unwelcome physical verbal or non-verbal conduct of a sexual nature.

  u)       the giving or taking or abetting the giving or taking of dowry or demanding directly or indirectly from the parents or guardians of a bride or bridegroom, as the case may be, any dowry.

 

            Explanation -  For the purpose of sub-clause (u) the word "dowry" has the same meaning as in the "Dowry Prohibition Act, 1961".

 

6.         An employee found guilty of gross misconduct may;

 

  a)       be dismissed without notice; or

  b)       be removed from service with superannuation benefits i.e.Pension and / or Provident Fund and Gratuity as would be due otherwise under the Rules or Regulations prevailing at the relevant time and without disqualification from future employment; or

  c)       be compulsorily retired with superannuation benefits i.e.pension and/or Provident Fund and Gratuity as would be due otherwise under the Rules or Regulations prevailing at the relevant time and without disqualification from future employment; or

  d)       be discharged from service with superannuation benefits i.e.Pension and/or Provident Fund and Gratuity as would be due otherwise under the Rules or Regulations prevailing at the relevant time and without disqualification from future employment; or

  e)       be brought down to lower stage in the scale of pay up to a maximum of two stages; or

  f)        have his increment/s stopped with or without cumulative effect; or

  g)       have his special pay withdrawn; or

  h)       be warned or censured, or have an adverse remark entered against him;

            or

  i)        be fined.

 

7.         By the expression "minor misconduct" shall be meant any of the following acts and omissions on the part of an employee:

 

  a)       absence without leave or overstaying sanctioned leave without sufficient grounds;

  b)       unpunctual or irregular attendance;

  c)       neglect of work, negligence in performing duties;

  d)       breach of any rule of business of the bank or instruction for the running of any department;

  e)       committing nuisance on the premises of the bank;

  f)        entering  or leaving the premises of the bank except by an entrance provided for the purpose;

  g)       attempt to collect or collecting moneys within the premises of the bank without the previous permission of the management or except as allowed by any rule or law for the time being in force;

  h)       holding or attempting to hold or attending any meeting on the premises of the bank without the previous permission of the management or except as allowed by any rule or law for the time being in force;

  i)        canvassing for union membership or collection of union dues or subscriptions within the premises of the bank without the previous permission of the management or except in accordance with the provisions of any rule or law for the time being in force;

  j)        failing to show proper consideration, courtesy or attention towards officers, customers or other employees of the bank, unseemly or unsatisfactory behaviour while on duty;

  k)       marked disregard of ordinary requirements of decency and cleanliness in person or dress;

  l)        incurring debts to an extent considered by the management as excessive;

  m)      resorting to unfair practice of any nature whatsoever in any examination conducted by the Indian Institute of Bankers or by or on behalf of the Bank in cases not covered by sub-clause (n) under Gross Misconduct and where a report to that effect has been received by the bank from the concerned authority and the employee accepts the charge;

  n)       refusal to attend training programme without assigning sufficient and valid reasons;

  o)       Not wearing, while on duty, identity card issued by the bank;

  p)       Not wearing, while on duty, the uniform supplied by the bank , in clean condition.

 

8.         An employee found guilty of minor misconduct may:

 

  a)       be warned or censured; or

  b)       have an adverse remark entered against him; or

  c)       have his increment stopped for a period not longer than six months.

 

9.         A workman found guilty of misconduct, whether gross or minor, shall not be given more than one punishment in respect of any one charge.

 

10.        In all cases in which action under Clauses 4,6 or 8 may be taken, the proceedings held shall be entered in a book kept specially for the purpose, in which the date on which the proceedings are held, the name of the employee proceeded against, the charge or charges, the evidence on which they are based, the explanation and the evidence, if any, tendered by the said employee, the finding or findings, with the grounds on which they are based and the order passed shall be recorded  with sufficient fullness, as clearly as possible and such record of the proceedings shall be signed by the officer who holds them, after which a copy of such record shall be furnished to the employee concerned if so requested by him in writing.

 

11.        When it is decided to take any disciplinary action against an employee such decision shall be communicated to him within three days thereof.

 

12.        The procedure in such cases shall be as follows:-

 

  a)       An employee against whom disciplinary action is proposed or likely to be taken shall be given a charge-sheet clearly setting forth the circumstances appearing against him and a date shall be fixed for enquiry, sufficient time being given to him to enable him to prepare and give his explanation as also to produce any evidence that he may wish to tender in his defence.  He shall be permitted to appear before the Officer conducting the enquiry, to cross-examine any witness on whose evidence the charge rests and to examine witnesses and produce other evidence in his defence. He shall also be permitted to be defended-

 

     (i)       (x)    by a representative of a registered trade union of bank employees of which he is a member on the date first notified for the commencement of the enquiry.

 

(y)          where the employee is not a member of any trade union of bank employees on the aforesaid date, by a representative of a registered trade union of employees of the bank in which he is employed:

 

            OR

 

              (ii)      at the request of the said union by a representative of the state federation or all India organisation to which such union is affiliated;

 

            OR

 

  (iii)     with the Banks permission, by a lawyer.

 

            He shall also be given a hearing as regards the nature of the proposed punishment in case any charge is established against him.

 

Note in case of workmen in Banks, representation in domestic enquiry can only be as laid down in the Bipartite Settlement Therefore, a reference to registered trade union of bank employees in clause 19.12 of the First Bipartite Settlement would refer to a trade union of workmen only.

Reference Chandigarh Circle Circular Letter no. CirDO/P&HRD/45/2005-06 DTD 17th June, 2005

 

  b)       Pending such inquiry or initiation of such inquiry he may be suspended, but if on the conclusion of the enquiry it is decided to take no action against him he shall be deemed to have been on duty and shall be entitled to the full wages and allowances and to all other privileges for the period of suspension; and if some punishment other than dismissal is inflicted the whole or a part of the period of suspension, may, at the discretion of the management, be treated as on duty with the right to a corresponding portion of the wages, allowances, etc.

  c)       In awarding punishment by way of disciplinary action the authority concerned shall take into account the gravity of the misconduct, the previous record, if any, of the employee and any other aggravating or extenuating circumstances, that may exist.  Where sufficiently extenuating circumstances exist the misconduct may be condoned and in case such misconduct is of the "gross" type he may be merely discharged, with or without notice or on payment of a months pay and allowances, in lieu of notice.  Such discharge may also be given where the evidence is found to be insufficient to sustain the charge and where the bank does not, for some reason or other, think it expedient to retain the employee in question any longer in service.  Discharge in such cases shall not be deemed to amount to disciplinary action.

 

d)         If the representative defending the employee is an employee of the Bank at an outstation branch within the same Circle, he shall be relieved on special leave (on full pay and allowances) to represent the employee and be paid one return fare.  The class of fare to which he will be entitled would be the same as while travelling on duty.  In case of any adjournment at the instance of the bank / Enquiry Officer, he may be asked to resume duty and if so, will be paid fare for the consequential journey.  He shall also be paid full halting allowance for the period he stays at the place of the enquiry for defending the employee as also for the days of the journeys which are undertaken at the banks cost.

 

   e)      An enquiry need not be held if:

 

   (i)      the bank has issued a show cause notice to the employee advising him of the misconduct and the punishment for which he may be liable for such misconduct;

 

   (ii)     the employee makes a voluntary admission of his guilt in reply to the aforesaid show cause notice; and

 

   (iii)    the misconduct is such that even if proved the bank does not intend to award the punishment of discharge or dismissal.

 

     However, if the employee concerned requests a hearing regarding the nature of punishment, such a hearing shall be given.

     f)     An enquiry need not also be held if the employee is charged with minor misconduct and the punishment proposed to be given is warning or censure.  However,

(i)   the employee shall be served a show cause notice advising him of the misconduct and the evidence on which the charge is based; and

 

   (ii)     the employee shall be given an opportunity to submit his written statement of defence, and for this purpose has a right to have access to the documents and material on which the charge is based;

 

   (iii)    if the employee requests a hearing such a hearing shall be given and in such a hearing he may be permitted to be represented by a representative authorised to defend him in an enquiry had such an enquiry been held.

 

  g)       Where an employee is charged with a minor misconduct and an enquiry is not held on two previous occasions, an enquiry shall be held in respect of the third occasion.

 

 13.       Where the provisions of this Settlement conflict with the procedure or rules in force in any bank regarding disciplinary action, they shall prevail over the latter.  There may, in such procedure or rules, exist certain provisions outside the scope of the provisions contained in this Settlement enabling the bank to dismiss, warn, censure, fine an employee or have his increment stopped or have an adverse remark entered against him. In all such cases also the provisions set out in Clauses 10 and 11 above shall apply.

 

 14.       The Chief Executive Officer or the Principal Officer in India of a bank or an Alternate Officer at the Head Office or Principal Office nominated by him for the purpose shall decide which officer (i.e.the disciplinary authority) shall be empowered to take disciplinary action in the case of each office or establishment.  He shall also decide which officer or body higher in status that the officer authorised to take disciplinary action shall act as the appellate authority to deal with or hear and dispose of any appeal against orders passed in disciplinary matters.  These authorities shall be nominated by designation, to pass original orders or hear and dispose of appeals from time to time and a notice specifying the authorities so nominated shall be published from time to time on the banks notice board.  It is clarified that the disciplinary authority may conduct the enquiry himself or appoint another officer as the Enquiry Officer for the purpose of conducting an enquiry.

 

  The appellate authority shall, if the employee concerned is so desirous, in a case of dismissal, hear him or his representatives before disposing of the appeal.  In cases where hearings are not required, an appeal shall be disposed of within two months from the date of receipt thereof.  In cases where hearings are required to be given and requested for, such hearings shall commence within one month from the date of receipt of the appeal and shall be disposed of within one month from the date of conclusion of such hearings.  The period within which an appeal can be preferred shall be 45 days from the date on which the original order has been communicated in writing to the employee concerned.

 

  15.       Every employee who is dismissed or discharged shall be given a service certificate, without avoidable delay.

 

 16.       Any notice, order, charge-sheet, communication or intimation which is meant for an individual employee, shall be in a language understood by the employee concerned.  In the case of an absent employee notice shall be sent to him by registered post with acknowledgement due.  If an employee refuses to accept any notice, order, charge-sheet, written communication or written intimation in connection with disciplinary proceedings when it is sought to be served upon him, such refusal shall be deemed to be good service upon him, provided such refusal takes place in the presence of at least two persons including the person who goes to effect service upon him.  Where any notice, order, charge-sheet, intimation or any other official communication which is meant for an individual employee is sent to him by registered post acknowledgement due at the last recorded address communicated in writing by the employee and acknowledged by the bank, the same is to be deemed as good service.


 

          ANNEXURE 23.2

 

            MEMORANDUM

 

            Shri..........................................

            C/o State Bank of India,

            ...............................................

 

You are hereby suspended from the Banks service, pending further action, with immediate effect/with effect from ........................ in connection with ....................................

 

            In this regard, you are hereby further instructed as under :-

 

a)         It  is  not necessary for you to report at the office for making attendance;

 

b)         During the period of suspension, you will refrain from entering the Banks premises unless you are specifically instructed/permitted to do so by the Bank in connection with enquiry/other specific purpose, failing which it will be treated as an act of insubordination and the Bank, besides initiating fresh disciplinary action for your said acts of insubordination as well as for any further action of misconduct, will also be at liberty to initiate suitable legal action for unauthorised trespassing of the banks premises.

 

c)         If you are found indulging in acts of rude and indecent behaviour with the members of the staff or interfering with office administration, you will be liable for further action of misbehaviour.

 

d)         You will be granted subsistence allowance during suspension period as admissible under the Desai Award, bipartite settlements.

 

 

Disciplinary Authority


 

          ANNEXURE 23.3

 

            STATE BANK OF INDIA,

            Shri.......................................    .                                           ..................................

            C/o. State Bank of India,

.           ........................................

 

            CHARGE-SHEET

 

It has been decided to initiate disciplinary action against you on the following charges :

 

i)          That you made fraudulent entries in the Pass Book No. ................. belonging to Shri ......................................................., a Savings Bank account-holder of the branch, the details of which are as under:

 

            Date 1984              Particulars Withdrawals                  Deposits           Balance

                                                                          

            January 7                        By Tr.                                        200.00           950.00

            April 9                             By Cash                                   320.00           1,270.00          

ii)         That you, after making the aforesaid fraudulent entries, forged the initials of a member of the supervising staff viz. Shri ...................................................with a view to authenticate these entries made by you.

 

2.         The above charges, if established, would amount to gross misconduct in terms of the provisions of the Award.

 

3.         You are, therefore, hereby instructed to submit your explanation in defence in writing, to the undersigned regarding the above charges within a week from today failing which it will be presumed that you have no reply to submit in this regard and we shall proceed accordingly.

 

Disciplinary Authority

 

 

Designation

 

 

 


 

 

ANNEXURE 23.4

 

Shri .....................................

............................................

............................................

 

With reference to your letter dated ..................., the Bank is not concerned as to by whom and how the reply to the charge-sheet served on you is to be prepared but as an employee of the Bank it is incumbent upon you to submit your explanation, if any, before ............................................ failing which it will be presumed that you have no reply to submit in this regard and we shall proceed accordingly.

 

............................................

Branch Manager/Departmental Head


 

          ANNEXURE 23.5

 

            Instructions for Conducting Departmental Enquiries

 

1.         The employee concerned should be given every opportunity to state his case personally or through a representative of a registered union of Bank employees and to produce such evidence as he may deem necessary in his defence at the enquiry.

 

2.         Please ensure that the questions put to the various  witnesses by Inquiring Authority, the employee or his representative as the case may be, and their answers are recorded verbatim in the proceedings.

 

3.         In case the employee concerned decides not to cross-examine any of the witness produced by the Bank, this fact should be recorded.

 

4.         Please ensure that evidence is taken on all the charges framed in the charge-sheet.

 

5.         Findings in the case should be arrived at and recorded after evidence in respect of all the charges has been recorded. Findings should be based only upon facts which are brought on record during the proceedings.

 

6.         The Enquiry Officer should record evidence in support of the charges and come to his own conclusions on the basis thereof. Findings should be definite and not vague.

 

7.         All pages of the enquiry report should be signed by the Enquiry Officer, Banks representative, witnesses, the employee concerned and his representative, if any, in due course. Four copies of the enquiry proceedings be forwarded to the Controlling Authority in due course.

 

8.         In terms of the instructions contained in paragraph 521(8) of the Sastry Award, read with paragraph 18.28 of the Desai Award, recording of the enquiry proceedings should be done in a book kept specially for the purpose : the  date on which the proceedings are held, the name of the employee proceeded against, the charge or charges, the evidence on which they are based and the order passed shall be recorded under the signature of the Enquiry Officer.

 

 

 


 

ANNEXURE 23.6

 

NOTICE OF ENQUIRY

 

Shri ............................................

C/o. State Bank of India

............................................

 

Dear Sir,

 

This is to advise you that an enquiry into the charges set out in the charge-sheet served on you by the Disciplinary Authority ....................................... on the ............................................will be held by me on the .................................... at ........................................ in the Branch Managers chamber at ............................................ Branch. You should, therefore, appear before the undersigned when you will be permitted to cross-examine the witnesses produced on behalf of the Bank and to produce witnesses and such evidence in your defence as you may deem necessary. If you so desire, you will be permitted to be defended by a representative of a Registered Union of Bank employees.

 

                                                                                                            Yours faithfully

                  

                                                                                                                       

                                                                                                                        (Enquiry Officer)

 

 

 


 

ANNEXURE 23.7

 

Departmental Enquiry

 

Proceeding of Enquiry against

 

Shri ............................................ held at  .................................... on .........................

at ............................................ A.M./P/M. in the Office of the Branch Manager, State Bank of India ............................................

 

Present

1.   Shri ............................................                   Enquiry Officer

2.   Shri ............................................                   Employee proceeded against

3.   Shri ............................................                   Representative of the State of India Staff

                                                                     Union on behalf of Shri ..............

                                                                     ............................................

4.   Shri ............................................                   The Branch Manager, State Bank of

                                                                     India .....................................  Branch,

                                                                     representing the Bank.

 

The Enquiry Officer read out the charge-sheet dated the ........................  and enquired from Shri ............................................ whether he understood the purpose of the enquiry that was being held to which Shri ............................................ replied in the affirmative.

 

The Enquiry Officer then requested Shri ............................................ (the Branch Manager) to call in the witnesses for the Bank, Shri ............................................  was called in first.

 

Shri ............................................ (the statement of the witness is to be stated in first person)

 

 

Questions :                                                                          (from the Enquiry Officer)

 

Answer :                                                                               Yes or No to be recorded

 

Statements of the witnesses :

 

 

Questions (By the Enquiry Officer) :

 

 


 

ANNEXURE 23.8

 

SHOW CAUSE NOTICE

 

Shri ............................................

C/o State Bank of India,

............................................

 

Dear Sir,

 

I write with reference to the charge-sheet dated the ............................... served upon you and your reply thereto vide you letter dated the ............................. An enquiry into the charges was held by Shri ............................................ Officer ............................................ and he has adjudged you guilty of the charges of ...........................................................

 

2.   Your actions as aforesaid tantamount to gross misconduct and warrant severe punishment but keeping in view the fact that you have assured of good conduct in future, I am inclined to take a lenient view in the matter. Upon consideration of the matter, I have tentatively come to the decision that your next increment which fall due on the . . . . . . . . . . . . . . be stopped for two years in terms of paragraph 521 (5) (d) of the Sastry Award read with paragraph 18.28 of the Desai Award and paragraph 1.1 of the Agreement dated the 31st March 1967 entered into between the Bank and the State Bank of India Staff Federation. In terms of paragraph 85 of the modified Sastry Award, read with paragraph 5.122 of the Desai Award, the stoppage of increment will have the effect of postponing your future increments. Before, however, I take a final decision in the matter, I would like to give you a hearing as to why the proposed punishment should not be imposed on you. To enable you to do so, enclose a copy of the proceedings of the enquiry and findings of the Enquiry Officer.

 

3.  You may ask for hearing or if you so desire, show cause in writing within one week of receipt by you hereof. If you fail therein, I will conclude that you have no cause to show in this regard.

 

Yours faithfully,

 

 

Disciplinary Authority

 

 


 

 

ANNEXURE 23.8 (a)

 

State Bank of India,

..............................,

 

Shri ............................................

State Bank of India,

............................................

 

 

I  refer to the charge-sheet dated the ................................ served on you and the enquiry held into the charges by ................................... Staff Officer on the ..........................

 

2.   I have perused the enquiry proceedings and findings of the Enquiry Officer with regard to the charges mentioned in the charge-sheet referred to above, and I concur with his findings to the effect that you are guilty of the charges levelled against you.

 

3.   The said acts, for which you were found guilty by the Enquiry Officer, amount to gross misconduct in terms of the provisions of the Award, being acts prejudicial to the interest of the Bank. In view of the gravity of the misconduct, I have come to the tentative conclusion to dismiss you from the Banks service.

 

4.   However, before I take the final decision, I hereby call upon you to show cause why the proposed punishment should not be imposed on you.

 

5.   You should submit your contention through the Branch Manager/Chief Manager/Asstt. General Manager, State Bank of India, ................................., within seven days from the receipt of this memorandum by you. If I do not hear from you within the stipulated time, I shall consider that you have no cause to show against the proposed punishment and proceed accordingly.

 

6.   To enable you to show cause against the proposed punishment, I enclose copies of the enquiry proceedings and the findings of the Enquiry Officer.

 

 

DISCIPLINARY AUTHORITY

 

 

 


 

 

ANNEXURE 23.9

 

ORDER TO IMPOSE PUNISHMENT

 

Shri ............................................

C/o. State Bank of India

............................................

 

Dear Sir,

 

I write with reference to my letter No............... dated the .........................  On consideration of the points raised by you at the personal hearing granted to you on the ............................................ and your letter dated .................. I see no reason to alter the tentative decision that your next annual increment which falls due on the  ............................................ be stopped for two years in terms of paragraph 521(5)(d) of Sastry Award read with paragraph 18.28 of the Desai Award and paragraph 1.1 of the Agreement dated the 31st March 1967 entered into between the Bank and the State Bank of India Staff Federation and in terms of paragraph 85 of the modified Sastry Award read with paragraph 85 of the modified Sastry Award read with paragraph 5.122 of the Desai Award, the stoppage of increment will have the effect of postponing your future increments, which decision I hereby confirm.

Yours faithfully

 

Disciplinary Authority


 

ANNEXURE 23.10

 

FORMAT OF MEMORANDUM-I

 

STATE BANK OF INDIA

Shri ............................................

STATE BANK OF INDIA

............................................

 

On the ............................................ you were entrusted with the work of interest calculation. I observe that you have been careless in your work and have committed many mistakes.

 

2.   You are advised to be careful in future in the performance of your duties.

 

Branch Manager


ANNEXURE 23.11

 

State Bank of India,

..............................

..............................

Shri ............................................

State Bank of India,

............................................

 

It has been observed by me from the muster roll that though your time of attendance is fixed at 10.00 A.M., in the last week on three occasions you reported for duty much after 10.00 A.M.

 

2.   You are advised to be punctual in your attendance.

 

 

Branch Manager


 

ANNEXURE 23.12

 

Letter of Request of Employee intimating the Bank the name of his Defence Representative

 

Shri ............................................

Enquiry Officer,

C/o State Bank of India,

............................................

 

Dear Sir,

 

I hereby request you that Shri  ......................................... will represent me before you at the departmental enquiry being conducted in regard to the chargesheet(s) dated the  .................. served on me by the  ................................. Branch Manager.

 

Yours faithfully,

 

(................................)

Signature of employee

 

Date ....................................

Designation .........................

Place ...................................


ANNEXURE 23.13

 

NOTICE

 

In terms of paragraph 521 (12) of Sastry Award read with paragraph 18.28 of the Desai Award and the settlement dated the 31st October, 1979 between the Indian Banks Association and National Confederation of Bank Employees, it is notified for information of the staff that the Asst. General Manager, ...................... Branch/Region ............, Zonal Office/Office Manager,-------- Local Head Office has been appointed until further notice, as the authority empowered to take disciplinary action and pass original orders in respect of the members of Award Staff working at the Branch/Office and the *Dy. General Manager, ................Regional Office/General Manager ------------- Local Head Office, has been appointed as the Appellate Authority.

 

STATE BANK OF INDIA,

 

Branch Manager

 

Officer Manager                       as the case may be

 

Asstt. General Manager

 

*Delete whichever is not applicable.

 

NOTE : In the case of branches under the direct control of Dy. General Manager, the disciplinary authority should be shown as the Dy. General Manager.................... and not the Branch Manager and General Manager (D&PB)/General Manager (Comml.) as Appellate Authorities.


 

ANNEXURE 23.14

 

DISCIPLINARY PROCEEDINGS

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Case      Name of the      At present     Qualification  Age   Synopsis of   Decision of the

No.         employee          posted at                                       the case        Disciplinary

                                                                                                                       Authority

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